专利许可、标准化与反垄断的三角关系论

张乃根* 

[摘要]  首先，本文提出专利许可、标准化与反垄断之间存在一个类似于不等边三角形的关系。专利许可处于三角底线，标准化和反垄断处于三角两边线，并且，由于专利许可的缘故，使原来没有关系的标准化与反垄断问题在这个三角内交叉，形成了特殊关系。该三角关系是客观存在的，因为私权范畴的专利许可历来是专利制度的重要组成部分，而作为公共产品的标准化则是现代工业不可缺少的组成部分。由于涉及专利技术的标准出现，使用这种标准才需要获得专利许可。反垄断始终是现代市场经济体制的核心部分，因此，作为市场交易的专利许可与反垄断密切相关。

其次，本文重点考察了这三者关系目前在美国、欧盟、中国与国际组织内的制度现状。在美国，专利许可是受到法律严格保护的私权，在与标准化、反垄断的三角关系中，处于传统强势法律地位。其国家技术标准是由非政府的会员制组织（ANSI）通过自愿共识的程序形成的。ANSI的专利政策倾向于专利权保护。美国现行的《知识产权许可反托拉斯指南》没有明文规定与标准制定、实施有关专利许可的规制问题，在标准化有关的专利许可方面实行宽松的反垄断政策。在欧盟及其成员国，专利许可亦具有牢固的法律基础。欧盟地区的标准由欧洲标准化委员会（CEN）等三个地区标准化组织协调形成，被相关国家接受后，由该地区有关产业、企业自愿采用的技术标准。欧盟及其标准化组织注意协调知识产权的私权性与技术标准的公用性之间关系。在中国，专利许可在也受到相关法律的严格保护。近年来，国家标准含有专利的情况已发生，但是还没有相应的法律法规或规范性文件，加以调整，也还没有专门的反垄断法及专利许可的反垄断指南。TRIPS协议首次明文规定专利许可权，并允许由各成员自行立法限制专利中的反竞争做法。在标准化与专利许可的关系方面，三大国际标准化组织均有规范性文件。

最后，本文认为，中国政府提出TBT委员会讨论“标准化中的知识产权”问题，具有正当性、必要性、可能性和普遍性。

[关键词] 专利许可  技术标准  反垄断  三者关系

Abstract: Firstly, it seems that there is an inequilaterally triangle indicating the relation among patent license, standardization and anti-monopoly. Within this triangle, patent license takes the bottom line while others are subjected to sidelines and across each other due to patent license, because there is no relation between standardization and anti-monopoly if they are not related to patent license. Patentees have rights to make licensing, which is traditionally composed of essential part of patent system. Technical standard is commonality, which plays important role in modern industries. Only emerges patent-related standards, essential patents are necessary to implement the standards. Anti-monopoly is regarded as a core of modern market economy. Patent license is market transaction, therefore inevitably related to anti-monopoly.

Secondly, it is focused on institutional observation of triangle relations in the United States,

EU, China and international organizations. Patent law in the United States, which has traditional strong legal status in triangle relation, protects the rights of patent licensing rigidly. ANS is voluntary consensus technical standard made by ANSI, a non-governmental membership organization. The patent policy of ANSI prefers more protection of patent rights. There are no expressed provisions regarding standard setting and regulation of patent license in “Antitrust Guideline for the Licensing of Intellectual Property” with underlying flexible antitrust policy in the respect of patent licensing in standardization. The patent protection has also solid legal basis in EU as well as its Member States. EU regional standardization organizations, CEN, CENLEC and ETS coordinate the development of European Standards, which are accepted by relevant countries and adopted voluntarily by industries and enterprises. EU and these organizations pay more attentions to coordinate private right of intellectual property and commonality of technical standards. Chinese laws protect patent license. But, China has not made laws or guideline to regulate the triangle relations even though some national standards have included patents. For the first time, TRIPS Agreement expressly provides that Members have obligation to protect patentee’s right of license while being free to regulate the anti-competition practice by their domestic laws. Three international standard setting organizations have promulgated intellectual property policy accordingly.

Thirdly, it is believed that Chinese government raises the issues of intellectual property in standardization in WTO, which bears legitimacy, necessity, possiblity and universality.                     

Key words: Patent license  Technical standards  Anti-monopoly  Triangle relation