Technology transfer agreements and the EC competition rules:
Gespeichert in:
1. Verfasser: | |
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Format: | Buch |
Sprache: | English |
Veröffentlicht: |
Oxford [u.a.]
Clarendon Press
1996
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Schlagworte: | |
Online-Zugang: | Inhaltsverzeichnis |
Beschreibung: | XXXVIII, 281 S. |
ISBN: | 0198262434 |
Internformat
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Contents
Preface v
Table of Legislation xv
Table of Cases xxvi
1. INTRODUCTION 1
1.1 Bifurcation of article 85(1) and (3) of the EC Treaty 1
1.1.1 Drawbacks of the Commission taking a broad view
of article 85(1) and granting exemptions under article
85(3)—invalidity of contract and comfort letters 3
1.1.2 Effects of invalidity under English law 6
1.2 The EC Commission's attitude towards exclusive technology
licences is becoming increasingly positive 10
1.3 The danger of relying on old cases 12
1.3.1 The Commission is more willing to analyse ex ante 12
1.3.2 Know how is more vulnerable and needs more
contractual protection than patented technology 13
1.4 Should fewer agreements be found to infringe article 85(1)? 14
1.4.1 The distinction between naked and ancillary restraints 14
1.4.2 The distinction between horizontal and vertical
restraints 19
1.4.2.1 The Commission's Green Book 24
1.4.3 Comparison with the US guidelines on intellectual
property 25
2. CASE LAW OF THE COMMUNITY COURT 31
2.1 Some of the Community Court's judgments on the free
movement of goods and services 31
2.1.1 The birth of the distinction between the
existence and exercise of a right 33
2.1.2 Exhaustion when the product has been sold by or with
the consent of the holder 35
2.1.3 Incentives and rewards for innovation 40
2.1.4 First sale into the common market 43
2.2 Some of the Court's judgments on licensing intellectual
property rights 43
2.2.1 Open exclusivity is justified as an incentive to
investment 45
i
viii Contents
2.2.2 When is an exclusive licence open? 46
2.2.3 The meaning and relevance of novelty 47
2.2.4 Does the judgment in Nungesser apply only
to plant breeders' rights? 48
2.2.5 Conclusion on Nungesser and later cases 49
2.3 Refusals to license and Article 86 51
3. THE COMMISSION'S CONTRIBUTION 55
3.1 The decisions of the Commission of the European
Communities relating to know how licensing 55 ;
3.1.1 Mitchell CottslSofiltra 56 I
3.1.2 Campari 57
3.1.3 Boussoisllnterpane 60
3.1.4 Rich ProductslJus Rol 63
3.1.5 Delta ChemielDDD 65
3.1.6 Transocean Marine Paint 67
3.1.7 MooseheadlWhitbread 68
3.1.8 A possible change in the Commission's view 71
3.2 Limited licences 71
3.2.1 Limited patent licences 71
3.2.2 Limited trade mark licences 75
3.2.3 Limited know how licences 75
3.2.4 'Exploitation'defined disjunctively (article 10(10)) 76
3.2.5 Conclusion on limited licences 77
3.3 Harmonization of intellectual property rights 78
3.4 The three group exemptions for technology licences 79
3.4.1 Vires 80
3.4.2 The structure of the three regulations 81
4. UNDERLYING PRINCIPLES AND ANCILLARY PROVISIONS 84
4.1 The recitals 84
4.1.1 Harmonize and simplify the two former
regulations 84
4.1.2 Pure patent, pure know how, and mixed patent and
know how licences are exempted (recital 3) 85
4.1.3 The benefits of territorial restraints (recital 12) 85
4.1. Open exclusive licences (recital 10) 86
4.2 The regulation may apply when the territory or obligations
extend beyond the Common Market (recital 7) 88
4.2.1 EEA Agreement 92
4.2.2 Free Trade Agreements 93
Contents ix
4.2.3 The Europe Agreements between the EC and some
states of Eastern Europe 94
5. EXCLUSIONS AND INCLUSIONS 96
5.1 Exclusions (article 5(1)) 96
5.1.1 Horizontal and reciprocal agreements (recital 6
and article 5(l)(l) 3)) 96
5.1.1.1 Patent pools and reciprocal agreements (article
5(1)(1) and (3)) 97
5.1.1.1.1 US Government policy towards patent pools 99
5.1.1.1.2 EC case law 100
5.1.1.1.3 Under the technology transfer regulation 103
5.1.1.2 Licences between competitors in a joint
venture (article 5(1)(2)) 105
5.1.1.3 Inter relationship between article 5(1)(1) 108
and (3)
5.1.2 Pure sales licences (recital 8 and article 5(1)(5)) 109
5.1.2.1 The need to exclude sales licences from the
exemption 110
5.1.2.2 Manufacture for the licensee's account 111
5.1.2.3 What amounts to manufacture? Ill
5.1.2.4 Place of manufacture 112
5.1.2.5 Examples when the technology holder's network
includes exclusive licensees for some territories and
exclusive distributors for others 113
5.1.3 Franchising agreements (recital 8 and article 5(1)(4)) 116
5.1.4 Provisions relating to marks and other industrial
property rights (recital 2 and article 5(1)(4)) 117
5.2 Inclusions (article 6) 121
5.2.1 Sub licences (article 6(1)) 121
5.2.2 Assignments (article 6(2)) 123
5.2.3 'Connected Undertakings'(article 6(3)) 123
5.2.4 Rights to be treated as patent rights (article 8(1)) 124
6. THE EXEMPTION (ARTICLE 1) 127
6.1 Introductory words and definitions 127
6.1.1 'Know how'(article 10(1)) 129
6.1.1.1 'Secret'(article 10(2)) 129
6.1.1.2 'Substantial'(article 10(3)) 131
6.1.1.3 'Identified'(article 10(4)) 133
6.2 Horizontal agreements are largely excluded by articles
5 and 7(4) 135
x Contents
6.3 Ancillary provisions relating to intellectual property
rights (recital 6 and articles 1(1) and 5(1)(4)) 136
6.4 To which only two undertakings are party 137
6.5 One or more of the following obligations 138 \
6.6 Territorial protection that is permitted and licences limited
territorially 138
6.6.1 Absolute territorial protection as between licensor
and licensee 140
6.6.2 Protection as between licensees from manufacture
and active or passive sales (article l(l)(4) (6)) 142
6.6.3 Licensee's Obligation to use the licensor's mark
(article 1(1)(7)) 143
6.6.4 Use licences (article 1(1)(8)) 145
6.6.5 The duration of territorial protection and other
exempted provisions in pure patent licences 148
6.6.6 Duration of territorial protection in pure know how
licences 149
6.6.7 Duration of territorial protection in mixed patent and
licensing agreements 151
6.6.8 Subsequent licensees can be given only shorter
territorial protection 153
6.6.9 Licence networks where there is patent protection in
some Member States only 155
6.6.10 Individual exemption where protection is
needed for longer 155
6.7 Territorial protection is circumscribed (article 3(3)
and (7)) 155
6.7.1 Withdrawal of exemption where territories are
unduly protected (article 7(2) and (3)) 156
6.8 Duration of licence 156
6.9 Obligations of the same type but more limited scope
(article 1(5)) 157
7. THE WHITE AND BLACK LISTS (ARTICLES 2 AND 3) 158
7.1 Introduction to the white list (recital 18 and article 2) 158
7.2 Introduction to the black list (recital 19 and
article 3) 160
7.3 The listed provisions 162
7.3.1 Confidentiality (article 2(1)(1)) 162
7.3.2 Sub licensing (article 2(1)(2)) 164
Contents xi
7.3.3 Post term use ban (recital 20 and article 2(1)(3)) 165
7.3.4 Feed and grant back (recital 20 and articles 2(1)(4)
and 3(6)) 167
7.3.4.1 Weak feedback is whitelisted (article 2(1)(4)) 169
7.3.4.2 Reciprocal licences of feedback seldom identical 170
7.3.4.3 The provisos to article 2(1)(4) 170
7.3.4.4 Strong feed back clauses are blacklisted (article
3(6)) 172
7.3.5 Minimum quality and tying (articles 2(1)(5) and
4(2)(a)) 173
7.3.5.1 Minimum quality and tying are whitelisted when
necessary for the technically satisfactory exploitation
of the technology, or respected by the licensor and
other licensees (article 2(1)(5)) 174
7.3.5.2 In other circumstances unwanted ties and
quality specifications are subject to the
opposition procedure (article 4(2)(a)) 176
7.3.6 Assistance in discovering misappropriation—
restrictions on challenging the validity of intellectual
property rights, on contesting the secrecy of know how
or the necessity of the patents (articles 2(1)(6), (15) and
(16)and4(2)(b)) 180
7.3.6.1 Whitelisted provision (article 2(1)(6)) 180
7.3.6.2 Restrictions on challenging validity of patents or
secrecy and substantial nature of know how are subject
to opposition procedure (article 4(2)(b)) 181
7.3.6.3 Change in Commission's hostility to no challenge
clauses 183
7.3.7 Royalties after the know how enters the public domain
or the licensed patents expire, on inappropriate products,
and the unilateral prolongation of the agreement (articles
2(1)(7) and 8(3)) 186
7.3.8 Field of use, customer restrictions, and maximum
quantities (articles 2(1)(8), 3(4) and 4(2)) 190
7.3.8.1 Permissible field of use restriction
(article 2(1)(8)) 190
7.3.8.2 The black list, customer allocation (article 3(4)) 192
7.3.9 Minimum royalties and the obligation not to
compete (articles 2(1)(9), 3(2), 2(1)(17) and (18), and 7(4)) 194
7.3.9.1 The white list, minimum royalty, or quantity
(article 2(1)(9)) 195
7.3.9.2 The black list, not to compete (article 3(2)) 195
7.3.9.3 Licensee's best endeavours (article 2(1)(17)) 196
xii Contents
7.3.9.4 The right to terminate exclusivity and cease
feeding further know how (article 2(1)(18)) 197
7.3.9.5 Commission's power to withdraw the exemption
(article 7(4)) 198
7.3.10 Most favoured licensee terms (article 2(l)(10)) 199
7.3.11 An obligation to mark (articles 2(1)(11) and
i(i)(7)) 200 :
7.3.12 Quantity restrictions (article 3(5)) and restrictions
on use for a third party's plant (article 2(1)(12)) 201
7.3.12.1 The black list, quantity restictions
(article 3(5)) 201
7.3.12.2 Restriction on use for a third party's plant
(article 2(1)(12)) 202
7.3.13 Second source (recital 23 and article 2(1)(13)) 203
7.3.14 A licence does not exhaust the intellectual
property right (recital 11 and article 2(1)(14)) 205
7.3.15 Rights where there is a challenge to the know how
or patent, or it is alleged that the patent is not necessary
(article 2(1)(14) and (15)) 206
7.3.16 Non competition (article 3(2)) 206
7.3.17 Price fixing (article 3(1)) 206
7.3.18 Automatic prolongation (article 8(3)) 208
7.3.19 Strong feedback (article 3(6)), quantity limits
(article 3(5)) and customer restraints (article 3(4)) 208
7.3.20 Excessive territorial protection (article 3(3) and (7)) 208
7.3.20.1 Impeding parallel trade (recital 17 and
article 3(3)) 208
7.3.20.2 Longer territorial restraints (recital 14 and article
3(7)) 210
8. THE OPPOSITION PROCEDURE (ARTICLES 4 AND 9) 211
8.1 Introduction 211
8.2 Notification (article 4(1)) 213
8.2.1 FormA/B 213
8.2.2 The Commission's responses to notifications 215
8.2.3 Comfort letters and national courts 217
8.2.4 Confidentiality (article 9) 217
8.3 Opposition (article 4(5)) 219
8.3.1 The relationship with regulation 17 220
8.4 The advantages and disadvantages of notifying 222
8.5 Benefits and effects of the opposition procedure 223
8.5.1 Vires 224
Contents xiii
8.5.2 The validity of contracts 227
8.5.3 The competence of national authorities under
regulation 17 229
8.5.4 What letters of the Commission are capable of
challenge before the Community Court? 229
8.5.4.1 Opposing the exemption 231
8.5.4.2 Withdrawing its opposition 231
8.5.4.3 Maintaining its opposition to the exemption 232
8.5.4.4 Not opposing the exemption 233
8.5.4.6 Conclusions on the possibilities of appeal 234
8.6 Conclusion on the opposition procedure generally 234
9. MISCELLANEOUS PROVISIONS 236
9.1 Withdrawal of the exemption (article 7) 236
9.1.1 The effect of withdrawing the group exemption
on article 85 236
9.1.2 The effect of the group exemption on article 86 238
9.1.3 Examples 240
9.1.3.1 The lack of effective competition on the
demand side (article 7(1)) 240
9.1.3.2 Licensee refuses passive sales (article 7(2)) 242
9.1.3.3 Impeding cross frontier trade (article 7(3)) 244
9.1.3.4 Where the agreement is horizontal and
forecloses other technologies (article 7(4)) 244
9.1.4 Conclusion on the withdrawal of the
exemption 245
9.2 Transitional provisions 246
9.2.1 Replacement of the earlier block exemptions 246
9.2.2 Reassessment of the technology transfer
regulation (article 12) 248
9.2.3 Entry into force (article 13) 248
9.2.4 Conclusion 249
10. conclusion 250
Appendix I—Excerpts from the EC and EEA Treaties 253
Appendix II—Regulation 240/96 259 |
any_adam_object | 1 |
author | Korah, Valentine |
author_GND | (DE-588)132368080 |
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dewey-hundreds | 300 - Social sciences |
dewey-ones | 341 - Law of nations |
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dewey-search | 341.7/59 20 341.7/59 |
dewey-sort | 3341.7 259 220 |
dewey-tens | 340 - Law |
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oclc_num | 35397754 |
open_access_boolean | |
owner | DE-12 DE-M382 DE-521 DE-188 |
owner_facet | DE-12 DE-M382 DE-521 DE-188 |
physical | XXXVIII, 281 S. |
publishDate | 1996 |
publishDateSearch | 1996 |
publishDateSort | 1996 |
publisher | Clarendon Press |
record_format | marc |
spelling | Korah, Valentine Verfasser (DE-588)132368080 aut Technology transfer agreements and the EC competition rules Valentine Korah Oxford [u.a.] Clarendon Press 1996 XXXVIII, 281 S. txt rdacontent n rdamedia nc rdacarrier Europäische Union (DE-588)5098525-5 gnd rswk-swf Accords sur les licences - Pays de l'Union européenne ram Concurrence - Droit européen ram Europees recht gtt Kennisoverdracht gtt Licenties gtt Mededingingsrecht gtt Transfert de technologie - Droit - Pays de l'Union européenne ram Europarecht Recht Technology transfer -- Law and legislation -- European Union countries License agreements -- European Union countries Restraint of trade -- European Union countries Recht (DE-588)4048737-4 gnd rswk-swf Technologietransfer (DE-588)4059277-7 gnd rswk-swf Lizenz (DE-588)4120677-0 gnd rswk-swf Europäische Union. Mitgliedsstaaten Europäische Union (DE-588)5098525-5 b Technologietransfer (DE-588)4059277-7 s Recht (DE-588)4048737-4 s DE-604 Lizenz (DE-588)4120677-0 s HBZ Datenaustausch application/pdf http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=007838242&sequence=000002&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA Inhaltsverzeichnis |
spellingShingle | Korah, Valentine Technology transfer agreements and the EC competition rules Europäische Union (DE-588)5098525-5 gnd Accords sur les licences - Pays de l'Union européenne ram Concurrence - Droit européen ram Europees recht gtt Kennisoverdracht gtt Licenties gtt Mededingingsrecht gtt Transfert de technologie - Droit - Pays de l'Union européenne ram Europarecht Recht Technology transfer -- Law and legislation -- European Union countries License agreements -- European Union countries Restraint of trade -- European Union countries Recht (DE-588)4048737-4 gnd Technologietransfer (DE-588)4059277-7 gnd Lizenz (DE-588)4120677-0 gnd |
subject_GND | (DE-588)5098525-5 (DE-588)4048737-4 (DE-588)4059277-7 (DE-588)4120677-0 |
title | Technology transfer agreements and the EC competition rules |
title_auth | Technology transfer agreements and the EC competition rules |
title_exact_search | Technology transfer agreements and the EC competition rules |
title_full | Technology transfer agreements and the EC competition rules Valentine Korah |
title_fullStr | Technology transfer agreements and the EC competition rules Valentine Korah |
title_full_unstemmed | Technology transfer agreements and the EC competition rules Valentine Korah |
title_short | Technology transfer agreements and the EC competition rules |
title_sort | technology transfer agreements and the ec competition rules |
topic | Europäische Union (DE-588)5098525-5 gnd Accords sur les licences - Pays de l'Union européenne ram Concurrence - Droit européen ram Europees recht gtt Kennisoverdracht gtt Licenties gtt Mededingingsrecht gtt Transfert de technologie - Droit - Pays de l'Union européenne ram Europarecht Recht Technology transfer -- Law and legislation -- European Union countries License agreements -- European Union countries Restraint of trade -- European Union countries Recht (DE-588)4048737-4 gnd Technologietransfer (DE-588)4059277-7 gnd Lizenz (DE-588)4120677-0 gnd |
topic_facet | Europäische Union Accords sur les licences - Pays de l'Union européenne Concurrence - Droit européen Europees recht Kennisoverdracht Licenties Mededingingsrecht Transfert de technologie - Droit - Pays de l'Union européenne Europarecht Recht Technology transfer -- Law and legislation -- European Union countries License agreements -- European Union countries Restraint of trade -- European Union countries Technologietransfer Lizenz Europäische Union. Mitgliedsstaaten |
url | http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=007838242&sequence=000002&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA |
work_keys_str_mv | AT korahvalentine technologytransferagreementsandtheeccompetitionrules |