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根据国务院反垄断委员会的工作计划,我们起草了《关于滥用知识产权的反垄断指南》(征求意见稿)(以下称《指南》)。《指南》起草工作按照《反垄断法》的立法精神,从建立滥用知识产权反垄断规制的指引性规则入手,提高反垄断执法的透明度,给市场提供更为明确的合理预期,引导经营者正当行使知识产权。

此次公开征求意见时间为2016年1月1日至2016年1月20日。有关单位和社会各界人士可以登陆国家发展改革委门户网站(http://www.ndrc.gov.cn)价监局子站(http://jjs.ndrc.gov.cn/)"反垄断"栏目,点击"《关于滥用知识产权的反垄断指南(征求意见稿)》公开征求意见",对《指南》提出意见建议,并将意见发送到国家发展改革委(价监局)。

感谢您的参与和支持!

地址:北京市西城区月坛南街38号,国家发展改革委价监局,邮编:100824。

电子邮箱:wudm@ndrc.gov.cn

附件:《关于滥用知识产权的反垄断指南》(征求意见稿)

国家发展改革委价监局

2015年12月31日

国务院反垄断委员会关于滥用知识产权的反垄断指南(征求意见稿)
2015年12月31日)

序言

反垄断与知识产权制度具有共同的目标,即促进竞争和创新,提高经济运行效率,维护消费者利益,增进社会福祉。《反垄断法》通过维护市场竞争,推动创新,促进技术传播和利用;知识产权制度以保护和激励创新作为直接目标,促进市场竞争。因此,《反垄断法》不适用于经营者依照法律法规行使知识产权的行为。但是,知识产权行使行为有可能背离知识产权制度的初衷,排除、限制竞争,阻碍创新。《反垄断法》作为维护市场自由公平竞争的基本法律制度,对排除、限制竞争的行为进行规制,包括滥用知识产权排除、限制竞争的行为。

在反垄断执法实践中,分析和认定排除、限制竞争的滥用知识产权行为具有一定的特殊性,在适用《反垄断法》基本分析框架的基础上,需要进一步明确一系列具体问题。鉴于此,为了建立滥用知识产权反垄断规制的指引性规则,提高反垄断执法的透明度,给市场提供更为明确的合理预期,引导经营者正当行使知识产权,根据《反垄断法》,制定本指南。

一、基本问题

(一)执法原则

反垄断执法机构在涉及知识产权领域的反垄断执法过程中,坚持四个方面的原则:

1.对知识产权行使行为进行反垄断规制,采用与其他财产性权利相同的规制标准,遵循《反垄断法》的基本分析框架,同时考虑知识产权的特点;

2. 不因经营者拥有知识产权而直接推定其在相关市场上具有市场支配地位;

3. 对可能排除、限制竞争的知识产权行使行为进行分析,根据个案需要,充分考虑知识产权行使行为对竞争和创新的积极影响;

4. 坚持公正透明,充分考虑经营者提出的行使知识产权正当与否的事实、证据和理由。

(二)相关市场界定

界定涉及知识产权的相关市场,既要遵循相关市场界定的一般原则和方法,即通常需要界定相关商品市场和相关地域市场,同时也需要考虑知识产权的特殊性。

知识产权既可以直接作为交易的标的,也可以被用于提供商品或者服务(以下统称商品)。因此,在涉及知识产权的反垄断分析中,如果仅界定相关商品市场难以全面评估相关知识产权行使行为的竞争影响,需引入对相关技术市场的界定。根据个案需要,还可以考虑知识产权行使对研发投资、创新活动的影响。

相关技术市场是指行使知识产权所涉及的技术和具有替代关系的技术之间相互竞争所构成的市场。判断技术的可替代性可以考虑的因素包括技术属性、用途、许可费、知识产权时间期限及其需求者转向其他可替代性技术的可能性及成本等。当利用不同的技术能够提供具有替代关系的商品时,这些不同的技术之间可能具有可替代性。

涉及知识产权的相关商品市场和相关技术市场均需界定相关地域市场。界定相关技术市场的地域市场,需考虑知识产权的地域性。当相关交易涉及多个国家和地区的知识产权时,还需考虑相关交易条件对相关地域市场界定的影响。

(三)总体分析思路

反垄断执法机构在分析和认定经营者是否违反《反垄断法》,滥用知识产权排除、限制竞争时,需综合运用法学、经济学等学科中的分析方法,就相关知识产权行使行为可能构成的垄断行为类型进行具体分析,可以考虑相关市场的竞争状况,

相关知识产权行使行为是否排除、限制竞争,相关知识产权行使行为是否促进创新、提高效率。

1. 相关市场的竞争状况分析

对相关市场的竞争状况进行分析,可考虑以下因素:

(1)经营者与相关竞争者、交易相对人的市场地位;

(2)相关市场的集中度;

(3)相关市场进入的难易程度;

(4)交易相对人对相关知识产权的依赖程度;

(5)产业特点与产业发展状况;

(6)相关市场中的技术状况,包括技术的更新、可替代技术及其市场份额等。

在计算相关技术市场的市场份额时,根据个案,可以采用以下方法:

(1)相关知识产权的许可费收入在相关市场的许可费总收入的占比;

(2)利用相关知识产权提供的商品在下游市场的市场份额的占比计算市场份额;

(3)考虑相关知识产权在所有具有可替代关系的知识产权中的数量占比。

2. 排除、限制竞争的分析

分析知识产权行使行为是否排除、限制竞争,可考虑以下因素:

(1)行为对相关市场存在的竞争及潜在竞争的消除或者阻碍;

(2)行为控制关键技术等资源,设置或者提高相关市场进入障碍的可能性;

(3)行为对技术创新、推广和发展的阻碍;

(4)行为对相关产业发展的阻碍;

(5)行为在产量、区域、消费者等方面产生限制的时间、范围和程度。

3.促进创新、提高效率分析

分析知识产权行使行为是否促进创新、提高效率,需考虑以下因素:

(1)知识产权行使行为与促进创新、提高效率之间的因果关系;

(2)知识产权行使行为促进创新、提高效率的程度;

(3)知识产权行使行为不会严重限制相关市场的竞争或者阻碍其他经营者的创新。

(4)消费者能够分享促进创新、提高效率所产生的利益;

二、可能排除、限制竞争的知识产权协议

判断经营者达成的相关知识产权协议是否排除、限制竞争,需要考虑知识产权的特点,结合个案进行具体分析。一般而言,具有竞争关系的经营者达成的知识产权协议比不具有竞争关系的经营者达成的知识产权协议,更有可能排除、限制竞争。判断达成协议的经营者之间是否具有竞争关系,需要考虑在没有达成该协议的情况下,经营者之间在相关市场上是否存在实际或者潜在的竞争关系,还需要考虑在达成该协议后,经营者在相关市场中行使知识产权或利用知识产权提供的商品或服务之间是否构成竞争关系。

(一)具有竞争关系的经营者达成的协议

结合《反垄断法》第十三条第一款第(一)至(五)项规定的垄断协议,具有竞争关系的经营者达成的下列知识产权协议,也可能排除、限制竞争。

1. 联合研发

本指南所称联合研发,是指两个或者两个以上经营者共同研发技术或者产品。

联合研发一般能够节约研发成本,提高研发效率,推动创新,具有促进竞争的效果。但是,联合研发也可能排除、限制竞争,具体分析时可以考虑以下因素:

(1)是否限制经营者在联合研发无关的领域独立研发新技术或者新产品;

(2)是否限制经营者在联合研发无关的领域与第三方合作研发新技术或者新产品;

(3)是否限定经营者在联合研发无关的领域研发的新技术或者新产品所涉知识产权的归属和行使。

2. 专利联营

本指南所称专利联营,是指两个或者两个以上的专利权人将各自的专利共同对外许可。专利联营包括专门成立公司、委托特定成员管理或者由独立的第三方进行管理等形式。

专利联营一般可以降低交易成本,提高效率,具有促进竞争的效果。但是,专利联营也可能排除、限制竞争,具体分析时可以考虑以下因素:

(1)联营中的专利是否完全或者主要由相互具有替代关系的技术组成;

(2)是否限制联营成员单独对外许可其在联营中的专利;

(3)是否利用专利联营排斥替代技术,或者阻碍其他经营者进入相关市场;

(4)联营成员是否通过专利联营交换并非专利联营所必需的商品价格、产量、市场划分等与竞争有关的信息;

(5)是否限制联营成员研发新技术。

3. 交叉许可

本指南所称交叉许可,是指经营者将各自拥有的知识产权相互许可使用。

交叉许可通常可以降低知识产权许可成本,激励创新,促进知识产权实施。但是,交叉许可也可能排除、限制竞争,具体分析时可以考虑以下因素:

(1)交叉许可是否为排他性许可;

(2)交叉许可是否构成第三方进入相关市场的壁垒;

(3)交叉许可是否阻碍了下游相关商品市场的竞争。

4. 标准制定

本指南所称标准制定,是指经营者共同制定在一定范围内统一实施的涉及知识产权的标准。

标准制定有助于实现不同产品之间的通用性,降低成本,提高效率,保证产品质量,促进竞争,增进社会福祉。但是,具有竞争关系的经营者共同参与标准制定也可能排除、限制竞争,具体分析时可以考虑以下因素:

(1)是否排除其他特定经营者;

(2)是否排斥特定经营者的相关方案;

(3)是否约定不实施其他竞争性标准;

(4)对行使标准中所包含的知识产权是否有必要、合理的约束机制。

分析不具有竞争关系的经营者达成的联合研发、专利联营、交叉许可及标准制定等知识产权协议是否排除、限制竞争,同样可以考虑上述相应的分析因素,但是需要充分考虑达成上述知识产权协议的经营者不具有竞争关系这一重要因素。

(二)不具有竞争关系的经营者达成的协议

结合《反垄断法》第十四条第(一)项、第(二)项规定的垄断协议,不具有竞争关系的经营者达成的下列知识产权协议,也可能排除、限制竞争。

1. 价格限制

许可人固定被许可人向第三人销售利用其知识产权提供的商品的价格,或者限定其最低销售价格,适用《反垄断法》关于固定转售价格、限定最低转售价格的规定。

2. 独占性回授

本指南所称回授,是指被许可人就被许可的知识产权所作的后续改进,或者通过使用被许可的知识产权所获得的新成果授权给许可人。独占性回授,是指仅许可人有权实施被许可人回授的改进或者新成果。

回授通常可以降低许可人的许可风险,推动对新成果的投资和运用,促进创新与竞争。但是,独占性回授可能使许可人获得对改进或者新成果的控制,降低被许可人的创新动力,可能排除、限制竞争,具体分析时可以考虑以下因素:

(1)许可人是否就该独占性回授提供实质性对价;

(2)许可人与被许可人在交叉许可中是否相互要求独占性回授;

(3)独占性回授是否导致相关知识产权的改进或者新成果向单一经营者集中,进而使其获得或者加强对相关市场的控制;

(4)独占性回授是否损害被许可人进行后续改进的积极性。

如果许可人要求被许可人将上述的后续改进或者新成果转让给许可人,或者独占许可、转让给其指定的第三人,分析该行为是否排除、限制竞争,同样考虑上述因素。

3. 不质疑条款

本指南所称不质疑条款,是指许可人要求被许可人不得对其知识产权的有效性提出异议。

不质疑条款一般可以避免滥诉,提高交易效率。但是,不质疑条款限制了被许可人质疑知识产权有效性的权利,可能排除、限制竞争,具体分析时可以考虑以下因素:

(1)许可人是否要求所有的被许可人不质疑其知识产权的有效性;

(2)不质疑条款涉及的知识产权是否为有偿许可或者可能构成下游市场的进入障碍;

(3)不质疑条款涉及的知识产权是否阻碍其他竞争性知识产权的实施;

(4)许可人是否通过提供错误或者误导性信息取得知识产权;

(5)许可人是否通过不正当手段使被许可人接受不质疑条款。

4. 其他限制条款

不具有竞争关系的经营者达成的知识产权协议中,可能包括下列限制条款:

(1)限制被许可人在特定领域内使用知识产权;

(2)限制被许可人利用知识产权提供的商品的销售渠道、销售范围或者交易对象;

(3)限制被许可人利用知识产权生产或者销售的商品的数量;

(4)禁止被许可人从第三方获得许可、使用其竞争性知识产权,或者禁止被许可人生产、销售与许可人商品相竞争的商品。

上述限制条款一般具有商业合理性,会提高效率,促进知识产权实施。但是,在特定情况下,上述限制条款可能排除、限制竞争,具体分析时可以考虑以下因素:

(1)限制的内容、程度及实施方式;

(2)利用知识产权提供的商品的特点;

(3)持有竞争性知识产权的其他经营者是否实施相同或者相似的限制;

(4)是否促进许可人知识产权的实施和发展;

(5)是否阻碍其他知识产权的实施和发展。

分析具有竞争关系的经营者在知识产权协议中达成的独占性回授、不质疑条款及其他限制条款是否排除、限制竞争,同样可考虑上述相应的分析因素,但是需要充分考虑达成上述知识产权协议的经营者具有竞争关系这一重要因素。如果上述协议实质上构成《反垄断法》第十三条第一款第(一)至(五)项规定的垄断协议,则适用《反垄断法》关于上述垄断协议的规定。

(三)协议的豁免

在考虑相关知识产权协议是否可以依据《反垄断法》第十五条的规定获得豁免时,应重点考虑该协议在促进创新、提高效率等方面的积极效果。市场份额较小的经营者达成的相关知识产权协议通常不会严重排除、限制竞争,为了提高反垄断执法效率,给市场主体提供明确的预期,达成相关知识产权协议的经营者符合下列条件之一的,推定该知识产权协议依据《反垄断法》第十五条的规定可以获得豁免:

1.具有竞争关系的经营者在相关市场的市场份额合计不超过15%;

2.不具有竞争关系的经营者在协议涉及的任一相关市场上的市场份额均不超过25%。

经营者达成的相关知识产权协议构成《反垄断法》第十三条、第十四条明确列举的垄断协议,以及本指南列举的价格限制,不适用上述推定。

如果相关知识产权协议虽然符合上述豁免推定情形,但有证据证明其实际上并不符合《反垄断法》第十五条的规定,则不能获得豁免。

三、涉及知识产权的滥用市场支配地位行为

分析经营者行使知识产权的行为是否构成滥用市场支配地位,需首先界定相关市场并认定该经营者是否在相关市场具有市场支配地位,再根据个案具体分析其行使知识产权的行为是否构成滥用市场支配地位的行为。

(一)市场支配地位的认定

经营者拥有知识产权,并不意味着其必然具有市场支配地位。认定拥有知识产权的经营者在相关市场上是否具有支配地位,应依据《反垄断法》规定的认定或推定市场支配地位的因素和情形进行分析,结合知识产权的特点,还可具体考虑以下因素:

1.交易相对人转向替代知识产权的可能性及转换成本;

2.下游市场对利用相关知识产权所提供的商品的依赖程度;

3.交易相对人对经营者的制衡能力。

认定标准必要专利经营者是否具有市场支配地位,可继续考虑以下因素:

1.相关标准的市场价值与应用程度;

2.是否存在替代标准;

3.行业对相关标准的依赖程度及使用替代标准的转换成本;

4.不同代际相关标准的演进情况与兼容性;

5.纳入标准的相关技术被替换的可能性。

(二)滥用市场支配地位行为

《反垄断法》第十七条禁止滥用市场支配地位的行为,对在相关市场具有支配地位的经营者行使知识产权是否构成滥用行为,需要考虑知识产权的特点和对竞争的影响,结合个案进行具体分析。

1. 以不公平的高价许可知识产权

经营者有权就其知识产权获得合理的激励性回报,以收回研发投入,继续创新。经营者依照有关知识产权的法律法规收取许可费的行为,通常不会受到《反垄断法》的规制。但是,如果经营者滥用其具有的市场支配地位,以不公平的高价许可知识产权,会排除、限制竞争,损害消费者利益。

分析和认定经营者是否以不公平的高价许可知识产权,可考虑以下因素:

(1)经营者主张的许可费是否与其知识产权价值明显不符;

(2)相关知识产权所负担的许可承诺;

(3)相关知识产权许可历史或者可比照的许可费标准;

(4)经营者是否超出知识产权的地域范围或者覆盖的产品范围收取许可费;

(5)经营者进行一揽子许可时是否就过期或者无效的知识产权收取许可费;

(6)知识产权许可协议中是否包含其他导致不公平高价的许可条件;

(7)经营者是否采取不正当手段使被许可人接受其提出的许可费。

分析和认定经营者是否以不公平的高价许可标准必要专利,还可考虑符合相关标准的产品所承担的整体许可费情况及其对相关产业正常发展的影响。

2. 拒绝许可

拒绝许可是经营者行使知识产权的一种表现形式,一般情况下,经营者不承担与竞争对手或者交易相对人进行交易的义务。但是,具有市场支配地位的经营者无正当理由拒绝许可,可能排除、限制相关市场的竞争,损害消费者利益或者公共利益。

分析拒绝许可是否具有正当理由,在个案中根据具体情况,可以考虑以下因素:

(1)相关知识产权所负担的许可承诺;

(2)相关知识产权是否为进入相关市场所必需,以及是否存在可合理获得的替代知识产权;

(3)许可相关知识产权对经营者进行创新的影响及程度;

(4)被拒绝方是否缺乏支付合理许可费的意愿和能力;

(5)被拒绝方是否缺乏必要的质量、技术保障,以确保知识产权的正当使用或者产品的安全和性能;

(6)被拒绝方使用知识产权是否会对节约能源、保护环境等社会公共利益产生不利影响。

3. 搭售

本指南所称搭售,是指经营者许可、转让知识产权时,要求交易相对人接受其他知识产权的许可、转让,或者接受其他商品。

搭售在一定程度上可以降低交易成本,促进商品功能的完善。但是,具有市场支配地位的经营者没有正当理由进行搭售,可能排除、限制竞争。

分析搭售是否构成滥用市场支配地位行为,可考虑以下因素:

(1)是否违背交易相对人意愿;

(2)是否符合交易惯例或者消费习惯;

(3)是否无视相关知识产权或者商品的性质差异及相互关系;

(4)是否为实现技术兼容、产品安全、产品性能等所必不可少的措施;

(5)是否排除、限制其他经营者的交易机会。

4. 附加不合理的交易条件

具有市场支配地位的经营者在与知识产权有关的交易中附加下列限制条件,可能排除、限制竞争:

1.要求交易相对人将其改进的技术进行独占性回授;

2.禁止交易相对人对其知识产权的有效性提出质疑,或者针对其提起知识产权侵权诉讼;

3.限制交易相对人利用竞争性的技术或者商品;

4.对过期或者无效的知识产权主张权利;

5.禁止交易相对人与第三方进行交易,或者对交易相对人与第三方的交易行为在对象选择、交易地域等交易条件方面进行限制。

5. 差别待遇

经营者有权对不同的被许可人实施不同的许可条件。但是,具有市场支配地位的经营者,没有正当理由,对条件实质相同的被许可人实施不同的许可条件,可能排除、限制竞争。

判断差别待遇是否构成滥用市场支配地位,可以考虑以下因素:

(1)被许可人的条件是否实质相同,可以考虑被许可的知识产权范围、不同的被许可人利用相关知识产权提供的商品或服务是否存在替代关系;

(2)许可条件是否实质不同,除分析许可协议本身的条款外,还需综合考虑许可人和被许可人之间达成的其他商业安排对许可条件的实质影响;

(3)是否对被许可人参与相关市场竞争产生显著不利影响。

6. 禁令救济

本指南所称禁令救济,是指专利权人请求司法机构或者准司法机构颁发限制使用相关专利的命令。

禁令救济是标准必要专利权人依法享有的维护其合法权利的救济手段。但是,拥有市场支配地位的标准必要专利权人利用禁令救济申请迫使被许可人接受其提出的不公平的高价许可费或其他不合理的许可条件,可能排除、限制竞争。

分析和认定标准必要专利经营者申请禁令救济是否排除、限制竞争,可考虑以下因素:

(1)谈判双方在谈判过程中的行为表现及其体现出的真实意愿;

(2)相关标准必要专利所负担的有关禁令救济的承诺;

(3)谈判双方在谈判过程中所提出的许可条件;

(4)申请禁令救济对许可谈判、相关市场及下游市场竞争和消费者利益的影响。

四、涉及知识产权的经营者集中

(略)

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