【中英文对照版】禁止滥用知识产权排除、限制竞争行为规定.docx

禁止滥用知识产权排除、限制竞争行为规定Provisions on Prohibiting the Abuse of IntellectualProperty Rights to Preclude or Restrict Competition制定机关：国家市场监督管理总局发文字号：国家市场监督管理总局令第79号公布日期：2023. 06. 25施行日期：2023. 08. 01效力位阶：部门规章法规类别：知识产权综合规定Issuing Authority ：State Administration for Market RegulationDocument Number ： Order No. 79 of the State Administration for Market RegulationDate Issued ： 06-25-2023Effective Date ： 08-01-2023Level of Authority ： Departmental RulesArea of Law ： General Provisions on Intellectual Propertyofor禁止滥用知识产权排除、限制竞 争行为规定（2023年6月25日国家市场监 督管理总局令第79号公布 自 2023年8月1日起施行）第一条为了预防和制止滥 用知识产权排除、限制竞争行 为，根据中华人民共和国反垄 断法（以下简称反垄断法）， 制定本规定。Provisions on Prohibiting the Abuse Intellectual Property Rights to Preclude Restrict Competition (Issued by Order No. 79 of the State Administration for Market Regulation on June 25, 2023, coming into force on August 15 2023)Article 1 These Provisions are developed in accordance with the Anti-Monopoly Law of the People's Republic of China (hereinafter referred to as the “Anti-Monopoly Law")in order to prevent and curb the abuse of intellectual property rights to preclude or restrict competition.专利联营的成员不得交换价格、 产量、市场划分等有关竞争的敏 感信息，达成反垄断法第十七 条、第十八条第一款所禁止的垄 断协议。但是，经营者能够证明 所达成的协议符合反垄断法第十 八条第二款、第三款和第二十条 规定的除外。具有市场支配地位的专利联营实 体或者专利联营的成员不得利用 专利联营从事下列滥用市场支配 地位的行为：（一）以不公平的高价许可联营 专利；（二）没有正当理由，限制联营 成员或者被许可人的专利使用范 围；（三）没有正当理由，限制联营 成员在联营之外作为独立许可人 许可专利；（四）没有正当理由，限制联营 成员或者被许可人独立或者与第 三方联合研发与联营专利相竞争 的技术；（五）没有正当理由，强制要求 被许可人将其改进或者研发的技 术排他性或者独占性地回授给专A patent pool member shall not reach a monopoly agreement prohibited by Article 17 or paragraph 1 of Article 18 of the Anti-Monopoly Law by exchanging any sensitive information on competition such as price, output, and market division, unless the undertaking is able to prove that the reached agreement complies with the provisions of paragraphs 2 and 3 of Article 18 and Article 20 of the Anti-Monopoly Law.A patent pool entity with a dominant market position or a patent pool member shall not commit any of the following acts of abusing its dominant market position by means of a patent pool:(1) Licensing a patent in the pool at an unfairly high price.(2) Restricting the scope of patent use of a patent pool member or a licensee without any justification.(3) Restricting a patent pool member from licensing any patent as an independent licensor outside the patent pool without any justification.(4) Restricting a patent pool member or a licensee from, independently or in conjunction with a third party, developing any technology competing with a patent in the pool without any justification.(5) Compelling a licensee to exclusively or monopolistically grant back any technology improved or developed by the licensee to thepatent pool entity or any patent pool member without any justification.(6) Prohibiting a licensee from questioning the validity of a patent in the pool without any justification.(7) Imposing compulsory portfolio licensing on competing patents, or compulsory portfolio licensing of non-essential patents, terminated patents, and other patents, without any justification.(8) Applying differential treatments to patent pool members meeting the same conditions or to licensees in the same relevant market in terms of trading conditions without any justification.(9) Any other conduct of abusing the dominant market position as determined by the SAMR.For the purposes of these Provisions, “patent pool” means that two or more undertakings jointly license their respective patents to a patent pool member or a third party. All parties to a patent pool shall normally authorize a patent pool member or an independent third party to manage the patent pool. The specific methods of the patent pool include the conclusion of an agreement and the formation of a company or any other entity, among others.利联营实体或者专利联营的成 员；（六）没有正当理由，禁止被许 可人质疑联营专利的有效性；（七）没有正当理由，将竞争性 专利强制组合许可，或者将非必 要专利、已终止的专利与其他专 利强制组合许可；（A）没有正当理由，对条件相 同的联营成员或者同一相关市场 的被许可人在交易条件上实行差 别待遇；（九）市场监管总局认定的其他 滥用市场支配地位的行为。本规定所称专利联营，是指两个 或者两个以上经营者将各自的专 利共同许可给联营成员或者第三 方。专利联营各方通常委托联营 成员或者独立第三方对联营进行 管理。联营具体方式包括达成协 议、设立公司或者其他实体等。第十八条经营者没有正当 理由，不得在行使知识产权的过 程中，利用标准的制定和实施达 成下列垄断协议：Article 18 An undertaking shall not, without any justification, take advantage of the development and implementation of standards to reach any of the following monopoly agreements in the course of exercising intellectual property rights:(1) Precluding any particular undertaking from participating in the development of standards, or precluding the relevant standards and technical solutions of any particular undertaking, in conjunction with any competing undertaking.(2) Precluding any other particular undertaking from implementing the relevant standards, in conjunction with any competing undertaking.(3) Agreeing with competing undertakings not to implement other competitive standards.(4) Other monopoly agreements determined by the SAMR.Article 19 An undertaking with a dominant market position shall not commit any of the following acts to preclude or restrict competition in the course of development and implementation of standards:(1) In the course of participating in the development of standards, it fails to promptly and fully disclose information on its rights to the standard development organization, or, though having expressly waived its rights, claims its patent rights against the party that implements the standards after its patent is involved in the standards.（一）与具有竞争关系的经营者 联合排斥特定经营者参与标准制 定，或者排斥特定经营者的相关 标准技术方案；（二）与具有竞争关系的经营者 联合排斥其他特定经营者实施相 关标准；（三）与具有竞争关系的经营者 约定不实施其他竞争性标准；（四）市场监管总局认定的其他 垄断协议。第十九条具有市场支配地 位的经营者不得在标准的制定和 实施过程中从事下列行为，排 除、限制竞争：（一）在参与标准制定过程中， 未按照标准制定组织规定及时充 分披露其权利信息，或者明确放 弃其权利，但是在标准涉及该专 利后却向标准实施者主张该专利 权；（二）在其专利成为标准必要专 利后，违反公平、合理、无歧视 原则，以不公平的高价许可，没 有正当理由拒绝许可、搭售商品 或者附加其他不合理的交易条(2) After its patent becomes a standard-essential patent, it, in violation of the principles of fairness, reasonableness, and non-discrimination, rejects licensing, conducts the tie-in sale of commodities, attaches other unreasonable trading conditions, or applies differentialtreatments without any justification, among 件、实行差别待遇等; others.(3) In the course of licensing a standardessential patent, it, in violation of the principles of fairness, reasonableness, and nondiscrimination, requests a court or any other relevant department to render a judgment, ruling, or decision, among others, on prohibiting the use of the relevant intellectual property right to force the licensee to accept the unfairly high price or other unreasonable trading conditions without good faith negotiation.(4) Other acts of abusing the dominant market position as determined by the SMAR.For the purposes of these Provisions, ustandard- essential patenf means the patent essential for the implementation of a standard.Article 20 The following factors may be considered in determining the “justificatiorT as mentioned in Articles 10 through 14 and Articles 17 through 19 of these Provisions:(1) Being conducive to encouraging innovation and promoting fair market competition.(2) Being necessary for exercising or protecting intellectual property rights.（三）在标准必要专利许可过程 中，违反公平、合理、无歧视原 则，未经善意谈判，请求法院或 者其他相关部门作出禁止使用相 关知识产权的判决、裁定或者决 定等，迫使被许可方接受不公平 的高价或者其他不合理的交易条 件；（四）市场监管总局认定的其他 滥用市场支配地位的行为。本规定所称标准必要专利，是指 实施该项标准所必不可少的专 利。第二十条认定本规定第十 条至第十四条、第十七条至第十 九条所称的“正当理由”，可以 考虑以下因素：（一）有利于鼓励创新和促进市 场公平竞争；（二）为行使或者保护知识产权 所必需；（三）为满足产品安全、技术效 果、产品性能等所必需；(3) Being necessary for satisfying product safety, technical effects, product performance, and other requirements.（四）为交易相对人实际需求且 符合正当的行业惯例和交易习 惯；(4) Meeting the actual needs of the other party to the transaction and conforming to legitimate industry practices and trading habits.(5) Other factors that can justify the conduct.（五）其他能够证明行为具有正 当性的因素。Article 21 When exercising copyright and copyright-related rights, an undertaking may not commit any monopolistic conduct prohibited by the Anti-monopoly Law and these Provisions.第二十一条经营者在行使 著作权以及与著作权有关的权利 时，不得从事反垄断法和本规定 禁止的垄断行为。Article 22An undertaking's suspected abuse of intellectual property rights to preclude or restrict competition may be analyzed and determined in the following steps:第二十二条分析认定经营 者涉嫌滥用知识产权排除、限制 竞争行为，可以采取以下步骤：(1) Determining the nature and form of exercise of intellectual property rights by the undertaking.（一）确定经营者行使知识产权 行为的性质和表现形式；(2) Determining the nature of the correlation between the undertakings exercising intellectual property rights.（二）确定行使知识产权的经营 者之间相互关系的性质；(3) Defining the relevant market involved in the exercise of intellectual property rights.（三）界定行使知识产权所涉及 的相关市场；(4) Determining the market position of an undertaking exercising intellectual property rights.（四）认定行使知识产权的经营 者的市场地位；(5) Analyzing the impact of an undertaking's exercise of intellectual property rights on competition in the relevant market.（五）分析经营者行使知识产权 的行为对相关市场竞争的影响。In the determination of the nature of thecorrelation between undertakings, the characteristics of exercising intellectual property rights need to be considered. If the licensing of intellectual property rights is involved, the original competing undertakings have a trading relationship under a licensing agreement but are competitors in the market of products which both the licensor and the licensee use the intellectual property right to produce. However, if the undertakings are not competitors when reaching the licensing agreement, and competition between them occurs only after they reach the agreement, the agreement shall not be deemed an agreement between competitors, unless there is any substantive modification of the original agreement.确定经营者之间相互关系的性质 需要考虑行使知识产权行为本身 的特点。在涉及知识产权许可的 情况下，原本具有竞争关系的经 营者之间在许可协议中是交易关 系，而在许可人和被许可人都利 用该知识产权生产产品的市场上 则又是竞争关系。但是，如果经 营者之间在订立许可协议时不存 在竞争关系，在协议订立之后才 产生竞争关系的，则仍然不视为 竞争者之间的协议，除非原协议 发生实质性的变更。Article 23 The impact of an undertaking's exercise of intellectual property rights on competition in the relevant market shall be analyzed and determined by considering the following factors:第二十三条 分析认定经营 者行使知识产权的行为对相关市 场竞争的影响，应当考虑下列因 素：(1) The market positions of the undertaking and the other party to the transaction.（一）经营者与交易相对人的市 场地位；(2) The market concentration rate in the relevant market.（二）相关市场的市场集中度;(3) The degree of difficulty in entering relevant market.the （三）进入相关市场的难易程 度；(4) The practices and customs and development stage of the industry.the （四）产业惯例与产业的发展阶 段；（五）在产量、区域、消费者等 方面进行限制的时间和效力范(5) The time and extent of the effect of restrictions in aspects such as output, region,围;（六）对促进创新和技术推广的 影响；（七）经营者的创新能力和技术 变化的速度；（A）与认定行使知识产权的行 为对相关市场竞争影响有关的其 他因素。第二十四条反垄断执法机 构对滥用知识产权排除、限制竞 争行为进行调查、处罚时，依照 反垄断法和禁止垄断协议规 定禁止滥用市场支配地位行 为规定经营者集中审查规 定规定的程序执行。第二十五条经营者违反反 垄断法和本规定，达成并实施垄 断协议的，由反垄断执法机构责 令停止违法行为，没收违法所 得，并处上一年度销售额百分之 一以上百分之十以下的罚款，上 一年度没有销售额的，处五百万 元以下的罚款；尚未实施所达成 的垄断协议的，可以处三百万元 以下的罚款。经营者的法定代表 人、主要负责人和直接责任人员 对达成垄断协议负有个人责任 的，可以处一百万元以下的罚 款。and consumers.(6) The impact on the promotion of innovation and technology popularization.(7) The undertaking's innovation capacity and the speed of technological changes.(8) Other factors related to the determination of the impact of the exercise of intellectual property rights on competition in the relevant market.Article 24 The anti-monopoly law enforcement authority shall investigate and punish the abuse of intellectual property rights to preclude or restrict competition in accordance with the procedures prescribed in the Anti-Monopoly Law, the Provisions on Prohibiting the Abuse of Dominant Market Position, and the Provisions on the Examination of Concentrations Between Undertakings.Article 25 Where an undertaking reaches and implements a monopoly agreement in violation of the Anti-Monopoly Law and these Provisions, the anti-monopoly law enforcement authority shall order it to cease the violation, confiscate its illegal proceeds, and impose a fine of not less than 1% nor more than 10% of its sales for the previous year, or if there are no sales for the previous year, impose a fine of not more than five million yuan on the undertaking; or may impose a fine of not more than three million yuan on it if the monopoly agreement reached has not been implemented. If the legal representative, the primary person in charge, or any directly liable person of the undertaking is personally liable for reaching the monopoly agreement, heor she may be fined not more than one million yuan.经营者组织其他经营者达成垄断 协议或者为其他经营者达成垄断 协议提供实质性帮助的，适用前 款规定。Where an undertaking arranges or provides substantive assistance for other undertakings to reach a monopoly agreement, the provision of the preceding paragraph shall apply.第二十六条经营者违反反 垄断法和本规定，滥用市场支配 地位的，由反垄断执法机构责令 停止违法行为，没收违法所得， 并处上一年度销售额百分之一以 上百分之十以下的罚款。Article 26 Where an undertaking abuses its dominant market position in violation of the Antimonopoly Law and these Provisions, the antimonopoly law enforcement authority shall order it to cease the violation, confiscate its illegal proceeds, and impose a fine of not less than 1% nor more than 10% of its sales for the previous year.第二十七条经营者违法实 施涉及知识产权的集中，且具有 或者可能具有排除、限制竞争效 果的，由市场监管总局责令停止 实施集中、限期处分股份或者资 产、限期转让营业以及采取其他 必要措施恢复到集中前的状态， 处上一年度销售额百分之十以下 的罚款；不具有排除、限制竞争 效果的，处五百万元以下的罚 款。Article 27 Where an undertaking implements a concentration involving intellectual property rights in violation of the law, which has or may have the effect of precluding or restricting competition, the SAMR shall order it to cease the implementation of the concentration, to dispose of shares or assets within a specified period, to transfer business within a specified period, and to take other necessary measures to restore the state before the concentration, and impose a fine of not more than 10% of its sales for the previous year; or in the absence of any effect of precluding or restricting competition, the SAMR shall impose a fine of not more than five million yuan on the undertaking.第二十八条对本规定第二 十五条、第二十六条、第二十七 条规定的罚款，反垄断执法机构 确定具体罚款数额时，应当考虑 违法行为的性质、程度、持续时 间和消除违法行为后果的情况等Article 28 In determining the specific amount of a fine prescribed in Article 25, 26, and 27 of these Provisions, an anti-monopoly law enforcement authority shall take into account factors including but not limited to the nature, extent, duration, and elimination of the因素。consequences of a violation.第二十九条违反反垄断法 规定，情节特别严重、影响特别 恶劣、造成特别严重后果的，市 场监管总局可以在反垄断法第五 十六条、第五十七条、第五十八 条、第六十二条规定的罚款数额 的二倍以上五倍以下确定具体罚 款数额。Article 29 Where a violation of the Anti- Monopoly Law has any particularly serious circumstance, particularly adverse impact, or particularly serious consequence, the SAMR may determine the specific amount of the fine in a range of not less than twice nor more than five times the amount of the fine specified in Articles 56, 57, 58, and 62 of the Anti-monopoly Law.Article 30 Where a staff member of an anti第三十条反垄断执法机构 工作人员滥用职权、玩忽职守、 徇私舞弊或者泄露执法过程中知 悉的商业秘密、个人隐私和个人 信息的，依照有关规定处理