专利联营的反垄断法规制

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浙江财经学院硕士学位论文

摘要

专利联营是专利权持有人为达到整合专利资源、推广技术标准而形成的一种

特殊的基于合同的专利许可模式，其基础是多个专利许可协议。从民法的角度来

看，其法律地位是合同型联营，是非法人。由于专利联营涉及两个或两个以上的

企业之间的技术联合，必然影响其他技术竞争者的利益，甚至具有限制竞争的效

果，往往受到反垄断法的规制。

专利联营从企业行为的角度看，是高新技术企业的发展战略；从经济发展方

式的角度看，则是高新技术产业的发展战略，与当前中国经济的转型升级关系密

切。由于专利联营既是基于企业自主权的合同行为，属于私法自治的范畴，又可

能涉嫌限制竞争或垄断，影响甚至损害市场的公平竞争机制，因此加强对专利联

营相关法律问题特别是反垄断法律制度的研究，不仅有助于我国专利联营的规范

运作，而且对高新技术产业的发展也具有重大的现实意义。专利联营既是微观经

济问题，也是宏观经济问题；随着经济贸易（尤其是投资）的国际化，它既是国

内经济问题，也是国际经济合作问题；其涉及面广、情况复杂、影响大，而相关

理论研究与制度供给相对滞后。

本文根据中国经济发展方式转型的战略目标，从专利联营对高新技术产业发

展可能产生的影响以及反垄断法的定位与立法宗旨为切入点，研究了针对专利联

营的反垄断法规制，旨在解决跨国公司专利联营利用先发优势限制竞争甚至非法

垄断、妨害中国高新技术产业发展的问题。不仅为中国经济的转型升级提供了理

论支持；而且进一步完善了我国的知识产权法与反垄断法，为我国实施专利联营

战略、发展高新技术产业提供了法律保障。

本文在以下两个方面进行了创新:

研究方法上。以前对专利联营的反垄断法规制研究较侧重于经济学或管理学

的分析，法学色彩很淡。本文以问题为导向应用学术交叉性、综合性的方法开展

多视角分析研究，既体现了经济法学的理论深度，又体现了经济学和管理学对法

学研究的有力支撑，具有一定的理论创新与研究方法创新的意义。

研究内容上。立足国际技术市场竞争，结合产业政策和竞争政策的互动，对

发达国家的法律制度进行了比较，使专利联营的反垄断法规制更具国际视野和针

对性。此外，还加入了对日本和台湾最新立法动向的介绍，深化了对别国立法经

验的认识。

本文运用规范研究和实证研究的方法对专利联营的垄断性进行了全方位考

察，对专利联营非法垄断的表现样态及相应对策予以阐述，并在整合和借鉴国外

浙江财经学院硕士学位论文

经验的基础上，提出了完善我国专利联营反垄断法律制度的思路和方法。具体分

述如下：

全文除绪论外分为四章。

第一章：专利联营的一般理论。

对现有文献进行比较和总结，提炼出专利联营的定义，并从多学科视角对其

本质属性进行剖析。阐明了专利联营的形成的基础是解决专利丛林问题，指出近

年来专利联营出现了标准化、国际化的发展趋势。

要解决专利联营可能涉及到的垄断问题，厘清专利权、专利联营与反垄断法

之间的界限就显得尤为基础。通过甄别经济上、法律上之垄断与专利权垄断性的

实质，回顾专利制度的历史发展，论证了专利权具有垄断性但非法律上的垄断，

并由此总结出“专利联营是合法垄断性权利的集中行使”。最后从专利联营与反垄

断法价值的潜在冲突出发，说明了反垄断法对专利联营是有限度的规制，因为专

利联营对竞争有正反两方面作用，只有反竞争作用明显大于促进竞争作用，其才

有触犯反垄断法之虞。

第二章：专利联营反垄断立法比较研究。

运用比较研究的方法，介绍和考察了美、日、欧盟和台湾地区对专利联营的

反垄断法规制的立法经验。总结出对专利联营的反垄断法规制水平是由本国的产

业发展水平决定的，并针对各个国家和地区对专利联营反垄断法规制法律规范的

不同模式进行了评价和提炼。

第三章：专利联营与垄断的关系。

运用规范研究和实证研究的方法，分析了专利联营本身结构的垄断性。其中

对联营专利间关系、联营专利的必要性及联营管理模式的独立性几个对其垄断性

有重要影响的因素进行了论述。另外，论述了专利联营可能涉及到的垄断行为样

态和认定标准，发现其既涉及联合限制竞争行为，又涉及滥用市场支配地位。

第四章：专利联营的反垄断法律制度完善。

对我国专利联营反垄断的法律制度现状进行梳理和反思，明确了我国专利联

营反垄断法规制的目标要结合产业政策。最后在借鉴其他国家和地区经验的基础

上，完善了我国专利联营的反垄断法律制度。

关键词：专利联营；反垄断；法律规制

浙江财经学院硕士学位论文

III

ABSTRACT

Based on multiple patent license agreements, patent pool is a special patent

licensing model built on contract consisted of enterprises as a patent holder's whose

purpose is to achieve the integration of the patent resources and promote technical

standards. It is a necessary part of business’ Intellectual property rights strategy. In civil

law, it’s legal status is a joint venture, not legal person. Because patent pool involving

technology venture of two or more enterprises, it will inevitably affect the interest of

other technological competitors, even restricting competition, so it is usually regulated

by anti-trust law. Patent pool is not only a business strategy, but also a development

strategy of high-tech industry. Researching from the perspective of the development of

high-tech industries, not just business associate contract, it has the significance of

theoretical innovation. As the national patent pools .For the internationalization trend of

patent pool, it is advantaged to breakthrough domestic limitation of theory from

studying based on international technology competition, is a development of China’s

antitrust theory of the patent joint venture. Researching from the legal level of

anti-monopoly of patent pools, this context tries to build up a anti-trust regulation

system of patent tools coexisted of adaptation of high-tech industry development,

pragmatic and forward-looking, it not only provides theoretical support to improve

our Intellectual property law and antitrust law, but also helps to regulate multinational

corporation for the illegal use of the patent monopoly, and it provides legal protection

for our corporate entities’ patent pool strategy and promote the development of

high-tech industry.

Using standardized methods and empirical research, this context aims to study the

associate of the patent pool’s monopoly, explain the illegal monopoly of the patent pool

and the corresponding countermeasures. On the basis of research results integrated

domestic and foreign patents pools legal regulations, to build legal framework of patent

pool of China‘s anti-trust regulation.

Beside the preface, this article is divided into four chapters.

Part one, the article describes the general theory of patent pool. The article

compares and summarizes existing literature, analyzes patent pools in multidisciplinary

perspectives, and refines the definition of the patent pool. In recent years, there is a

trend of standardization and internationalization. The formation of patent pools is based

on strategies solving patent thicket and carrying standardization, but aims of companies

浙江财经学院硕士学位论文

lies in different levels to constructive patent pool.

To resolve the monopoly problem related to patent pool, clarify the boundaries of

patent, patent pool and the antitrust laws is particularly important. By screening the

essence of monopoly in economy, law and patent monopoly , reviewing the historical

development of the patent system and analyzing it’s consistency to competition law,

demonstrating patent right is not legal monopoly, and concluding the view that "patent

pool is the focusing exercise of the monopoly" .Finally, starting from the potential

conflicts between patent pool and antitrust law, this context indicates that the antitrust

laws is a limited regulation on patent pool, because patent pool has the role of both

pro-competitive and anti-competitive , only anti-competitive is significantly greater than

pro-competitive effect, the patent pools then has t he risk of a breaching antitrust laws.

Part two, the article presents and studies the anti-trust regulations’ legislation and

law enforcement on patent pool of the United States, Japan, Europe Union and Taiwan

by comparative research methods .Summarized a conclusion that the level of antitrust

regulations on patent pool is determined by the national industrial development, and

evaluating and refining different models of antitrust regulations for patents of various

countries and regions.

Part three, the article analyzes the monopolization of the structure of patent pool

itself by normative analysis and empirical analysis, explains the important impact by

several factors of the relationship between associates’ patent, necessory of associates’

patent and independence of regulated models of patent pool to the monopoly of patent

pool. Beside, if patent pool suspected of monopoly, it belongs to the joint restriction of

competition generally, not related to abuse of market dominant position, so it discusses

the patterns of monopolistic behavior, and the standard related to patent pool from

microscopic point of view.

Part four, the article analyzes the patent pool challenge faced by our high-tech

industry, Clears the target locating of the antitrust regulation of patent pool, sort sorts

and reflects patent pools antitrust status of China’s patent pool. Finally, based on the

situation, drew on the experience of other countries and regions, set up a system of

antitrust regulations on patent pool.

Key words: patent pool; patent licensing; anti-trust analysis; law regulation

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摘要：

浙江财经学院硕士学位论文I摘要专利联营是专利权持有人为达到整合专利资源、推广技术标准而形成的一种特殊的基于合同的专利许可模式，其基础是多个专利许可协议。从民法的角度来看，其法律地位是合同型联营，是非法人。由于专利联营涉及两个或两个以上的企业之间的技术联合，必然影响其他技术竞争者的利益，甚至具有限制竞争的效果，往往受到反垄断法的规制。专利联营从企业行为的角度看，是高新技术企业的发展战略；从经济发展方式的角度看，则是高新技术产业的发展战略，与当前中国经济的转型升级关系密切。由于专利联营既是基于企业自主权的合同行为，属于私法自治的范畴，又可能涉嫌限制竞争或垄断，影响甚至损害市场的公平竞争机制，因此加...

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