美國有消費者集體訴訟蘋果和五大出版社操控電子書價格，從法律上應該如何理解這件事？這官司能打贏嗎？

01-15

新聞在這裡：
http://www.google.com/hostednews/afp/article/ALeqM5hg3Qe5XrIb-vs2SxDp7BBT8GFgVg?docId=CNG.a2db03834cda342663b48fb1e7f322ce.2d1
關於來龍去脈我多說兩句：大家都知道亞馬遜在美國是電子書的先行者。但蘋果推出 iBookstore 之後，跟美國出版社聯手推出了一個所謂 agency model，就是說電子書的售價由出版社統一定，電子書業者只是作為一個 agent 來賣書。比如你亞馬遜就不能為了賣多幾本，把價格定得比 iBookstore 低。蘋果此舉應該是為了拉攏出版社，挽回自己在電子書領域的頹勢。

於是我們看到 Kindle 書的價格在過去幾年變貴了，而 Kindle 書頁面往往有一句「This price was set by the publisher」[1]，這就是 agency model 帶來的結果。如今的新書 Kindle 版的價格有不少基本都和平裝紙書保持了一致。這次的集體訴訟就是針對這五家出版社（市場份額加起來有 85%）和蘋果。原告認為這種行為有操縱市場價格之嫌。
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[1]: 例如：http://www.amazon.com/The-Pale-King-ebook/dp/B0047Y0EWY/ref=kinw_dp_ke?ie=UTF8m=AG56TWVU5XWC2 大家可以注意這本書的精裝本 $15.04，Kindle 版 $14.99。

為區別於貴國的「集體訴訟」，class-action suit 一般翻譯成「集團訴訟」，帶有公益性質。當然，媒體還是會慣性亂用。從文中看， Hagens Berman 律所代理的是牽涉範圍廣但金額較小的消費者集團訴訟。根據美國聯邦民事規則第32條，法官需要判斷訴訟是否符合「集團訴訟」條件。所以本案能否以「集團訴訟」立案尚存疑問，判斷輸贏為時過早。

選擇五大出版商和蘋果出擊，消費者代表和律所顯然是看中後者的富可敵國。集團訴訟結案率極低，經常要耗費大量人力時間和司法資源，最後常常以和解告終。和解協議的達成，一方面原告律師可以掙得一大筆律師費，另一方面美國集團訴訟有獎勵率先提起訴訟代表者的制度設計，提出訴訟的具名代表人會獲得超出其他被代表者更多的賠償。對於被告來說，集團訴訟和解協議具有擴張性，可以拘束潛在原告，避免接二連三的被以同一事實提起訴訟。集團訴訟一旦曠日持久起來，對公司名譽亦有損害。一般財力雄厚的大公司會拿錢息事寧人，小點的可能會破產。

其實這顯示出電子書市場已經進入白熱化競爭階段。無論書的載體如何，得內容者得天下。各家閱讀終端都應該以拉攏出版商為核心，蘋果的行動簡直是水到渠成的。在 iPad 出來前，亞馬遜基本是一家獨大的狀態，實惠了消費者，但也無形中損害了出版商和作者利益。 Agency Model 是壟斷，暢銷書定價一致難道不是壟斷？（截至2011年，亞馬遜仍佔有手機與平板電腦電子書下載73%的比重）聯合五大，蘋果、出版商和著作權人三贏。蘋果已經樹立尊重原創（73分成制）和消費者（這不用舉例了吧）的良好形象，到底有多少消費者願意參與訴訟還真難說。網上有諸多亞馬遜如何突圍的解讀，建立跨內容、出版與閱讀終端於一體的電子製作與發行公司倒是不錯，但想做內容的 Kindle 不是好網商，所謂術業有專攻，出版可是一門古老的手藝。在競爭中能達成著作權人、出版商和閱讀終端三者間的動態平衡是最好的，最終獲益的還是消費者。雖然本案在 Hagens Berman LLP 網站是掛在 Antitrust Complaint 條目下，但能否立案，我看懸。

這官司幾乎100%打不贏，因為蘋果的做法（即 agency model）最多只是「縱向共謀」（vertical collusion），即生產和分銷商之間的價格協議（相對照，「橫向共謀」/horizontal collusion 指同行業內的共同定價，比如一個村的兩個加油站共謀）。而美國最高法院分別在1997年和2007年有案例指出縱向共謀本身不違反反壟斷法。

關於美國反壟斷法下的橫向和縱向共謀，看這裡：http://en.wikipedia.org/wiki/Price_fixing

美國反壟斷法主要來自1890年的"Sherman Act"，下面禁止兩大類行為：聯合定價，和濫用壟斷地位。微軟當年通過 Windows 捆綁 IE，奪取瀏覽器的市場，就被指控為後一種情況，但「濫用壟斷地位」明顯和這個案子無關。

從集團訴訟的原告律師在網站上公布的聲明可以看出（http://www.hbsslaw.com/cases-and-investigations/ebooks），他們認為最不能接受的事實是，如果 Amazon 在定價上不聽話，即比出版商規定的價格賣便宜了，就不再允許 Amazon 賣這本書（「If Amazon defied the publishers and tried to sell e-books below the publisher-set levels, the publishers would simply deny Amazon access to the title, the complaint details. 」）。這是一對一的定價，是出版商的自由。

假設出版商們進一步定個「行規」要求大家全都這麼做（目前無從知曉，但不太可能），案子會對原告有利一些，但行為仍然是針對單個商品，不是共同定價。因此，即使 Apple 從案子里脫身，原告改指控五大出版商進行橫向共謀，案子的勝算雖然會大很多，但還是不太可能贏，因為他們實際上是拒絕了 Amazon 提出的對電子書統一折扣定價的要求，並非主動定價行為。相對照，「所有時政類書籍定價不得低於20美元/本」，則會是典型違法的橫向共謀。

因此，原告和他們的律師恐怕只看到電子書（特別是 Amazon 賣的書）漲價這個事實，而沒搞懂這可能只是市場發展的必然階段。如果我是法官，會問原告：出版商定價，書店沒有多少話語權，似乎本來就是這個行業的常態，和過去有什麼區別？

題外話：強烈推薦（在美國的）法律學生選修 Antitrust 這門課。有非常多有趣的故事，而且有助於深度理解新聞報道，這方面和 Antitrust 有一拼的只有 Constitutional Law 和 Criminal Procedure.

此案有了新進展，我今天收到亞馬遜來信，五家裏的 Hachette, Harper Collins 和 Simon Schuster 三家選擇和解，若法院批准（要等到明年二月才知道結果），三家會成立一個 6900 萬美元的基金，退錢給在 2010 年 4 月至 2012 年 5 月間買過 Kindle 書的人。亞馬遜估計一本書退 $0.30 到 $1.32 不等，而且這個和解協議會限制出版社未來給電子書定價的權力。

簡單來說就是 Kindle 書又會變得便宜些了，喬布斯搞出來的 agency model 有壓力了。

信的全文如下：

Dear Kindle Customer,

We have good news. You are entitled to a credit for some of your past e-book purchases as a result of legal settlements between several major e-book publishers and the Attorneys General of most U.S. states and territories, including yours. You do not need to do anything to receive this credit. We will contact you when the credit is applied to your http://Amazon.com account if the Court approves the settlements in February 2013.
Hachette, Harper Collins, and Simon Schuster have settled an antitrust lawsuit about e-book prices. Under the proposed settlements, the publishers will provide funds for a credit that will be applied directly to your http://Amazon.com account. If the Court approves the settlements, the account credit will appear automatically and can be used to purchase Kindle books or print books. While we will not know the amount of your credit until the Court approves the settlements, the Attorneys General estimate that it will range from $0.30 to $1.32 for every eligible Kindle book that you purchased between April 2010 and May 2012. Alternatively, you may request a check in the amount of your credit by following the instructions included in the formal notice of the settlements, set forth below. You can learn more about the settlements here:
http://www.amazon.com/help/agencyebooksettlements
In addition to the account credit, the settlements impose limitations on the publishers』 ability to set e-book prices. We think these settlements are a big win for customers and look forward to lowering prices on more Kindle books in the future.
Thank you for being a Kindle customer.

The Amazon Kindle Team
==========================================================
(c) 2012 http://Amazon.com, Inc. or its affiliates. All rights reserved.
http://Amazon.com, 410 Terry Avenue N., Seattle, WA 98109-5210.
Reference: 26267370
Please note that this message was sent to the following e-mail address: lawrencelry@gmail.com

==========================================================
Benefits from an Attorney General E-books Settlement Fund
Para una notificación en Espa?ol, llamar o visitar nuestro website.
Records indicate that you are eligible for a payment from Settlements reached by the State Attorneys General with E-book publishers Hachette, HarperCollins, and Simon Schuster. The Settlements resolve an antitrust lawsuit about the price of electronic books (「E-books」). http://Amazon.com has not been sued in this case. It is providing this notice as a service to its customers.
What the Settlements Provide

The Settlements create a $69 million fund for payments to consumers who purchased qualifying E-books from April 1, 2010 through May 21, 2012. If the Court approves the Settlements, eligible consumers like you will receive automatic credits to your E-reader accounts. The credit can be used on any purchases of E-books or print books. The amount of your payment has been determined based on the qualifying E-book purchases identified by http://Amazon.com in your E-reader account.
How to Receive your Benefit
Because you are pre-qualified, you do not need to do anything to receive your credit. It will be applied to your account by http://Amazon.com automatically, and you will receive another email letting you know when it』s available. (If you bought E-books from more than one retailer, you may receive notices with different instructions about whether you will receive a credit or need to file a Claim Form for that retailer. You will have a separate claim for each retailer and you should follow the specific instructions from each one.)
You also have the option to receive a check instead of your credit. You can request a check by calling 1-866-621-4153, or going to the Settlement website listed below, and clicking on the Check Request Option link. Be sure to reference the Settlement ID number found at the bottom of this email. The Settlement website is: http://www.EBookAGSettlements.com
Your Other Rights

You can choose to exclude yourself from the Settlements and keep your right to sue on your own. If you exclude yourself, you can』t receive any benefits from the Settlements. If you don』t exclude yourself, you can submit objections about the Settlements.
Your written Exclusion Form or objections must be postmarked by December 12, 2012. Please visit the Settlement website for detailed information on how to submit a valid Exclusion Form or objection.
A separate lawsuit against two other publishers and Apple, Inc. continues and is set for a trial in 2013. Your rights in the separate suit are not affected by any action you take in regards to these Settlements.

The Court will hold a hearing on February 8, 2013, at 10:00 a.m. to consider whether to approve the Settlements. You or your own lawyer may ask to appear and speak at the hearing.
For more detailed information:
Call 1-866-621-4153 or visit http://www.EBookAGSettlements.com
Settlement ID Number: AMJKFDeZbkRhEpsNYb

標題不太對，訴訟蘋果和五大出版社的並不是＂消費者＂而是美國司法局（Department of Justice），可以參閱司法局的聲明：http://www.justice.gov/iso/opa/ag/speeches/2012/ag-speech-1204111.html。

司法局的聲明裡有這麼一句話＂ensuring fairness in the marketplace, and making certain that cutting-edge technologies are available at the lowest possible price＂。從這個角度上講，倒是可以說：司法局站在＂消費者＂的立場上起訴了蘋果和五大出辦公司，以維護市場公正。

另外，我寫過一篇關於電子書定價的文章，或許也可以給大家作一個參考。http://www.douban.com/note/240654170/

本案前途未卜。請注意以下幾個因素，拋磚引玉：

ibookstore 的加入是增加對kindle store 的競爭，這一點沒錯；
值得爭議的是ibookstore 和出版商的協議是否形成新的共謀來壓制kindle store 的具有競爭力的定價條款（理論上kindle 可以如傳統經銷商一般靈活定價）：
ibookstore 和5大出版商的協議條件是否完全/或基本一致？
5大出版商的所佔的美國市場份額有多大？
新的出版商加入，是否存在必須接受明示或暗示的條件，即必須以ibookstore 和5大出版商的協議條件作為基準？
未加入的出版商，不加入的原因是否是由於不願意接受ibookstore和5大出版商合同條件？
ibookstore 是基於ipad這一件平台的自然壟斷地位來強迫所有出版商接受其和5大出版商的協議條件？
kindle store 的電子書定價在ibookstore 和5大出版商締約後，是否有有悖於競爭邏輯的價格變化？
是否有出版商因為要遵守和kindle store 的協議和無法和ibookstore 簽訂新的協議？
共謀的條件不一定要有尋常意義上的談判並達成協議的證據，對價格或其他信號的顯著的互相理解和默契也能可能視為共謀的證據。

2012年3月地區法官駁回了蘋果和出版方的撤案動議。裁決書在這裡：

http://www.hbsslaw.com/Templates/media/files/case_pdfs/E-books%20Antitrust%20Litigation/eBook%20Order%20on%20MTD.pdf

目測法官大人認為蘋果和出版方搞得是橫向共謀，雖然看起來像是縱向的。

我不是學法律的……求專家

能不能打贏不曉得，總之反壟斷法為大量的市場外競爭提供了便利，就像當年訴訟分拆微軟一樣。總有一些奇怪的法律——專利法在維護壟斷，反壟斷法則在打擊競爭，它們都為那些不能在正常競爭中獲勝的傢伙搞了一條法律捷徑。於是競爭者們不得不把重心從為消費者提供更好的服務上撤出來，通過陰謀詭計、小把戲去擊敗對手。

沒有行政准入限制就夠不成壟斷，蘋果和出版社跟壟斷實在沒有關係。