中国专利法首次销售规则的基础理论选择

The Choice of Underlying Theories of the First Sale Doctrine under Chinese Patent Law

专利法下的首次销售规则(First Sale Doctrine)有两大基础理论支撑:权利穷竭理论(Patent Exhaustion Theory)与默示许可理论(Implied License Theory)。学者们传统上主要从社会利益最大化的角度来对这两种理论进行取舍。但不同的学者却得到不同的答案。文章分析了出现这种情况的原因是传统上学者们并未考虑制度选择的成本问题。如果将成本的因素考量在内,则无法从理论层面证明这二者中哪一项更有利于社会利益最大化。我们在对首次销售规则做理论选择时,应该基于当今的主流观点和法律政策作出选择,因此中国专利法下的首次销售规则应适用权利穷竭理论。

Abstract： First sale dcotrine under patent law can be supported by two different theories： patent exhaustion theory and implied license theory. Scholars generally proposes the choice between these two by analyzing which can bring most social benefits. Howeve, scholars are not in line with each other in the conclusion. The article elaborates that this inconsistency is incurred from the scholars＇ ignorance of cost in institution choice. If cost is taken into consideration, which of the two can bring more social benefit is theoritcally unprovable. When choosing the underlying theory of first sale doctrine, the majority＇s view and legal policies, rather than a specious economic analysis, should play the essential role. Patent exhaustion is proposed to be the underlying theory of first sale doctrine under Chinese patent law.