China: SAIC Solicting Comments On Anti-Monopoly Guideline On Intellectual Property Abuse (The Seventh Draft) (In Chinese)

Last Updated: 22 March 2016
Article by AnJie Law Firm

根据国务院反垄断委员会有关工作部署,国家工商总局积极推进《关于滥用知识产权的反垄断执法指南》(以下简称《指南》)的起草工作。自去年下半年以来,国家工商总局在2009年以来相关工作以及2012年《指南(国家工商总局第五稿)》的基础上,结合国内外知识产权领域最新进展,起草了《指南(国家工商总局第六稿)》,并通过书面征求意见、召开座谈会、组织专题研讨等方式听取了各方意见。截至目前,共收集到来自有关部门、各省级工商局、欧美企业及商会、反垄断律师事务所、国内外知识产权密集型企业、反垄断法律及经济学专家等方面的意见和建议多达800余条,对《指南(国家工商总局第六稿)》的体例框架、内容的专业性和前沿性表示充分肯定,也提供了许多很好的建议。经认真梳理和反复研究,我们对相关意见尽量予以了吸收,修订形成《指南(国家工商总局第七稿)》。

公众可通过以下途径和方式提出反馈意见:

1.登录国家工商总局网站(网址:http://www.saic.gov.cn),通过首页右侧"规章草案意见征集"栏提出意见。

2.通过信函方式将意见寄至:北京市西城区三里河东路8号国家工商总局竞争执法局(邮编:100037)

3.通过电子邮件方式将意见发送至: qishuanglin@saic.gov.cn

意见反馈截止时间为2016年2月23日,共20日。

附:

关于滥用知识产权的反垄断执法指南

(国家工商总局第七稿)

第一章 总则

第一条 反垄断与保护知识产权的关系

知识产权法赋予专利权、著作权、商标权和其它受到法律保护的权利人排他性的权利。根据知识产权法,知识产权权利人有权阻止对其知识产权的非授权使用。但是,知识产权法赋予排他性使用权的事实并不表明行使知识产权行为可以免受反垄断法的干预。

反垄断法和知识产权法具有促进消费者福利增长和资源有效配置的共同目的。创新是充满活力的市场经济的关键因素。知识产权法通过鼓励经营者从事新商品和新工艺的研发与投资,促进动态竞争。而竞争本身也使经营者有压力、有动力进行研发与创新。因此,两者在促进创新和维护公平竞争上都是必不可少的。

第二条 滥用知识产权与垄断行为

滥用知识产权,是指经营者违反法律、行政法规授予有关知识产权的界限和目的,以不正当方式行使知识产权,损害他人利益和社会公共利益的行为。

经营者滥用知识产权根据具体情形可以构成不同性质的违法行为,包括但不限于知识产权法、反不正当竞争法和反垄断法禁止的违法行为,需要依照相应的法律、行政法规进行认定和处理。

经营者滥用知识产权排除、限制竞争的,依照反垄断法的规定进行认定和处理。

第三条 滥用知识产权排除、限制竞争行为的界定

本指南所称滥用知识产权排除、限制竞争行为,是指经营者违反反垄断法的规定行使知识产权,实施垄断协议、滥用市场支配地位、具有或者可能具有排除、限制竞争效果的经营者集中。

第四条 知识产权领域反垄断执法的基本原则

国务院反垄断执法机构在知识产权领域进行反垄断执法时,遵循以下四个方面的基本原则:

(一)相比其他财产性权利,产生知识产权的成本通常较高,而使用知识产权的边际成本较低。知识产权的边界不像其他财产性权利那样清晰,需要国务院反垄断执法机构根据个案的实际情况进行分析认定,判断行使知识产权行为是否排除、限制竞争。既要规制滥用知识产权排除、限制竞争的行为,也要避免限制正当行使知识产权的行为;

(二)经营者拥有知识产权不应被直接推定其在相关市场上具有支配地位,市场支配地位根据《反垄断法》第十八条和第十九条的规定进行认定和推定。经营者拥有知识产权可以构成认定其具有市场支配地位的因素之一;

(三)绝大多数知识产权行使行为在总体上具有促进竞争的效果,通过知识产权许可可以将知识产权与其他生产要素相结合,实现知识产权的价值。在知识产权行使过程中,合理、必要的限制行为对于保护知识产权权利人收回投资,获得创新回报,激励创新,具有重要作用;

(四)如果知识产权行使行为对竞争产生或者可能产生不利影响,但经营者能够证明该行为同时也会对创新和效率产生或者可能产生有利影响,且有利影响大于不利影响,则国务院反垄断执法机构可以对其不予禁止。

第五条 分析方法和步骤

国务院反垄断执法机构在分析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,需要综合运用经济学、法学等分析方法,就该行为产生或者可能产生的排除、限制竞争效果进行定性和定量分析。

分析认定经营者行使知识产权行为是否排除、限制竞争,可采取以下步骤:

(一)确认经营者行使知识产权行为的表现形式和特征;

(二)确定知识产权行使行为涉及的经营者之间是否具有竞争关系;

(三)界定行使知识产权行为所涉及的相关市场;

(四)认定行使知识产权的经营者的市场地位;

(五)分析经营者行使知识产权行为对相关市场竞争的影响。

第六条 分析因素

分析认定经营者行使知识产权行为对竞争的影响,可考虑下列因素:

(一)经营者与交易相对人的市场地位;

(二)相关市场的竞争状况;

(三)相关市场进出的难易程度;

(四)产业惯例与产业的发展阶段;

(五)在产量、区域、消费者等方面进行限制的时间和效力范围;

(六)对促进创新和技术推广的影响;

(七)经营者的创新能力和技术变化的速度;

(八)经营者之间的股权、业务和竞争关系;

(九)与认定行使知识产权行为对竞争影响有关的其他因素。

经营者行使知识产权行为对竞争和效率产生或者可能产生有利影响,包括促进技术的传播利用,增进资源的利用效率,提高市场的竞争水平等,但是前述有利影响需满足下列条件:

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