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华中科技大学硕士学位论文新经济下知识产权人拒绝交易的反垄断法规制姓名：胡水晶申请学位级别：硕士专业：经济法指导教师：王干20050430IWAPIIIAbstractIngeneral,theintellectualpropertyholder'srefusal-to-dealdoesnotconflictwithsocialpublicinterests,soitshouldreceivetherespectandprotectionofthelaw.Antitrustlawcan'tdenyintellectualpropertyholderhastherighttoobtaintheexclusivecommercialinterestonthebasisofhisintellectualproperty,Intellectualpropertyrights,however,donotconferaprivilegetoviolatetheantitrustlaws.Inneweconomicera,duetotheexistingextensivelyofnetworkeffects,someoftheintellectualpropertyhold'smaycreatesananti-competitivesituation,andthendamagesocialpublicinterests,therefusal-to-dealmayviolateantitrustlaws,whichshouldberestrictedbytheantitrustlaws.TheCISCOTechnologyInc.HuaweiTechnologyIncandthedelayofWAPIplanbroughtonenormousimpacttoChinaantitrustinIPfield,whichwerecausedbyIPholdersabuseofdominantpositiontorefusedeal.AllthesecasesmayberestrictedbytheantitrustlawsinAmericaandinEC,butourcountrycan'tsanctionthesekindofabusebehavioreventhoughlosesenormously,becauseChinalacksrelevantlaws.Therefore,it'sveryessentialandurgenttolegislatetheantitrustsystemintheIPRfieldtorestricttkindofabusebehaviorinChina.TheThesishasfoursections.ThefirstandsecondsectionmainlyexpatiatethetheoreticalfoundationofIPholderrefusal-to-dealthatmayviolatetheantitrustlaws,throughanalyzetheconflictionandthecoordinationbetweenIPRandantitrustinneweconomy.ThethirdandfourthsectionmainlydiscusshowtorestricttheIPholdersabuseofdominantpositiontorefusedealbyanalyzetherelevanttypicalcasesoftheworldindetailsbasedondividingtheIPholderrefusal-to-dealintotwokinds,whichinvolvedEssentialFacilityornot.ThenImakethesuggestiontoconstructionofrelevanttheoriesandjudicialpracticesofourcountry.Keywords:IntellectualProperty,AbuseofRight,Refusal-to-Deal,AntitrustLaw_____11WAPI2increasingreturnstoscalwinner-take-alllock-inEssentialFacility311.11.1.11[1]1,,[2],,,,,[3],,,,(),(),,,4,,,,,2,[4],,,,,,,,,,,,,,,[5],:,[6],,:,,,,,,5,,2,,[7]1261.1.2[8],,1,,,,2,,7,,,3,,,,,,1.1.31990AtariGamesCorp.v.NintendoOfAmerica,Inc.[9]8[10],,,1[11]9[12]2:[13]1.21.2.190199792610[14]1996OECD[15]GDP502000APECAPEC[16]DeLong&Summers[17]1.2.212113IT[18]1.2.31121GDP200172GDP1960287172320212345673increasingreturnstoscal13[19]networkeffect1.31.3.114[20]KodakXeroxindependentserviceorganizations,ISOsISOsKodakXeroxISOsISOsISOs[21]1.3.21networkeffect[22]complementary15BobMetcalfe[23]interconnectioneffectinteroperabilityeffectconvenienceeffect[24]2winner-take-all[25]lock-in[26]1winner-take-allwindows[27]2lock-inswitchingcost16[28]QWERTDvorakQWERTDvorakQWERTDvorakQWERTwinner-take-alllock-ininterconnectioneffectinteroperabilityeffect1722.1[29]2.1.118refusetodealmonopolyleveraging1tie-in[30]KodakKodakindependentserviceorganizations,ISOsKodak219essentialfacilityDeMontisCateringRomav.AeroportidiRomaAeroportidiRomaDeMontisCateringRoma[31]2.1.211912UnitedStatev.TerminalRailroadAssociationOfSt.Louis[32]⋅TerminalRailroadAssociationOfSt.Louis⋅AT&T[33]20[34]211951LorianJournal2[35]212.2[36]2.2.11JavaJavaCOMWindowsJavaPC22JavaWindowsSUNJavaJava[37]21995Magill[38]MagillTVGuideTheEuropeanCommissionBBC“”2.2.2123[39]17reasonableinterchangeability(cross-elasticityofdemand)[40]24199546I9991115[41][42]2528[43]199911[44]IMSHealthInc.vCommissionIMS18601860brickstructure[45]1860226[46][47]1PC10PC9095Mac80[48]227Hugin[49]Lipton382[50]2882822933.13.1.11EssentialFacilityDoctrine[51]monopolistessentialfacility[52]1912UnitedStatev.TerminalRailroadAssociationOfSt.Louis[53]⋅30TerminalRailroad⋅TerminalRailroadTerminalRailroadAT&T[54]2[55]cannotpracticallyorreasonablyduplicatethefeasibilityofprovidingthefacility3.1.231[56]11[57]naturalmonopoly2[8]CRS32naturalmonopolyregulatoryregime[59]32[60]interconnectioneffectinteroperabilityeffect3.2333.2.11AldridgeCo.v.Microsoft1998AldridgeCo.v.MicrosoftWindows[61]AldridgeCache86MS-DOSWindows95Cache86unknownprogramWindowsDOSWindowsAldridgeWindows95[62]Windows95MCIv.AT&TdiskcacheWindows9534AldridgeWindowsCache86IBMOS/221.5%20000.4%;AldridgeWindowsWindowsWindows95100Windows95Windows95Cache86WindowsapplicationsoftwareutilitysoftwareCache86WindowsWindows95Windows95Aldridge2135WindowsAldridgeWindowsWindowsWindows95WindowsAldridge2Windows95AldridgevitalWindows95MCIAldridge3.2.2[63]1IMSHealthInc.vCommissionIMSHealthInc.vCommissionIMS18601860brickstructure[64]IMS1860[65]IMS1860IMSNDCNationalDataCoporation36AzyXAzyXDeitscj;amdGmbHGeopharmaInformationServicesIMSIMS18601860brickstructure186018601860IMSIMS1860DNCAzyXIMSIMS1860DNCAzyX1860IMS1860IMS2IMSHealthInc.vCommission13718601860brickstructureIMSIMS2WindowsWinTel1860IMS1999186018601860IMS1860AzyX18601860switchingcost1860lock-in[66]383[67]3.3[68][69]3.3.11[70]1hold-up39[71]hold-up221402[72][73]3.3.21IT141[74]2003[75](ITU,InternationlTelecommunicationUnion)4222004WAPI[76]CPUINTERWAPIWAPI[77][78]434[79]4.14.1.11tie-in(tyingproduct)(tiedproduct)[80]4421[81]1995tyingarrangerment[82]282d82d45[83]4.1.21ImageTechnicalServ.Incv.EastmanKodakCo.Kodak[84]Kodak,80%-95%2080ISOKodakKodakKodak1985KodakKodakKodakKodakKodakKodakKodakK