标准必要专利情形下禁令救济的反垄断法规制——从“橘皮书标准”到“华为诉中兴”

Restriction of Injunctive Relief in Disputes Related to Standard-Essential Patents from the Perspective of Competition Law: CJEU's Preliminary Ruling on Huawei v. ZTE and Beyond

在涉及标准必要专利的情况下,为避免专利劫持现象,保障标准实施者近用标准的机会,德国联邦最高法院在"橘皮书标准"案的判决中引入了反垄断抗辩制度。藉此,在标准必要专利的情形下,专利权人的禁令救济在一定条件下得以限制。欧盟法院就"华为诉中兴"案所作出的先行裁决,提出了"五步骤十三保留"的规则,对反垄断抗辩的成立要件进行了重构。与过于倾向保护标准必要专利权人利益的"橘皮书标准"判决相比,欧盟法院的新规则被认为是更好地平衡了标准必要专利权人和标准实施者之间的利益。在区分为什么要对标准必要专利权人的禁令救济进行反垄断法上的限制,以及在什么条件下可以进行这种限制这两个问题的基础之上,本文通过梳理反垄断抗辩在欧盟以及德国司法体系的历史演变,体系性地介绍欧盟法院作出相关先行裁决的历史背景及其所直面的理论问题,通过比较法的分析,以期对我国具有借鉴意义。

In order to prevent patent hold-ups by the owners of standard-essential pa- tents （SEPs） and to facilitate the fair access to standards, the German Supreme Court has crea- ted an antitrust defense system in the Orange Book Standard Case. Accordingly, the injunctive relief in a case of SEPs-related disputes can be restricted under certain conditions. Meanwhile, the CJEU adopted a relatively mid-way approach by introducing the rule of ＂ five-steps plus three reservations＂ in the preliminary ruling on Huawei v. ZTE to balance the interests between SEPs holders and standard implementers. For a through understanding of this case, this paper first presents a comprehensive picture of the German SEP-related antitrust defence from the per- spectives of, inter alia, the admissibility and the preconditions of the defence. Then, it reviews the historical development and the relevant theoretical issues of the antitrust defence in the con- text of the German and EU judicial points of the addresses its preliminary significance ruling. A practices. Further, it deals with the background and the key nd lastly, it shares some critical opinions on the ruling and for the corresponding rule-making in China.