专利产品平行进口的经济分析与贸易实证研究

华中科技大学博士学位论文专利产品平行进口的经济分析与贸易实证研究姓名：武兰芬申请学位级别：博士专业：企业管理指导教师：陈荣秋;余翔20060429IIIIIAbstractAsoneofthemostimportantquestionsintrade-relatedintellectualpropertyrights,parallelimportshavebeenthemostmysteriousquestioninlawenforcementandinternationaltradeofintellectualpropertyrightsintheworldformanyyearswhileitisalsothehotspotanddifficultsubjectofresearchinthetheoreticalfieldofU.S.,EUandJapan.Patentrightsarethemostimportantissueintheintellectualpropertyrights.Withthestrongtechnicalcharacteristics,patentrightsnotonlydirectlyrelateswithinventor'srightinterests,butalsoplayanimportantroleinthetechnicalinnovationanddevelopmentofeconomyoftheentiresociety.Sothestudyonparallelimportsofpatentproductsisextremelysignificantinboththetheoryandthepractice.Theexhaustionofpatentrightsandparallelimportsareconcernedwiththeissueofeconomicinterestsandtradepolicesaswellasthelegalissues.Underthecurrentsituation,theemphasisofresearchshouldbeputontheeconomicanalysisandempiricalstudyonparallelimports.Whetheraretheparallelimportsofpatentproductspermittedorprohibited?Whatinfluencesdothepoliciesmakeontheindustriessuchaspharmaceuticals?TheresearchwillfacilitateChinesepolicy-making.ItalsoenablesChineseenterprisesdrawupreasonableimportsstrategiesofpatentproductsandavoidsufferingthelossresultingfromviolatingtheregulationsofimportingcountries.Underthisconsideration,thisdissertationstudiesontheeconomicanalysisandempiricalevidenceofparallelimportsofpatentproducts.Itmakesuseofboththetheoriesofeconomics,managementandlawandmodelanalysisandempiricalstudybasedonmuchdatainformation.Thefollowingisthemainachievementsofthisdissertation:(1)AnalysisonthelegislationandcasesonexhaustionofpatentrightsandparallelimportsinJapan.ThisdissertationintroducesJapan'srelevantlegislativesituationsdealingwiththeexhaustionofpatentrightandparallelimports.Thenthelegalprecedentsappearinginrecentyearsareanalyzed.Theauthorpointsoutthatthereexistmanycontradictionsanddisputesbetweenlegislationandlegalprecedents.(2)Relationalmodelofsocialwelfareandquantityofparallelimports.Theeffectsofparallelimportsonnationalandsocialwelfareareanalyzedandrelationalmodelofsocialwelfareandquantityofparallelimportsintheshorttermarebuilt.Thesocialwelfareisthepositivefunctionofthequantityofparallelimportsintheshortterm.Withtheincreasingofthequantityofparallelimports,thesocialwelfarewillincreasequickly.IV(3)Empiricalstudyonparallelimportsofdrugsintypicalcountries.Thestatusquoofparallelimportsinpharmaceuticalsisanalyzedinthetypicalcountriesincludingbothdevelopedcountries,suchasU.S.,Germany,UK,anddevelopingcountriessuchasIndiaandSouthAfrica.AndthenthecharacteristicsofparallelimportsofdrugsinSwedenareanalyzedfrom1995to2005.TheeffectsofparallelimportsonSwedenpharmaceuticalmarketarestudiedfromtheviewpointofpharmaceuticalprices,pricingofmanufacturers,R&Dandpharmaceuticalexpenditurepercapita.(4)ChinesepolicesofparallelimportsofpatentproductsandexportingstrategiesofChineseenterprises.Thepolicy-makingmustbebasedontheanalysisofChinesespecialconditionsandinterestsdemand.ThepolicyshouldalsobenefitthedevelopmentofChineseeconomyandtrade.ThisdissertationputsforwardfourproposalswhichareaboutChinesepoliciesofparallelimportsofpatentproductsandmakesuggestionsfortheexportingstrategiesofChineseenterprises.Keywords:PatentProductsParallelImportsEconomicAnalysisEmpiricalStudy□_____□“√”111.11.1.11)JosephKohler(,2001d)(exhaustionofpatentrights)(first-saledoctrine)()2)21-11-11-231-21-31-31-44ABA1-43)AB5TRIPs63461-11-1EEAEEAEEA(,2000b)(EEA)6(,2000a)(,2004b)1.1.2(,2002)60%25%(WTO)TRIPs6TRIPs672000TRIPsWTO(Maskus,2000)31)(No.70173002)(20021-200412)2)(No.70472060)(20051-200712)3)(AlexandervonHumboldt-Foundation)TRIPs(20041-200412)1.2(1)(2)(3)(1)8(2)20061252005650,000540,000-760,0000.05%200570,00060,000-80,000(,2005)2010225(,2005)46520061191.312345619952005781-5101-51.4(31)11(43)MaluegSchwartz(1994)MaskusChen(2002)(NewZealandInstituteofEconomicResearch,1998)(WF)QPIWF=bd2(b+d)QPI2+2(a-c)2(b+d)UPDQPItPDQPItQPItQPI12(536)5GanslandtMaskus(1999)199520056199520052090R&DR&D(723)13(1)(2)1422080(EuropeanCourtofJustice)2.12.1.11)MaluegSchwartz(1994)2)Tarr(1985)Hilke(1988)3)ChardMellor(1989)15MaskusChen(2002)ABBA4)(Danzon,1997)5)(2001f)20801985Mercedes-BenzOpiumNikon37Tarr(1985)Hilke(1988)209019981999(Maskus,2000)6)(,2001f)16Li(2003)(Cournot)2.1.2WTO(MaskusandChen,1999)(MaluegandSchwartz,1994)(MaskusandChen,2002)2.1.3(2001)(2001f)172002ChenMandhaniaKulkarni(2005)2-12-1R&D//2.1.4MaluegSchwartz(1994)18LDCsLessDevelopedCountries,1/4(DrugDiversion,1985)LDCsLDCsMaluegSchwartzMaskusChen(2002)U(1998)2.1.5MaluegSchwartz(1994)MaskusChen(2002)MaluegSchwartz(1994)LDCsLDCsMaskusChen(2002)1919992001(TheJapaneseGroup)FlathNariu(2002)2.1.6(CavusgilandSikora,1988;Cespedesetal,1988;DuhanandSheffet,1988;MichaelandCollege,1998;Maskus,2000)(,2004b)LiMaskus(2002)LiRobles(2004)Li(2005)20Li(2003)(2004b)(2004)2.1.72002SkokoInternetMandhaniaKulkarni(2005)(blockbusterdrugs)2.22119905(Skoko,2002)199114141%80(PaliaandKeown,1991)IBM10%Sharp20%20%-30%(AhmadiandYang,1995)22%(Sko