美國競爭法上智慧財產拒絕授權案件之實證研究

Abstract

從傳統競爭法上實體財產拒絕交易所衍伸的法律問題，發展到近年來業界常遭遇到拒絕授權的問題，學術界及相關的主管機關都有熱切的討論。然而，所討論的範圍，都僅侷限於Data General，Kodak II及Xerox三個判例。本文有鑑於學界在此一議題之討論缺乏實證研究，特別於LexisNexis資料庫進行檢索並對資料做統計分析。實證研究方向，分別在專利領域及著作權領域，依Data General，Kodak II及Xerox提出的原則，進行分類統計，並將專利加著作權的案例合併統計，藉由實證研究統計，分析法院在處理專利及著作權等不同領域的案例，是否會採用不同的原則。同時，本文依時間序列，分析過去十五年來法院採用原則方面的比例是否有變化。最後，本文針對當法院採取不同原則時，是否會影響原告及被告之勝訴及敗訴，進行實證分析。從實證上得到的結果，輔以國會立法的本意，及分析最高法院的意旨，本文提出建議的原則，以利處理後續相關爭議。

Comparing with the development of refusal to deal in real property under antitrust laws, today the high tech industry faces more ponderous problem, the refusal to license. Both the academic field and relevant governmental authorities have focused their discussions on this issue. However, all of these discussions have fallen largely within the realm of three federal cases, i.e. Data General, Kodak II and Xerox, which will be discussed in detail in this thesis. Due to the lack of empirical research on this issue, this thesis focuses its research on related cases from LexisNexis database and empirically analyzes the researched cases. The empirical research of this thesis will turn related cases into statistic results by focusing on patent field and copyright field separately, according to the different legal standards under Data General, Kodak II and Xerox and combine both patent cases and copyright cases together for analysis. Based on the results of the empirical research, this thesis also analyzes whether courts will use different standards when they deal with cases in the patent field or copyright field. Meanwhile, this thesis tries to analyze the percentage of the standards used by courts in the last fifteen years in order to find out how the percentage has changed during this period. Finally, this thesis focuses on whether the standards chose by courts will affect whether the intellectual property owner or the antitrust complainant will win the case. Based on such empirical results, combined with the analysis of congressional intent and Supreme Court rulings, this thesis aims to propose a legal standard that is possibly the best approach to the refusal to license anti-competition cases, Hopefully this standard will be useful for adjudicating future cases in this field.