我国知识产权领域反垄断立法问题研究
摘要
《中华人民共和国反垄断法》已通过,但是由于反垄断法中并没有具体的知识产权方面相关规定,所以知识产权领域反垄断的立法工作依然任重道远。从各国的审判实践和我国的具体情况可以看出,在当今激烈的国际科技、经济竞争中,许多国外大企业在我国市场上的垄断行为都同知识产权的不正当行使分不开,因此建立与知识产权有关的反垄断法律制度对于保护我国经济的健康发展和经济安全具有重要的意义。我国应当如何进行立法,采用什么样的方式对知识产权领域的垄断行为进行规制是一个紧迫的问题。
作为发展中国家的中国,一方面必须积极应对发达国家保护知识产权的要求,另一方面国内许多行业的发展又受到发达国家对知识产权垄断的限制。如何在尊重知识产权的基础上对知识产权垄断进行规制,以维护自身利益,都对法律制度提出了新的更高的要求,这也是本文研究的现实意义所在。
本文在介绍知识产权、垄断概念的基础上,对知识产权、反垄断的理论基础、特征、地位及意义等基本理论问题进行了阐述。论述了知识产权与反垄断法的相互关系。知识产权是私权,赋予其专有权保护具有合理性。知识产权“外部性”问题的存在,使得知识产权法律制度的理性设计,需要对知识产权专有权加以必要的限制,以维护权利人与社会公众利益的平衡。知识产权许可通常是有利于竞争与创新的。但知识产权许可时,权利人可能会滥用知识产权,垄断或企图非法维持垄断,损害竞争和创新。反垄断法对知识产权滥用的规制有利于维护竞争、创新和社会公众利益。本文根据我国面临的实际情况,分析了企业滥用知识产权取得垄断地位问题;研究了各种滥用知识产权取得垄断地位的形式;对相关的产品和服务市场加以分析,得出了拥有知识产权本身并不等于取得垄断地位,而如果滥用知识产权限制了竞争,形成垄断则是非法的结论;提出了完善我国知识产权的相关立法,并在适当条件下制定一部适合我国国情的知识产权反垄断法的建议。
"People's Republic of China Anti-monopoly Law" adopted at August 30, 2007, there is still a long way to go regarding anti-monopoly legislation in the field of intellectual property, due to the fact that there are no well established rales and regulations in this regard. It can be seen from the judgment fulfillment of all countries and the concrete circumstance of our country that, under the intensive international competition of science and economy nowadays, the monopoly of many foreign enterprises in our domestic market is closely related with their ill-implementation of intellectual property. Therefore, in order to protect the development and safety of China's economy, it is of essential importance to establish anti-monopoly rales and regulations concerning intellectual property, while the instant problem would be how to do that. As a developing country, China, on one hand, has to face the repeating requests of developed countries to make effective protection of intellectual property. On the other hand many local developments of professions are again subjected to the restriction that the flourishing nation breaks to the intelligent property right Long. How to regulate the abuse of intellectual property on the basis of a respect for intellectual property, so as to protect China's own interest, poses a new question to the current legal system, and is what the present research is trying to provide an answer to.
The present paper expatiates on the theoretical foundation, features and meaning of intellectual property and anti-monopoly on the basis of basic legal concepts, and discusses the relationship between intellectual property and anti-monopoly law. The intelligent property right is a private power, which justifies the rationality of its exclusive right protection. The existence of problem in "exterior" of the intelligent property right, make the system reasonableness of the intelligent property right law design, need to take into necessary restriction to support right person and the balance of social public benefits to the intelligent property right exclusive right. Intellectual property permission is most of the time beneficial for competition and innovation, yet property owner may abuse their power, to monopolize or attempt to illegally keep monopoly of the intellectual property, thus impairing competition and innovation. The restriction that anti-monopoly law sets on intellectual property is propitious to the maintenance of competition, innovation and public interest. This paper analyses the issue that some enterprises abuse intellectual property to achieve monopoly in view of the current situation in China, and researches into different methods that these enterprises adopt in doing so. Moreover, the paper analyzes relevant product and service markets and draws a conclusion that owning intellectual property is not equivalent to gaining monopoly, yet abuse of intellectual property which hinders competition and contributes to monopoly is illegal. Finally, suggestion is made that the current intellectual property legislation should be perfected and an anti-monopoly law of intellectual property should be made which fits the current situation of China.
作为发展中国家的中国,一方面必须积极应对发达国家保护知识产权的要求,另一方面国内许多行业的发展又受到发达国家对知识产权垄断的限制。如何在尊重知识产权的基础上对知识产权垄断进行规制,以维护自身利益,都对法律制度提出了新的更高的要求,这也是本文研究的现实意义所在。
本文在介绍知识产权、垄断概念的基础上,对知识产权、反垄断的理论基础、特征、地位及意义等基本理论问题进行了阐述。论述了知识产权与反垄断法的相互关系。知识产权是私权,赋予其专有权保护具有合理性。知识产权“外部性”问题的存在,使得知识产权法律制度的理性设计,需要对知识产权专有权加以必要的限制,以维护权利人与社会公众利益的平衡。知识产权许可通常是有利于竞争与创新的。但知识产权许可时,权利人可能会滥用知识产权,垄断或企图非法维持垄断,损害竞争和创新。反垄断法对知识产权滥用的规制有利于维护竞争、创新和社会公众利益。本文根据我国面临的实际情况,分析了企业滥用知识产权取得垄断地位问题;研究了各种滥用知识产权取得垄断地位的形式;对相关的产品和服务市场加以分析,得出了拥有知识产权本身并不等于取得垄断地位,而如果滥用知识产权限制了竞争,形成垄断则是非法的结论;提出了完善我国知识产权的相关立法,并在适当条件下制定一部适合我国国情的知识产权反垄断法的建议。
"People's Republic of China Anti-monopoly Law" adopted at August 30, 2007, there is still a long way to go regarding anti-monopoly legislation in the field of intellectual property, due to the fact that there are no well established rales and regulations in this regard. It can be seen from the judgment fulfillment of all countries and the concrete circumstance of our country that, under the intensive international competition of science and economy nowadays, the monopoly of many foreign enterprises in our domestic market is closely related with their ill-implementation of intellectual property. Therefore, in order to protect the development and safety of China's economy, it is of essential importance to establish anti-monopoly rales and regulations concerning intellectual property, while the instant problem would be how to do that. As a developing country, China, on one hand, has to face the repeating requests of developed countries to make effective protection of intellectual property. On the other hand many local developments of professions are again subjected to the restriction that the flourishing nation breaks to the intelligent property right Long. How to regulate the abuse of intellectual property on the basis of a respect for intellectual property, so as to protect China's own interest, poses a new question to the current legal system, and is what the present research is trying to provide an answer to.
The present paper expatiates on the theoretical foundation, features and meaning of intellectual property and anti-monopoly on the basis of basic legal concepts, and discusses the relationship between intellectual property and anti-monopoly law. The intelligent property right is a private power, which justifies the rationality of its exclusive right protection. The existence of problem in "exterior" of the intelligent property right, make the system reasonableness of the intelligent property right law design, need to take into necessary restriction to support right person and the balance of social public benefits to the intelligent property right exclusive right. Intellectual property permission is most of the time beneficial for competition and innovation, yet property owner may abuse their power, to monopolize or attempt to illegally keep monopoly of the intellectual property, thus impairing competition and innovation. The restriction that anti-monopoly law sets on intellectual property is propitious to the maintenance of competition, innovation and public interest. This paper analyses the issue that some enterprises abuse intellectual property to achieve monopoly in view of the current situation in China, and researches into different methods that these enterprises adopt in doing so. Moreover, the paper analyzes relevant product and service markets and draws a conclusion that owning intellectual property is not equivalent to gaining monopoly, yet abuse of intellectual property which hinders competition and contributes to monopoly is illegal. Finally, suggestion is made that the current intellectual property legislation should be perfected and an anti-monopoly law of intellectual property should be made which fits the current situation of China.
引文
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[24]Ronald V1 Bettic Copyright Culture,the Political Economy of Intellectual Property Westview Press 1996:1331.
[25][美]Jay Dratler Jr,王春燕等译.知识产权许可[M].北京:清华大学出版社,2003:409.
[26]陶凯元.掩卷思[M].北京:法律出版社,2005:158.
[27]William C- Holmes,Intellectual Property and Antitrust law,Clark Boardman Company,Lid,1996:76.
[28]杨春福.权利法哲学研究导论[M].南京:南京大学出版社,2000:184.
[29]See Anne K.Bingman,The Role of Antitrust in Intellectual Property,Addressed before the Federal Circuit Conference,June 14,1994.
[39]孔祥俊.反垄断法原理[M].北京:中国法制出版社,2001:499.
[31]文学国.滥用与规制-反垄断法对企业滥用市场优势地位行为之规制[M].北京:法律出版社,2003:156.
[32]王先林.实施国家知识产权战略与规制知识产权滥用[J].美中法律评论,2005,6(4):35.
[33][美]E.吉尔霍恩,W.E.科瓦西克,王晓晔,汤树梅.反垄断法律与经济[M].北京:中国人民大学出版社,2001:137.
[34]游钰.论反垄断法对掠夺性定价的规制[J].法学评论,2004,6(128):26.
[35][法]泰勒尔.产业组织理论[M].北京:中国人民大学,1997:130.
[36]曹士兵.反垄断法[M].北京:法律出版社,1996:234.
[37][美]曼昆.经济学原理[M].北京:机械工业出版社,2003:334.
[38]F.B.Kulp,Jr.,(1964)"Comment,Tying Arrangements Under the Antitrust Law:The Integrity of the Product." Defense,62Mich.L.Rev.1413.
[39]L.G.Telse(1979)"A Theory of Complementary Goods" 52,J.Bus.211,222.
[40]李剑.法律经济学的分析与搭售合理性的认知[J].西南师范大学学报(人文社会科学版),2006,2(34):165.
[41]王先林.日本关于知识产权滥用的反垄断控制及其借鉴意义[J].知识产权,2002,2(10):45.
[42]郑友德,胡章怡.欧盟知识产权滥用的反垄断问题研究[J].法学评论,2006,6(10):70.
[43]许光耀.欧共体竞争法研究[M].北京:法律出版社,2002:158.
[44]胡开忠.知识产权法比较研究[M].北京:中国人民公安大学出版社,2004:122.
[45]Pat Treacy Thomas Heide.The New EC Technology Transfer Block Exemption Regulation.EIPR.2004(9).
[46]Steven D.Anderman,EU Competition Law and Intellectual Property Rights law,Clarendon Press Oxford 1998.
[47]马克思,恩格斯.马克思恩格斯选集第3卷[M].北京:人民出版社,1995:256.
[48]United States v.Topco Associations,Inc.,405 L.S.596,610(1972).
[49]Edwin J.Hughes,The Left Side of Antitrust:What Fairness Means and Why It Mutters,77 Marq.L.Rev.265(1994).
[50][美]保罗·A·萨缪尔森,威廉D·诺德蒙斯,稿鸿业泽.经济学(中文版)[M].北京:中国发展出版社,1992:798.
[51]郑鹏程.欧美反垄断法价值观探讨-兼评《中华人民共和国反垄断法(草案)》第1条[J].法商研究,2007,1(15):96.
[52]尚明.主要国家(地区)反垄断法律汇编[M].北京:法律出版社,2004:256.
[53]谢颖青.论专利制度与反垄断立法之冲突[J].台湾:万国法律,1999,56:32.
[54]See Bruce A.K hula,Antitrust at the Water'、 Eclhe:National Security and Antitrust Enforcement,Notre Dame Law Review,January,2003.
[55]冯晓青.知识产权有效期限制的理论思考[J].兰州学刊,2007(6):119.
[56]殷剑峰,方卫东.关于知识产权保护的经济学原理[J].经济师,2000,(1):20.
[2]商思林.反垄断法:化解知识产权国际压力的中国利器.[EB/OL].http://finance.sina.com.cn.2006-07-06.
[1]王先林.知识产权与反垄断法[M].北京:法律出版社,2001:285.
[1]任大援,刘丰注释.孟子[M].甘肃:甘肃民族出版社,1995:94.
[2]孔祥俊.反垄断法原理[M].北京:中国法制出版社,2001:546.
[1][日]富田彻男,廖正衡,金路,张明国,徐书绅译.市场竞争中的知识产权[M].北京:商务印书馆,2000:13.
[2]冯晓青.“增加价值”论:知识产权正当性的一种认知模式[J].电子科技大学学报社会科学版,2004,6(1):66
[1]沃尔夫.王天成,张颖译.诺齐克[M].黑龙江:黑龙江人民出版社,1999:124.
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[4]李扬.知识产权的合理性、危机及其未来模式[M].北京:法律出版社,2003:197.
[1]W·爱德沃德·斯坦穆勒,钱永中.知识经济、信息与通信技术[J].国际社会科学杂志(中文版),2003,1(11):140.
[2]E一博登海默,邓正来译.法理学:法律哲学与法律方法[M].北京:中国政法大学出版社,1999:210.
[3][美]罗伯特·考特,托马斯·尤伦,张军等译.法和经济学[M].上海:三联书店上海人民出版社,1994:185
[1]David Hume,A Treatise of Human Nature,China Social Sciences Publication House,1999(Book Ⅲ,PartⅢ,Sectl Ⅱ).
[2][英]洛克,叶启芳,瞿菊农译.政府论[M].北京:商务印书馆,1964:19.
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[2][德]黑格尔,范扬,张企泰译.法哲学原理[M].北京:商务印书馆,1961:225.
[3][德]黑格尔,范扬,张企泰译.法哲学原理¨M].北京:商务印书馆,1961:267.
[4][德]黑格尔,范扬,张企泰译.法哲学原理[M].北京:商务印书馆,1961:235.
[1]吴汉东.法哲学家对知识产权法的哲学解读[J].法商研究,2003,5(8):78.
[2]David Saunders,Authorship and Copycight,116.
[3]David Hume,A Treatise of Human Nature,China Social Sciences Publication House,1999(Book Ⅲ,PartⅢ,Sectl Ⅱ).
[4]吉米·边沁,李贵方等译.立法理论[M].北京:中国人民公安大学出版社,2004:138-140.
[5]Ronald V1 Bettic Copyright Culture,the Political Economy of Intellectual Property Westview Press 1996:1331
[6]Ronald V1 Bettic Copyright Culture,the Political Economy of Intellectual Property Westview Press 1996:1331.
[1]崔国斌.知识产权法官造法批判[EB/OL].http://www.intereconomiclaw.com/article/default.asp?id=4628.2007-10-04.
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[1]尚明.主要国家(地区)反垄断法律汇编[M].北京:法律出版社,2004:256.
[2]William C- Holmes,Intellectual Property and Antitrust law,Clark Boardman Company,Ltd,1996:76.
[1]杨春福.权利法哲学研究导论[M].南京:南京大学出版社,2000:184.
[1]孔祥俊.反垄断法原理[M].北京:中国法制出版社,2001:383.
[2]See Anne K.Bingman,The Role of Antitrust in Intellectual Property,Addressed before the Federal Circuit Conference,June 14,1994.
[3]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[M].北京:法律出版社,2001:201.
[1]盛杰民.刍议反垄断法对市场支配地位的规制[EB/OL].http://article.chinalawinfo.com/article/user/article_display.asp?ArticleID=30873.2007-2-10.
[2]孔祥俊.反垄断法原理[M].北京:中国法制出版社.2001:499.
[3]孔祥俊.反垄断法原理[M].北京:中国法制出版社.2001:550.
[4]文学国.滥用与规制-反垄断法对企业滥用市场优势地位行为之规制[M].北京:法律出版社,2003:156.
[5]文学国.滥用与规制-反垄断法对企业滥用市场优势地位行为之规制[M].北京:法律出版社,2003:156.
[1]王先林.实施国家知识产权战略与规制知识产权滥用[J].美中法律评论,2005,6(4):35.
[1][美]E.吉尔霍恩,W.E.科瓦西克,王晓晔,汤树梅.反垄断法律与经济[M].北京:中国人民大学出版社,2001:137.
[2]游钰.论反垄断法对掠夺性定价的规制[J].法学评论,2004,6(128):26.
[3]王先林.知识产权与反垄断法[M].北京:法律出版社,2001:243.
[1][法]泰勒尔.产业组织理论[M].北京:中国人民大学,1997:130.
[2]孔祥俊.反垄断法原理[M].北京:中国法制出版社,2001:581.
[3]曹士兵.反垄断法[M].北京:法律出版社,1996:234.
[4][美]曼昆.经济学原理[M].北京:机械工业出版社,2003:334.
[1]王先林.知识产权与反垄断法[M].北京:法律出版社,2001:241.
[2]F.B.Kulp,Jr.,(1964)"Comment,Tying Arrangements Under the Antitrust Law:The Integrity of the Product." Defense,62Mich.L.Rev.1413.
[3]L.G.Telse(1979)"A Theory of Complementary Goods" 52,J.Bus.211-222.
[1]王先林.知识产权与反垄断法[M].北京:法律出版社,2001:227.
[1]王先林.知识产权与反垄断法[M].北京:法律出版社,2001:274.
[1]王先林.日本关于知识产权滥用的反垄断控制及其借鉴意义[J].知识产权,2002,2(10):45.
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[1]许光耀.欧共体竞争法研究[M].北京:法律出版社,2002:158.
[1]郑友德,胡章怡.欧盟知识产权滥用的反垄断问题研究[J].法学评论,2006.6(10):71.
[2]Guidelines on the application of Article 81 of the EC Treaty to technology transfer agreements (2004/C 101/02).
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[1]郑友德,胡章怡.欧盟知识产权滥用的反垄断问题研究[J].法学评论,2006,6(10):71.
[2]Steven D.Anderman,EU Competition Law and Intellectual Property Rights law,Clarendon Press Oxford 1998.
[1]马克思,恩格斯.马克思恩格斯选集第3卷[M].北京:人民出版社,1995:233.
[2]马克思,恩格斯.马克思恩格斯选集第3卷[M].北京:人民出版社,1995:256.
[3]United States v.Topco Associations,Inc.,405 L.S.596,610(1972).
[4]Edwin J.Hughes,The Left Side of Antitrust:What Fairness Means and Why It Mutters,77 Marq.L.Rev.265(1994).
[1][美]保罗·A·萨缪尔森,威廉D·诺德豪斯,稿鸿业译.经济学(中文版)第12版[M].北京:中国发展出版社,1992:798.
[2]郑鹏程.欧美反垄断法价值观探讨-兼评《中华人民共和国反垄断法(草案)》第1条[J].法商研究,2007,1(15):96.
[1]尚明.主要国家(地区)反垄断法律汇编[M].北京:法律出版社,2004:256.
[1]谢颖青.论专利制度与反垄断立法之冲突[J].台湾:万国法律,1999,56:32.
[2]尚明.主要国家(地区)反垄断法律汇编[M].北京:法律出版社,2004:300.
[1]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[M].北京:法律出版社,2001:471.
[2]冯晓青.知识产权有效期限制的理论思考[J].兰州学刊,2007(6):119.
[3]殷剑峰,方卫东.关于知识产权保护的经济学原理[J].经济师,2000,(1):20.
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[1]王先林.知识产权与反垄断法[M].北京:法律出版社,2001:285.
[2]任大援,刘丰 注释.孟子[M].甘肃:甘肃民族出版社,1995:94.
[3]孔祥俊.反垄断法原理[M].北京:中国法制出版社,2001:546.
[4][日]富田彻男,廖正衡,金路,张明国,徐书绅译.市场竞争中的知识产权[M].北京:商务印书馆,2000:13.
[5]冯晓青.“增加价值”论:知识产权正当性的一种认知模式[J].电子科技大学学报(社会科学版),2004,6(1):66.
[6]沃尔夫,王天成,张颖译.诺齐克[M].哈尔滨:黑龙江人民出版社,1999:124.
[7]白海军.北京:2049,相信中国[M].北京:中国档案出版社,2006:51.
[8]李扬.知识产权的合理性、危机及其未来模式[M].北京:法律出版社,2003:197.
[9]W·爱德沃德·斯坦穆勒,钱永中.知识经济、信息与通信技术[J].国际社会科学杂志(中文版),2003,1(11):140.
[10]E-博登海默,邓正来译.法理学:法律哲学与法律方法[M].北京:中国政法大学出版社,1999:210.
[11][美]罗伯特·考特,托马斯·尤伦,张军等译.法和经济学[M].上海:三联书店上海人民出版社,1994:185
[12]郑成思.知识产权论[M].北京:法律出版社,2001:143.
[13][英]洛克,叶启芳,瞿菊农译.政府论[M].北京:商务印书馆,1964:19.
[14]Robert Nozick:Anarchy,State and Utopia,Basic Books,Inc,Publishers,1974:173-175.
[15]易继明.评财产权劳动学说[J].法学研究,2000,3(6):95-96.
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[17][德]黑格尔,范扬,张企泰译.法哲学原理[M].北京:商务印书馆,1961:225.
[18]黑格尔,范扬,张企泰译.法哲学原理[M].北京:商务印书馆,1961:267.
[19]吴汉东.法哲学家对知识产权法的哲学解读[J].法商研究,2003,5(8):78.
[20]马新福.立法论-一种社会学视角[M].长春:吉林人民出版社,2005:300.
[21]David Hume,A Treatise of Human Nature,China Social Sciences Publication House,1999.
[22]吉米·边沁,李贵方等译.立法理论[M].北京:中国人民公安大学出版社,2004:138-140.
[23]王先林.WTO竞争政策与中国反垄断立法[M].北京:北京大学出版社,2005:28-29
[24]Ronald V1 Bettic Copyright Culture,the Political Economy of Intellectual Property Westview Press 1996:1331.
[25][美]Jay Dratler Jr,王春燕等译.知识产权许可[M].北京:清华大学出版社,2003:409.
[26]陶凯元.掩卷思[M].北京:法律出版社,2005:158.
[27]William C- Holmes,Intellectual Property and Antitrust law,Clark Boardman Company,Lid,1996:76.
[28]杨春福.权利法哲学研究导论[M].南京:南京大学出版社,2000:184.
[29]See Anne K.Bingman,The Role of Antitrust in Intellectual Property,Addressed before the Federal Circuit Conference,June 14,1994.
[39]孔祥俊.反垄断法原理[M].北京:中国法制出版社,2001:499.
[31]文学国.滥用与规制-反垄断法对企业滥用市场优势地位行为之规制[M].北京:法律出版社,2003:156.
[32]王先林.实施国家知识产权战略与规制知识产权滥用[J].美中法律评论,2005,6(4):35.
[33][美]E.吉尔霍恩,W.E.科瓦西克,王晓晔,汤树梅.反垄断法律与经济[M].北京:中国人民大学出版社,2001:137.
[34]游钰.论反垄断法对掠夺性定价的规制[J].法学评论,2004,6(128):26.
[35][法]泰勒尔.产业组织理论[M].北京:中国人民大学,1997:130.
[36]曹士兵.反垄断法[M].北京:法律出版社,1996:234.
[37][美]曼昆.经济学原理[M].北京:机械工业出版社,2003:334.
[38]F.B.Kulp,Jr.,(1964)"Comment,Tying Arrangements Under the Antitrust Law:The Integrity of the Product." Defense,62Mich.L.Rev.1413.
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