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Vertical Restraints and Intellectual Property Law: Beyond Antitrust 纵向限制与知识产权法:超越反垄断法
IF 1.3 3区 社会学 Q1 LAW Pub Date : 2003-03-07 DOI: 10.2139/SSRN.385702
M. Meurer
This Article describes how intellectual property (IP) law regulates six types of vertical restraints: restrictions on the field or location of use; restrictions on sharing; control over the frequency of use; restrictions on repair and modification; packaging requirements; and impediments to a buyer's decision to exit its relationship with a seller. There are three reasons to focus on IP oversight of vertical restraints separately from antitrust oversight. First, IP law covers a broader range of vertical restraints. Second, economic analysis of the antitrust-IP conflict focuses mainly on the potential of vertical restraints to exclude downstream competitors. IP doctrines that regulate vertical restraints raise additional policy concerns including whether IP law should aid a seller's attempt to control: the economic life of a durable good; sharing of copyrighted works and patented technology; arbitrage that undermines price discrimination; or a buyer's exit decision. Third, because IP law uses different policy instruments it possibly offers more effective regulation of vertical restraints, and should be used to complement antitrust regulation. IP doctrines that discourage vertical restraints generally cause smaller rent-seeking problems than antitrust doctrines with a similar effect. IP rules that provide background entitlements are relatively clear compared to antitrust rules which require uncertain rule of reason analysis. Furthermore, IP prohibitions that are implemented through preemption or misuse do not give rise to treble damages, and can only be used defensively. In contrast, broad antitrust regulation of vertical restraints creates a threat of opportunistic suits because of uncertainty, the lure of treble damages, and the possibility of initiating an opportunistic or anti-competitive suit against a vulnerable defendant.
本文描述了知识产权法如何规范六种类型的垂直限制:对使用领域或地点的限制;共享限制;控制使用频率;修理和改装的限制;包装要求;以及买方决定退出与卖方关系的障碍。将垂直限制的知识产权监管与反垄断监管分开关注有三个原因。首先,知识产权法涵盖了更广泛的纵向限制。其次,反垄断与知识产权冲突的经济分析主要集中在纵向限制排除下游竞争者的潜力上。规范垂直限制的知识产权理论引发了额外的政策问题,包括知识产权法是否应该帮助卖方控制:耐用品的经济寿命;分享版权作品和专利技术;破坏价格歧视的套利行为;或者买方的退出决定。第三,由于知识产权法使用不同的政策工具,它可能对垂直限制提供更有效的监管,并应用于补充反垄断监管。不鼓励垂直限制的知识产权理论通常比具有类似效果的反垄断理论造成的寻租问题要小。提供背景权利的知识产权规则相对于需要不确定推理规则分析的反垄断规则而言是相对明确的。此外,通过抢占或滥用实施的知识产权禁令不会造成三重损害,只能用于防御。相比之下,由于不确定性、三倍损害赔偿的诱惑以及对弱势被告发起机会主义或反竞争诉讼的可能性,对垂直限制的广泛反垄断监管造成了机会主义诉讼的威胁。
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引用次数: 8
Anticompetitive Settlement of Intellectual Property Disputes 反竞争解决知识产权纠纷
IF 1.3 3区 社会学 Q1 LAW Pub Date : 2003-02-24 DOI: 10.2139/SSRN.380841
Herbert Hovenkamp, M. Janis, Mark A. Lemley
The overwhelming majority of intellectual property lawsuits settle before trial. These settlements involve agreements between the patentee and the accused infringer, parties who are often competitors before the lawsuit. Because these competitors may agree to stop competing, to regulate the price each charges, and to exchange information about products and prices, settlements of intellectual property disputes naturally raise antitrust concerns. In this paper, we suggest a way to reconcile the interests of intellectual property law and antitrust law in evaluating intellectual property settlements. In Part I, we provide background on the issue. Part II argues that in most cases courts can determine the legality of a settlement agreement without inquiring into the merits of the intellectual property dispute being settled, either because the settlement would be legal even if the patent were invalid or not infringed, or because the settlement would be illegal even if the patent were valid and infringed. Only in a narrow class of cases will the merits of the intellectual property dispute matter. In Part III, we argue that in that narrow middle set of cases antitrust's rule of reason is unlikely to be helpful. Rather, courts must inquire into the validity, enforceability, and infringement issues in the underlying case, with particular sensitivity to both the type of intellectual property right at issue and the industrial context of the dispute. In Part IV, we apply our framework to a number of common settlement terms, most notably the use of exclusion payments to settle pharmaceutical patent disputes. We argue that exclusion payments that exceed litigation costs should be deemed illegal per se. There is no legitimate reason for such payments, and the most likely reason - to permit the patentee to exclude competition that would likely have occurred absent the payment - is anticompetitive. Further, legitimate patent disputes can be settled in other ways than with an exclusion payment - for example, by licensing the defendant or by agreeing to delay entry.
绝大多数知识产权诉讼在审判前就达成了和解。这些和解涉及专利权人与被指控侵权人之间的协议,双方在诉讼之前通常是竞争对手。因为这些竞争者可能同意停止竞争,调整各自的价格,并交换有关产品和价格的信息,知识产权纠纷的解决自然会引起反垄断方面的担忧。在本文中,我们提出了一种协调知识产权法和反垄断法在评估知识产权和解中的利益的方法。在第一部分中,我们提供了这个问题的背景。第二部分认为,在大多数情况下,法院可以在不调查知识产权纠纷的是非事实的情况下确定和解协议的合法性,要么是因为即使专利无效或未被侵权,和解协议也是合法的,要么是因为即使专利有效且被侵权,和解协议也是非法的。只有在少数案件中,知识产权纠纷的是非曲直才会起作用。在第三部分中,我们认为,在这种狭窄的中间案例中,反垄断的理性规则不太可能起作用。相反,法院必须调查潜在案件中的有效性、可执行性和侵权问题,对争议中的知识产权类型和争议的行业背景都要特别敏感。在第四部分中,我们将我们的框架应用于一些常见的解决条款,最值得注意的是使用排除付款来解决药品专利纠纷。我们认为,超过诉讼费用的排除费本身应被视为非法。这种支付没有合法的理由,而最可能的理由——允许专利权人排除在没有支付的情况下可能发生的竞争——是反竞争的。此外,合法的专利纠纷可以通过其他方式解决,而不是通过支付排除费——例如,通过许可被告或同意延迟进入。
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引用次数: 57
Party Admissions in Criminal Cases: Should the Government Have to Eat its Words? 刑事案件中的政党承认:政府应该食言吗?
IF 1.3 3区 社会学 Q1 LAW Pub Date : 2003-02-19 DOI: 10.2139/SSRN.380082
A. Poulin
As currently applied, evidence law gives the government an unfair advantage in criminal trials because the prosecution is not responsible for prior statements made by agents acting or speaking for the government. Many courts have held, and most general sources agree, that in criminal cases the statements of government agents are not admissible over hearsay objections as party admissions. The defendant is therefore precluded from even informing the jury of helpful statements made by government agents. Dealing with admissions by government agents in this manner leaves the government free to change its position without repercussions and creates the risk of unfairness. This article reevaluates the use of party admissions against the government and concludes that it should be expanded. After summarizing the law of party admissions prior to the adoption of the Federal Rules of Evidence, the article explores the adoption of the Rules and the resistance by courts to apply the Rules so as to admit party admissions against the government. It analyzes the way in which the rules governing party admissions should apply to governmental admissions, explaining how the requirements of the rules governing adoptive and vicarious admissions should apply to statements made or adopted by the government. Professor Poulin concludes that both the text of the Rules and simple fairness require that the defendant be permitted to introduce evidence of government admissions. Although the government cannot be bound by the previous statements of its agents, juries should still be allowed to weigh these admissions together with all the other evidence in the case.
目前适用的证据法使政府在刑事审判中享有不公平的优势,因为检方不必对代表政府的代理人的事先陈述负责。许多法院都认为,在刑事案件中,政府官员的陈述不能因道听途说的反对意见而被视为当事人的供词,大多数一般消息来源也都同意这一点。因此,被告甚至不能告知陪审团政府人员所作的有益陈述。以这种方式处理政府机构的录取,使政府可以自由地改变其立场,而不会受到影响,并造成不公平的风险。这篇文章重新评估了党入政府的使用,并得出结论,它应该扩大。本文在总结了《联邦证据规则》采用前的当事人自白法律之后,探讨了《联邦证据规则》的适用以及法院在适用《联邦证据规则》时对当事人自白反对政府的抵制。它分析了政党录取规则应如何适用于政府录取,解释了收养和替代录取规则的要求应如何适用于政府作出或采用的声明。Poulin教授总结说,规则的文本和简单的公平都要求被告被允许引入政府承认的证据。虽然政府不受其代理人先前陈述的约束,但陪审团仍应被允许将这些供认与案件中的所有其他证据一起权衡。
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引用次数: 0
The Economists' New Arguments 经济学家的新论点
IF 1.3 3区 社会学 Q1 LAW Pub Date : 2003-02-19 DOI: 10.2139/SSRN.381542
Brett H. Mcdonnell
This paper is a review and critique, in dialogue form, of Fairness versus Welfare, by Louis Kaplow and Steven Shavell. It raises a number of concerns about the book. Kaplow and Shavell argue that all normative legal policymaking arguments should be grounded in a welfarist approach, that is, they should focus only on how different policies will affect human welfare. They produce a formal argument that any fairness theory (which they define as a theory which does not rely exclusively on welfare) will under some circumstances prefer a policy which makes everyone worse off, and hence we should reject all fairness theories. The book's argument is tautological and convincing only to those whose intuitions already favor welfare over fairness; indeed, Kaplow and Shavell's formal proof of the inconsistency between fairness and welfare can equally validly be used to argue that one should follow a fairness approach rather than the welfarist approach which Kaplow and Shavell prefer. Kaplow and Shavell argue that consistency requires that if one rejects fairness in favor of welfare in the examples they present, then one is committed to rejecting fairness in favor of welfare in all instances. However, there are other, well-known examples where utilitarian and welfarist approaches lead to objectionable results - Kaplow and Shavell's notion of consistency suggests that we should therefore reject welfarism in all instances. Kaplow and Shavell try to explain away intuitions favoring fairness as having an evolutionary origin - in most instances, fairness intuitions and norms advance efficiency. Kaplow and Shavell suggest that therefore when the fairness norms and efficiency conflict, efficiency should triumph. The paper argues that such evolutionary explanations are not always right, and even when they are, we may have other reasons to follow fairness norms anyway. Moreover, the link between fairness norms and efficiency suggests reasons why universal adoption of a welfare approach may reduce welfare.
本文以对话的形式对路易斯·卡普罗和史蒂文·沙维尔的《公平与福利》进行了回顾和批判。这引发了人们对这本书的许多担忧。Kaplow和Shavell认为,所有规范性的法律政策制定论点都应该以福利主义的方法为基础,也就是说,他们应该只关注不同的政策将如何影响人类的福利。他们提出了一个正式的论点,即任何公平理论(他们将其定义为不完全依赖福利的理论)在某些情况下都会倾向于一种使每个人都更糟的政策,因此我们应该拒绝所有公平理论。这本书的论点是重复的,只有对那些直觉上已经倾向于福利而不是公平的人才有说服力;事实上,Kaplow和Shavell对公平和福利不一致的正式证明同样可以有效地用来论证人们应该遵循公平的方法,而不是Kaplow和Shavell所倾向的福利主义方法。Kaplow和Shavell认为,一致性要求如果一个人在他们提出的例子中拒绝公平而支持福利,那么他就会致力于在所有例子中拒绝公平而支持福利。然而,还有其他一些众所周知的例子表明,功利主义和福利主义的方法会导致令人反感的结果——Kaplow和Shavell的一致性概念表明,我们应该在所有情况下拒绝福利主义。Kaplow和Shavell试图将支持公平的直觉解释为具有进化起源——在大多数情况下,公平直觉和规范促进了效率。因此,Kaplow和Shavell认为,当公平规范和效率发生冲突时,效率应该获胜。这篇论文认为,这种进化的解释并不总是正确的,即使它们是正确的,我们也可能有其他理由遵循公平准则。此外,公平规范和效率之间的联系说明了为什么普遍采用福利方法可能会减少福利。
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引用次数: 3
Personal privacy and common goods: a framework for balancing under the national health information privacy rule. 个人隐私与共同利益:国家卫生信息隐私规则下的平衡框架。
IF 1.3 3区 社会学 Q1 LAW Pub Date : 2002-11-04 DOI: 10.2139/SSRN.346506
L. Gostin, J. Hodge
The newly-introduced Standards for Privacy of Individually Identifiable Health Information represent the first systematic national privacy protections of health information. Flowing from a Congressional mandate in the Health Insurance Portability and Accountability Act of 1996 (HIPAA), the regulations protect the privacy of individually-identifiable health records in any form (including electronic, paper and oral) through disclosure and use limitations, fair information practices, and privacy and security policies that apply to "covered entities" (health providers, health insurance plans and health care clearinghouses) and their business associates. Privacy safeguards are needed because of the personal nature of health data, the rapid shift from paper to electronic records, and actual and perceived risks of unwarranted disclosures. Existing health information privacy legal protections at the federal and state levels are fragmented, inconsistent, and variable. The new standards endeavor to protect patient privacy by limiting disclosures of individually-identifiable medical information (or "protected health information" (PHI)). Disclosure and use of PHI can only occur upon patient consent, subject to several exceptions outside the health care transaction setting. The regulations also implement fair information practices, which have long been a feature of existing federal laws. Fair information practices allow patients to (1) inspect and amend their records, (2) receive notice of covered entities' privacy practices and potential uses and disclosures of health information, and (3) request confidential communications and an accounting of actual disclosure. Through the regulations, HHS attempts to set a "floor" for protections that, it suggests, "balance[s] the needs of the individual with the needs of society." Reaching this balance, however, is precarious. The national privacy rule does not always achieve a fair and reasonable allocation of benefits and burdens for patients and the community. We suggest a framework for balancing that values privacy and common goods, without a priori favoring either. We instead seek to maximize privacy interests where they matter most to the individual and maximize communal interests where they are likely to achieve the greatest public good. Thus, where the potential for public benefit is high and the risk of harm to individuals is low, we suggest that public entities should have discretion to use data for important public purposes. Provided that the data are used only for the public good (e.g., research or public health), and the potential for harmful disclosures are negligible, there are good reasons for permitting data sharing. Conversely, if data are disclosed in ways that are unlikely to achieve a strong public benefit, and the personal risks are high, individual interests in autonomy should prevail. Consequently, for these kinds of disclosures, the law should strictly prohibit the release of information without
新出台的《个人可识别健康信息隐私标准》代表了第一个系统的国家健康信息隐私保护。根据1996年《健康保险流通与责任法案》(HIPAA)的国会授权,该条例通过披露和使用限制、公平的信息实践以及适用于“承保实体”(健康提供者、健康保险计划和健康保健结算所)及其商业伙伴的隐私和安全政策,保护任何形式(包括电子、纸质和口头)的个人可识别健康记录的隐私。由于健康数据的个人性质,从纸质记录到电子记录的快速转变,以及实际和感知到的未经授权披露的风险,隐私保护措施是必要的。联邦和州一级现有的健康信息隐私法律保护是分散的、不一致的和可变的。新标准努力通过限制个人可识别的医疗信息(或“受保护的健康信息”(PHI))的披露来保护患者隐私。PHI的披露和使用只能在患者同意的情况下进行,但医疗保健交易环境之外的一些例外情况除外。这些法规还实施了公平的信息做法,这一直是现有联邦法律的一个特点。公平的信息做法允许患者(1)检查和修改他们的记录,(2)收到有关受保实体的隐私做法和健康信息的潜在使用和披露的通知,以及(3)要求保密通信和对实际披露的核算。通过这些规定,卫生与公众服务部试图为保护措施设定一个“底线”,即“平衡个人需求与社会需求”。然而,达到这种平衡是不稳定的。国家隐私规则并不总是为患者和社区实现公平合理的利益和负担分配。我们提出了一个平衡框架,重视隐私和共同利益,而不是先验地偏袒任何一方。相反,我们寻求在对个人最重要的地方最大化隐私利益,在可能实现最大公共利益的地方最大化公共利益。因此,在公共利益潜力高而个人伤害风险低的情况下,我们建议公共实体应该有自由裁量权,将数据用于重要的公共目的。如果数据仅用于公共利益(例如,研究或公共卫生),并且泄露有害信息的可能性可以忽略不计,则有充分理由允许共享数据。相反,如果数据的披露方式不太可能实现强大的公共利益,并且个人风险很高,则个人的自治利益应该优先考虑。因此,对于这些类型的披露,法律应严格禁止未经患者同意的信息发布。通过这一框架,我们试图最大限度地提高个人和社区在处理可识别健康数据方面的利益。
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引用次数: 46
The Gramm-Leach-Bliley Act, Information Privacy, and the Limits of Default Rules 格雷姆-里奇-比利利法案,信息隐私和默认规则的限制
IF 1.3 3区 社会学 Q1 LAW Pub Date : 2002-09-30 DOI: 10.2139/SSRN.319144
E. Janger, P. Schwartz
The Gramm-Leach-Bliley Act (GLB Act) of 1999 sought to provide new rules for financial privacy. Only a few years after the GLB Act's enactment, however, it appears to have failed as far as privacy protection is concerned. The Act has pleased neither privacy advocates nor the financial industry. It may, in fact, be a rare legislative feat to have a single statute create so many diverse critics so quickly. This Article examines the GLB Act and its shortcomings through reference to and refinement of theoretical work regarding the law of incomplete contracts. The key scholarship concerns information sharing and "defaults," or background rules, for filling gaps in agreements. We explore three possible kinds of defaults: majoritarian, information forcing, and norm enforcing. This Article finds that the GLB Act's privacy safeguards are highly problematic as examples of either a majoritarian or information forcing default. The GLB Act also raises difficulties if evaluated as a background rule that seeks to enforce norms. In our judgment, information privacy should be conceptualized as a norm constitutive of a democratic society. The access to personal information and limits on it help form the nature of the society in which we live and shape our individual identities. For example, the structure of access to personal information can have a decisive impact on the extent to which certain actions or expressions of identity are encouraged or discouraged. Our concept of "constitutive privacy" suggests that information privacy is a kind of commons that requires some degree of social control to construct and preserve. Default rules, when viewed from this normative perspective, should have a limited role in norm enforcement because of the current poor functioning of the privacy market between consumers and financial institutions. In particular, the presence of bounded rationality along with coordination problems makes default rules a risky choice in this context of information privacy. Under such conditions, the law should generally seek to minimize harms that flow from reliance on bargaining among consumers and data processors. In this Article's final section, we explore ways in which to make the GLB Act's mandatory rules more flexible, and we propose possible revisions to the existing "notice and opt-out" default in the GLB Act. Finally, we revisit the GLB Act's opt-out requirement. We propose to improve upon this requirement by using social science research concerning the power of "frames." We also discuss the possible merits of a shift to an opt-in requirement.
1999年的格雷姆-里奇-比利利法案(GLB法案)试图为金融隐私提供新的规则。然而,在GLB法案颁布仅仅几年之后,就隐私保护而言,它似乎已经失败了。该法案既没有取悦隐私权倡导者,也没有取悦金融业。事实上,这可能是一个罕见的立法壮举,一个单一的法规如此迅速地产生了如此多的不同的批评。本文通过对不完全合同法理论工作的借鉴和完善,考察了GLB法及其不足。关键的奖学金涉及信息共享和“默认”,即填补协议空白的背景规则。我们探讨了三种可能的默认类型:多数主义、信息强制和规范强制。本文发现,GLB法案的隐私保护是非常有问题的,作为多数主义或信息强制默认的例子。如果将《GLB法案》作为一项旨在执行规范的背景规则来评估,也会遇到困难。在我们看来,信息隐私应该被概念化为民主社会的一种构成规范。对个人信息的获取和限制有助于形成我们所生活的社会的本质,并塑造我们的个人身份。例如,访问个人信息的结构可以对鼓励或阻止某些行为或身份表达的程度产生决定性影响。我们的“构成性隐私”概念表明,信息隐私是一种公地,需要一定程度的社会控制来构建和保护。从这个规范的角度来看,默认规则在规范执行方面的作用应该有限,因为目前消费者和金融机构之间的隐私市场运作不佳。特别是,有限理性和协调问题的存在使得默认规则在这种信息隐私环境下成为一种有风险的选择。在这种情况下,法律通常应该寻求将依赖消费者和数据处理者之间的讨价还价所带来的危害降到最低。在本文的最后一节中,我们将探讨使GLB法案的强制性规则更加灵活的方法,并对GLB法案中现有的“通知和选择退出”默认值提出可能的修订。最后,我们重新审视GLB法案的选择退出要求。我们建议利用社会科学研究“框架”的力量来改进这一要求。我们还讨论了转向可选加入要求的可能优点。
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引用次数: 41
Personal privacy and common goods: a framework for balancing under the national health information privacy rule. 个人隐私与共同利益:国家卫生信息隐私规则下的平衡框架。
IF 1.3 3区 社会学 Q1 LAW Pub Date : 2002-06-01
Lawrence O Gostin, James G Hodge
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引用次数: 0
HIPAA: commercial interests win round two. HIPAA:商业利益赢了第二轮。
IF 1.3 3区 社会学 Q1 LAW Pub Date : 2002-06-01
Mike Hatch
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引用次数: 0
Security and privacy after September 11: the health care example. 911事件后的安全和隐私:以医疗保健为例。
IF 1.3 3区 社会学 Q1 LAW Pub Date : 2002-06-01
Peter P Swire, Lauren B Steinfeld
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引用次数: 0
Medical records and HIPAA: is it too late to protect privacy? 医疗记录与HIPAA:保护隐私是否为时已晚?
IF 1.3 3区 社会学 Q1 LAW Pub Date : 2002-06-01
Peter D Jacobson
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引用次数: 0
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Minnesota Law Review
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