Patent litigation in Germany, Japan and the United States / by Johann Pitz, Atsushi Kawada, Jeffrey A. Schwab.
2015
K1536 .P58 2015 (Map It)
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Details
Author
Title
Patent litigation in Germany, Japan and the United States / by Johann Pitz, Atsushi Kawada, Jeffrey A. Schwab.
Published
München, Germany : C.H. Beck ; Oxford, United Kingdom : Hart Publishing ; Baden-Baden, Germany : Nomos, 2015.
Copyright
©2015
Call Number
K1536 .P58 2015
ISBN
9783406650758 (Beck ; hardback)
3406650759 (Beck ; hardback)
9781849461955 (Hart ; hardback)
1849461953 (Hart ; hardback)
9783848703029 (Nomos ; hardback)
3848703025 (Nomos ; hardback)
3406650759 (Beck ; hardback)
9781849461955 (Hart ; hardback)
1849461953 (Hart ; hardback)
9783848703029 (Nomos ; hardback)
3848703025 (Nomos ; hardback)
Description
xxi, 207 pages : illustrations ; 25 cm
System Control No.
(OCoLC)900396251
Bibliography, etc. Note
Includes bibliographical references and index.
Record Appears in
Added Author
Table of Contents
Preface
v
Authors
vii
Abbreviations
xi
Selected Bibliography
xv
Part 1 Survey
1
I.
European Patent litigation system
1
1.
National patent enforcement
1
1.
Forum shopping
1
2.
Overview of German judicial system for patent infringement procedure
1
2-1.
Court system
1
2-2.
Procedure
2
2-3.
dual system
2
2-4.
Time to trial
3
2-5.
Likelihood of success
3
2-6.
Final remedies
3
3.
Cross-border enforcement and "torpedo actions"
4
2.
Unitary Patent system
5
II.
Japanese patent litigation system
7
1.
Overview of Japanese judicial system for patent infringement procedure
7
1.
"Double track" system and concentration of jurisdiction for patent disputes
7
2.
Number of patent litigations in Japan - Statistics
9
2.
Overview of Japanese court procedure for patent infringement cases
9
1.
Litigation fee and attorney's reward
9
2.
Complaint
10
3.
Course of proceedings
10
4.
Judgements
11
5.
Appeals
12
III.
U.S. patent litigation system
12
Part 2 Matter of infringement
17
I.
Germany
17
1.
Scope of protection
17
1.
Literal and non-literal infringement
17
2.
Doctrine of equivalents
18
2-1.
Requirements of equivalents
18
2-2.
"Formstein Defense"
19
3.
Basic principles for the determination of the scope of protection
20
3-1.
wording of claims
20
3-2.
person skilled in the art is relevant for claim interpretation
20
3-3.
File history
20
3-4.
effect of emphasizing particular features of a patent claim in the desciption
21
3-5.
extent of protection of a patent claim containing numerical data and ranges
22
3-6.
Time of equivalence determination
22
2.
Direct patent infringement
23
1.
Product patent
23
2.
Process patent
23
3.
Product by process patent
23
3.
Indirect patent infringement
24
1.
General principles
24
2.
Material requirements
24
II.
Japan
26
1.
Scope of protection of the patent in action
26
1.
Literal scope of daim
26
1-1.
Description and drawings
26
1-2.
Prior art
27
1-3.
Prosecution history
27
1-3-1.
Prosecution History as a means for interpretation
28
1-3-2.
Prosecution history as a reason for estoppel
28
2.
Doctrine of equivalents
28
2-1.
"Ball Sprine" judgement
28
2-2.
Requirement No. 1 replacement of unessential element
29
2-3.
Requirement No. 2 identical function and effect despite replacement
30
2-4.
Requirement No. 3 obviousness of replacement at the time of infringing
31
2-5.
Requirement No. 4 objection of free technology
31
2-6.
Requirement No. 5 objection of intentional exclusion
31
2-7.
Patented inventions containing numerical ranges
32
2.
Direct infringement
32
3.
Indirect infringement
33
1.
Old types of provisions against indirect infringements
34
2.
New types of provisions against indirect infringements
34
3.
Indirect infringement in the practice
35
III.
USA
35
1.
Scope of protection
35
1.
wording of the claims
35
2.
Claim interpretation
35
2.
Direct patent infringement
36
1.
Requirements of equivalents
36
2.
Time of equivalents determination
37
3.
Equivalency and the prior art
37
4.
Equivalency and file history estoppel
37
3.
Indirect patent infringement - active inducement
38
1.
Active inducement
38
2.
Contributory infringement
38
3.
Infringement through the supply of components from United States for combinations made abroad
38
4.
Infringement by sale, offer for sale, use or importation of a product made outside the United States by a patented process
39
4.
Types of patents
39
1.
Product patents
39
2.
Process patents
39
3.
Product by process patent
39
Part 3 Fact Finding
41
I.
Germany
41
1.
Test-purchase
41
2.
Product analyses and private expertises
41
3.
Inspection claim
41
4.
Seizure by customs authorities
42
5.
Information claim
43
6.
Investigation by public prosecutors
43
7.
Professional confidentiality obligations
43
II.
Japan
44
1.
Test purchase
44
2.
Product analyses and private expertises
44
3.
Procedural measures for collecting information about infringement
44
1.
Preservation of evidence
45
1-1.
Prerequisites and proceeding for preservation of evidences
45
1-2.
Preservation of documents
45
1-3.
Preservation of subject matters for observation
45
2.
Disposition of collection of evidence before filing an action
46
4.
Seizure by customs authorities
46
5.
Preliminary proceedings with public prosecutors
46
III.
USA
47
1.
Pre-filing investigation (FRCP Rule 11)
47
2.
Product analysis
47
3.
Pre-filing discovery
48
4.
Seizure by custom authorities
48
5.
Government participation in the proceedings
49
Part 4 Claims of the patent holder and objections of the infringer
51
I.
Legal basis for claims
51
1.
Germany
51
1.
Injunctive relief
51
2.
Rendering account
51
3.
Obligation to pay damages
52
3-1.
Basic principles
52
3-2.
Calculation of damages
52
3-2-1.
Patentee's lost profits
52
3-2-2.
Infringer's profits
53
3-2-3.
Hypothetical license fee
53
3-2-4.
Relations between the calculation methods
54
4.
Disclosure of the source of origin and of purchasers
54
5.
Destruction
54
6.
Removal of infringing goods
54
7.
Costs
54
2.
Japan
54
1.
Claim for injunction
54
1-1.
Patent holder
54
1-2.
Licensee
55
2.
Claim for compensation for damages
55
2-1.
Overview
55
2-1-1.
Legal basis of claim for compensation of damages caused by infringement
55
2-1-2.
Claimant for compensation for damages
55
2-1-3.
Judicial practice for claiming the compensation for damages
56
2-1-4.
Prerequisites for claiming the compensation of damages
56
2-2.
Calculation of damages
57
2-2-1.
Patent holder's lost profits
57
2-2-2.
Patent holder's profits estimated from the quantity of infringer's products
57
2-2-3.
Patent infringer's profits
59
2-2-4.
Licence analogy
60
2-2-5.
Relations between these alternatives for calculation of damages
60
3.
Claim for compensation for the use of an opened invention before grant of patent
61
4.
Other claims
61
4-1.
Procedural claims for submission of documents
61
4-2.
Claim for measures preventing further infringement
62
4-3.
Claim for costs
62
3.
USA
62
1.
Injunctive relief
62
2.
Accounting and monetary relief
63
3.
Obligation to pay damages
65
4.
Disclosure of the source of origin and of purchasers
65
5.
Destruction of infringing goods
66
6.
Removal of infringing goods
66
7.
Costs
66
8.
Award of attorney's fees
67
II.
Objections in patent litigation
67
1.
Germany
67
1.
License agreement, compulsory license, anti-trust defence
67
1-1.
License agreement
67
1-2.
Compulsory license
68
1-3.
Anti-trust defence
68
2.
Revocation action and the dual system
69
3.
Prior use right
69
4.
Test privilege
70
4-1.
Research privilege
70
4-1-1.
Legal provision
70
4-1-3.
Economic purposes of research
71
4-2.
Bolar exemption
72
5.
Statute of limitation
73
6.
Laches
73
7.
Exhaustion
73
2.
Japan
74
1.
License
74
1-1.
License agreement
74
1-2.
Non-exclusive licenses granted by the Commissioner
74
1-3.
Legal licenses
75
1-3-1.
Types of legal licenses
75
1-3-2.
Legal license based upon a prior use
75
2.
Validity of invention
76
2-1.
Change of dual system- Kilby patent case
76
2-2.
Countermeasure of patent holders - correction
77
2-3.
Delay of procedure and the amendment of the Japanese Patent Act 2011
78
3.
Restrictions of patent rights
79
3-1.
Expiration of patent rights
79
3-2.
Private uses
80
3-3.
Experimental purposes
80
3-4.
Restriction of exercise patent right against passing vessels or aircrafts
81
3-5.
Medical treatments
82
3-6.
Exhaustion of patent right
82
3-7.
Parallel import
83
3-8.
Abuse of patent rights
84
3-9.
FRAND
84
4.
Statute of limitation
85
3.
USA
85
1.
Defenses - in general
85
1-1.
Written description requirement
85
1-2.
Enablement
86
1-3.
Inventorship
86
1-4.
Inequitable conduct
86
2.
Anti-trust defense
87
3.
Licenses
88
4.
Invalidation, (prior art) and parallel patent office proceedings
89
4-1.
Anticipation and Section 102 statutory bars
89
4-2.
Anticipation and Other Section 102 statutory bars
90
4-3.
Obviousness 35 U.S.C. [§] 103 and person of ordinary skill
92
4-4.
Level of ordinary skill
94
4-5.
Scope and content of the prior art
94
4-6.
Challenges outside the United States court system
94
5.
key AIA procedures are:
96
5-1.
Supplemental examination
96
5-2.
IPR
96
5-3.
Post Grant Review (PGR)
97
5-4.
Contested Business Methods (CBM) proceeding
97
5-5.
Prior use rights
98
5-6.
Experimental use
98
5-7.
Statute of limitation
99
5-8.
Laches
99
5-9.
Equitable estoppel
99
5-10.
Prosecution laches
100
5-11.
Unclean hands
100
Part 5 Pre-procedural measures
101
I.
Pre-procedural measures of the patent holder
101
1.
Germany
101
1.
Warning letter due to patent infringement
101
1-1.
Practical and judicial meaning
101
1-2.
Unauthorized warning
101
1-3.
Exhaustion periods
102
2.
Preliminary injunctions
102
2-1.
survey of summary proceedings in patent law
102
2-2.
Procedural principles in injunction proceedings
102
2-3.
Validity of the patent of disposal
103
2-4.
Infringement
103
2-5.
Urgency
104
2-6.
Proportionality
104
2-7.
Enforcement and remedies
104
2-8.
Damages
105
2.
Japan
105
1.
Warning
105
2.
Preliminary injunction
106
2-1.
Preliminary injunction as a provisional remedy
106
2-2.
Characters of a preliminary injunction
107
2-3.
Material prerequisites for an order of a preliminary injunction
107
2-4.
Procedure
108
2-4-1.
Jurisdiction
108
2-4-2.
Petition
108
2-4-3.
Relation of a preliminary injunction with an ordinary injunction
109
2-4-4.
Hearing
109
2-4-5.
Proof with prima fade evidences
110
2-5.
Decision and objection
111
2-5-1.
Dismissal of a petition and immediate appeal
111
2-5-2.
Issue of an order for a preliminary injunction, objection and appeal
112
2-6.
Revocation of a preliminary injunction
112
3.
USA
113
1.
Warning letter
113
2.
Injunctive relief
114
II.
Pre-procedural measures of the infringer
115
1.
Germany
115
1.
Negative declaratory action and counter-warning
115
2.
Protective letter
115
3.
Application for issuing a injunctive relief due to unauthorized claim of patent rights
115
2.
Japan
115
1.
Counter warning
115
1-1.
Counter warning based on a patent
115
1-2.
Counter warning based on an unfair competition
116
2.
Protective letter
117
3.
Declaratory judgement
118
3.
USA
118
1.
Counter-warning/protective letter
118
2.
Opinions of counsel
119
3.
Declaratory judgment proceedings
120
4.
Request for injunctive relief due to unauthorized claim of patent rights
120
Part 6 Infringement proceedings
123
I.
Germany
123
1.
Jurisdiction and courts
123
2.
Parties and participants to the proceedings
123
1.
parties
123
2.
Right to sue
123
2-1.
registered patent holder
123
2-2.
Several patent owners
123
2-3.
Right to sue of the licensee
124
3.
defendant's standing to be sued
124
3-1.
Alleged infringers
124
3-2.
Two or more infringers
125
3-3.
Managing directors
125
4.
Attorneys of record
126
5.
Experts
126
5-1.
Court experts
126
5-2.
Party-appointed expert
127
6.
Third party intervention
127
3.
Procedure
128
1.
Filing the complaint
128
2.
Reply to a complaint
128
3.
Oral hearing
129
4.
Judgement and appeal
129
5.
Procedural guidelines of the court
129
II.
Japan
130
1.
Jurisdiction
130
1.
International jurisdiction and governing law
130
1-1.
Injunction claims
131
1-2.
Claims for compensation of damages
132
2.
National jurisdiction
132
2-1.
Jurisdiction for the first instance
132
2-2.
Jurisdiction for the second instance
133
2-3.
Jurisdiction for the final instance
133
2.
Parties to the proceeding
133
1.
Courts
133
2.
Parties
133
2-1.
Plaintiffs
133
2-1-1.
Existence of an effective patent right
134
2-1-2.
Transfer of patent rights
134
2-1-3.
Registered exclusive licensee
135
2-3.
Defendants
135
2-4.
Representatives of civil procedure
136
2-5.
Experts
137
2-6.
Third parties
137
3.
Procedural steps
138
1.
Filing a complaint by a plaintiff
138
2.
Service of a complaint to the defendant
138
3.
Answer of the defendant to a complaint
139
4.
Begin of oral proceeding
140
5.
Preparatory proceeding
140
5-1.
Preparatory proceeding for recognising infringement
140
5-2.
Preparatory proceeding for calculation of damages
141
6.
Conclusion of oral proceeding
141
7.
Judgement
141
7-1.
Judgement recognising infringement
141
7-2.
Judgement denying infringement
141
8.
Appeal to the Japanese Intellectual Property High Court
142
9.
Final appeal to the Japanese Supreme Court
142
III.
USA
143
1.
Jurisdiction
143
2.
Parties to the proceedings
144
1.
Court
144
2.
Necessary and permissible parties
144
3.
Rights of action
145
4.
Adding of additional parties
145
5.
Representatives
145
6.
Experts
146
7.
Third party participation
146
3.
Procedure
147
1.
Filing of the complaint
147
2.
Answer to the complaint
147
3.
Proceedings leading to the decision of the court
147
4.
Motion practice and oral hearings
148
5.
Trial, judgment and appeal
149
Part 7 Procedural principles
151
I.
Germany
151
1.
dual system
151
2.
principle of party control
152
1.
Substantive motions
152
1-1.
Subject-matter of the motions
152
1-2.
principle of the binding nature of the application
153
2.
Commencement and termination of the proceedings
153
2-1.
Bringing a suit
153
2-2.
Withdrawal of action
153
2-3.
Acceptance
154
2-4.
Settlement
154
3.
Changes in the factual and legal situations
154
3-1.
Change of party
154
3-2.
Invalidation or restriction of the patent-in-suit
155
3.
Adversarial system
156
4.
Investigative principle and judicial information obligation
157
5.
legal judge
158
6.
Right to be heard
158
7.
Oral presentation and publicity
159
8.
Burden of demonstration and burden of proof
159
1.
Extent of the burden of demonstration and proof
159
2.
Exemption of certain facts from the burden of proof
160
3.
Shifting of the burden of proof
162
4.
Taking of evidence and means of evidence
162
9.
principle of concentration
163
10.
Liability of the losing party to pay the costs
163
1.
Cost risk
163
2.
Value of the matter in dispute
164
II.
Japan
165
1.
"Double Track" system
165
1.
Separation system before the judgement in 2000
166
2.
Introduction of "Double Track" system by the judgement in 2000
166
3.
Contradiction between courts' judgements and the JPO's decisions
166
4.
Invalidation of patent after the final and binding judgement
167
5.
Discussion to reform the "Double Track" system
167
2.
Principle of party disposition
168
1.
Substantive motions
168
1-1.
Specification of claims
168
1-1-1.
Discretion of a patent holder to specify the claims
168
1-1-2.
Initiative of an alleged infringer
168
1-1-3.
Specification of the objects of claim
169
1-2.
Specification of parties
169
2.
Party's discretion for ending the procedure
170
2-1.
Withdrawal of action
170
2-1-1.
Prerequisites of withdrawal of action
170
2-1-2.
Effect of withdrawal of action
170
2-1-3.
Practical meaning of withdrawal of action
170
2-2.
Waiver of claim
171
2-3.
Acknowledgment of claim
171
2-4.
Amicable settlement within a judicial procedure
172
3.
Principle of party presentation
172
1.
Responsibilities of parties to state facts and to submit proofs
172
2.
Exceptions to the principle of party presentation
173
2-1.
Interpretation and application of laws
173
2-2.
Procedural requirements for filing an action
173
2-3.
Progress of proceedings
174
2-4.
Subsidiary authority of courts to collect evidences
174
4.
Judicial information obligation
174
5.
Legal judges
175
6.
Principles of orality and publicity
176
1.
Principles of orality and publicity for civil procedures
176
2.
Exceptions in the practice of patent infringement cases
177
2-1.
Suitableness for preparatory proceedings
177
2-2.
Limitation of opening records containing trade secrets to the public
177
2-3.
Protective order
177
2-3-1.
Prerequisites for protective order
178
2-3-2.
Legal results from protective order
178
2-4.
Suspension of opening the examination of parties to the public
179
7.
Burden of demonstration and burden of proof
179
1.
Burden of demonstration
179
2.
Burden of proof
180
2-1.
Burden of proof for literal infringement
180
2-2.
Burden of proof for equivalent infringement
180
2-3.
Burden of proof for compensation of damages
180
3.
Procedural measures easing the burden of proof related to infringement
180
3-1.
Obligation of an alleged infringer to present the exploiting forms
181
3-2.
Presumption of exploiting patented process from identification of products
181
3-3.
Order to submit documents related to infringement
181
3-4.
Order to submit a subject matter of observation
182
4.
Procedural measures easing the burden of proof related to calculation damage
182
4-1.
Order to submit documents related to damages
182
4-2.
Presumption of the amount of damages
183
4-3.
Obligation of infringer to explain the facts for the calculation of damages
183
4-4.
Recognition of reasonable amount of damages
184
8.
Maxim of concentration of examination of witnesses and parties
184
9.
Liability of the losing party to pay the costs
184
III.
USA
185
1.
All matters before the court
185
1.
Substantive motions
185
2.
Procedural motions
185
2.
Adversarial system
186
3.
Discovery
186
4.
Court and the judge and their roles
187
5.
jury and their role
187
6.
Public trials and right to be heard
188
7.
Publicity
188
8.
Burden of proof
188
1.
Preponderance of the evidence
188
2.
Clear and convincing
189
3.
Taking of evidence and means of evidence
189
3-1.
Pre-trial discovery
189
3-2.
Evidence outside the United States
190
3-3.
Evidence at trial
190
9.
Costs
191
Part 8 Comparative aspects of Law and practice
193
I.
Territoriality
193
II.
Collection of evidence and experts
194
III.
Courts, jury and judges
196
IV.
Validity objection
196
V.
Infringement
196
VI.
Injunctions
197
VII.
Damages
198
VIII.
Costs
199
Index
201