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1、华中科技大学 硕士学位论文 我国知识产权领域请求确认不侵权之诉研究 姓名：易紫阳 申请学位级别：硕士 专业：法律硕士 指导教师：杜颖 2011-05-23 华 中 科 技 大 学 硕 士 学 位 论 文 华 中 科 技 大 学 硕 士 学 位 论 文 I 摘 要 近年来，我国知识产权领域出现了一种新型诉讼确认不侵犯知识产权之诉。 该类诉讼最大的特点是从形式上颠倒了权利人为原告义务人为被告的我国传统诉讼 主体模式，被控侵权人成为原告而知识产权权利人为被告。 关于确认不侵权之诉的规范性法律文件很少。虽然 2008 年 4 月 1 日施行的民 事案由规定已将确认不侵权纠纷作为三级案由予以收录，人民法
2、院可以依据民 事诉讼法第 108 条、第 111 条的规定受理知识产权领域确认不侵权之诉；但是对 于如何确定确认不侵权之诉诉权要件尤其是诉的利益、诉讼管辖、举证责任、被告 能否提起反诉以及如何处理与行政处理、行政诉讼之间的关系等，理论与实务界也 多存在争议。本文立足于我国司法实践，就这一系列问题作了较为系统深入的研究， 以期能有益于我国立法、司法实践。 全文内容包括导论及正文（四章、结语）。 导论：主要阐明了研究背景、研究意义,考察了国内外对该论题的研究概况； 第一章：我国知识产权领域请求确认不侵权之诉的一般概述。首先界定其概念、 特征，其次分析该类诉讼的法理性质。在分析“不应单独成诉说”、
3、“侵权之诉说”、 “确认之诉说”的观点及理由的基础上，认为知识产权领域确认不侵权之诉的诉讼 类型既可以是确认之诉也可以说侵权之诉。论述了我国知识产权领域请求确认不侵 权之诉应遵循公平竞争、权利平衡的基本原则。 第二章：我国知识产权领域请求确认不侵权之诉的诉权要件。首先简要论述确 认之诉的诉权要件，进一步明确确认之诉诉权要件之一“诉的利益”的判断标 准，最后着重论述知识产权领域请求确认不侵权之诉“诉的利益”判断的具体标准。 比较“意识说”、“接触说”、“威胁说”、“接触+威胁说”、“真实纠纷说”、 “严格条件说”、“起诉催告说”之后，赞同“起诉催告说”并借鉴了其他学说的 合理成分，就我国知识产权
4、领域确认不侵权之诉诉的利益判断标准的问题，提出了 自己的见解。 第三章：我国知识产权领域请求确认不侵权之诉相关实务问题探讨。具体包括： 华 中 科 技 大 学 硕 士 学 位 论 文 华 中 科 技 大 学 硕 士 学 位 论 文 II 知识产权领域请求确认不侵权之诉的诉讼管辖、主体资格、警告信问题、举证责任、 反诉、合并审理及裁判。 第四章：论述如何处理我国知识产权领域请求确认不侵权之诉与行政处理和行 政诉讼的关系。 结语：对文章内容进行简要总结，并提出需要继续研究的问题。 关键词：关键词：知识产权 请求确认不侵权之诉 诉的利益 华 中 科 技 大 学 硕 士 学 位 论 文 华 中 科 技
5、 大 学 硕 士 学 位 论 文 III Abstract Confirming non-infringing intellectual property (IP) lawsuit is a new kind of litigation arising in China in recent years. The greatest feature of this kind of suit is that the accused infringer herein becomes plaintiff ,however, the intellectual property right (IPR) ho
6、lder is taken as the defendant, which completely reverses the roles of both sides of parties in traditional infringement litigation. There is a few rules on suit for establishment of non-infringement. Although, the suit for establishment of non- infringement is included as the third cause of action
7、in Brief of Civil Law Cases（April 1, 2008 implementation）and under Articles 108 and 111 of The Civil Procedure Law of the People s Republic of China, the people s court should accept cases meeting the requirements concerned; the following problems have drawn debate in academia and the practice. Thos
8、e are how to determine the interests of suit for confirming non-infringing tort suit, as one of prerequisites of right of civil action herein, lawsuit jurisdiction, burden of proof and counterclaim, and how to make it compatible with other procedures such as administrative handling of infringement a
9、nd administrative suit, and so on. Based on judicial practice of our country, this article, by analyzing the above issues, aims to provide some references for legislation and judicial practice in china. This paper consists of five Parts and they are the introduction，four sections and the conclusion
10、thereof. Introduction: This part introduces the context of research, the significance of the research, and the domestic and international research achievement. Chapter 1: the General Overview of Confirming Non-infringing suit in the IP Field in China. The paper gives its definition of confirming non
11、-infringing IPR lawsuit at the beginning, then revealed its atrributes. It proves that the lawsuit herein should belong to confirming suit and tort suit by animadverting the “Should not be a suit” theory, the “Tort suit” theory and the “Confirming suit” theory . In addition the confirming non-infrin
12、ging 华 中 科 技 大 学 硕 士 学 位 论 文 华 中 科 技 大 学 硕 士 学 位 论 文 IV IPR lawsuit should follow the basic principle of fair competition and balancing rights. Chapter 2: The Prerequisites of Right of Suit for Confirming Non-infringing Suit in IP field in China. This part gives a brief introduction of the prerequis
13、ites of right of confirming suit at first, then disserts how to determine the interests of suit, as one of prerequisites of right of civil action herein, and finally, it discusses in detail the interests of suit for confirming non-infringing suit in the territory of IP. It explores, first of all, th
14、e “Consciousness” theory, the “Negotiation” theory, the “Threat” theory, the “Negotiation and Threat” theory, the “True disputes” theory, the “strict conditions” theory, and the “Provokationsprozess” theory; moreover, it puts forward the author s idea for determining the interests of suit for confir
15、ming non-infringing suit in the territory of IP based on the above theories. Chapter 3: The Discussions on the Relevant Issues of Judicial Practice about Non-infringing Complaint in IP Litigation in China. It includes what should be considered when defining the issues such as jurisdiction, qualifica
16、tion, issue of letter of warning, burden of proof , counterclaim, joinder of Proceedings (or Claim) and adjudication. Chapter 4: The paper discusses about how to make it compatible with other procedures such as administrative handling of infringement and administrative suit. The concluding part mainly summaries the contents of the paper and puts forward some further issues. Keywords: Intellectual Property Confirming Non-infringing Lawsuits The Interests of Suit 独创性声明独创性声明 本人
