规制与规制的限制:透视中国反垄断法视野中的知识产权许可行为——兼论中国《知识产权领域反垄断执法指南》的制定

Regulating and Limiting the Regulation:Research on IP Licensing from China's Anti-monopoly Law——Concurrent Discussion on Formulation of China's Guidelines for Anti-monopoly Enforcement in the Field of Intellectual Property Rights

"规制与规制的限制"这一制度理念在反垄断立法、执法及司法实践中具有重要的作用。"规制与规制的限制"理念的产生具有经济学基础、法理基础和法律依据,在该理念的统领下,规制权限法定原则、利益平衡原则、合理分析原则、同等对待原则与个案分析原则成为反垄断法规制知识产权许可行为的主要实施原则。根据上述实施原则,反垄断法对知识产权许可行为的规制存在多个分析框架,即从反垄断法的规制结构出发,按照基本原则、垄断协议、滥用市场支配地位、经营者集中的逻辑顺序来构建分析框架;从受到反垄断法禁止的可能性出发,按照通常会受到反垄断法禁止的知识产权许可行为、需要进行详细具体的反垄断分析的知识产权许可行为、通常可以得到反垄断法容许的知识产权许可行为的逻辑顺序来构建分析框架;以及从知识产权许可行为不同的表现形式出发,按照经营者从事与竞争相关的具体知识产权许可行为的数量多寡的逻辑顺序来构建分析框架等。关于反垄断法规制知识产权许可行为制度理念、实施原则和分析框架的研究,可以为中国制定《知识产权领域反垄断执法指南》提供有针对性的对策建议。

The idea of the ＂regulating and limiting the regulation＂ plays an important role in anti-monopoly legislation, law enforcement and juridical practice, and it came into being on the basis of economics, jurisprudence and law. Under the guidelines of such idea, the principles such as statutory principle of regulatory power, interests-balancing principle, reasonable analysis principle, equal treatment principle, and case by case analysis principle become the major enforcement principles for regulating intellectual property licensing practices under the Anti-monopoly Law. According to the implementing principles above, there are many analysis frameworks in terms of regulating intellectual property licensing practices, ＇i. e. from the regulatory structure of Anti-monopoly Law, to construct the analysis framework in accordance with the logic order of the basic principle, monopoly agreements, abuse of market dominant position, concentration of operators; from the possibility to be prohibited by Anti-monopoly Law, to construct the analysis framework in accordance with the logic order of the intellectual property licensing practices that usually are prohibited by Anti-monopoly Law, necessary to make the detailed and specific anti-monopoly analysis, and are permitted by the anti-monopoly law; from the different forms of intellectual property licensing practices, to construct the analysis framework in accordance with the logic order of differences in number of specific intellectual property licensing practices related to competition that operators engage in the eco- nomic life. The research on the idea, implementation principle, and analysis framework on the regulation of intellectual property licensing practices under Anti-monopoly Law may provide the pertinent counter-policies and suggestions for the formulation of China＇s Guidelines for Anti-monopoly Enforcement in the Field of Intellectual Property Rights.