论专利联营的反垄断法规制
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摘要
当今世界科技高速发展,专利授权实施行为也早已跨越了国界,在全球范围内迅速增长。专利联营的出现更大程度地降低了专利交易成本、排除了专利实施的相互限制等。然而,专利联营的出现也会产生限制市场竞争和阻碍创新的负面效果,尤其是近年来在计算机软件、通讯技术设备和互联网等高科技领域里出现的专利联营凸显了滥用市场支配地位、限制市场正常竞争的趋势,从而成为反垄断法的规制对象。
随着专利联营的迅速发展,国内的专家、学者对它的了解和认识也在逐步深入,也从不同的角度诸如专利联营的概念、形成原因及其不同模式等方面进行了详尽的阐述,这样为国内企业在应对专利联营滥用知识产权的过程中获得主动地位提供了前所未有的条件。被知识武装起来的中国企业纷纷站起来,开始以反垄断法为武器维护自己的权益,或起诉滥用市场支配地位的各类专利联营,或联合起来一致对外,提高自身的创新能力,建立相应领域的专利联营与跨国的专利联营进行竞争。
专利联营在本质上是各种专利的集合,而实质上是专利所有权人为保持某种技术优势或者为获取垄断高价而主动联系在一起的联合体。而在对专利联营是否滥用知识产权进行分析、判断的过程中,各国反垄断执法机构经常适用的两大原则就是合理原则和本身违法原则。
专利联营最早出现在美国,本文对专利联营在美国的发展做了一个简单的回顾,同时介绍了在各个不同时期美国政府对待专利联营的不同态度。并且通过几个案例了解一下美国反托拉斯机构的执法规则,对于欧盟竞争法中对专利联营的规范,这里也做了简要的介绍。通过比较这些制度的理论来源和利弊将有助于我国相关法律制度的完善。
With the rapid development of high technology globally, patent licensing throughout the world has already gone up swiftly beyond one nation’s territory. The appearance of patent pool has lowered the price of the transaction of patents and eliminated the limit on the application of patent. However, patent pool also brings the negative impacts such as limit on the competition and obstacle to the innovation. Especially in recent years patent pool in the hi-tech area of computer software developing, manufacturing of the equipment for telecommunication and Internet abuses the market-dominating position and limits the normal competition on market, which becomes the object of the regulation of antitrust law.
Experts in China have deepened the knowledge about patent pool with its quick growth all over the world. And the same time they have analyzed the concept, the causes, and the different types of patent pool in detail, which provides China’s enterprises with the better weapons to fight against the abuse of patent pool so as to become more active when combating. China’s enterprises start to protect their own rights and interests by turning to the antitrust law or to bring an accusation against the abuse of patent pool or to unite together so as to be more innovative in order to set up their own patent pool to compete with foreign patent pool.
In fact, patent pool is the collection of patents, and the owners of patents actively cooperate with each other with the purpose of maintaining technical advantage or acquiring monopolized profits. During the process of judging weather patent abuses the intellectual property rights, two principles—rule of reason and per se rule always tend to be applied in making decisions by antitrust agencies in different country.
Patent pool appeared in the United States firstly so in this paper there is a brief review of its early development in the U.S. and there are different attitudes towards patent pool in different time by the U.S. government at the same time. A brief introduction to the regulations in European competition law is also included in this paper with the aim to be helpful to the perfection of relevant system in China through the comparison of theoretical source and advantages and disadvantages of the system about patent pool.
随着专利联营的迅速发展,国内的专家、学者对它的了解和认识也在逐步深入,也从不同的角度诸如专利联营的概念、形成原因及其不同模式等方面进行了详尽的阐述,这样为国内企业在应对专利联营滥用知识产权的过程中获得主动地位提供了前所未有的条件。被知识武装起来的中国企业纷纷站起来,开始以反垄断法为武器维护自己的权益,或起诉滥用市场支配地位的各类专利联营,或联合起来一致对外,提高自身的创新能力,建立相应领域的专利联营与跨国的专利联营进行竞争。
专利联营在本质上是各种专利的集合,而实质上是专利所有权人为保持某种技术优势或者为获取垄断高价而主动联系在一起的联合体。而在对专利联营是否滥用知识产权进行分析、判断的过程中,各国反垄断执法机构经常适用的两大原则就是合理原则和本身违法原则。
专利联营最早出现在美国,本文对专利联营在美国的发展做了一个简单的回顾,同时介绍了在各个不同时期美国政府对待专利联营的不同态度。并且通过几个案例了解一下美国反托拉斯机构的执法规则,对于欧盟竞争法中对专利联营的规范,这里也做了简要的介绍。通过比较这些制度的理论来源和利弊将有助于我国相关法律制度的完善。
With the rapid development of high technology globally, patent licensing throughout the world has already gone up swiftly beyond one nation’s territory. The appearance of patent pool has lowered the price of the transaction of patents and eliminated the limit on the application of patent. However, patent pool also brings the negative impacts such as limit on the competition and obstacle to the innovation. Especially in recent years patent pool in the hi-tech area of computer software developing, manufacturing of the equipment for telecommunication and Internet abuses the market-dominating position and limits the normal competition on market, which becomes the object of the regulation of antitrust law.
Experts in China have deepened the knowledge about patent pool with its quick growth all over the world. And the same time they have analyzed the concept, the causes, and the different types of patent pool in detail, which provides China’s enterprises with the better weapons to fight against the abuse of patent pool so as to become more active when combating. China’s enterprises start to protect their own rights and interests by turning to the antitrust law or to bring an accusation against the abuse of patent pool or to unite together so as to be more innovative in order to set up their own patent pool to compete with foreign patent pool.
In fact, patent pool is the collection of patents, and the owners of patents actively cooperate with each other with the purpose of maintaining technical advantage or acquiring monopolized profits. During the process of judging weather patent abuses the intellectual property rights, two principles—rule of reason and per se rule always tend to be applied in making decisions by antitrust agencies in different country.
Patent pool appeared in the United States firstly so in this paper there is a brief review of its early development in the U.S. and there are different attitudes towards patent pool in different time by the U.S. government at the same time. A brief introduction to the regulations in European competition law is also included in this paper with the aim to be helpful to the perfection of relevant system in China through the comparison of theoretical source and advantages and disadvantages of the system about patent pool.
引文
[1] 韩赤风.对 DVD 事件中知识产权滥用的法律思考.法商研究,2005,(3):20
[2] 许光耀.欧共体竞争法通论.武汉:武汉大学出版社,2006, 367-369
[3] 李玉剑,宣国良.专利联盟反垄断规制的比较研究.知识产权,2004,(5):52
[4] 郭丽峰,高志前.专利池的形成机理及对我国的启示.中国科技产业, 2006,(4): 16, 17, 30
[5] 王允贵.跨国公司的垄断优势及其对东道国的产业控制.管理世界,1998,(2):18
[6] 宁立志.从美国法例看专利联营的反垄断法规制.反垄断法比较研究,北京:人民法院出版社, 2006, 91
[7] 夏慧.专利联盟的垄断性研究.广西政法管理干部学院学报,2006, (5):23
[8] Standard oil (India) v. United States, 283 U.S. 163,171 (1931); International Mfg. Co. v. Landon, 336 F. 2d 723,730. 1964,(6):15
[9] Richard, Gilbert. Antitrust for Patent Pools: A Century of Policy Evolution. 2002-01-16
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[11] 张平.专利联营:一把双刃剑.人民论坛,2006, (11):9 [12 李建.索尼电池设置技术壁垒涉嫌在华垄断成被告.第一财经日报,2005-01-19
[13] 孔祥俊.反垄断法原理.北京:中国法制出版社, 2001, 533, 537, 538, 550, 577, 578
[14] European Union. Commission Notice on the definition of the relevant market for the purpose of Community Competition Law OJC 372. Commission Notice, 1997 :912
[15] United Brands Continental BV v. Commission [1978]Ecr207;[1978]1 CMLR 429 m, Para 38
[16] 索尼中国官方网站.关于索尼的产品市场分布. www. sony. com. cn. 2006-05-29
[17] 王先林.知识产权与反垄断法:知识产权滥用的反垄断问题研究.北京:法律出版社, 2001, 192, 225, 226
[18] 王晓晔.欧共体竞争法.北京:中国法制出版社,2001, 225, 243
[19] 王项. 德先科技诉索尼背后电池市场暗战行业标准. 21 世纪经济报道,2005-10-17
[20] Carlson, Shapiro. Patent Pools and the Antitrust Dilemma [J], Yale Journal on Regulation(16). 1999,(5):12
[21] 马志国,李本.对技术出口中专利壁垒的私力救济和公力破解.国际经济和贸易研究,2006,(5)
[22] 董希凡.专利池中的权利滥用问题―美国专利权滥用规则的发展.湖北师范学院学报(哲学社会科学版),2006,(6):35
[23] Glister, K.W. & Buckley, P.J.(1996), Strategic Motives for International Alliance Formation, Journal of Management Studies (33)
[24] 刘林青,谭力文,赵浩兴.专利丛林、专利组合和专利联盟――从专利战略到战略群战略.研究与发展管理, 2006,(4):7
[25] Josh L., Martin s. & Jean T., (2003), The Structure and Performance of the Patent Pools.Empirical Evidence, 2003:31
[26] 陈懿 ,刘平 .我国台湾地区 “专利策略联盟 ”运作方式及启示 .电子知识产权,2004,(4):23
[27] 如何加盟闪联.闪联官网. www.igrs.org/7jmsl/jmsl_xy.asp?ChannelIndex=jmsl&channelid=10016030&subchannelid=.2007-02-17
[28] 王先林.实施国家知识产权战略,依法限制知识产权滥用.中国工业报,2000-12-8
[29] 陈志昂,虞超杰.跨国公司知识产权转移新动向.科技进步与对策,1998,(7):22
[30] 黄铁军,赵巍.从视音频标准专利许可政策看中国标准的历史性机遇.标准与知识产权,2004,(5):10
[2] 许光耀.欧共体竞争法通论.武汉:武汉大学出版社,2006, 367-369
[3] 李玉剑,宣国良.专利联盟反垄断规制的比较研究.知识产权,2004,(5):52
[4] 郭丽峰,高志前.专利池的形成机理及对我国的启示.中国科技产业, 2006,(4): 16, 17, 30
[5] 王允贵.跨国公司的垄断优势及其对东道国的产业控制.管理世界,1998,(2):18
[6] 宁立志.从美国法例看专利联营的反垄断法规制.反垄断法比较研究,北京:人民法院出版社, 2006, 91
[7] 夏慧.专利联盟的垄断性研究.广西政法管理干部学院学报,2006, (5):23
[8] Standard oil (India) v. United States, 283 U.S. 163,171 (1931); International Mfg. Co. v. Landon, 336 F. 2d 723,730. 1964,(6):15
[9] Richard, Gilbert. Antitrust for Patent Pools: A Century of Policy Evolution. 2002-01-16
[10] 宁立志,胡贞珍.美国反托拉斯法中的专利权行使.法学评论,2005,(5):45
[11] 张平.专利联营:一把双刃剑.人民论坛,2006, (11):9 [12 李建.索尼电池设置技术壁垒涉嫌在华垄断成被告.第一财经日报,2005-01-19
[13] 孔祥俊.反垄断法原理.北京:中国法制出版社, 2001, 533, 537, 538, 550, 577, 578
[14] European Union. Commission Notice on the definition of the relevant market for the purpose of Community Competition Law OJC 372. Commission Notice, 1997 :912
[15] United Brands Continental BV v. Commission [1978]Ecr207;[1978]1 CMLR 429 m, Para 38
[16] 索尼中国官方网站.关于索尼的产品市场分布. www. sony. com. cn. 2006-05-29
[17] 王先林.知识产权与反垄断法:知识产权滥用的反垄断问题研究.北京:法律出版社, 2001, 192, 225, 226
[18] 王晓晔.欧共体竞争法.北京:中国法制出版社,2001, 225, 243
[19] 王项. 德先科技诉索尼背后电池市场暗战行业标准. 21 世纪经济报道,2005-10-17
[20] Carlson, Shapiro. Patent Pools and the Antitrust Dilemma [J], Yale Journal on Regulation(16). 1999,(5):12
[21] 马志国,李本.对技术出口中专利壁垒的私力救济和公力破解.国际经济和贸易研究,2006,(5)
[22] 董希凡.专利池中的权利滥用问题―美国专利权滥用规则的发展.湖北师范学院学报(哲学社会科学版),2006,(6):35
[23] Glister, K.W. & Buckley, P.J.(1996), Strategic Motives for International Alliance Formation, Journal of Management Studies (33)
[24] 刘林青,谭力文,赵浩兴.专利丛林、专利组合和专利联盟――从专利战略到战略群战略.研究与发展管理, 2006,(4):7
[25] Josh L., Martin s. & Jean T., (2003), The Structure and Performance of the Patent Pools.Empirical Evidence, 2003:31
[26] 陈懿 ,刘平 .我国台湾地区 “专利策略联盟 ”运作方式及启示 .电子知识产权,2004,(4):23
[27] 如何加盟闪联.闪联官网. www.igrs.org/7jmsl/jmsl_xy.asp?ChannelIndex=jmsl&channelid=10016030&subchannelid=.2007-02-17
[28] 王先林.实施国家知识产权战略,依法限制知识产权滥用.中国工业报,2000-12-8
[29] 陈志昂,虞超杰.跨国公司知识产权转移新动向.科技进步与对策,1998,(7):22
[30] 黄铁军,赵巍.从视音频标准专利许可政策看中国标准的历史性机遇.标准与知识产权,2004,(5):10