专利独家许可的反垄断法分析
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摘要
专利独家许可是专利权人在实施专利技术时基于技术控制、后续管理、品牌信誉等,将专利技术在一定期限和一定地域范围内只许可给特定经营者的营销型商业安排,其对竞争产生双重效应。专利独家许可能在短时间内以较小成本完成专利技术的产业化,产生规模经济效应,在整体上促进社会技术创新,但具有竞争关系的专利权人与被许可人之间的独家许可以及拥有市场支配地位的专利技术的独家许可会危及市场竞争秩序。因此,有必要在反垄断法层面明确专利独家许可违法性的构成要件,为反垄断法规制专利独家许可行为提供理论支持。
Patent exclusive licensing is a marketing commercial arrangement in the process of patent implementation. In this business model, the patent holder only licenses the patented technology to a certain operator within a certain period and a certain region, based on the consideration of technology control, follow-up management and brand reputation, etc. It has the dual effect of competition. The exclusive licensing can accomplish the industrialization of patented technology in a short time at a small cost, produce scale economy effect, and then promote social technology innovation on the whole; however, an exclusive licensing between a competing patentee and licensee, as well as an exclusive license for a dominant patent technology, may endanger the relevant market competition order. Therefore, it is necessary to clarify its illegal constitutive elements at the level of anti-monopoly law, so as to provide theoretical support for the regulation of patent exclusive licensing by anti-monopoly law.
Patent exclusive licensing is a marketing commercial arrangement in the process of patent implementation. In this business model, the patent holder only licenses the patented technology to a certain operator within a certain period and a certain region, based on the consideration of technology control, follow-up management and brand reputation, etc. It has the dual effect of competition. The exclusive licensing can accomplish the industrialization of patented technology in a short time at a small cost, produce scale economy effect, and then promote social technology innovation on the whole; however, an exclusive licensing between a competing patentee and licensee, as well as an exclusive license for a dominant patent technology, may endanger the relevant market competition order. Therefore, it is necessary to clarify its illegal constitutive elements at the level of anti-monopoly law, so as to provide theoretical support for the regulation of patent exclusive licensing by anti-monopoly law.
引文
①参见李振军:《有效竞争概念的新界定》,《兰州学刊》2007年第6期。
②中心辐射型垄断协议即美国20世纪30年代提出的hub-and-spoke cartel,2000年以来,欧盟反垄断当局也不断使用这一概念。
③United States v.Apple Inc.,952 F.Supp.2d 638,694-695 (S.D.N.Y.2013),791 F.3d 290,313-14 ,2d Cir.2015.
④回馈授权是指许可方与被许可方在协议中约定,被许可方对许可技术的后续改进或通过使用标的技术所获得的新技术应向许可方报告、转让或授权。参见宁立志、陈珊:《回馈授权的竞争法分析》,《法学评论》2007年第6期。
⑤See Guidelines on the application of Article 101 of the Treaty on the Functioning of the European Union to technology transfer agreements,pra.175-181.
⑥参见李剑:《论垄断协议违法性的分析模式——由我国首例限制转售价格案件引发的思考》,《社会科学》2014年第4期。
⑦关键设施的概念源于1912年“美国政府诉圣路易斯终点铁路协会案”的判例,此后,欧盟在处理滥用市场支配地位的案件中也引入关键设施理论,并对其进行了完善。
⑧Burda v.Wendy's Int'l Inc.,659 F.Supp.2d 928,Bus.Franchise Guide (CCH) 14,240,S.D.Ohio Sept.21,2009.
②中心辐射型垄断协议即美国20世纪30年代提出的hub-and-spoke cartel,2000年以来,欧盟反垄断当局也不断使用这一概念。
③United States v.Apple Inc.,952 F.Supp.2d 638,694-695 (S.D.N.Y.2013),791 F.3d 290,313-14 ,2d Cir.2015.
④回馈授权是指许可方与被许可方在协议中约定,被许可方对许可技术的后续改进或通过使用标的技术所获得的新技术应向许可方报告、转让或授权。参见宁立志、陈珊:《回馈授权的竞争法分析》,《法学评论》2007年第6期。
⑤See Guidelines on the application of Article 101 of the Treaty on the Functioning of the European Union to technology transfer agreements,pra.175-181.
⑥参见李剑:《论垄断协议违法性的分析模式——由我国首例限制转售价格案件引发的思考》,《社会科学》2014年第4期。
⑦关键设施的概念源于1912年“美国政府诉圣路易斯终点铁路协会案”的判例,此后,欧盟在处理滥用市场支配地位的案件中也引入关键设施理论,并对其进行了完善。
⑧Burda v.Wendy's Int'l Inc.,659 F.Supp.2d 928,Bus.Franchise Guide (CCH) 14,240,S.D.Ohio Sept.21,2009.