【作者】 李明华；

【导师】 李扬；

【作者基本信息】 湖南大学 ， 民商法学， 2009， 硕士

【摘要】 基础设施理论产生于美国判例法,是现代反垄断法在实践中针对拒绝交易行为发展出来的一项基本原则。其基本含义是:控制基础设施的企业,如果拒绝对其它竞争者提供进入某种商品或服务的合理途径,并且这些商品或服务是这些竞争者要与之竞争所必须的,那么控制基础设施企业的这种拒绝交易行为将可能违反反垄断法。该理论对规制经营者滥用市场支配地位行为具有重要的作用和意义。传统上,基础设施理论的适用都与自然垄断设施有关。然而,当知识产权成为进入一个产业所必须的基础设施后,市场支配地位企业有可能通过控制具有合法垄断性的知识产权在下游市场形成垄断,使其知识产权极易被用来实施非法限制竞争的行为。知识产权人的拒绝交易具有较强的垄断性,在一项知识产权构成基础设施时,对没有正当理由拒绝交易的权利人课以强制许可的义务,对维持市场竞争是至关重要的。因此,基础设施理论在知识产权领域也具有重要的应用价值,运用该理论对规制知识产权拒绝许可行为是必要和可行的。美国、欧盟在司法实践中都承认了基础设施理论在知识产权反垄断领域中的应用,并积累了成熟的经验。根据我国的立法和国情现状,在知识产权反垄断领域借鉴和引入基础设施理论十分必要。我国应在《反垄断法》的框架下,对立法形式和内容的予以完善。需要制定专门的知识产权反垄断规范;并且,在知识产权法中,结合基础设施理论建立和完善合理条件的知识产权强制实施许可制度,实现以合理条件的强制实施许可消除权利人限制知识产权转移和排除他人竞争的企图,但同时也给权利人合理的利益补偿,保持知识产权的激励创新的功能。更多还原

【Abstract】 The Essential Facility Doctrine(EFD), originating from the United States case law, is a basic doctrine against the conduct of refusing to deal to essential facility in modern anti-monopoly law practice.The doctrine claims that when a monopolist have controlled a essential facility which is necessary to a competitor access to a market, and the owner of essential facilities with anticompetitive intention refuses other competitors to access, this kind of behavior will be contrary to the purpose of the antitrust law. The application of the EFD plays an important role in regulating abusive refusal to deal by dominant undertakings. Traditionally, the application of the EFD is connected to natural monopoly facilities. However, as intellectual property has become an essential facility when entering an industry, the market dominant enterprises may expand the monopoly of certain facility into the downstream market by taking legal monopoly control of intellectual property rights, thus intellectual property rights can easily be used to implement illegal restrictions on competition. Intellectual Property Rights holders’refusal to deal is apparently a monopoly conduct. When an intellectual property right constitutes an essential facility, it is of vital importance for the maintenance and promotion of market competition to make those rights holders who refuse transactions without justifiable reason subject to compulsory licensing. Therefore, the EFD plays an important role in the intellectual property right field. And it is necessary and feasible to apply this doctrine to regulating rights holders’refusals to deal. Both the United States and the European Union have recognized the application of the EFD in the field of intellectual property and accumulated mature experience. On the basis of the study of China’s national legislation and national condition in this area, it is of necessity to introduce the Essential Facility Doctrine into the antitrust practice in the intellectual property right field. Under the framework of The Anti-monopoly Law, the form and content of legislation should be perfected. And introduction of special anti-trust norms of intellectual property rights is proposed. In addition, Intellectual Property Law should be combined with the EFD to establish and perfect the compulsory licensing regime of intellectual property rights in order to eliminate right holder’s restrictions on the transfer of intellectual property rights and to exterminate their attempts to exclude others in competition, meanwhile giving adequate compensation to intellectual property rights holders so as to maintain the function of intellectual property rights to encourage innovation.更多还原