论专利权交叉许可及专利池许可模式的反垄断规制——美国的理论与实践
摘要
知识经济下，众多专利相互交叉的“专利丛”状况以及由此产生的新技术专利产业推行中的侵权诉讼风险的不确定性使得专利池许可和专利权交叉许可模式有其存在的必要性。在交叉许可和专利池许可模式中，相关的多个权利所有人有可能形成在某一技术领域的垄断地位从而限制竞争，损害他人利益和社会公共利益。事实上，专利权交叉许可和专利池许可模式在具体运作中的众多法律特征都是建立避免反垄断规制风险的基础之上的。
本文在探讨知识产权法与反垄断法相互关系的基础上，结合这一领域的经典案例，介绍了当代美国对专利权交叉许可和专利池许可模式进行反垄断规制的基本理论和适用原则。同时通过对美国司法部与联邦贸易委员会发布的知识产权许可的反垄断指南以及美国司法部反垄断司针对MPEG LA和DVD pool两个专利池组织发布的商务复核意见的深入分析，总结了专利池许可模式，尤其是为推行标准设立的大型开放型专利池许可模式在运作中所应遵守的包容性，自愿性以及诚实信用原则以及若干具体的法律特征。
近来，国内媒体、企业乃至政府围绕标准问题展开了一系列的论战，WAPI、IGRS、AVS、EVD、TD-SCDMA等一系列标准的制定与推行成为舆论讨论的焦点。标准是以一系列的核心专利为依托的，标准的推行不可避免地涉及到专利的许可，其中专利池许可是国际众多标准推行中惯例性的专利许可模式。本文对当代美国对专利池许可模式若干反垄断规制及其体现的法律特征作出初步的探讨分析，以期对国内的众多标准制定组织在制定专利许可模式时提供有益的借鉴。
The crossing-license and patent pool are necessary in the knowledge-based economy century for the situation of the patents thicket and the uncertainty for infringement on other patents when a new technology patent is used for production. The participants may have somewhat monopoly power in some technology field which is anticompetitive in the operation of cross-license and patent pool license, that is why they should be regulated by antitrust law and in fact, many legal characteristics of them is based on the consideration of antitrust risks.
On the basis of the discussion of the relationship between the intellectual law and antitrust law, the disquisition give a brief introduction for the basic theory and applicable principles for the antitrust regulations in this area in USA. In addition, by the deep introduction of Antitrust Guideline for the Licensing of Intellectual Property issued by the U S Department of Justice and the Federal Trade Commission and several Business Review Letters on MPEG and DVD pools issued by the antitrust division of U S Department of Justice, the disquisition provides the basic principles for operation of the patent pool, such as the inclusion rule, voluntary rule and bona fide rule ,as well as many specific legal characteristics of the patent pools.
Recently, the establishment and implementation of the standard, such as the WAPI, IGRS, AVS, EVD, TD-SCDMA, become the focus in China. The standard relies on the a series of essential patents and its implementation is inevitably in connection with license of patent, in which the patent pool is a customary one for the license of patents of many international standard. The introduction by the disquisition for the antitrust regulations in this area in USA and the specific legal characteristics for the patent pool will give a helpful reference for the standard setting organizations in China.
本文在探讨知识产权法与反垄断法相互关系的基础上，结合这一领域的经典案例，介绍了当代美国对专利权交叉许可和专利池许可模式进行反垄断规制的基本理论和适用原则。同时通过对美国司法部与联邦贸易委员会发布的知识产权许可的反垄断指南以及美国司法部反垄断司针对MPEG LA和DVD pool两个专利池组织发布的商务复核意见的深入分析，总结了专利池许可模式，尤其是为推行标准设立的大型开放型专利池许可模式在运作中所应遵守的包容性，自愿性以及诚实信用原则以及若干具体的法律特征。
近来，国内媒体、企业乃至政府围绕标准问题展开了一系列的论战，WAPI、IGRS、AVS、EVD、TD-SCDMA等一系列标准的制定与推行成为舆论讨论的焦点。标准是以一系列的核心专利为依托的，标准的推行不可避免地涉及到专利的许可，其中专利池许可是国际众多标准推行中惯例性的专利许可模式。本文对当代美国对专利池许可模式若干反垄断规制及其体现的法律特征作出初步的探讨分析，以期对国内的众多标准制定组织在制定专利许可模式时提供有益的借鉴。
The crossing-license and patent pool are necessary in the knowledge-based economy century for the situation of the patents thicket and the uncertainty for infringement on other patents when a new technology patent is used for production. The participants may have somewhat monopoly power in some technology field which is anticompetitive in the operation of cross-license and patent pool license, that is why they should be regulated by antitrust law and in fact, many legal characteristics of them is based on the consideration of antitrust risks.
On the basis of the discussion of the relationship between the intellectual law and antitrust law, the disquisition give a brief introduction for the basic theory and applicable principles for the antitrust regulations in this area in USA. In addition, by the deep introduction of Antitrust Guideline for the Licensing of Intellectual Property issued by the U S Department of Justice and the Federal Trade Commission and several Business Review Letters on MPEG and DVD pools issued by the antitrust division of U S Department of Justice, the disquisition provides the basic principles for operation of the patent pool, such as the inclusion rule, voluntary rule and bona fide rule ,as well as many specific legal characteristics of the patent pools.
Recently, the establishment and implementation of the standard, such as the WAPI, IGRS, AVS, EVD, TD-SCDMA, become the focus in China. The standard relies on the a series of essential patents and its implementation is inevitably in connection with license of patent, in which the patent pool is a customary one for the license of patents of many international standard. The introduction by the disquisition for the antitrust regulations in this area in USA and the specific legal characteristics for the patent pool will give a helpful reference for the standard setting organizations in China.
引文
1． Licensing of Intellectual Property 《知识产权许可》 (上、下)美 Jay Dratler．Jr 著 王春燕等译 清华大学出版社 2003年4月第一版
2．《走向知识经济的知识产权法》吴汉东 胡开忠等著 法律出版社2002年10月第一版
3．《知识产权法》主编 刘春田 中国人民大学出版社，2000年4月第一版
4．《国际知识产权法》古祖雪著 法律出版社 2002年10月第一版
5．《知识产权法研究》第1-13卷 方正出版社
6．《各国反垄断法汇编》人民法院出版社2001年1月第一版
7．《反垄断法原理》孔祥俊 著 中国法律出版社 2001年6月第一版
8．《反托拉斯法》(美)波斯纳 著 孙秋宁译 中国政法大学出版社 2003年1月第一版
9．《反垄断法经典判例解析》黄勇 董灵著 2002年12月第一版
10．《国际竞争法研究》黄勇著 2003年1月第一版
11 Navigating the patent Thicket: Cross Licenses, Patent Pool, and Standard-setting Carl Shapiro University of California at Berkeley, Mark 2001参见 http://haas.berkeley.edu/～shapiro/thicket.pdf
12. MPEG LA Business Review Letter(June 26, 1997)详见 http://www.mpegla.com
13. DVD 3C Business Review Letter(December 16, 1980);详见 http://www.usdoj.gov/atr/public/busreview/1170.htm.
14. DVD 6C Business Review Letter(June 10, 1999).详见http://www.usdoj.gov/atr/public/busreview/2121.htm
15. Reform of the technology licensing rules, David W Hull and Amy L Toro Covington & Burlin The European Antitrust Review 2004
16. Antitrust Guideline for the Licensing of Intellectual Property, Issued by the U S Department of Justice and the Federal Trade Commission, April. 1995
17. Antitrust, patent pools, and the management of uncertainty, 载于The Antitrust Review of the America 2003, A Global Competition Review special Report. Roger B. Andewelt, Analysis of Patent Pools Under the Antitrust Laws, 53 ANTITRUST L.J. 611(1984), Joshua A. Newberg~* Assistant Professor, Robert H. Smith School of Business, University of Maryland. College Park, Maryland. B.A., 1981; M.A., 1982; J.D., 1989, University of Pennsylvania.
18. Institutions for Intellectual Property Transactions: The Case of Patent Pools Robert P. Merges, Wilson Sonsini Goodrich & Rosati Professor of Law and Technology University of California at Berkeley(Boalt Hall) School of Law 1998: RPM, August, 1999 Revision
19. The Structure and Performance of Patent Pools: ampirical Evidence. Josh Lerner, Marcin Strojwas, and Jean Tirole~* January 11, 2003
20. Raymond A Jacobsen, Jr and Stefan M Meisner, McDermott, Will & Emery Antitrust principles applicable to intellectual property, 载于The Antitrust Review of the Americas 2003, 第七期 A Global Competition of Review special report The following documents are available at http://www.fic.gov/opp/intellect/index.htm and http://www.gtwassociates.com/alerts/FTCDOJHEARINGS.htm as report by several expert provided for the Hearings on Competition and Intellectual Property Law and Policy in the Knowledge-Based Economy Before the U.S. Department of Justice Antitrust Division and Federal Trade Commission
21. Prepared Testimony of Cross-Licensing and Patent Pools Before the U.S. Department of Justice Antitrust Division and Federal Trade Commission Hearings on Competition and Intellectual Property Law and Policy in the Knowledge-Based Economy M. Howard Morse, Drinker Biddle & Reath LLP, April 17, 2002
22. Enforcement Issues Regarding Pooling and Cross-licensing, David McGowan, Associate Professor of Law University of Mirmesota Law School,
23. Pro-competitive Aspects of Intellectual Property Pools: a Proposal for Safe Harbor Provisions,Beeney Sullivan&Cromwell New York,
24. Comments On Patent Pools and Standards For Federal Trade Commission Hearings Regarding Competition & Intellectual Property, James J. Kulbaski, Esq.Oblon, Spivak, McClelland, Maier & Neustadt, P.C. 1755 Jefferson Davis Highway, Suite 400Arlington, VA 22002 jkulbaski@oblon.com January, 2002
25. Cooperative Marketing Agreements Between Competitors: Evidence from Patent Pools, Josh Lerner, Marcin Strojwas, and Jean Tirole~*, April 27, 2003
26. Standards-Setting Practices: Competition, Innovation and Consumer Welfare Amy A. Marasco. Vice President and General Counsel, American National Standards Institute("ANSI"), April 18, 2002, before the Federal Trade Commission and Department of Justice
27. Intellectual Property Rights and SSOs Intellectual Property Rights and Standard Setting Organizationsl, Mark A. Lemley2 2002 Mark A. Lemley.
28. Standard Setting And Market Power, Richard T. Rapp and Lauren J. Stiroh
29. IP, Cross-licensing and Patent Pools: IP, Cross-licensing and Patent Pools: Similarities and Contrasts Similarities and Contrasts, Dr. Peter Grindley Dr. Peter Grindley, Senior Managing Economist Senior Managing Economist, LECG Ltd. April 17, 2002
30. Economics, Law, and History of Patent Pools and Cross-Licensing Agreements, Richard Gilbert U.C. Berkeley, Franco-American Conference on the Economics, Law, and History of Intellectual Property Rights October 6, 2001
2．《走向知识经济的知识产权法》吴汉东 胡开忠等著 法律出版社2002年10月第一版
3．《知识产权法》主编 刘春田 中国人民大学出版社，2000年4月第一版
4．《国际知识产权法》古祖雪著 法律出版社 2002年10月第一版
5．《知识产权法研究》第1-13卷 方正出版社
6．《各国反垄断法汇编》人民法院出版社2001年1月第一版
7．《反垄断法原理》孔祥俊 著 中国法律出版社 2001年6月第一版
8．《反托拉斯法》(美)波斯纳 著 孙秋宁译 中国政法大学出版社 2003年1月第一版
9．《反垄断法经典判例解析》黄勇 董灵著 2002年12月第一版
10．《国际竞争法研究》黄勇著 2003年1月第一版
11 Navigating the patent Thicket: Cross Licenses, Patent Pool, and Standard-setting Carl Shapiro University of California at Berkeley, Mark 2001参见 http://haas.berkeley.edu/～shapiro/thicket.pdf
12. MPEG LA Business Review Letter(June 26, 1997)详见 http://www.mpegla.com
13. DVD 3C Business Review Letter(December 16, 1980);详见 http://www.usdoj.gov/atr/public/busreview/1170.htm.
14. DVD 6C Business Review Letter(June 10, 1999).详见http://www.usdoj.gov/atr/public/busreview/2121.htm
15. Reform of the technology licensing rules, David W Hull and Amy L Toro Covington & Burlin The European Antitrust Review 2004
16. Antitrust Guideline for the Licensing of Intellectual Property, Issued by the U S Department of Justice and the Federal Trade Commission, April. 1995
17. Antitrust, patent pools, and the management of uncertainty, 载于The Antitrust Review of the America 2003, A Global Competition Review special Report. Roger B. Andewelt, Analysis of Patent Pools Under the Antitrust Laws, 53 ANTITRUST L.J. 611(1984), Joshua A. Newberg~* Assistant Professor, Robert H. Smith School of Business, University of Maryland. College Park, Maryland. B.A., 1981; M.A., 1982; J.D., 1989, University of Pennsylvania.
18. Institutions for Intellectual Property Transactions: The Case of Patent Pools Robert P. Merges, Wilson Sonsini Goodrich & Rosati Professor of Law and Technology University of California at Berkeley(Boalt Hall) School of Law 1998: RPM, August, 1999 Revision
19. The Structure and Performance of Patent Pools: ampirical Evidence. Josh Lerner, Marcin Strojwas, and Jean Tirole~* January 11, 2003
20. Raymond A Jacobsen, Jr and Stefan M Meisner, McDermott, Will & Emery Antitrust principles applicable to intellectual property, 载于The Antitrust Review of the Americas 2003, 第七期 A Global Competition of Review special report The following documents are available at http://www.fic.gov/opp/intellect/index.htm and http://www.gtwassociates.com/alerts/FTCDOJHEARINGS.htm as report by several expert provided for the Hearings on Competition and Intellectual Property Law and Policy in the Knowledge-Based Economy Before the U.S. Department of Justice Antitrust Division and Federal Trade Commission
21. Prepared Testimony of Cross-Licensing and Patent Pools Before the U.S. Department of Justice Antitrust Division and Federal Trade Commission Hearings on Competition and Intellectual Property Law and Policy in the Knowledge-Based Economy M. Howard Morse, Drinker Biddle & Reath LLP, April 17, 2002
22. Enforcement Issues Regarding Pooling and Cross-licensing, David McGowan, Associate Professor of Law University of Mirmesota Law School,
23. Pro-competitive Aspects of Intellectual Property Pools: a Proposal for Safe Harbor Provisions,Beeney Sullivan&Cromwell New York,
24. Comments On Patent Pools and Standards For Federal Trade Commission Hearings Regarding Competition & Intellectual Property, James J. Kulbaski, Esq.Oblon, Spivak, McClelland, Maier & Neustadt, P.C. 1755 Jefferson Davis Highway, Suite 400Arlington, VA 22002 jkulbaski@oblon.com January, 2002
25. Cooperative Marketing Agreements Between Competitors: Evidence from Patent Pools, Josh Lerner, Marcin Strojwas, and Jean Tirole~*, April 27, 2003
26. Standards-Setting Practices: Competition, Innovation and Consumer Welfare Amy A. Marasco. Vice President and General Counsel, American National Standards Institute("ANSI"), April 18, 2002, before the Federal Trade Commission and Department of Justice
27. Intellectual Property Rights and SSOs Intellectual Property Rights and Standard Setting Organizationsl, Mark A. Lemley2 2002 Mark A. Lemley.
28. Standard Setting And Market Power, Richard T. Rapp and Lauren J. Stiroh
29. IP, Cross-licensing and Patent Pools: IP, Cross-licensing and Patent Pools: Similarities and Contrasts Similarities and Contrasts, Dr. Peter Grindley Dr. Peter Grindley, Senior Managing Economist Senior Managing Economist, LECG Ltd. April 17, 2002
30. Economics, Law, and History of Patent Pools and Cross-Licensing Agreements, Richard Gilbert U.C. Berkeley, Franco-American Conference on the Economics, Law, and History of Intellectual Property Rights October 6, 2001