Intellectual property and competition law / edited by Peter Chrocziel, Moritz Lorenz and Wolrad Prinz zu Waldeck und Pyrmont.
2016
KJC6497 .I58 2016 (Map It)
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Title
Intellectual property and competition law / edited by Peter Chrocziel, Moritz Lorenz and Wolrad Prinz zu Waldeck und Pyrmont.
Published
Alphen aan den Rijn, the Netherlands : Kluwer Law International B.V., [2016]
Call Number
KJC6497 .I58 2016
ISBN
9789041166692 (hardback)
9041166696 (hardback)
9041166696 (hardback)
Description
xxi, 369 pages ; 25 cm
System Control No.
(OCoLC)950893252
Bibliography, etc. Note
Includes bibliographical references and index.
Available in Other Form
Online version: Intellectual property and competition law. Alphen aan den Rijn, the Netherlands : Kluwer Law International B.V., [2016] (OCoLC)971982449
Record Appears in
Table of Contents
Editors
v
Contributors
vii
Preface
xix
Foreword
xxi
ch. 1
Introduction / Wolrad Prinz zu Waldeck und Pyrmont
1
1.01.
Key Principles of Intellectual Property Law
1
[A].
Characteristics of Intellectual Property Rights
2
[B].
Purpose and Theoretical Justifications
3
[1].
Natural Rights Theory
4
[2].
Reward Theory
4
[3].
Utilitarian Based Incentive Theories
5
[4].
Disclosure Theory
6
[C].
Importance of Intellectual Property Rights
6
[D].
Balancing within the IP System
8
[E].
European Policy Objectives and Activities
10
[1].
Harmonising Legislation
10
[2].
General Political Agenda towards IP
11
[F].
Public Perception and Acceptance of IP
12
1.02.
Lifecycle of Intellectual Property Rights in Brief
13
[A].
Obtaining Intellectual Property Rights
13
[B].
Maintaining Intellectual Property Rights
14
[C].
Exploiting Intellectual Property Rights
15
1.03.
Key Principles of European Competition Law
16
[A].
Purpose
16
[B].
Background: The Relevant European Treaties
17
[1].
European Coal and Steel Community (ECSC)
17
[2].
European Economic Community (EEC)
18
[3].
European Union (EU)
19
[4].
Lisbon Treaty
19
[C].
Key Provisions of European Competition Law
19
[1].
Article 101 TFEU: Cartels
20
[2].
Block Exemption Regulations
21
[3].
Article 102 TFEU: Abuse of a Dominant Position
22
[4].
Articles 34-36 TFEU: Free Movement of Goods
23
[5].
Merger Control
24
1.04.
Commission's Approach to Competition Law
24
[A].
Development in the Early Years
25
[B].
Adoption of Regulation (EEC) No. 17/62
25
[C].
Adoption of Block Exemption Regulations
27
[D].
Tetra Pak as a Shock to the Profession
28
[E].
Commission's More Economic Approach
29
[F].
Regulation (EC) No. 1/2003: The Paradigm Shift
29
[G].
From Volvo v. Veng to Motorola
30
[1].
Volvo v. Veng
30
[2].
IMS Health
31
[3].
AstraZeneca
32
[4].
Motorola Mobility
32
ch. 2
European Union Law / Wolrad Prinz zu Waldeck und Pyrmont
33
2.01.
Phase 1: Prosecution of IPR
33
[A].
Uncontrolled Prosecution
33
[B].
Pharmaceutical Sector Inquiry
34
[1].
Aims
34
[2].
Legal Basis
35
[3].
Final Report
35
[a].
Market Structure
36
[b].
Product Life Cycle Management
36
[c].
Competition between Originator Companies and Generic Companies
37
[i].
Patent Clusters
37
[ii].
Divisional Patent Applications
37
[iii].
Effect of these Instruments
38
[d].
Competition between Originator Companies
38
[i].
`Smoke Screen Patenting'
39
[ii].
`Defensive Patenting'
39
[iii].
Effects of these Instruments
39
[e].
Conclusion of the European Commission
40
[f].
Comment and Annual Reports (Especially on Reverse Payments): Patent Settlements
41
[C].
Boehringer Ingelheim Procedure COMP/39246 -Boehringer/Almirall
45
[1].
Starting Point
45
[2].
Comment
46
[D].
AstraZeneca Case
47
[1].
Judgment of the Court of Justice of the EU
47
[2].
Comment
49
[E].
Resume
49
2.02.
Phase 2: Transfer of IPR
51
[A].
Types of Transfer
51
[1].
Assignment
51
[a].
Characteristics
51
[b].
Relevance
52
[i].
Patent Pools
52
[ii].
M&A Deals
54
[2].
Licensing
55
[a].
Characteristics
55
[b].
Types
56
[i].
Exclusive
56
[ii].
Sole
57
[iii].
Non-exclusive
57
[c].
Competition Law Issues
57
[3].
Sales Agreement versus Actual Transfer
57
[B].
Applicability of Merger Control
57
[C].
Applicable Provisions
59
[1].
Article 101 TFEU
60
[a].
Undertaking
60
[b].
Infringing Conduct
60
[c].
Examples
61
[d].
Exemption
61
[2].
Technology Transfer Block Exemption Regulation
62
[a].
Overview
62
[b].
Applicability
63
[c].
Market Share Thresholds
64
[d].
Hardcore Restrictions
64
[e].
TTBER as Safe Haven?
66
[3].
Relation with the Block Exemption Regulation on Specialisation and R&D Agreement
66
[D].
Conclusions
67
2.03.
Refusal to License
68
[A].
Overview
68
[1].
What Does Article 102 TFEU Provide?
68
[a].
Dominant Position
69
[i].
Definition
69
[ii].
Relevant Market
69
[b].
Abuse
70
[2].
Obligation to License
71
[B].
Case Law
72
[1].
Volvo
72
[a].
Background
72
[b].
Summary
73
[c].
Facts
73
[d].
Issues
74
[e].
Decision
74
[f].
Evaluation
75
[2].
Magill
76
[a].
Background
76
[b].
Summary
76
[c].
Facts
77
[d].
Issues
78
[e].
Decision
78
[3].
Bronner
80
[4].
IMS Health
80
[5].
Microsoft
84
[6].
Recent Confirmations of the Conditions for Access to IPRs
85
[C].
Licensing of SEPs
85
[1].
Motorola and Samsung
86
[a].
Common Background
86
[b].
German `Orange Book Standard'
87
[c].
Motorola
88
[i].
Facts
88
[ii].
Summary
88
[iii].
Decision
88
[d].
Samsung
90
[i].
Facts
90
[ii].
Summary
91
[iii].
Decision
91
[e].
Common Evaluation
92
[2].
Huawei v. ZTE
93
[a].
Facts
93
[b].
Issues
93
[c].
Summary
95
[d].
Decision
95
[e].
Evaluation
96
[D].
Summary
98
2.04.
Summary and Outlook: What Are the Ground Rules?
98
ch. 3
Germany / Moritz Lorenz
101
3.01.
Introduction
101
[A].
German IP Law
102
[1].
Patent Law
102
[2].
Copyright Law
103
[3].
Trademark Law
103
[B].
German Competition Law
104
3.02.
Transfer of IP Rights
105
[A].
Agreements regarding the Sale or Licensing of Patents
105
[1].
Developments until 2005
105
[2].
Assessment under Current German Competition Law
107
[B].
Agreements regarding the Transfer of Trademarks and Copyrights
107
[C].
Transfer of IP Rights and Merger Control
108
[D].
Refusal to License
108
[1].
Compulsory Licences under German Competition Law
109
[2].
Compulsory Licence Defence
111
[a].
Background
111
[b].
Orange Book Standard Decision by the FCJ
112
[c].
Aftermath of Orange Book Standard
114
[d].
Recent Developments
115
[E].
Refusal to Obtain a License: The German Google Case
117
3.03.
Settlement Agreements and Delimitation Agreements
118
[A].
Settlement of IP Rights Disputes
118
[B].
Trademark Delimitation Agreements
121
[C].
Obtaining a Licence for a Patent Later Revoked
123
ch. 4
United Kingdom / Marc Dominic Mimler
125
4.01.
Introduction
125
[A].
Intellectual Property Law in the United Kingdom
126
[1].
Patent Law
127
[2].
Copyright Law
127
[3].
Trade Mark Law
128
[B].
Competition Law in the United Kingdom
128
4.02.
Transfer of IP Rights
130
[A].
Agreements regarding the Sale or Licensing of Patents
131
[B].
Agreements regarding the Transfer of Trade Marks and Copyrights
132
[C].
Transfer of IP Rights and Merger Control
133
[D].
Refusal to License Intellectual Property Rights
134
[1].
Pre-competition Act 1988 Scenario
134
[2].
Application of `Euro-Defences'
136
[3].
Standard-Essential Patents
137
[4].
Compulsory Licensing under the UK Patents Act 1977
141
4.03.
Settlement Agreements and Delimitation Agreements
142
ch. 5
Netherlands / Elske Raedts
145
5.01.
General Overview
145
[A].
Relevant Law
146
[1].
Intellectual Property Law
146
[a].
Sources of Patent law
146
[b].
Sources of Copyright Law
147
[c].
Sources of Trademark Law
147
[2].
Competition Law
147
[a].
Sources of Competition Law
147
5.02.
General Relationship between Intellectual Property Law and Competition Law in the Netherlands
149
[A].
Interplay between Intellectual Property Law and Competition Law
149
[1].
Agreements regarding the Transfer of IP Rights
149
[2].
Other Applicable Block Exemptions
150
5.03.
Refusal to License
150
[A].
Refusal to License and Abuse of Dominance
150
[B].
Refusal to License in Relation to Patents
151
[1].
Duty to License under Competition Law: An Issue of Patent Enforcement
151
[a].
Philips/SK Kassetten
152
[b].
Apple v. Samsung - Preliminary injunction proceedings
153
[c].
Apple v. Samsung - Proceedings on the Merits
154
[d].
ZTE v. Vringo
155
[e].
Conclusion
155
ch. 6
United States / Elizabeth M. Zito
157
6.01.
Introduction
157
[A].
US IP Law
158
[1].
Patent Law
158
[2].
Trademark Law
160
[3].
Copyright Law
161
[B].
US Competition Law
162
[1].
Sherman Act
162
[2].
Clayton Act
164
[3].
FTC Act
165
6.02.
Areas of Overlap
166
[A].
Patent Settlements Involving `Reverse Payments'
166
[1].
Judicial Treatment of Reverse Payments before Actavis
167
[2].
Actavis Decision
168
[3].
Post-Actavis Developments
168
[B].
`Patent Hopping'
171
[C].
Standards and SEPs
175
[1].
Exclusionary Conduct by SSOs, SDOs and Their Members
175
[2].
SEP Acquisitions
178
[3].
DOJ Forgoes Challenge to Proposed SSO Policy Revisions
180
[D].
Patent Trolls
182
ch. 7
China / Timothy Lamb
185
7.01.
Introduction
185
7.02.
Relevant Legal and Regulatory Framework
186
[A].
Intellectual Property Law
186
[1].
Sources of Patent Law
187
[2].
Sources of Copyright Law
187
[3].
Sources of Trade Mark Law
187
[B].
Competition Law Framework: The AML and Beyond
188
[1].
Brief Overview
188
[2].
Anti-monopoly Law
188
[3].
Antitrust Agencies under the AML and the Evolving Enforcement Priorities
189
[4].
Specific Competition Rules Dealing with the Exercise of IP Rights
190
7.03.
Interplay between IP Rights and Competition Law in Practice
192
[A].
Assessing Dominance in China under the AML as Applied to IP Rights
192
[1].
Criteria for Establishing Dominance in China and Application to IP Rights
192
[2].
Relevant Market Definition in Relation to Intellectual Property Rights
193
[B].
Assessing Abuse in China under the AML as Applied to IP Rights
195
[1].
Refusal to Supply and Compulsory Licensing
195
[2].
Availability of Injunctions in Relation to FRAND-Encumbered SEPs
198
[3].
Tying and Bundling: The Emerging Practice
200
[4].
Excessive Pricing and Discriminatory Pricing: The Willingness of the Authorities to Regulate Pricing
201
[5].
Willingness to Set the FRAND Rate?
202
[6].
Examples of Other Terms Susceptible to Scrutiny by the Chinese Courts and Antitrust Agencies
202
7.04.
Conclusion
203
Appendices: Major Antitrust Regulations dealing with IP Rights
205
Appendix I
Treaty on the Functioning of the European Union (Excerpts)
207
Appendix II
Commission Notice on agreements of minor importance which do not appreciably restrict competition under Article 101 (1) TFEU (De Minimis Notice)
213
Appendix III
Commission notice on the definition of relevant market for the purposes of Community competition law
219
Appendix IV
Commission Regulation (EU) No 330/2010 of 20 April 2010 on the application of Article 101 (3) TFEU to categories of vertical agreements und concerted practices
233
Appendix V
Commission Regulation No 1218/2010 of 14 December 2010 on the application of Article 101 (3) TFEU to categories of specialisation agreements
245
Appendix VI
Commission Regulation No 1217/2010 of 14 December 2010 on the application of Article 101 (3) TFEU to categories of research and development agreements
255
Appendix VII
Commission Regulation (EC) No 316/2014 of 21 March 2014 on the application of Article 101 (3) TFEU to categories of technology transfer agreements
269
Appendix VIII
Guidelines on the application of Article 101 TFEU to technology transfer agreements
283
Index
365