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1、独创性声明本人声明所呈交的学位论文是本人在导师指导下进行的研究工作和取得的研究成果，除了文中特别加以标注和致谢之处外，论文中不包含其他人已经发表或撰写过的研究成果，也不包含获得 西南政法大学 或其他教育机构的学位或证书而使用过的材料。与我一同工作的同志对本研究所做的任何贡献均已在论文中作了明确的说明并表示了谢意。学位论文作者签名：签字日期：年月日学位论文版权使用授权书本学位论文作者完全了解 西南政法大学 有关保留、使用学位论文的规定。特授权 西南政法大学 可以将学位论文的全部或部分内容编入有关数据库进行检索，并采用影印、缩印或扫描等复制手段保存、汇编以供查阅和借阅。同意学校向国家有关部门或机构
2、送交论文的复印件和电子文档。（保密的学位论文在解密后适用本授权说明）学位论文作者签名：导师签名：签字日期：年月日签字日期：年月日2法 律 硕 士 专 业 学 位 论 文论专利许可反垄断规制Antitrust RegulationOn Patent Licensing作 者 姓 名：夏清指 导 教 师：伍鉴萍西南政法大学 Southwest University of Political Science and Law内容摘要在我国加入 WTO 后的 2002 年初，DVD 知识产权一案曾一度引起各界的关注，随着中国电子音响工业协会和 6C、3C 完成谈判之后，这一风波视乎得到了平息。但是，我国
3、 DVD 产业遭遇的境况并没有得到好转。2004 年由无锡多媒体有限公司及东强数码科技有限公司主动在美国以 4C 联盟过高的专利许可费用违反美国有关反垄断法提起诉讼。但法院并未正式受理该案，除了美国相关法律规定外，我国相关制度的缺陷也是重要原因之一。随着知识经济时代的到来，专利技术近年来已成为各国经济发展的关键因素，专利保护制度是推动社会技术进步、保障权利人利益的一项重要制度，在鼓励人民创新，使得科学技术服务于人类社会方面发挥了重要的作用。纵观各国的立法，无一例外的均对专利加以合法的垄断地位，这必然会导致专利权的行使会有走向滥用的可能，而利用专利许可实施各种垄断行为是专利权人最喜欢利用的方式，
4、权利人往往通过合法的专利许可方式掩盖其想要独占市场的本质，严重影响了市场经济秩序，阻碍了技术的发展，那么专利许可的反垄断规制就显得尤为重要。我国正处于自主创新的关键时期，如何保护国内企业、民族企业，着实提高创新能力，在国际贸易中争取说话权，成为标准的制定者，完善专利许可反垄断规制至关重要。本文笔者在了解国际及国外立法对专利许可垄断行为的规制情况之后，发现它们都有完善的立法体系，对专利许可垄断行为均有明确的界定标准，很显然，DVD 案中 3C 联盟多项行为对市场竞争秩序造成了严重影响，已涉嫌违反了反垄断法的规定，但我国企业在没有完全了解国外有关专利许可反垄断规制情况下，面对类似案件，只能被动挨打
5、，无法维护自身权益。鉴于此，本文笔者意在前人研究基础上，对 DVD 案引起的争议重新进行梳理，并结合国外反垄断规制，对该案涉及的专利许可行为进行全面、系统的认定与评价。通过比较法的研究方式也意识到我国在专利许可反垄断规制方面的不足，遂借对该案的深入分析，结合我国现状，对我国反垄断规制的完善提出几点意见。本文分为五部分。第一部分简单介绍了 DVD 案情发生的前后过程，总结了双方争议焦点及法院的最后做法，由此引出本文的研究主题，并对专利许可与反垄断的关系进行梳理，为下文分析厘清脉络。第二部分则是对国际组织、美国、日1本国家有关专利许可反垄断规制立法情况的一个概述，为后文详细结合国外规定对专利许可行
6、为进行认定打下基础，并对完善我国反垄断规制有着重要借鉴作用。第三部分在总结国外立法对专利许可垄断行为规定基础上，结合专利许可垄断行为的认定标准，分类依据，对 DVD 案件中涉及到的主要垄断行为拒绝许可、不合理许可及专利联营三类行为进行全面的认定。这部分也是本文的重点，对我国以后遇到类似的案件有着重要借鉴意义。第四部分分析我国当前专利许可反垄断规制的现状及存在的缺陷，结合我国的实际情况，借鉴国外立法对我国的专利许可反垄断规制提出意见，主要是借鉴国外做法，在反垄断法与专利法两方面进行完善。最后则是对全文的一个总结。关键词：DVD 案件；专利许可；反垄断规制；反垄断认定；专利联盟2AbstractI
7、n early 2002, after Chinas accession to the WTO ,DVD intellectual propertycase once attracted extensive attention, with the China Audio Industry Association and6C, 3C concludeing the negotiations, the controversy has been settled. However, thesituation encountered by the DVD industry in China has no
8、t been improved. In 2004,Wuxi multimedia limited and East linited company of digital of science andtechnology. take the initiative to 4C Alliance in the United States and accused itsexcessive patent licensing fees in violation of U.S. anti-trust lawsuit.But the courtdidt formal accepted the case, in
9、 addition to U.S. law, the defects of our system is oneimportant reason. With the development of knowledge economy,the patentedtechnology has become a key factor of economic development of countries, the patentprotection system is an important system to promote social progress and to protect theinte
10、rests of right holders.It plays an important role in encouraging the people ofinnovation and making scientific and technical service the human society. Throughoutthe national legislation, without exception, to be the legitimate monopoly of the patent,this will inevitably lead the exercise of patent
11、rights to be towards the potential forabuse, while the use of the patent license to implement monopolistic behavior is thefavorite way of the patentee. Through legitimate patent licensing methods, rightholders conceal their nature of the exclusive market, this seriously affects the marketeconomic or
12、der, and hinders the development of technology, so patent licensingantitrust regulation is particularly important. China is in a critical period of innovationand how to protect domestic enterprises, national enterprises, improve the ability toinnovate, fight for the right to speak in international t
13、rade, become the standard-setter,regulating use of patent licensing to the implementation of monopoly behavior iscritical.In this paper, the author find that they have comprehensive legislation systemand a clear definition of the monopolistic behavior of the patent license after knowingabout the reg
14、ulation of international and foreign legislation on patent licensingmonopolistic behavior. It is clear that3Calliance s several acts had a seriousimpact on the order of market competition in the DVD case, have been suspected ofviolating antitrust law, but Chinas enterprises in the the circumstances
15、of not fullyunderstanding of the patent licensing antitrust regulation, faced with similar cases and1couldt protect their own interests. In view of this,on the basis of previous studies, theauthor intends to sort out the controversy caused by the DVD, and combines with theforeign antitrust regulatio
16、n,makes a comprehensive and systematic identification andevaluation of the patent license behavior of the case. Also awareing of our lackof antitrust regulation of patent licensing through the study of comparative law,then by the depth analysis of the case, combined with our current situation,makes afew comments on the improvement of Chinas anti-monopoly regulation.The paper is divided into five parts,the first part briefly introduces the process ofDVD case and summed up the focus of con
