摘要(Abstract)：
本文从实证角度分析了2008至2015年行政机关针对商标假冒和侵权行为的执法情况,发现商标假冒案件数量持续下降而一般侵权情况持续上升,案件涉案金额总体下降,但假冒案件涉案金额下降幅度更大。这反映出假冒案件整体执法情况进展较大。行政机关针对商标案件的罚款数额虽提高不明显,但其进行刑事司法移交的案件和人数呈现三倍增长,这体现了行政执法的严厉程度处于上升趋势。通过计算侵权成本,发现假冒和侵权的成本显著提高,同时假冒成本低于一般侵权成本。因此,本文肯定了我国行政执法阶段性成就,并提出了针对商标行政执法的分析方法及理论依据,为知识产权侵权成本的实证分析提供新思路和基础。
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作者(Author): 蔡川子;
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参考文献(References)：
- 1 PETER MAGGS&SCHECHTER ROGER,TRADEMARK AND UNFAIR COMPETITION LAW:CASES AND COMMENTS,at 25(Thomson Reuters,2012).
- 2 Article 1 of the Trademark Law of the Peoples Republic of China,promulgated by the Standing Committee of the National People's Congress on August 23,1982,and amended for the third time on August 30,2013.
- 3 Id,article 60.
- 4 Id.,article 2(Trademark application and approval does not fall into the research target of this paper since it is not directly related to SAIC's enforcement on infringement and counterfeit issues).
- 5 Id.,article 62.
- 6 The currency rate taken here is 6.8 between USD and CNY.
- 7 Supra note 2,article 60.
- 8 George J Stigler,The Optimum Enforcement of Laws,78(3)Journal of Political Economy 526,527-528(1970).
- 9 Id.,527.
- 10 Id.
- 11 Id.,531.
- 12 Id.,532.According to Stigler,if the offense involves crimes,the cost of defense shall not be calculated here;but if it does not involve any crimes,the cost of defense shall be taken into account.For the case at hand,counterfeit is criminalized so for counterfeit,such cost shall not be considered;while for infringement which does not constitute crimes,such cost will not be considered.
- 13 Hong Kong,Macau and Taiwan are not included.
- 14 Supra note 2,article 62.
- 15 Daniel Chow,Why China Does Not Take Commercial Piracy Seriously,32 Ohio NUL Rev 203(2006).
- 16 Xie Xiaoyao&Chen Xiankai,The Property Reform of Intellectuals:Chinese Miracles in IP Litigation,3 Law Review 38(20l0).
- 17 Studies on this topic have generated a large volume of discussions.Some important fundalmental works on this topic include:PHILLIPS TIM,KNOCKOFF:THE DEADLY TRADE IN COUNTERFEIT GOODS:THE TRUE STORY OF THE WORLD'S FASTEST GROWING CRIME WAVE,at 56(Kogan Page,2007);Peter K Yu,Three Questions That Will Make You Rethink the US-China Intellectual Property Debate,7 J.Marshall Rev.Intell.Prop.L.i 412(2007);WILLIAM P ALFORD,TO STEAL A BOOK IS AN ELEGANT OFFENSE:INTELLECTUAL PROPERTY LAW IN CHINESE CIVILIZATION,at 17(Stanford University Press,1995);MARTIN DIMITROV,PIRACY AND THE STATE:THE POLITICS OF INTELLECTUAL PROPERTY RIGHTS IN CHINA,at 88(Cambridge University Press,2009);ANDREW MERTHA,THE POLITICS OF PIRACY:INTELLECTUAL PROPERTY IN CONTEMPORARY CHINA,at 69(Cornell University Press,2005);Daniel Chow,supra note 15.
- 18 WILLIAM P ALFORD,supra note 17:Peter K.Yu,From Pirates to Partners:Protecting Intellectual Property in China in the Twenty-first Century,50 Am.UL Rev.13l(2001)(Opposing Alford by stating that the social norm of copying and imitating was not primarily resulted from the notion of Confucianism,rather,it related more to the economic development and legislation on IP areas.Additionally,Yu pointed out that Confucianism indeed did not advocate the exact copying and imitation,rather,it encourages improvements and changes based on the previous works).
- 19 ANDREW MERTHA,supra note 17(Observing that the enforcement and legislation mechanism of Chinas IP protection are mostly due to the pressure from other countries or foreign companies).
- 20 Daniel Chow,Organized Crime,Local Protectionism,and the Trade in Counterfeit Goods in China,14(4)China Economic Review473,473-484(2003).
- 21 Daniel Chow,Counterfeiting in the People s Republic of China,78 Wash.ULQ.1,27-29(2000).
- 22 Ian Phau&Teah Min,Devil Wears(Counterfeit)Prada:A Study of Antecedents and Outcomes of Attitudes towards Counterfeits of Luxury Brands,26(1)Journal of Consumer Marketing l5(2009).
- 23 Bian Xuemei&Luiz Moutinho,An Investigation of Determinants of Counterfeit Purchase Consideration,62(3)Journal of Business Research 368(2009).
- 24 Richard Higgins S.&Paul Rubin,Counterfeit Goods,29(2)The Journal of Law and Economics 211(1986);Gene Grossman&Carl Shapiro,Foreign Counterfeiting of Status Goods,103(1)The Quarterly Journal of Economics 79(1988).
- 25 Id.
- 26 Ian Phau&Teah Min,supra note 22.
- 27 Id.,18.
- 28 Gail Tom,Garibaldi Barbara&Zeng Yvette et al.,Consumer Demand for Counteirfeit Goods,15(5)Psychology&Marketing 405,405-421(1998).
- 29 Id.,414.
- 30Bian Xuemei&Luiz Moutinho,supra note 23.
- 31 Id,375.
- 32 Bian Xuemei,Sadia Haque&Andrew Smith,Social Power,Product Conspicuousness,and the Denmand for Luxury Brand Counterfeit Products,54(1)British Journal of Social Psychology 37,37-54(2015).
- 33 Id.,50.
- 34 Id.
- 35 Daniel Chow,supra notes l5 and 20.
- 36Daniel Chow,supra note 20.
- 37 Id.
- 38 Id.
- 39 MARTIN DIMITROV,supra note 17.
- 40 Id.,5-9.
- 41 Id.,10.
- 42 Id.,13-21.
- 43 GORDON CK CHEUNG,INTELLECTUAL PROPERTY RIGHTS IN CHINA:POLITICS OF PIRACY,TRADE AND PROTECTION,at 41(Routledge,2009).
- 44 Id.,40.
- 45 Id.,43-48.
- 46 Id.,67.
- 47 Id.,90-93.
- 48 Richard Higgins S.&Paul Rubin,supra note 24,212.
- 49 Id.
- 50 Id.,213.
- 51 Id.,214.
- 52 Id.,218.
- 53 Gene Grossman&Carl Shapiro,supra note 24,79-100.
- 54 Id.,83-84.
- 55 Xie Xiaoyao&Chen Xiankai,supra note 16,37-48.
- 56 Id.,40.
- 57 Id.
- 58 Id.,41-43.
- 59 The Annual Development Reports on China's Trademark Strategy.
- 60 White Books of IP Protection in China.
- 61 According to the SAIC reports,improper use of registered marks(by trademark owners)include:Alter the registered mark without approval;Alter the name/address or other registered matters;Produce shoddy goods to deceive consumers,etc.
- 62 According to the SAIC reports,improper use of unregistered marks include:passing unregistered marks off as registered.
- 63 The Interpretation by SPC and the SPP on Several Issues of Concrete Application of Laws in Handling Criminal Cases of Infringement Intellectual Property promulgated by Supreme People's Procuratorate Judicial Committee on November 11,2004,became effective on DecerImber 22,2004.
- 64 It should be noted that the change in infringement cases and total cases are highly consistent with each other,which indicates that these two measures of Seriousness might be highly correlated with other.
- 65 The test statistic shows that there is a significant increase in the total number of cases(p-value=0.05);there is a significant decrease in counterfeit cases(p-value=0.02);and there is a significant increase in infringement cases(p-value=0.08).
- 66 Xie Xiaoyao&Chen Xiankai,supra note 16,37-48.
- 67 The test statistic shows that there is a significant decrease in counterfeit(p-value=0.00l);and there is a significant increase in infringement(p-value=0.001).
- 68 It should be noted that the change in infringing values are highly consistent with each other,which indicates that both Counterfeit and Infringement are influencing or dragging the Total to be large.
- 69 The test statistic shows that there is a significant decrease in counterfeit infringing value(p-value=0.05);and there is a significant decrease in infringement infringing value(p-value=0.02).
- 70 According to the categories in SAIC reports,the cases in which fines are under RMB 100,000 are segmented,and fines over RMB I100,000 are not segmented but summarized as"fines greater than RMB 100,000"and in the last column of the reports.Thus,it is reasonable to believe that the armount RMB 100,000 is a comparably large number in this context representing serious conditions.
- 71 The test statistic shows that there is a significant increase in total extremely serious cases(p-value=0.01);a significant increase in counterfeit extremely serious cases(p-value=0.07),and there is a significant increase in infringement extremely serious cases(p-value=0.03).
- 72 The test statistic shows that there is a significant decrease in IP products infringing value(p-value=0.008),and there is a significant decrease of trademark products as well(p-value=0.006).
- 73 The test statistic shows that there is a significant increase of trademark products(p-value=0.06).
- 74 Xie Xiaoyao&Chen Xiankai,supra note 16.
- 75 The test statistic shows that there is a significant increase of Fines imposed only on Infringement(p-value=0.1).
- 76 It should be noted that the change in transferred cases and transferred people are highly consistent with each other,which indicates that these two measures of enforcement might be highly correlated with other.There is a strong relationship(r=0.84)between these two measures.
- 77 The test statistic shows that there is a significant increase in transferred cases(p-value=0.005);and there is a significant increase in transferred people(p-value=0.02).
- 78 Xie Xiaoyao&Chen Xiankai,supra note 16.
- 79 The test statistic shows that there is a significant decrease in destroyed IP products(p-value=0.03);and there is a significant decrease in destroyed trademark products(p-value=0.03).
- 80 THOMAS S ULEN,LAW AND ECONOMICS,at 120(SPRINGER,1989);George J Stigler,supra note 8.
- 81 The general fines and infringement fines experienced a drop before 2011 and then started to increase,and for the overall counterfeit it consistently keeps increasing.
- 82 The test statistic shows that there is a significant increase in all of the cases(p-value=0.05),a significant increase in counterfeit cases(p-value=0.04),and a significant increase in infringement(p-value=0.05).
- 83 The test statistic shows that there is a significant increase in all of the cases(p-value=0.006),a significant increase in counterfeit cases(p-value=0.09),and a significant increase in infringement(p-value=0.003).
- 84 The test statistic shows that there is a significant increase in all of the cases(p-value=0.09),no significant increase in counterfeit cases(p-value=0.3),and a significant increase in infringement(p-value=0.02).
- 85 The test statistic shows that there is a significant increase in all general(p-value
- 86 Gene Grossman&Carl Shapiro,supra note 24,79-100.
- 87 The test statistic shows that there is a significant increase in IP products(p-value=0.06),and no significant increase on trademark products(p-value=0.4).
