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研究生：	林千琪 Lin, Chien-Chi
論文名稱：	高科技產業共同研發行為之研究-歐盟與台灣競爭法比較 A Study of Joint R&D in High-Tech Industries:From the Perspectives of Competition Law in European Union and Taiwan
指導教授：	陳俊仁 Chen, Chun-Jen
學位類別：	碩士 Master
系所名稱：	社會科學院 - 科技法律研究所 Institute of Law in Science and Technology
論文出版年：	2009
畢業學年度：	97
語文別：	英文
論文頁數：	124
外文關鍵詞：	Article 81 of the EC Treaty, Taiwan Fair Trade Commission, Article 81(3) of the EC Treaty, hardcore restrictions, R&D Block Exemption, EC Competition Law, joint R&D, block exemption, Taiwan Fair Trade Law
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Traditionally, Taiwan’s economic growth depends upon labor-intensive manufacturing industries, but nowadays it greatly relies on high-tech industries. To meet the global competition, high-tech technology has to undertaken innovation in each aspect: management, product, manufacture process, marketing and services, etc.
Joint R&D is a popular solution to provide continuous innovation. A joint R&D by definition is a joint action. In Taiwan, such joint action is subject to the approval of Fair Trade Commission before executing. However, the procedural requirements for application of approval of exceptions are simply burdensome and time-consuming (an average of three months, and subject to a three-month extension, if deemed necessary). Let alone the time required for preparing for the cumbersome application documents, the waiting period for processing the review by the Fair Trade Commission usually lasts for more than two months and may be as long as six months. Corporations (Corporate participants) who undertake joint action must wait until the approval of the Fair Trade Commission before proceeding to joint R&D. Obviously, this system of advance review for approval is not in line with the rapid change in the high-tech industries. It goes without saying that this system will affect the advancement of the high-tech industries.
Thus, the Thesis recommends that joint R&D should not be regarded as the joint actions as prescribed under the anti-competition laws. A block exemption system should be adopted to better serve the industrial needs, which in turn will benefit the national economy and the society as a whole. Thus, this Thesis calls for the reform of Article 14 and proposes of amendments Article 14-1 of the Taiwan Fair Trade Law.
In addition, the joint R&D Block Exemption originally provided by the EC in 1971 may serve as a guideline. After execution for a period of 30 years and being revised in 2000, the rules are defined more clearly and complete. Accordingly, this Thesis incorporates the EC block exemption as a basis, and excludes some special rules which are only applied to the EC to propose a Taiwan joint R&D Block Exemption Regulation.

ABSTRACT	I
CHAPTER 1 INTRODUCTION	1
1 Purposes of the Research	1
2 Research Scope and Methods	2
3 Framework	3
CHAPTER 2 JOINT R&D IN HIGH-TECH INDUSTRIES	4
1 High-Tech Industries in Taiwan	4
2 The Advantages of Joint R&D in High-Tech Industries	5
2.1 Setting Standard	5
2.2 Keeping Pace with Technological Changes	7
2.3 Obtaining Capital and Share the Risk	10
2.4 Accessing the Global Market	11
CHAPTER 3 THE HISTORY AND THE COMPETITION LAW OF THE EUROPEAN UNION	13
1 The History and Growth of the European Union	13
2 The Institutions of the EC	14
2.1 The Council	14
2.2 The Commission	15
2.3 Parliament	17
2.6 The Court of First Instance	18
2.7 The Court of Justice	18
2.8 The Competition Authorities of the Member States	19
2.9 National Courts	22
3 The EC Competition Law	23
3.1 Introduction	23
3.2 Article 81 and 82 of the EC Treaty	24
CHAPTER 4 ARTICLE 81 OF EC TREATY	28
1 The Definition of Undertaking	30
2 Forms of Prohibited Conduct	31
2.1 Agreement	31
2.2 Decisions by Associations of Undertakings	34
2.3 Concerted Practices	35
2.4 Distinction Between Concerted Practices and Agreements	36
3 Restriction of Competition	37
3.1 Restriction by Object or Effect	37
3.2 Appreciable Restriction of Competition	41
CHAPTER 5 EXEMPTION FROM THE PROHIBITION – ARTICLE 81(3) OF THE EC TREATY	45
1 Introduction	45
2 General Principles	45
(a) Four Substantive Conditions are all Fullfilled	46
(b) Hardcore Restrictions	46
3 The Application of the Four Conditions of Article 81(3)	47
3.1 First Condition: Efficiency Gains	48
3.2 Second Condition: Fair Share for Consumers	51
3.3 Third Condition: Indispensability of the Restrictions	57
3.4 Fourth Condition: No Elimination of Competition	59
4 Block Exemptions	61
CHAPTER 6 R&D BLOCK EXEMPTION IN THE EC	63
1 Introduction	63
2 The Horizontal Guidelines for Assessing Whether an R&D Agreement falls within Article 81(1)	64
2.1 Agreements that Generally Do Not Constitute a Restriction or Distortion of Competition under Article 81(1)	65
2.2 Agreements That Almost Always Constitute a Restriction or Distortion of Competition under Article 81(1)	67
2.3 Factors Used to Determine Whether R&D Agreements Constitute a Restriction or Distortion of Competition under Article 81(1)	68
3 R&D Agreements Block Exemption	71
3.1 Prerequisites for the Grant of the Exemption	71
3.2 Threshold Conditions for Exemption	72
3.3 Market Share Threshold and Duration of Exemption	75
3.4 Hardcore Restrictions	79
3.5 Scope of the Exemption - Ancillary Restrictions Covered	83
3.6 Withdrawal of the Exemption	84
4 The Horizontal Guidelines for Assessing Whether an R&D Agreement falls within Article 81(3)	85
4.1 Creation of Benefits that are Passed on to Consumers	86
4.2 No Elimination of Competition	87
4.3 Time of the Assessment and Duration of the Individual Exemption	88
CHAPTER 7 THE REGULATIONS IN TERMS OF JOINT R&D UNDER TAIWAN FAIR TRADE LAW	89
1 Introduction	89
2 The Conditions of Joint Action	90
(a) Horizontal Competing Undertakings	91
(b) Mutual Understanding	92
(c) The Specific Contents	93
(d) Which Would Affect the Market Function	93
3 The Conditions for Legal Exception	94
(a) The Actions Must be Helpful and Beneficial to Whole Economic and Public Interests	95
(b) Forms of Legal Exception	95
(c) Prior Approval by Fair Trade Commission	97
4 The Conditions of Joint R&D for Legal Exception	98
CHAPTER 8 THE COMPARISON BETWEEN TAIWAN FAIR TRADE LAW AND EC COMPETITION LAW AND THE POSSIBILITY TO ADOPT R&D BLOCK EXEMPTION REGULATION IN TAIWAN	101
1 The Comparison between Taiwan Fair Trade Law and EC Competition Law	101
1.1 The Comparison in Terms of Article 14 of the Taiwan Trade Law and Article 81 of the EC Treaty	101
1.2 The Comparison of Execution	106
2 The Possibility to Adopt R&D Block Exemption Regulation in Taiwan	108
2.1 Proposed Amendments of the Fair Trade Law Concerning Joint Action	110
2.2 Proposed Joint R&D Block Exemption Regulation	112
CHAPTER 9 CONCLUSION	118
BIBLIOGRAPHY	121
                                    

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校內：2011-02-10公開
校外：2011-02-10公開

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