【作者】 李娟；

【导师】 高宏贵；

【作者基本信息】 华中师范大学 ， 经济法， 2009， 硕士

【摘要】 专利权制度乃近代社会建立的旨在推动技术进步、促进经济繁荣的一项重要制度,在鼓励人们发明创造,促进科学技术服务于人们的生产和生活等方面发挥了极为重要的作用。然而,由于专利权固有的垄断性,使其与反垄断之间的纠纷一直没有停息过。随着知识经济的发展,专利许可实施从传统的单个专利许可朝着几个专利集中许可的方向拓展。专利集中许可即本文的专利联营,它具有促进技术交流和限制市场竞争的双重效应。作为国际知识产权战略的高级模式,专利联营的滥用危害尤为巨大。研究专利联营的反垄断法规制问题,不仅具有重大的理论意义,而且具有极为重要的社会现实意义。尤其是我国作为自主技术创新相对落后的发展中国家,长期处于专利贸易的被许可方地位,容易遭受专利权滥用的侵害。近些年来,专利权人通过利用专利联营这一专利许可方式滥用其专利权的合法垄断地位以限制市场竞争、损害消费者利益的现象愈演愈烈。我国DVD产业、彩电业、数码相机业、MP3业等产业都面临着生存与发展的严峻挑战,对我国建立专利联营反垄断法规制体系提出了深层次的制度诉求。所以,如何以反垄断法规制专利联营中的滥用市场支配地位、联合限制竞争等非法垄断行为,既是一项法律层面上值得研究的专门课题,也是一项具有维护我国经济利益之意义的现实课题。本文主要运用理论分析、历史分析和比较分析等研究方法,对专利联营的垄断性进行了深入分析,较为详细地考察了美国、日本和欧盟等国家和经济实体专利联营的立法与实践,分别对专利联营反垄断法规制中的本身违法原则、合理原则、豁免制度等进行了比较深入地探讨和比较研究,并结合我国的社会现实与相关立法状况,就如何完善我国专利联营反垄断规制法律体系提出了一些有益的见解。本文主要通过以下四个部分对专利联营反垄断法规制问题进行分析:第一部分,通过“DVD案例”引出本文研究的主题——专利联营。首先陈述了“DVD案件”的主要事实和发展过程,继而对“DVD案件”中利用专利联营滥用专利权的行为进行法律分析,最后从宏观角度阐释了专利联营可能带来的负面效应和对专利联营实施反垄断法规制的必要性。第二部分,主要阐述以下两个问题:一是基于专利联营的内部结构之分析,对组成专利联营的各专利之间的关系进行梳理,以判断专利联营中何种专利关系能促进竞争,何种专利关系会阻碍竞争、损社会福利。继而在介绍专利联营的三类管理模式的基础上,分析其产生垄断的可能性。二是对专利联营中可能涉及联合限制竞争、滥用专利支配地位的对外许可行为进行反垄断法分析,以阐明专利联营可能产生的各种消极影响,进一步论述对专利联营实施反垄断规制的必要性。第三部分,通过对美国、日本和欧盟等国家和经济实体有关专利联营的反垄断规制制度进行比较研究,重点分析了这些国家和经济实体关于专利联营的反垄断法规制在本身违法原则、合理分析原则、豁免制度这三个方面的相同点和差异,并在此基础上结合国际背景以及我国国情,探寻可供我国借鉴的用于专利联营反垄断法规制的立法与司法实践方面的先进经验。第四部分,主要探讨了我国专利联营反垄断法律制度的完善。首先在列举我国相关规定基础上分析其作用以及不足,然后在结合本国国情的基础上有条件地借鉴美国、日本和欧盟等国家和经济实体的优秀制度和经验,提出完善我国专利联营反垄断规制法律体系的建议。更多还原

【Abstract】 Patent system is of special significance to promoting technological progress and economic prosperity in modern world.Encourage people to invent in the creation,promotion of scientific and technical services to the people’s production and life,play an extremely important role. However,due to its long-term monopolization,the dispute between patent right and anti-monopolization never cease.With the explosion of information and economy,patent right license can be expanded from traditional single form to centralized form.Patent pooling agreement,which is the patent pool discussed in this paper,has double effect both on promoting technological communication and restricting market competition.As an advanced mode in international intellectual property right s Strategy,the abuse of patent pool mode will do great harm.The study on antitrust law regulation of patent pool has enormously theoretical significance.Being a developing country with relatively backward technology innovation,patent trade in China remain being licensed and subjected to abusive exercise of patent right.Recent years,patentee are increasingly abusing his advantage of patent right brings damages to valid competition and harm to consumer’s interest by means of pool-patent mode.The electronic industries including DVD industry,color-TV industry,digit -camera industry and MP3 industry are facing challenge to survival and development,which an deep appeal for establishment of the system of pool-patent and anti-monopoly law.Therefore,the issues on how to control the illegal monopoly activities such as abuse of market advantage and restriction of competition are worth studying in the light of law and are practical significance to benefit’s safeguard for our nation.The thesis mainly applies theoretical analysis,historical analysis and comparative analysis.Based on deep study on the relationship between pool patent and anti-monopoly law,it has relatively detail investigated the legislations,practice and development of pool-patent rights in economy entities form America,European and Japan.Itself illegal principle,Reasonableness principle,and Exemption System of antitrust law regulation of patent pool are further explored and comparatively studied.At last,Based on the current situation of our country,the author puts forward suggestions and preliminary assumptions for perfection of antitrust law regulation of patent pool in our country.In addition to introduction and conclusion,the thesis consists of four parts. Part one,taking a case study as an example elicit the theme of this thesis- patent pool. Firstly,it states the fact and development of DVD cases and gives a legal analysis of abuse of patent rights.At last,it analyzes the negative effect resulted from patent pool and propose the necessity of antitrust law regulation of patent pool.Part two,mainly on the following two questions:Firstly,it studies the internal construction of patent pool from the angle of antitrust law regulation.Combing the relationship between different patents at first in patent pool is for the purpose of make distinction beneficial patent which will benefit competition and harmful patent which will hamper competition and impair social welfare.Then,it also analyzes the possibility of monopoly after introduction of three types of administration model in patent pool. Secondly,it also provides an analysis of activities which will restrict the competition and of abuse of power from the angle altruism of law regulation.To clarify the patent pools may have a negative impact on a variety of further discussion of patent pools to implement anti-monopoly regulation need.Part three,it gives a comparative analysis on antitrust law regulation of patent pool of the United States,Japan and the European Union and other countries and economic entities.It mainly makes comparison of antitrust law regulation of patent pool in America, European countries,Japan from the perspective of Itself illegal principle, Reasonableness principle and Exemption System,and gives an analysis and evaluation on commons and differences.Based on those studies,we should combine the international background and the situation of China to draw anti-trust regulation of the legal and judicial practice of valuable experience.Part Four,it probes into the perfection of antitrust law regulation of patent pool in our nation.It also expounds the current prescripts and defects of antitrust law regulation of patent pool.Based on the current situation of our country,drawing experience reasonably from European country,the author puts forward suggestions for perfection of antitrust law regulation of patent pool.That our country should be based on modernization,internationalization,localization of the principle of building a multi-level, three-dimensional and effective regulation of the legal system for patent pool.更多还原