从中国反垄断法视角构建专利积聚反竞争效应的 评估框架
Construct the Evaluation Framework of Anti-Competitive Effect of Patent Accumulation from the Perspective of China's Anti-monopoly Law
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知识经济时代, 专利作为生产资源已经成为经营者竞争角逐的重地。 与此同时, 市场竞争亦发 生着重大的转变:已从以产品与服务为主的竞争转向依托于专利等知识产权的竞争;从单一专利 竞争转向专利积聚的竞争。 专利积聚是指经营者通过合并、 股权收购、 直接买入、 自主研发、 获得独 占授权等方式取得目标专利, 实现专利的汇聚与集中经营, 提高专利整体竞争力的行为。 专利积聚 是经营者以获取专利为目的, 实现技术资源整合的过程, 一定程度上可以促使资源充分利用, 提升 市场效率, 增强经营者市场竞争力, 提高经济效益。 但同时, 当这种具有较强竞争力的源头资源逐 渐流向少数经营者手中并达到一定程度时, 即会改变该产业中相关专利及其产品的市场竞争格局, 引发专利资源垄断, 甚至相关产业垄断问题, 导致相关产业的市场竞争机制失灵, 竞争活力减损、 抑制技术创新等反竞争效应。 专利积聚是经营者市场竞争的“双刃剑”, 判别专利积聚对市场竞争的 “利与弊”是发挥专利积聚积极效应的关键, 它是进行反垄断法予以规制的前提与基础, 能够防控专 利资源的源头垄断, 降低专利积聚的反竞争性风险。 然而, 反垄断法制度中以相关市场、 市场份额 等要素为基础的静态的、 结构性的分析框架对评估具有动态发展特性的专利积聚的反竞争效应存 在诸多困难。 在相关市场的分析中, 技术市场、 创新市场的分析中以价格理论为基础的分析方法受 到挑战;地域市场基于专利无形性、 无限的可复制性的特点以及在互联网经济作用下, 专利传播网 络化使地域市场分析淡化。 在市场份额的分析中, 由于技术更迭快, 经营者的市场份额并不稳定, 不能够准确反映经营者的市场力量。 专利积聚的反竞争效应的评估是对专利积聚进行反垄断法规 制的重要依据, 是对专利积聚中垄断的事前防控。 准确评估专利积聚的反竞争效应能够有效保障专利积聚效应的充分发挥, 维护市场竞争秩序。 为此, 基于专利具有时间性、 更迭快及动态发展的特 性, 专利积聚的反竞争效应评估应突破传统分析范式, 应弱化相关市场、 市场份额因素的考察, 加 强专利要素的审查, 从积聚专利维度、 市场效率维度、 市场竞争效应维度三个方面以由积聚专利的 内部关系至专利积聚产生的外部效应的逻辑, 细化每个维度的分析要素, 建立立体性的评估专利积 聚反竞争效应的分析框架。 积聚专利维度的分析是对专利积聚市场力量源动力的审查, 应进行积聚 专利的性质、 专利的布局、 专利的数量、 专利的市场交易额等要素;市场效率维度的分析是评估专 利积聚对相关领域专利运行状态的审查, 应从技术转移率、 技术研发效率进行审查;市场竞争效应 审查是评估专利积聚对经营者之间的竞争、 产品间的竞争、 技术间的竞争状态进行的审查, 应从市 场技术壁垒、 技术创新的影响、 专利交易抗衡力、 专利及其产品的差别化等要素进行考察。
Abstract
In the era of knowledge economy, patents, as production resources, have become the focus of competition.At the same time, market competition has undergone significant changes: it has shifted from competition based on products and services to competition relying on intellectual property rights such as patents; From competition of unitary patent to competition of patent accumulation .Patent accumulation refers to the behavior of the operator to obtain the target patent through merger, equity acquisition, direct purchas e, independent research and development, exclusive authorization and so on, to achieve the convergence and centralized management of patents, and to improve the overall competitiveness of patents. Patent accumulation is a process in which operators integrate technical resources for the purpose of obtaining patents. To a certain extent, it can prom ote the full use of resources, improve market efficiency, enhance the market competitive ness of operators and improve economic benefits. And from the view of anti-monopoly law, it could incur a series of monopoly risks. Patent accumulation will change the marke t competition pattern of patents and products, cause the source monopoly of patent reso urces, lead to the uneconomical scale of related industries and technical fields, unreasona ble market competition structure, and inhibit the anti-competitive effects such as technolo gical innovation. It is key to distinguish the “positive and disadvantages” of patent accum ulation on market competition .It is the premise and basis of the regulation of monopoly of patent accumulation, and can prevent and control the source monopoly of patent resources, and reduce the anti-competitive risk of patent accumulation. However, In the static and structural analysis framework of Anti-monopoly law base d on the relevant market and market share elements has many difficulties in evaluating the anti-competitive effect of patent accumulation with dynamic development characterist ics.In the analysis of the related markets, the method based on the price theory is challen ged in the analysis of the technology market and the innovation market, and analysis of the regional market is diluted because of the intangible and unlimited replicability of the patent, and under the influence of the Internet economy. In the analysis of market share, due to the rapid technological change, the market share of operators is not stable, which cannot accurately reflect the market force of operators. So, based on the characteri stics of the patent has time and change fast, the analysis path of the anti-competitive effect of patent merger should weaken the function of the relevant market definition, market share and market concentration, and focus on the examination of patent element s, from the accumulation of patent, market efficiency and market competition effect three dimensions to establish an analysis framework from the inside to the outside logic.
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