专利联营地反垄断法规制研究.doc

南京航空航天大学硕士学位论文 摘  要 伴随着现代战略管理理念的兴起，企业的核心竞争力的重要性已在理论界及 实务界形成共识。然而，核心竞争力的发展离不开企业自身拥有的资源，尤其是 那些有价值、稀缺、不可模仿、不可替代的资源。专有技术等无形资产由于其法 定垄断性而成为一种具有高度不可模仿性的资源，成为企业立足于市场的关键因 素。但随着市场和国际化生产体系的区域一体化或全球一体化，企业间的竞争日 益带有全球化的性质，在这种竞争环境中，单靠企业自身的资金投入进行研发工 作已面临了诸多困难。技术发明速度的大大加快，产品市场生命周期的缩短使得 企业越来越倾向于通过建立战略联盟的方式来获得补充性技术，以达到资源共享 并降低研究与开发成本的目的。许多发达国家的企业已建立了诸如 MPEG-2、 DVDs 、3G 等形式的专利联营，作为其企业竞争战略的一部分。 虽然专利联营在解决专利互补性问题、减少交易成本、防止侵权纠纷方面有 着独特而重要的作用，但其作为“合作竞争”的一种方式，也极易危害自由、公 平的竞争秩序，损害公共利益，从而走进反垄断法的调整范围。本文从专利联营 的相关概念、特征出发，阐述了专利联营在知识经济条件下存在的必要性，并通 过对专利联营与反垄断法的一致性与冲突的分析，说明专利联营与反垄断法之间 存在协调的必要和可能。在二者的协调方面，本文在介绍、借鉴国外相关立法、 执法经验的基础上，立足于专利联营的运作过程，对专利联营设立与对外许可中 的垄断行为着重进行了分析。并最终立足于我国经济发展现实，对我国专利联营 的反垄断法规制提出初步构想，并探讨我国专利联营在反垄断法规制下如何合理 利用的问题，以期更好地指导实践。 关键词：专利联营, 反垄断分析,专利许可,合理利用 i 专利联营的反垄断法规制研究 ABSTRACT Along with the rise of modern concept of strategic management , the core competition is become more and more important . However, the core competitiveness of the enterprises depend on the development of the resources, especially those who are valuable, scarce, not imitation, irreplaceable resources. Proprietary technology because of its intangible assets is becoming a highly non imitation of resources.. However, as the market become international, the growing competition among enterprises is global, in such a competitive environment, enterprises relying on their own capital investment in R D has been faced all sorts of difficulties. Technological invention greatly accelerate the speed of product life cycles, though it makes more and more enterprises establish strategic alliances to obtain complementary technology and reduce research and development costs. Although patent pools in resolving patent complementary, reduce transaction costs and prevent infringement disputes has a unique and important role, but because it is a cooperative competition way, it is also vulnerable against free and fair competition order, damage to public interests, which entered the adjustment of the anti-monopoly law. this paper is sta