COMPETITION LAWPDF电子书下载

1 Technology transfer and competition rules under the TRIPS Agreement 1

1.1 Introduction 1

1.1.1 Overview 1

1.1.2 Principles of the TRIPS Agreement 5

1.1.3 Effect of the TRIPS Agreement at the domestic law level 7

1.2 The TRIPS Agreement and international technology transfer 11

1.2.1 Property rules of IPRs 11

1.2.1.1 Economic and legal justifications for IPRs 11

1.2.1.2 Intellectual property protection: property rules v. liability rules 18

1.2.2 IPRs and technology transfer 24

1.2.3 Technology transfer-oriented provisions of the TRIPS Agreement 28

1.3 The TRIPS Agreement and competition rules 32

1.3.1 IPRs and competition law 32

1.3.2 Pre-TRIPS Agreement 39

1.3.3 Competition rules in the TRIPS Agreement 42

1.3.3.1 Introduction 42

1.3.3.2 Interpretation 45

1.3.3.3 Overview of application and disposition 52

1.4 Concluding remarks 58

2 Application of competition law to technology transfer in developed countries - US and EU perspectives 59

2.1 Background 59

2.1.1 Introduction 59

2.1.1.1 Development of the IP-antitrust law intersection in the US 59

2.1.1.2 Development of the IP-competition law intersection in the EU 64

2.1.2 Principles 68

2.1.2.1 Anti-competitive agreements: per se rule and rule of reason 68

2.1.2.2 Monopolization or abuse of a dominant position: a two-pronged test 71

2.2 Anti-competitive price practices 77

2.2.1 Royalty concerns 78

2.2.1.1 Excessive royalties 78

2.2.1.2 Post-expiration royalties 82

2.2.1.3 Total sale royalties 84

2.2.1.4 Remarks 86

2.2.2 Restrictions on product prices 86

2.3 Anti-competitive non-price practices 90

2.3.1 Grantback 90

2.3.2 Tying and package licensing 92

2.3.3 Non-challenge clause 97

2.3.4 Exclusivity in technology transfer agreements 99

2.3.4.1 Exclusive licensing 99

2.3.4.2 Exclusive dealing 103

2.3.5 Output restrictions and other non-price restrictions 104

2.4 Refusal to transfer technology 105

2.4.1 Refusal to license in the US 106

2.4.1.1 Trinko and traditional views 106

2.4.1.2 Post-Trinko development: eBay and Credit Suisse 109

2.4.1.3 Kodak, Xerox and others: a split among US courts of appeals 114

2.4.1.4 Remarks 118

2.4.2 Refusal to license in the EU 119

2.4.2.1 Refusal to deal in the EU: introduction 119

2.4.2.2 Volvo and Renault: initial cornerstones 120

2.4.2.3 Magill, IMS Health and Microsoft v. Commission: new guidance 121

2.4.2.4 Remarks 128

2.5 Contractual restrictions on downstream purchasers 128

2.5.1 US perspective 129

2.5.1.1 Implications of Quanta 129

2.5.1.2 Federal Circuit’s judgments revisited through the Quanta prism 136

2.5.2 EU perspective 145

2.5.2.1 Community exhaustion 145

2.5.2.2 Contractual restrictions on downstream purchasers in the EU 150

2.5.3 Remarks 154

2.6 Compatibity with the TRIPS Agreement 155

2.6.1 Arguments against TRIPS compatibility 155

2.6.2 Arguments for TRIPS compatibility 157

2.7 Concluding remarks 159

3 Application of competition law to technology transfer in developing countries 161

3.1 Background 161

3.1.1 Overview 161

3.1.2 Current models in developing countries 166

3.1.2.1 Overview 166

3.1.2.2 Normative models 169

3.2 Certain specific cases 174

3.2.1 Microsoft tying cases 174

3.2.1.1 Microsoft Korea 175

3.2.1.2 Microsoft Taiwan 178

3.2.1.3 Microsoft Croatia 179

3.2.1.4 Remarks 180

3.2.2 Refusal to license pharmaceutical patents cases 180

3.2.2.1 Background 180

3.2.2.2 Hazel Tau v. GlaxoSmithKline and Boehringer Ingelheim 184

3.2.2.3 TAC v. Bristol-Myers Squibb 188

3.2.2.4 TAC v. MSD&Merck 189

3.2.2.5 Remarks 192

3.2.3 Abbott’s withdrawal of drug registration application 199

3.2.3.1 Section 25(3) complaint 200

3.2.3.2 Section 28 complaint 202

3.2.3.3 Remarks 202

3.2.4 Philips’ Taiwan package licensing case 204

3.2.4.1 Background 204

3.2.4.2 Other cases involved 206

3.2.4.3 Remarks 210

3.3 IPRs, technology transfer and competition law in Vietnam - a case study 212

3.3.1 Background 212

3.3.1.1 Overview 212

3.3.1.2 IP law in Vietnam 214

3.3.1.3 Competition law in Vietnam 216

3.3.2 Technology transfer-related competition law issues in Vietnam 226

3.3.2.1 From the perspective of IP law 226

3.3.2.2 From the perspective of competition law 230

3.3.2.3 Relevant cases 233

3.3.3 Remarks 243

3.4 Obstacles for developing countries 244

3.4.1 Internal obstacles 244

3.4.1.1 Lack of capacity 244

3.4.1.2 Deficiency of legislation 244

3.4.1.3 Absence of competition culture 246

3.4.1.4 Lack of cooperation between competition authorities and IP authorities 246

3.4.2 External obstacles 247

3.4.2.1 Argentina-US mutually agreed solution 247

3.4.2.2 Communications from the EC relating to the anti-monopoly law of China 250

3.4.2.3 Bilateral agreements and TRIPS-plus standards 251

3.5 Concluding remarks 254

4 Prospects of technology transfer-related competition law in a global context 256

4.1 Alternatives and challenges 256

4.1.1 Enforcement outsourcing 256

4.1.2 International cooperation between competition authorities 260

4.1.3 Harmonization through international forums 267

4.1.3.1 WTO 267

4.1.3.2 OECD 271

4.1.3.3 UNCTAD 272

4.1.3.4 ICN 273

4.1.3.5 Other international forums: WIPO and WHO 274

4.1.3.6 Remarks 275

4.2 Prospects for the technology transfer-related competition provisions of the TRIPS Agreement 276

4.2.1 Over-enforcement and under-enforcement 276

4.2.2 IPR-related trade and competition 278

4.2.3 Dispute settlement 280

4.3 Concluding remarks 283

5 Implications for developing countries 286

5.1 Purposes and principles 286

5.2 General implications 290

5.2.1 Importance of IPR-related competition law in technology transfer and economic growth 292

5.2.2 Tailoring and enforcing domestic IPR-related competition law to suit particular socio-economic contexts 293

5.2.3 Cooperation between competition authorities and IP authorities 294

5.2.4 International cooperation in enforcement of IPR-related competition law 294

5.2.5 Other general implications 295

5.3 Specific implications 296

5.3.1 Refusal to license 297

5.3.2 Excessive pricing 298

5.3.3 Tying 299

5.3.4 Use restriction on downstream purchasers 299

5.4. Summary and final remarks 300

Bibliography 303

Index 327