論界定技術市場與創新市場在分析智慧財產權授權行為之必要性及妥當性

Abstract

由於科技的快速發展，廠商越來越重視智慧財產權策略，不僅積極投入創新與研發，更將技術與智慧財產權之授權作為競爭上的利器。各國為了促進境內產業的發達及技術的進步，也藉由智慧財產權法與競爭法雙管齊下，以期在世界的經濟舞台中占有一席之地。美國司法部（DOJ）與聯邦貿易委員會（FTC）為了瞭解廠商間技術或智慧財產權授權行為對於競爭狀況的影響，尤其是技術與創新方面之影響，因此創設了「技術市場」與「創新市場」的概念。這樣的想法也直接影響了我國及歐盟。 本文將從學理以及產業之觀點，分析技術市場與創新市場這兩項競爭法的概念，是否有理論上的瑕疵、是否存在界定與分析的必要、以及在界定上的可能性。 歸納本文初步的結論認為，分析授權行為對於競爭之影響時，有必要對於「技術市場」作獨立的界定及分析。技術市場不但事實上可以界定，且倘若遺忘技術市場，將可能忽略若干實際上對競爭有負面影響的授權行為。然而，「創新市場」並非一項妥當的競爭法概念，其不僅在法理上有所瑕疵，在界定與分析上亦可能造成誤判，使得沒有負面競爭效果的授權行為被禁止。 本文主張，透過對於技術市場觀察，即可瞭解廠商創新與研發的情況。如果相關技術是有利可圖的，必然吸引廠商積極投資於該項研發。因此競爭法主管機關若欲促進創新與研發，首要便是保護技術市場的競爭狀況，並除去技術市場之進入障礙。

Owing to the rapid development of industries, firms are now laying more emphasis on the importance of intellectual property strategies not only by taking active participation in innovation as well as research and design (R&D), but also by exploiting the intellectual property licensing in competition. Countries spur the industrial development and technology advancement with parallel approaches of intellectual property law and competition law in order to have strong international presence. The United States Department of Justice and Federal Trade Commission established the concepts of “technology market” and “innovation market” so as to know the influence of licensing arrangements of intellectual property rights between firms on competition, especially in technology and innovation. This has also had an effect on our country and the European Union. This thesis aims to analyze concepts of technology market and innovation market in competition law, in regards of theoretical adequacies, the necessity of defining and analyzing, and the possibility to be defined. The preliminary conclusion is “technology market” should be drawn as the need to conduct independent definition and analysis upon investigation into the influence of licensing arrangements on competition. In point of fact technology market can be defined, and, if not taken into account, possible omission of certain licensing arrangements that have negative impact on competition may ensue from actuality. Yet nevertheless “innovation market” is not an appropriate concept for competition law. Not only it constitutes an imperfection on legal grounds, there is also the possibility of false judgment upon definition and analysis that leads to prohibition of licensing arrangements that do not have any anticompetitive effect. This thesis claims that by observing the technology market, understanding of firms’ innovation and R&D situation can be made. So is a profitable technology sure to draw active investments. Accordingly, the primary concern for antitrust agencies to prompt innovation and R&D is to protect the technology market and to eliminate entry barriers for such.