1、1 知识产权创造、运用、知识产权创造、运用、管理和保管理和保护护The Creation,Use,Management and Protection of Intellectual Property Right中国社会科学院法学研究所中国社会科学院法学研究所研究员研究员 博士生导师博士生导师 李顺德李顺德 Chinese Academy of Social SciencesResearcher and Doctorial Tutor Li shunde 2第一部分第一部分 知识产权基本知识知识产权基本知识一、什么是知识产权一、什么是知识产权二、知识产权的基本性质二、知识产权的基本性质三、中国现
2、代知识产权保护制度的构成三、中国现代知识产权保护制度的构成第二部分第二部分 如何对知识产权进行创造、运用、管理和保护如何对知识产权进行创造、运用、管理和保护 一、全球化背景下的知识产权成为一个引人注目的重要问题一、全球化背景下的知识产权成为一个引人注目的重要问题二、知识产权保护的应对措施二、知识产权保护的应对措施Part I Basic Knowledge of Intellectual Property Right .What is Intellectual Property Right?.The fundamental nature of Intellectual Property Rig
3、ht.Components of modern Intellectual Property Right protection system of ChinaPart II How to Create,Use,Manage and Protect Intellectual Property Right?.Intellectual Property Right becomes a remarkable and important issue in the context of globalization.Countermeasures for IPR protection 3第一部分第一部分 知识
4、产权基本知识知识产权基本知识一、什么是知识产权一、什么是知识产权Part I Basic Knowledge of Intellectual Property Right I.what is Intellectual Property Right?知识产权是指自然人或法人对自然人通过智力劳动所创造的智力成果，依法确认并享有的权利。（一）世界知识产权组织对知识产权的定义（一）世界知识产权组织对知识产权的定义1967年7月14日签订，1970年4月26日生效的建立世界知识产权组织公约第2条（8）款对“知识产权”的范围作了如下定义：Intellectual Property Right is rec
5、ognized in accordance with law and enjoyed by nature person or legal person for the intellectual achievement created by nature persons intellectual effort.(1)Definition by World Intellectual Property Right OrganizationAccording to Article 2(8)of“Convention Establishing the World Intellectual Propert
6、y Right Organization”signed on July 14,1967,came into effect in April 26,1970,“Intellectual Property Right”shall include the rights relating to:4 1.与文学、艺术及科学作品有关的权利（指版权或著作权）；2.与表演艺术家的表演活动、录音制品和广播有关的权利（指版权的邻接权）；3.与人类在一切领域创造性活动产生的发明有关的权利（指专利权）；4.与科学发现有关的权利；1.Literary,artistic and scientific works(copy
7、right or literary property),2.Performances of performing artists,phonograms,and broadcasts(Neighboring right of copyright),3.Inventions in all fields of human endeavor(Patent right),4.Scientific discoveries,55.与工业品外观设计有关的权利；6.与商品商标、服务商标、商号及其他商业标记有关的权利；7.与防止不正当竞争有关的权利；8.一切来自工业、科学及文学艺术领域的智力创作活动所产生的权利。
8、5.Industrial designs,6.Trademarks,service marks,and commercial names and designations,7.Protection against unfair competition,8.And all other rights resulting from intellectual activity in the industrial,scientific,literary or artistic fields.6（二）世界贸易组织（二）世界贸易组织（WTO）对知识产权的定义）对知识产权的定义与贸易有关的知识产权协议（TRI
9、Ps）第1条对“知识产权”的范围作了以下定义：1.版权与邻接权；2.商标权；3.地理标志权；4.工业品外观设计权；5.专利权；6.集成电路布图设计（拓朴图）权；7.未披露过的信息（商业秘密）专有权。(2)Definition by WTOAccording to Article 1 of“Agreement on Trade-Related Aspects of Intellectual Property Right(TRIPS)”,“Intellectual Property Right”shall include the rights relating to:1.Copyright and
10、 Neighboring rights2.Trademarks 3.Geographical Indications 4.Industrial Designs 5.Patent Rights6.Layout-Designs(Topology Map)of IC7.Protection of Undisclosed Information 7二、知识产权的基本性质二、知识产权的基本性质.The Fundamental Characteristics of Intellectual Property Right（一）无形性（一）无形性（二）专有性（二）专有性（三）地域性（三）地域性（四）时间性（四
11、）时间性（五）可复制性（五）可复制性(A)Intangible(B)Exclusive(C)Regional(D)Timing(E)Duplicability8三、中国现代知识产权保护制度的构成三、中国现代知识产权保护制度的构成.Components of Modern Intellectual Property Right Protection System of China（一）宪法是我国的根本大法（一）宪法是我国的根本大法（二）知识产权法是民法法律部门中的一个法律制度（二）知识产权法是民法法律部门中的一个法律制度（三）我国所缔结的国际公约是我国国内法的重要组成部分（三）我国所缔结的国际公
12、约是我国国内法的重要组成部分（四）我国与有关国家签订的知识产权协议（四）我国与有关国家签订的知识产权协议(A)Constitution is the fundamental law of our country.(B)Intellectual Property Right law belongs to civil law department.(C)That relevant international conventions to which China is a party is an important component of domestic law of China.(D)Trea
13、ties signed between China and relevant countries.9 第二部分第二部分 如何对知识产权进行创造、运用、管理和保护如何对知识产权进行创造、运用、管理和保护一、全球化背景下的知识产权成为一个引人注目的重要问题一、全球化背景下的知识产权成为一个引人注目的重要问题（一）（一）知识产权成为重要的财富知识产权成为重要的财富 （二）（二）知识产权贸易已经成为国际贸易中的一种主要形式和竞争手段知识产权贸易已经成为国际贸易中的一种主要形式和竞争手段（三）（三）知识产权经营成为企业知识产权经营成为企业经营的重要内容经营的重要内容（四）知识产权成为（四）知识产权成为竞
14、争的重要工具竞争的重要工具Part Two How to Create,Use,Manage and Protect Intellectual Property Right?1.Intellectual Property Right becomes a remarkable and important issue in the context of globalization(1)Intellectual Property Right becomes an important form of wealth(2)Intellectual Property Right trade has beco
15、me a major form and competition means in international trade(3)Intellectual Property Right becomes an important branch of enterprise operation(4)Intellectual Property Right becomes an important tool of competition 10（五）（五）知识产权成为知识产权成为投资的重要资本投资的重要资本（六）（六）知识产权成为知识产权成为重要的非关税壁垒重要的非关税壁垒（七）知识产权成为（七）知识产权成为
16、管理的重要内容管理的重要内容（八）知识产权与标准相结合成为（八）知识产权与标准相结合成为企业追求的重要目标企业追求的重要目标（九）（九）知识产权成为知识产权成为发展战略的重要组成部分发展战略的重要组成部分(5)Intellectual Property Right becomes an important means of investment(6)Intellectual Property Right becomes an important non-tariff barrier(7)Intellectual Property Right becomes an important aspec
17、t of management(8)The combination of Intellectual Property Right and standards becomes an important goal for enterprises to pursue(9)Intellectual Property Right has become an important part of development strategy 11（一）（一）知识产权成为重要的财富知识产权成为重要的财富 1、以知识产权为核心的无形资产成为企业的主要资产、以知识产权为核心的无形资产成为企业的主要资产年月日中国共产党
18、第十六届中央委员会第三次全体会议通过的中共中央关于完善社会主义市场经济体制若干问题的决定：“（）建立健全现代产权制度。产权是所有制的核心和主要内容，包括物权、债权、股权和知识产权等各类财产权。”“要依法保护各类产权，健全产权交易规则和监管制度，推动产权有序流转，保障所有市场主体的平等法律地位和发展权利。”(1)Intellectual Property Right becomes an important form of wealth.the intangible assets with Intellectual Property Right at the core becomes the m
19、ain assets of enterprises On October 14,2003,The Decision of the Central Government of the Communist Party of China on Certain Issues of Perfecting the System of Socialist Market Economy adopted at the third plenary session of 16th Chinese Communist Party Central Committee:(6)To establish and perfec
20、t a modern property rights system.Property right is the core and the main contents of ownership,including property,debt,equity and Intellectual Property Right and other property rights.It is necessary to safeguard various property rights according to law,to improve the property trading rules and reg
21、ulations,to promote the orderly transaction of property rights,and to safeguard equal legal status and right to development for all market players.12美国Amgen公司是一家生物技术公司，其资产评估总值为150亿美元，而其有形资产仅为25亿美元，这是由于该公司拥有人红细胞生成素（EPO）和人粒细胞集落刺激因子（GCSF）的两项基本专利，可以垄断这两个畅销生物药品的市场所致。Amgen Inc.is a U.S.biotechnology compa
22、ny,with assessed value of its assets for 15 billion U.S.dollars,and its tangible asset is 2.5 billion U.S.dollars.That is because the company owns two basic patents including human erythropoietin(EPO)and human granulocyte colony-stimulating factor(G-CSF),which gives the company a monopoly position i
23、n market of these two best-selling biological drugs.132、知识产权成为商品和服务价值的重要组成、知识产权成为商品和服务价值的重要组成温州打火机在美国市场上，靠的是日本和韩国的品牌，接受日本和韩国的打火机厂商定牌加工。温州的打火机卖给日本和韩国商人平均不到两个美元，加工的利润是10左右，0.2美元左右。而日本和韩国的商人把这个打火机卖到美国，是5美元到10美元之间。它的利润是100到300。我国生产的地球仪出口价为5美元，在美国可以卖85美元；加工一套女装的加工费是3-4欧元，市场价为100欧元。2,Intellectual Property
24、 Right Becomes an Important Component of the Value of Goods and Services Wenzhou lighters lives upon Japanese and South Korean brands in the U.S.market,taking fixed license processing from Japanese and South Korean lighter manufacturers.The price of Wenzhou lighters sold to Japan and South Korea is
25、less than 2 U.S.dollars on average,the profit of processing is about 10%,about 0.2 U.S.dollars.The price of the same lighter sold to the United States by Japan and South Korean is 5 U.S.dollars to 10 dollars.Its profit is 100%to 300%.The export price of a China made terrestrial globe is 5 U.S.dollar
26、s,which can be sold at 85 U.S.dollars in the United States;the processing fee is of a womans suit is 3-4 Euros,with a market price of 100 Euros.14（二）（二）知识产权贸易已经成为国际贸易中的一种主要形式和竞争手段知识产权贸易已经成为国际贸易中的一种主要形式和竞争手段1、狭义的知识产权贸易、狭义的知识产权贸易知识产权贸易，狭义的理解就是指以知识产权为标的的贸易，它包括知识产权许可、知识产权转让等内容。其实我们平常接触很多，如专利许可、商标许可、专利的转
27、让、商标的转让、版权的许可、版权的转让、商业秘密的许可等等，这些都是知识产权贸易。2、广义的知识产权贸易、广义的知识产权贸易广义的知识产权贸易，还应该包括知识产权产品贸易。(2)Intellectual Property Right Trade Becomes a Major Form and Competition Means in International Trade 1,The Narrow Sense of Intellectual Property Right Trade Intellectual Property Right trade,in the narrow sense r
28、efers to Intellectual Property Right being the subject of trade,which includes Intellectual Property Right licensing,Intellectual Property Right transfers and so on.In fact,we normally come into contact with many,such as patent licensing,trademark licensing,the transfer of patents,trademarks,the tra
29、nsfer of copyright permission,copyright transfer,license of trade secrets and so on,all of the above are Intellectual Property Right trading.2,The Broad Sense of Intellectual Property Right Trade The broad sense of Intellectual Property Right trading should also include trade of Intellectual Propert
30、y Right products.153、知识产权产品、知识产权产品知识产权产品知识产权产品，就是指那些产品价值主要是由知识产权价值构成的产品，或者说是知识产权的价值占产品价值相当比例的产品，如计算机软件、集成电路、影视作品、音像制品、出版物等。一般地说，知识产权产品主要是指版权产品，即产品价值主要是由版权价值构成的产品，或者说是版权的价值占产品价值相当比例的产品。3,Intellectual Property Right ProductsIntellectual Property Right products means that the value of those products is
31、 mainly constituted by Intellectual Property Right,or the value of Intellectual Property Right accounts for a significant proportion of the total product value,such as computer software,integrated circuits,video works,audio-visual products,publications and so on.In general,Intellectual Property Righ
32、t products mainly refer to copyright product,which means the product value consists of copyright or copyright value accounts for a considerable proportion of the value of products.164、知识产权产业、知识产权产业知识产权产业知识产权产业一般是指版权产业版权产业。版权产业是指生产、销售、提供利用版权产品的产业。版权产业，与我们所说的文化产业、创意产业存在密切关系，实质上没有根本区别。4,Intellectual Pr
33、operty Right Industry Intellectual Property Right industry generally is the copyright industry.The copyright industry is engaged in the production,sale and providing access to copyright.Copyright industries has a close relationship with cultural industries,creative industries,in essence,there is no
34、fundamental difference.17WIPO（世界知识产权组织）在其2003年版权产业经济贡献调查指南中，按照国际标准产业分类（简称ISIC）代码界定的版权产业包括四类：第一类是核心类的版权产业，其特征是创造有版权的作品或者受版权保护的物质产品，主要对享有版权的再创作、复制、生产和传播。这样讲比较抽象，具体谈起来有计算机软件业、录音制品制作业、影视节目制作业、录音制品制作业、影视节目制作业、报刊和书籍出版业、电台和电视台广电台和电视台广播业、播业、戏剧创作演出、广告业，还有数据处理等产业。In Guide on Surveying the Economic Contributio
35、n of the Copyright-Based Industries issued by World Intellectual Property Right Organization(WIPO)in 2003,copyright industry shall include four sub sectors according to International Standard Industrial Classification(ISIC):First,the core copyright industry,which is characterized in creating works a
36、nd other protected subject matter,including recreation,reproduction,production and manufacturing copyright works.The above saying is quite abstract,in more specific terms,the core copyright industry includes computer software industry,producing of phonograms industry,producing of film and television
37、 program industry,newspapers and book publishing industry,radio and television broadcasting,dramatic composition and performance,the advertising industry,as well as data processing and other industries.18第二类，部分版权产业，就是说产品中的一部分是享有版权的，如纺织业、玩具业和建筑业；第三类，边缘（发行）版权产业，是指有版权的作品进行批发和零售；第四类，交叉版权产业，是指生产、制造和销售主要是
38、为了促进有版权作品的创造、生产或使用的设备的产业，如计算机产业、收音机、电视机、录音音响设备等产业。Second,partial copyright industries,which means a partial of the product is related to copyright,such as textile industry,toys industry,architecture industry;Third,the non-dedicated support industry,which refers to whole sale and retailing of works a
39、nd other protected subject matter;Fourth,the interdependent copyright,which is industry that is engaged in production,manufacture and sale of equipment whose function is to facilitate the creation,production or use of works and other protected subject matter,such as computer industry,Radios,TV sets,
40、sound recording equipment and other similar industries.19（三）（三）知识产权经营成为知识产权经营成为经营的重要内容经营的重要内容1、知识产权经营成为企业的经营方式、知识产权经营成为企业的经营方式IBM公司不仅是世界上最大的计算机硬件制造商，也是世界上最大的计算机软件服务提供商之一，近些年来该公司建立了第3种经营模式，这就是经营知识产权。1995年IBM公司专利许可转让费为6.50亿美元，2000年IBM公司在美国取得专利2886项，年度总利润81亿美元，其中专利许可转让费占17亿美元，专利许可转让费的年增长率约为25%。IBM在2002
41、年的研发经费高达47.5亿美元，取得专利3288项，专利许可转让费入帐高达11亿美元。(3)Intellectual Property Right Business Becomes an Important Aspect of Business 1,Operating of Intellectual Property Right Becomes a Part of Enterprise Management IBM is not only the worlds largest computer hardware manufacturers,but is the worlds largest s
42、oftware service providers.In recent years the company established the third kinds of business model,which is the operation of Intellectual Property Right.In 1995,the patent license transfer fee of IBM was 650 million U.S.dollars,in 2000,IBM obtained 2886 patents in the United States,with an annual g
43、ross profit of 8.1 billion U.S.dollars,of which the patent license transfer fees accounted for 1.7 billion U.S.dollars,and the annual growth rate of license transfer fee was about 25%.IBM spent as high as 4.75 billion U.S.dollars in R&D in 2002,obtained 3288 patents,and up to 1.1 billion U.S.dollars
44、 of patent license transfer fee.20IBM在PC上有2000多项专利，联想因为收购了IBMPC部门，每年专利授权收入达3000万美元。1985年美国在技术贸易方面的纯收入已达85亿美元以上。仅美国的TI（德克萨斯）公司1986年1989年的专利许可使用费收入就高达8亿美元。2、出现以经营知识产权作为主业的企业、出现以经营知识产权作为主业的企业美国高通公司，其80%以上的收入来自专利许可，2006年第二季度财报显示，其专利授权费用收入为6.8亿美元，净利润达到了6.3亿美元，纯利润占到了收入的92%以上。IBM has more than 2,000 patent
45、s in the sector of PC.the annual licensing revenues of Lenovo accounts for 30 million U.S.dollars because the acquisition of PC sector of IBM The net income of U.S.technology trade in 1985 has reached more than 8.5 billion U.S.dollars.The patent licensing fees of United States TI(Texas)alone in19861
46、989 was as high as 800 million U.S.dollars.2,The Emergence of Enterprises with Intellectual Property Right as the Main Business QUALCOMM Incorporated,more than 80%of its revenue is from patent licensing,and the second-quarter financial results in 2006 show that,the licensing fee income was 6.8 billi
47、on U.S.dollars,the net profit reached 630 million U.S.dollars,and net profit accounted for more than 92%of income.21（四）（四）知识产权成为知识产权成为竞争的重要工具竞争的重要工具 思科诉华为、丰田诉吉利、通用诉奇瑞、劲量电池专利案、劲量电池专利案、莱伏顿公司诉通领科技、（五）（五）知识产权成为知识产权成为重要的非关税壁垒重要的非关税壁垒欧盟的CR法案、美国、加拿大的彩电案、数字电视专利、环保空调机、(4)Intellectual Property Right Becomes a
48、n Important Tool of Competition Cisco v.Huawei,Toyota v.Geely,Chery v.General Motors,Energizer battery patent case,Levin v.Qualcomm co-volt lead science and technology,(5)Intellectual Property Right Becomes an Important Non-Tariff Barrier EU CR Act,the United States,Canada,color TV case Digital TV p
49、atents,environment friendly air-conditioners,222007年3月1日美国强制推行ATSC（美国先进电视制式委员会）数字电视标准，对美出口彩电要付出的专利费高达23美元/台：有一些是在模拟电视时代就已经开始征收的，如美国杜比的音频AAC技术（每台收费2美元）、Mpeg La联盟的MPEG2视频压缩技术（共795项专利，由24个专利人所有；每台收费2.5美元）、加拿大Tzi-vision以及美国GUARDIA MEDIA公司的V-chip技术（每台1.25美元和1美元）March 1,2007,the United States imposed ATSC
50、(Advanced Television Systems Committee)digital television standard,as a result,color TV exported to the United States have to pay patent fees up to 23 U.S.dollars/set:Some patent fees has been introduced since analogue television times,such as the United States Dolby AAC audio technology(2 U.S.dolla
