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題名 從基頻晶片產業探討於標準必要專利FRAND授權制度中之應對之道—以Qualcomm受裁罰案為中心
A Study of the Way to Deal with the FRAND Licensing Terms of Standard Essential Patents from the Baseband Chips Industry—Focusing on Case of Qualcomm作者 李雅婷
Lee, Ya-Ting貢獻者 陳桂恒
Chan, Kwei-Hang
李雅婷
Lee, Ya-Ting關鍵詞 標準必要專利
公平合理無歧視
拒絕授權
關鍵設施理論
誠信協商
合理權利金
SEP
FRAND
Refusal of license
Essential facilities doctrine
Good-faith negotiation
Reasonable loyalty日期 2018 上傳時間 3-Sep-2018 16:01:57 (UTC+8) 摘要 隨著行動通訊技術革新,人類的生活方式產生前所未有的巨大變化,而行動通訊因具備兼容性之特質,為求相關技術之效率與普及,目前主流作法係藉由國際標準制定組織依據一定的組織規章制定行動通訊標準,並且為了防免標準必要專利權人濫用其市場支配地位而有害於創新與市場競爭,標準制定組織規定其應遵孚智慧財產政策以及FRAND授權承諾,惟FRAND授權制度因其定義未明等原因,在國際授權實務上產生諸多競爭法爭議。 故本研究係自專利與標準必要專利FRAND授權制度出發,研究美國、日本、歐盟、我國以及中國大陸相關之競爭法規範,再核心討論目前國際主流國家對高通案之處置情形,接著由標準必要專利授權所產生之競爭法重要爭議中選取標準必要專利權人拒絕授權、專利箝制以及合理授權金此三大議題,分析近年來國際主流見解,最終基於前述研究內容進行綜合討論,並對於台灣在基頻晶片產業現況與FRAND授權制度之中,提出可能的應對方案,期許能夠對於未來日趨多變之基頻晶片領域提供一些討論方向。
With the innovation of mobile communication technology, it has brought unprecedented changes to the lifestyle of human beings. Because of the compatibility of mobile communication, to the efficiency and popularity of related technologies, the mains tream is setting Standard of Essential Patents (SEPs) by Standard-setting Organization (SSO). And in order to prevent the SEP holders abuse of market dominance and being harmful to the innovation incentive and competition, the SEP holder must abide by the intellectual property policy and FRAND license terms of SSO. However, because of the ambiguous definition of FRAND, there are many disputes in competition law when licensing. This research will starts from the patent and SEPs, FRAND terms, the relevant competition regulations of the United States, Japan, the European Union, Taiwan and China, and then focus on the current situation of the international mainstream countries in the Qualcomm case, then discuss three vital disputes of the competition law cause by SEP licensing—refusal of license, patent hold-up and good-faith negotiation, reasonable loyalty, and analyze the mainstream opinions internationally in the recent years. In the conclusion, there will be comprehensive discussions based on the contents mentioned above for Taiwan. 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Retrieved May 13 2018, from: https://www.qualcomm.com/news/releases/2017/08/10/qualcomm-enhance-development-taiwans-wireless-ecosystem-through-qualcomm23.Taiwan’s 5G Value Chain Expected to Output $134 billion and Support 510K jobs in 2035 (2017/8/10), Qualcomm Press Announcements, Retrieved May 13 2018, from: https://www.qualcomm.com/news/releases/2017/08/10/taiwans-5g-value-chain-expected-output-134-billion-and-support-510k-jobs24.Gottfried Schüll, International report - The Dusseldorf World Patent Court?(2012/4/18), Retrieved Apri. 9 2018, from: http://www.iam-media.com/reports/Detail.aspx?g=adfe3855-9a8f-4dd8-97a4-974716411f0125.Dr. Stefan M. Zech, Jochen Kilchert, Dr. Stephan Held, Christian Hess, Tilman Pfrang and Dr. Tobias Wuttke, Patent enforcement through the courts in Germany(2018/2/19), Retrieved Apr. 9 2018, from: https://www.lexology.com/library/detail.aspx?g=b12d6f05-d05a-47fc-b7b0-e6c3dcfd1aaa26.Aaron Tilley (2017/1/20). Apple Sues Qualcomm For $1 Billion, Alleging Extortion, Forbes, Retrieved Jun 7 2018, from: https://www.forbes.com/sites/aarontilley/2017/01/20/apple-sues-qualcomm-for-1-billion-over-royalties/#1819729d41f5三、日文文獻(一)書籍丸島儀一(2011)。知的財産戦略―技術で事業を強くするために。東京:ダイヤモンド社。(二)報告與官方文件1.不公正な取引方法に関する基本的考え力(昭和57年),獨占禁止法研究會,6-7。2.ICT 国際標準化推進ガイドライン(2008)。研究開発・標準化戦略委員会,日本総務省, http://www.soumu.go.jp/main_sosiki/joho_tsusin/policyreports/joho_tsusin/kenkyu_kaihatsu/pdf/080606_1_sa7.pdf,14-16。3.知的財産の利用に関する独占禁止法上の指針,(平成28年1月21日)。公正取引委員會。參見: http://www.jftc.go.jp/dk/guideline/unyoukijun/chitekizaisan.html。(三)期刊平山賢太郎 (2014)。独禁法から考える 知的財産権ライセンス拒絶.差止請求,13-14,パテント Vol.67 No.12。(四)判決與行政處分1.知財高裁平成25年(ネ)第10043号。2.公正取引委員会平成21年排除措置命令書(措)第22号。(五)網際網路独占禁止法研究会の開催について(平成28年2月10日),公正取引委員会,參見:https://www.jftc.go.jp/houdou/pressrelease/h28/feb/160210_3.html (最終瀏覽日:2018/8/19)。 描述 碩士
國立政治大學
科技管理與智慧財產研究所
104364217資料來源 http://thesis.lib.nccu.edu.tw/record/#G0104364217 資料類型 thesis dc.contributor.advisor 陳桂恒 zh_TW dc.contributor.advisor Chan, Kwei-Hang en_US dc.contributor.author (Authors) 李雅婷 zh_TW dc.contributor.author (Authors) Lee, Ya-Ting en_US dc.creator (作者) 李雅婷 zh_TW dc.creator (作者) Lee, Ya-Ting en_US dc.date (日期) 2018 en_US dc.date.accessioned 3-Sep-2018 16:01:57 (UTC+8) - dc.date.available 3-Sep-2018 16:01:57 (UTC+8) - dc.date.issued (上傳時間) 3-Sep-2018 16:01:57 (UTC+8) - dc.identifier (Other Identifiers) G0104364217 en_US dc.identifier.uri (URI) http://nccur.lib.nccu.edu.tw/handle/140.119/119966 - dc.description (描述) 碩士 zh_TW dc.description (描述) 國立政治大學 zh_TW dc.description (描述) 科技管理與智慧財產研究所 zh_TW dc.description (描述) 104364217 zh_TW dc.description.abstract (摘要) 隨著行動通訊技術革新,人類的生活方式產生前所未有的巨大變化,而行動通訊因具備兼容性之特質,為求相關技術之效率與普及,目前主流作法係藉由國際標準制定組織依據一定的組織規章制定行動通訊標準,並且為了防免標準必要專利權人濫用其市場支配地位而有害於創新與市場競爭,標準制定組織規定其應遵孚智慧財產政策以及FRAND授權承諾,惟FRAND授權制度因其定義未明等原因,在國際授權實務上產生諸多競爭法爭議。 故本研究係自專利與標準必要專利FRAND授權制度出發,研究美國、日本、歐盟、我國以及中國大陸相關之競爭法規範,再核心討論目前國際主流國家對高通案之處置情形,接著由標準必要專利授權所產生之競爭法重要爭議中選取標準必要專利權人拒絕授權、專利箝制以及合理授權金此三大議題,分析近年來國際主流見解,最終基於前述研究內容進行綜合討論,並對於台灣在基頻晶片產業現況與FRAND授權制度之中,提出可能的應對方案,期許能夠對於未來日趨多變之基頻晶片領域提供一些討論方向。 zh_TW dc.description.abstract (摘要) With the innovation of mobile communication technology, it has brought unprecedented changes to the lifestyle of human beings. Because of the compatibility of mobile communication, to the efficiency and popularity of related technologies, the mains tream is setting Standard of Essential Patents (SEPs) by Standard-setting Organization (SSO). And in order to prevent the SEP holders abuse of market dominance and being harmful to the innovation incentive and competition, the SEP holder must abide by the intellectual property policy and FRAND license terms of SSO. However, because of the ambiguous definition of FRAND, there are many disputes in competition law when licensing. This research will starts from the patent and SEPs, FRAND terms, the relevant competition regulations of the United States, Japan, the European Union, Taiwan and China, and then focus on the current situation of the international mainstream countries in the Qualcomm case, then discuss three vital disputes of the competition law cause by SEP licensing—refusal of license, patent hold-up and good-faith negotiation, reasonable loyalty, and analyze the mainstream opinions internationally in the recent years. In the conclusion, there will be comprehensive discussions based on the contents mentioned above for Taiwan. In the current situation of the baseband chip industry and the FRAND licensing terms, a possible solution will be proposed to provide insights for the fast-changing future of baseband chips industry. en_US dc.description.tableofcontents 第一章、緒論 1第一節、研究動機 1第二節、研究目的 7第三節、研究範圍 8第四節、研究方法與研究限制 8第五節、研究架構 9第二章 文獻探討 12第一節 專利與專利授權 12第一項、專利 12第二項、專利授權 14第二節 標準必要專利與FRAND授權制度 14第一項、產業標準 14第一款、產業標準之產生 14第二款、產業標準之類型 17第二項、標準制定組織、標準必要專利與FRAND授權制度 18第一款、標準制定組織 19第二款、標準必要專利 21第三款、標準制定組織之智慧財產權政策與FRAND授權義務 22第三項、專利授權與競爭法之關係 27第三節 主要先進國家與FRAND授權相關之競爭法規範 28第一項、美國 28第二項、日本 30第三項、歐盟 32第四項、台灣 34第五項、中國大陸 35第四節 行動通訊產業與基頻晶片市場 38第一項、前言 38第二項、行動通訊產業概述 39第三項、行動通訊標準演進過程 42第四項、基頻晶片產業概況 47第一款、基頻晶片產業簡介 47第二款、高通公司概況 47第三款、高通之基頻晶片商業模式與競爭態樣 51第三章 高通公司基頻晶片裁罰案研究 56第一節、前言 56第二節、高通公司受裁罰案與國際耗盡原則 56第三節、高通裁罰與訴訟案分析 58第一項、2009年日本公平會處分案 58第二項、2015年中國發改委裁罰案 59第一款、案件背景 59第二款、裁罰內容 60第三款、後續發展 65第三項、2016年南韓公平會裁罰案 65第一款、案件背景 65第二款、裁罰內容 67第三款、後續發展 73第四項、2017年美國聯邦貿易委員會對高通訴訟案 74第一款、案件背景 74第二款、裁決內容 75第三款、後續發展 80第五項、2017年台灣公平會裁罰案 80第一款、案件背景 80第二款、裁罰內容 80第三款、後續發展 91第六項、2018年歐盟執委會裁罰案 95第一款、案件背景 95第二款、裁罰內容 97第三款、後續發展 99第六項、小結 99第四章 高通案所涉及之競爭法議題研究 104第一節、標準必要專利與關鍵設施理論 104第一項、標準必要專利授權與濫用市場獨占地位 104第二項、標準必要專利之拒絕授權與關鍵設施理論 107第二節、標準必要專利之競爭法議題-專利箝制與磋商程序 111第一項、前言 111第二項、目前實務上對於專利箝制所採見解-授權磋商之雙方義務 114第三節、標準必要專利之競爭法議題-合理權利金與合理授權條件 117第一項,前言 117第二項、合理權利金 117第一款、合理權利金之計算基礎(loyalty base) 117第二款、合理權利金之授權比例(loyalty rate) 119第三項、合理授權條件 122第一款、綑綁授權 122第二款、獨家折讓條款 123第五章 綜合討論 125第一節、從標準必要專利授權制度本身觀察 125第二節、從標準必要專利授權制度所產生之競爭法議題觀察 126第一項、標準必要專利授權制度之利益平衡 126第一款、以標準必要專利權人立場觀之 126第二款、以標準必要專利權潛在被授權人立場觀之 127第三款、其他 128第二項、標準必要專利授權制度之未來展望 128第三節、台灣技術授權市場之現況 129第四節、我國裁罰案之必要性與影響 130第六章 結論與建議 132第一節 結論 132第二節 建議與未來展望 135第一項、法規面之調整必要性 135第二項、於標準制定生態中的生存策略 135第三項、於國際主流標準必要專利授權與競爭法趨勢下之應對方案 136參考文獻 138 zh_TW dc.format.extent 2455144 bytes - dc.format.mimetype application/pdf - dc.source.uri (資料來源) http://thesis.lib.nccu.edu.tw/record/#G0104364217 en_US dc.subject (關鍵詞) 標準必要專利 zh_TW dc.subject (關鍵詞) 公平合理無歧視 zh_TW dc.subject (關鍵詞) 拒絕授權 zh_TW dc.subject (關鍵詞) 關鍵設施理論 zh_TW dc.subject (關鍵詞) 誠信協商 zh_TW dc.subject (關鍵詞) 合理權利金 zh_TW dc.subject (關鍵詞) SEP en_US dc.subject (關鍵詞) FRAND en_US dc.subject (關鍵詞) Refusal of license en_US dc.subject (關鍵詞) Essential facilities doctrine en_US dc.subject (關鍵詞) Good-faith negotiation en_US dc.subject (關鍵詞) Reasonable loyalty en_US dc.title (題名) 從基頻晶片產業探討於標準必要專利FRAND授權制度中之應對之道—以Qualcomm受裁罰案為中心 zh_TW dc.title (題名) A Study of the Way to Deal with the FRAND Licensing Terms of Standard Essential Patents from the Baseband Chips Industry—Focusing on Case of Qualcomm en_US dc.type (資料類型) thesis en_US dc.relation.reference (參考文獻) 一、中文文獻(一)書籍1.陳敏,(2007)。行政法總論。台北:新學林。2.王居尉,(2009)。行動通訊導論。台北:學貫。3.黃銘傑,(2009)。競爭法與智慧財產權法之交會-相生與相剋之間。台北:元照。4.楊智傑,(2014)。專利法。台北:新學林。5.曾勝珍,(2015)。圖解智慧財產權。台北:五南圖書。6.劉孔中,(2015)。解構智財法及其與競爭法的衝突與調和。台北:新學林。7.洪德欽等,(2015)。歐盟法之基礎原則與實務發展(上)。台北:臺大出版中心。8.周延鵬、張淑真、曾志偉、汪忠輝,(2015)。致富密碼:智慧財產運營及貨幣化。台北:天下雜誌。9.曾恕銘,(2016)。無線通訊系統概論:行動通訊與網路。台北:台灣東華。10.劉尚志、陳在方,(2017)。台灣科技產業美國專利訴訟30年之回顧。台北:元照。11.劉尚志、李偉綺、呂柔慧,(2018)。專利評價與損害賠償。台北:元照。(二)期刊論文1.劉孔中、簡維克,(2009)。CD-R案之解析與評釋-以公平法與專利強制授權為重心。公平交易季刊,第17卷第1期。頁1-38。2.林平,(2015)。標準必要專利FRAND許可的經濟分析與反壟斷啟示。財經問題研究,6,3-12。3.楊宏暉,(2015)。標準關鍵專利之濫用與限制競爭。公平交易季刊,第23卷第4期,頁35-86。4.陳皓芸,(2015)。標準必要專利權之行使、權利濫用與獨占地位濫用。公平交易季刊,第25卷第1期,頁81-130。5.沈宗倫,(2017)。標準必要專利之法定授權與專利權濫用──以誠實信用原則為中心。政大法學評論,第149期,頁1-83。6.楊智傑,(2018)。高通行動通訊標準必要專利授權與競爭法:大陸、南韓、歐盟、美國、臺灣裁罰案之比較。公平交易季刊,第26卷第2期,頁1-54。7.盧憶,(2018)。通信技術標準下的專利許可爭議-以美國法為例。法治現代化研究,2018年第2期,頁159-172。(三)碩博士學位論文1.邱筱婷 (2011)。行動通訊產業軟硬體整合策略分析。國立政治大學商管專業學院碩士學位學程碩士學位論文。2.李兆國 (2003)。標準制定組織及標準專利權之爭議。國立交通大學科技法律研究所碩士論文。(四)行政處分與法院判決1.公平交易委員會公處字第095156號處分書。2.公平交易委員會處分書公處字第106094號。3.中華人民共和國國家發展和改革委員會行政處罰決定書發改辦價監處罰〔2015〕1號。4.智慧財產法院106年度民暫字第10號裁定。(五)網際網路1.中華人民共和國國家工商行政管理總局令,關於禁止濫用智慧財產權排除、限制競爭行為的規定,上網日期2018年5月21日。檢自:http://home.saic.gov.cn/fgs/zcfg/201507/t20150721_192800.html2.中國國務院反壟斷委員會,關於濫用智慧財產權的反壟斷指南(徵求意見稿),上網日期2018年5月21日,檢自:http://images.mofcom.gov.cn/fldj/201703/20170323141351774.doc3.中央銀行經濟研究處 (2018年2月),中華民國國際收支平衡表季報,上網日期2018年5月21日,檢自:https://www.cbc.gov.tw/public/Attachment/822316242771.pdf4.中華人民共和國國家發展和改革委員會,國務院關於印發《中國製造 2025》的通知,上網日期2018年3月15日,檢自:http://iknow.stpi.narl.org.tw/Post/Files/%E4%B8%AD%E5%9C%8B%E5%A4%A7%E9%99%B8%E5%9C%8B%E5%8B%99%E9%99%A2%E9%97%9C%E6%96%BC%E5%8D%B0%E7%99%BC%E3%80%8A%E4%B8%AD%E5%9C%8B%E8%A3%BD%E9%80%A02025%E3%80%8B%E7%9A%84%E9%80%9A%E7%9F%A5.pdf5.中華人民共和國國家發展和改革委員會,國家發展改革委對高通公司壟斷行為責令整改並罰款60億元,上網日期2018年1月3日,檢自:http://www.ndrc.gov.cn/xwzx/xwfb/201502/t20150210_663822.html6.邱金蘭,高通裁罰案 經濟部槓公平會,聯合新聞網,上網日期2018年4月11日,檢自:https://udn.com/news/story/7240/2763275?from=crm4-referralnews_ch2artbottom7.張建中,工研院證實高通暫停5G合作 影響評估中。中央通訊社,上網日期2018年4月11日,檢自:http://www.cna.com.tw/news/ait/201710250150-1.aspx8.賴佩璇,經濟部批評公平會裁罰高通 科法學者:逾越行政權限,聯合新聞網,上網日期2018年4月11日,檢自:https://udn.com/news/story/7321/27827679.林菁樺 (20118/4/11),經長︰與高通5G合作案 已恢復,自由時報,上網日期2018年4月11日,檢自:http://news.ltn.com.tw/news/business/paper/117167610.黃珮君。林百里批高通案對產業不利 經長:將再約高通談,自由時報,上網日期2018年3月19日,檢自:http://news.ltn.com.tw/news/business/breakingnews/225397211.潘姿羽,金價罰鍰近在眼前,公平會:高通已陸續匯入台灣,經濟日報,上網日期2018年3月14日,檢自:https://udn.com/news/story/7240/290982912.公平交易委員會新聞資料 (2017/10/11)。公平交易委員會,上網日期2018年月日,檢自:https://www.ftc.gov.tw/internet/main/doc/docDetail.aspx?uid=126&docid=15235.13.張煌仁 (2015/9/22),WiMAX業者:政府騙了我們,ETToday新聞雲,上網日期2018年5月14日,檢自:https://www.ettoday.net/news/20150922/568432.htm14.曲建仲 (2014/9/29)。你真的都搞懂了嗎?數位通訊新世代,科學月刊,上網日期2018年5月14日,檢自:http://scimonth.blogspot.tw/2014/09/blog-post_3.html二、英文文獻(一)專書Steven Anderman and Ariel Ezrachi, (2011). 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