Patent law : a handbook on European and German patent law / edited by Maximilian Haedicke and Henrik Timmann.
2014
KJE2725 .P38 2014 (Map It)
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Title
Patent law : a handbook on European and German patent law / edited by Maximilian Haedicke and Henrik Timmann.
Published
Munchen, Germany : Beck Hart Publishing, [2014]
Oxford, United Kingdom : Hart Publishing, [2014]
Baden-Baden, Germany : Nomos Verlagsgesellschaft, [2014]
Oxford, United Kingdom : Hart Publishing, [2014]
Baden-Baden, Germany : Nomos Verlagsgesellschaft, [2014]
Copyright
©2014
Call Number
KJE2725 .P38 2014
ISBN
9783406650741 (Beck)
3406650740 (Beck)
1849464928 (Hart)
9781849464925 (Hart)
9783848703012 (Nomos)
3848703017 (Nomos)
3406650740 (Beck)
1849464928 (Hart)
9781849464925 (Hart)
9783848703012 (Nomos)
3848703017 (Nomos)
Description
li, 1,123 pages ; 25 cm
System Control No.
(OCoLC)830370405
Bibliography, etc. Note
Includes bibliographical references and index.
Record Appears in
Table of Contents
Foreword
V
List of Contributors
VII
Content overview
IX
Abbreviations and Acronyms
XI
Bibliography
XVII
1.
Introduction
A.
Ambit, meaning, goals and means of patent law
3
I.
Subject matter and legal principles
4
II.
Aims and justifications of patent law
5
III.
Critique
6
B.
Historic development
7
I.
The German patent law until 1945
7
II.
German patent law until 1981
8
III.
Reunification
9
IV.
Development of European patent law
10
V.
Recent developments
11
1.
European patent law
11
2.
Changes of the German Patent Act
11
C.
Relevant sources of law
12
I.
European patent law
12
1.
European Patent Convention (EPC)
12
2.
Implementing Regulations to the Convention on the Grant of European Patents
12
3.
Guidelines for Examination
13
4.
Protocol on the Interpretation of Article 69 EPC
13
5.
The London Agreement on the Application of Article 65 EPC
13
6.
Decision, communications and other legal acts
14
II.
Legal sources of the German patent law
14
1.
German Patent Act (PatG)
14
2.
Utility Models Act (Gebrauchsmustergesetz/GebrMG)
14
3.
Laws governing costs and fees
14
4.
Employee Invention Act (Arbeitnehmererfindergesetz/ArbnErfG)
15
5.
Law on international patent conventions (Gesetz über Interntionale Patentübereinkommen/IntPatÜG)
15
III.
International patent law
15
1.
The Paris Convention (PC)
15
2.
Strasbourg Convention
16
3.
Patent Cooperation Treaty (PCT)
16
4.
TRIPS-Agreement
16
5.
Failed Anti-Counterfeiting Trade Agreement (ACTA)
17
6.
"TRIPS-plus" - Free trade agreement
17
IV.
Legal sources of EU patent law
17
1.
Primary community law (Art. 34, 36, 101, 102 TFEU)
17
2.
Secondary community law
18
a.
Directives
18
b.
Regulations
18
D.
Patent law and neighbouring legal fields
19
I.
Constitutional law
19
II.
Civil law
20
1.
Tort law
20
2.
Contract law
21
3.
Law of unjust enrichment
21
4.
Property law
22
III.
Patent and other intellectual property rights
23
1.
Patent and copyright law
23
2.
Patent and trademark law
24
3.
Patent law and the Plant Variety Protection Act
24
IV.
Patent law and the law against unfair competition
25
1.
Technical achievements with commercial particularity
25
2.
Statutory actions
26
V.
Patent law and protection of technical know-how
27
1.
Overview
27
2.
Patent and know-how protection
27
3.
Reasons for know-how protection next to patent protection
28
E.
Patent law and competition law
28
I.
General
29
1.
Patents as restrains on competition?
29
2.
The pharmaceutical sector enquiry of the European Commission and its tendencies of development
30
3.
German and European competition law
31
II.
Prohibition of agreements and practices restraining competition according to Art. 101 TFEU
31
1.
Overview
31
2.
Cases of patent related competition restraints
31
a.
Transfers of IP rights
31
b.
Agreements to license
32
c.
Pay-for-delay agreement
33
d.
Patent pools and standardizing agencies
35
3.
Exemption according to Art. 101 para. 3 TFEU
36
a.
General
36
b.
Technology transfer block exemption regulation (772/2004/EC)
36
c.
EU rule on research and development agreements (1217/2010/EU)
38
d.
BER on specialisation agreements (1218/2010/EU)
40
e.
BER on vertical agreements and concerted practices (330/2010/EU)
40
f.
Guidelines on the applicability of Article 101 TFEU to horizontal co-operation agreements (2011/C 11/01)
41
III.
Prohibition of abuse according to Art. 102 TFEU
41
1.
Meaning
41
2.
Dominant position in the market
42
a.
Tenet
42
b.
Market dominance on the product and license market
43
c.
Particularities of market delineation in the pharmaceutical sector
44
3.
Abuse of a market dominating position
44
a.
General
44
b.
Attainment of a market dominant position as abuse?
44
c.
Extension of an existing market dominant position with the help of patents
44
d.
Patent acquisition by means of misleading application information
45
e.
Assessment of defensive patent strategies - "blocking patents"
46
f.
Patent thickets
47
g.
Price abuse
48
h.
Deregistration and life cycle strategies in the pharmaceutical sector
48
i.
Violation of competition law with respect to parallel importers
49
j.
License denial
49
IV.
Patent law and merger control
50
1.
Meaning
50
2.
Acquisition of assets (sec. 37 para. 1 no. 1 GWB)
51
3.
Acquisition of control (sec. 37 para. 1 no. 2 lit. a GWB)
51
4.
Essentiality
52
a.
Scope of application
52
b.
Essentiality when acquiring assets (sec. 37 para. 1 no. 1 GWB)
52
c.
Essentiality when acquiring control (sec. 37 para. 1 no. 2 GWB)
53
5.
European merger control
53
6.
Turnover threshold
54
F.
Patent law and the European Single Market
54
I.
Patents as non-tariff trade barriers according to Art. 34, 36 TFEU
54
II.
European exhaustion
55
1.
Content
55
2.
Legal basis
56
3.
Exhaustion of IP rights after placing goods in circulation in EU member states which lack patent-protection for such goods
56
4.
No exhaustion from placing products in circulation due to compulsory licenses
56
5.
European and international exhaustion
57
III.
Compulsory licenses
57
IV.
No disguised restrictions on trade
57
2.
Inventions and their amenability to patent protection
A.
The "Technical Invention" criterion
65
I.
Summary
65
II.
Introduction
65
1.
The concept of invention as a functional legal term
65
2.
The limiting function of the invention concept
66
3.
Dynamic openness of the concept of invention
67
III.
Approach by consideration of inventiveness
68
1.
Principle
68
2.
Achievement-related approach in case law
69
a.
German case law
69
b.
EPO Board of Appeal case law
72
3.
The principle of achievement-related consideration in the literature
74
4.
Special examples of the principle of achievement-related consideration in case law and literature
74
a.
The extreme core theory
74
b.
Technical contribution to the art
75
c.
Technical thinking
76
d.
"Technical problem" criterion
77
e.
"Technical effect" criterion
77
5.
Alternatives to the principle of achievement-related consideration?
78
a.
The teaching of "assessment in entirety" or "phenotypical consideration"
78
b.
The balanced consideration approach
79
IV.
The "technical" art in patent law: Tradition Theory
80
1.
Principle
80
2.
Other definitions of the term "technical invention" in case law and literature
83
a.
The "Red Dove Formula"
83
b.
Technical invention as a problem solution
84
c.
The development of "features" of a patentable invention
86
d.
"Reproducibility" (workability), "being finished" and "technical usefulness" as features of a technical invention
86
e.
Progressiveness as a feature of the technical invention
87
f.
Social usefulness as a feature of technical inventions
87
g.
Repeatability as a feature of the technical invention
88
h.
Orientation by economic and commercial criteria
90
B.
Catalogue of exclusions (Section. 1 para. 3-4 PatG resp. Art. 52 para. 2-3 EPC)
90
I.
Abstract
90
II.
History of the catalogue of exclusions
91
III.
Principle
96
IV.
Discoveries
97
1.
Linguistic meaning
97
2.
Legal significance
97
a.
Patentability of natural materials
98
b.
Patentability of functional discoveries
98
c.
The problem of inventive step in a discovery
99
d.
The problem of "practical applicability"
100
e.
The problem of "abstract" claims
101
V.
Scientific theories
101
VI.
Mathematical methods
102
1.
Linguistic meaning
102
2.
Legal significance
102
3.
Other interpretations in case law and literature
103
a.
"Absolute" bar to the patentability of mathematical algorithms
103
b.
Requirement of linkage to a purpose in the patent claim
104
VII.
Aesthetic creations
105
1.
Linguistic meaning
105
2.
Legal significance
105
VIII.
Plans, rules and methods for intellectual activities
106
1.
Linguistic meaning
107
2.
Legal significance
107
a.
Mnemonic techniques, sorting diagrams, book-keeping and stenography techniques, teaching methods, etc
107
b.
Forms, symbols and scales, etc
108
c.
Advertising techniques
109
d.
Ground plans for houses, etc
109
e.
Computer programs
109
f.
No "monopoly on thinking"?
109
IX.
Plans, rules and methods for playing games
110
X.
Plans, rules and methods for business activities
110
1.
Linguistic meaning
110
2.
Legal significance
110
a.
EPO Appeal Board case law
111
b.
German case law
113
XI.
Programs for data processing equipment
115
1.
Linguistic meaning
115
2.
Legal significance
115
a.
Principle
115
b.
Approaches to interpretation in German case law
116
c.
Interpretation approaches in EPO practice
117
d.
Interpretation in the literature
118
e.
Evaluation of case law
119
XII.
Presentation of information
121
1.
Linguistic meaning
121
2.
Legal significance
122
a.
Principle
122
b.
Cases
123
C.
The "industrial applicability" criterion
124
I.
Principle
124
II.
Industrial applicability of genetic sequences (Section 1 a para. 3 PatG)
126
D.
Obstacles to protection
127
I.
General remarks
127
II.
Offence against ordre public and morality
127
1.
Ordre public
128
2.
Morality
128
III.
Special provisions concerning biotechnology inventions
129
E.
Differentiation from the state of the art
129
I.
Legal sources
130
1.
Legal sources for the European patent
130
2.
Legal sources for German patents
131
II.
The skilled person
131
1.
The person skilled in the art
131
2.
General knowledge of the skilled person
132
3.
The skilled person's technical field
133
4.
The skills of the person skilled in the art
134
5.
Expert groups
135
III.
The patent claim - the claimed invention
136
1.
Claim categories
136
2.
Interpretation of patent claims
137
3.
The problem on which the invention is based
140
4.
Priority of the claimed invention
141
5.
Substances for medical procedures
141
IV.
State of the art
142
1.
Basic concept
142
2.
Different sources of disclosure
143
a.
Written sources
143
b.
Oral sources of disclosure
143
c.
Public prior use
144
d.
Other forms of disclosure
145
3.
Public access
145
a.
Examples of access to written descriptions
148
b.
Examples of accessibility of oral descriptions
149
c.
Examples of prior public use
149
4.
The priority of prior knowledge
150
5.
Later published patent applications with a earlier priority as state of the art: Senior rights
151
a.
Senior rights in relation to national patent applications
152
b.
Senior rights in relation to European patent applications and European patents
153
6.
Contents of the sources of disclosure
154
a.
General rules for establishing disclosed content
154
b.
Inevitable features and (interim) results
157
c.
Implicit disclosure, inherent features
158
d.
The technical drawing
158
e.
Chemical formulae
159
f.
Intervals of parameters
159
g.
Functional connection
159
h.
Reference to other documents
160
i.
Realizability
161
j.
Mistakes in publication
161
k.
Medical uses
162
l.
Sources of information of a later date (auxiliary information sources)
162
7.
Non-prejudicial disclosures
162
a.
In the event of abuse
162
b.
International exhibitions
163
V.
Novelty
163
1.
Meaning and purpose
163
2.
Assessing novelty
164
a.
The patent claims as the key subject-matter of the invention under examination
164
b.
The skilled person
164
c.
The timing of examination
164
d.
The individual comparison
165
e.
Criteria for novelty-destroying disclosure of features
166
f.
Senior rights
173
g.
The disclaimer
173
h.
Substances for medical procedures
174
3.
Non-prejudicial disclosures
175
4.
The relationship with other legal requirements
175
VI.
Inventive step
176
1.
Significance and purpose
176
2.
Assessing inventive step
176
a.
Patent claims as the decisive object of examination
177
b.
Consistent subject-matter
178
c.
The actual contribution
178
d.
The date of the examination
179
e.
The relevant prior art
179
f.
Combining citations
180
g.
The person skilled in the art and consultation of other skilled persons from other technical fields
181
h.
Criteria for a solution to be obvious from the state of the art
181
ff.
Combinations of known individual features known
193
i.
Evidence for the presence of inventive step: supporting considerations
194
j.
Mistakes in the patent application
201
3.
Substances for medical processes
201
4.
Relations to other legal requirements
202
a.
Relation to technicality
202
b.
Relation to realizability (reproducibility)
204
c.
Relation to an inadmissible extension
205
d.
Relation to clarity
206
e.
Relation to unity
206
F.
Realisability and sufficiency of disclosure for realisability
207
I.
Legal sources
207
II.
Realisability
207
1.
Connection with the concept of invention
208
2.
Aspects of realisability
209
a.
Usefulness
210
b.
Completeness
211
c.
Repeatability
211
d.
Further aspects?
211
3.
Relation to other patentability criteria
212
4.
Relation to the requirement of sufficient disclosure
213
5.
Practical consequences
215
III.
Sufficient disclosure
217
1.
The invention
217
2.
Disclosure
218
a.
Clearness
220
b.
Completeness
222
3.
Ability to carry out an invention
223
a.
The decisive point in time when the invention can be carried out
223
b.
Examination of disclosure for the purposes of realisability
227
4.
Particularities in the case of biotechnology
235
5.
Proof of sufficiency of disclosure and the burden of proof
238
3.
Ownership
A.
Inventor and inventor right
243
I.
Overview
243
II.
The inventor
243
1.
Inventor as natural person
243
2.
Inventor as material beneficiary and the applicant fiction
244
III.
The inventive process
244
1.
Physical act
244
2.
Completion and announcement of the invention
244
IV.
Personal inventor right
245
V.
Right of invention and right to a patent
246
1.
Emergence
246
2.
Scope of protection
246
3.
Classification
247
B.
Multiple owners
247
I.
Criteria for joint inventorship
248
1.
Nature of the contribution
248
a.
Intellectual collaboration
248
b.
Creative contribution
249
c.
Independence of the contribution
250
d.
For resolving a particular problem
250
2.
Commonality of the invention
251
II.
The inventor's rights in the case of a joint invention
251
1.
The inventor's personal rights in the case of a joint invention
252
2.
The property-right components of the co-inventor's rights
252
III.
Derivative acquisition of joint inventorship of the invention
252
IV.
Legal relationship of the co-inventors to the invention
253
1.
The Partnership of part owners
255
a.
Agreement relating to the partnership
255
b.
Free disposal of the inventor's rights as part of the partnership assets
255
c.
Administration of the inventor's rights
256
d.
Use of the invention
257
e.
Claims for compensation and indemnification
259
f.
Termination and dissolution of the partnership
259
2.
Co-ownership by defined shares
260
a.
Size of the share
261
b.
Disposal of the invention as a whole and the ownership share
262
c.
Administration
264
d.
Right of use of the part owners
266
e.
Claim for compensation
267
f.
Termination and dissolution of the partnership
268
V.
Double inventors
269
VI.
Plurality of Patent owners in proceedings
270
1.
Partnership of part owners
270
2.
Partnership of part owners
271
C.
Recovery of inventors' rights (rei vindicatio)
272
I.
The claims to the recovery of an inventor's rights
272
1.
Persons entitled
273
a.
The inventor or his successor in title
273
b.
The possessor of the invention injured by usurpation
274
2.
Obligor
275
3.
Subject matter of the recovery of rights
275
a.
Total or partial recovery of rights
275
b.
Identical nature
276
c.
Identical invention
277
d.
Finished invention
278
e.
No examination of patentability
278
4.
Cut-off period with exceptions
279
5.
Forfeiture of rights
280
II.
Ancillary claims of the obligee and obligor
280
III.
Asserting the recovery of rights by taking legal action
282
1.
Jurisdiction
282
a.
International jurisdiction
282
b.
Local jurisdiction
282
c.
Substantive jurisdiction
283
2.
Need for legal protection and relationship with other legal remedies
283
3.
Motions
284
4.
Obligation to present arguments, and burden of proof
284
5.
Further aspects
285
IV.
Securing the claim to the recovery of rights by means of a temporary injunction
285
1.
Content of the protective measure
286
a.
Protecting German patent applications and patents, including German parts of granted European patents
286
b.
Protecting European patent applications
286
c.
Protecting foreign intellectual property rights including foreign parts of granted European patents
286
2.
Requirements regarding the obligation to present evidence and arguments in support of the entitlement to an injunction
287
3.
Grounds for an injunction
287
a.
Claim to the recovery of rights specifically jeopardised
287
b.
Refutation of urgency
288
4.
Cautions dispensable
289
V.
The defence of fraudulent intent in patent infringement proceedings
289
VI.
Usurpation as a ground for revocation in German opposition proceedings
290
1.
Conditions
290
2.
Principle of arguments presented intra panes and principle that the parties delimit the subject matter of the proceedings
291
3.
Relationship with the proceedings for the recovery of rights and the need for legal protection
292
4.
Right to make a second filing
293
VII.
Usurpation or lack of entitlement as a ground for nullity in nullity proceedings
294
VIII.
Intervention in the European patent grant procedure
294
1.
Staying the proceedings for grant
295
2.
Prohibition on withdrawal
295
3.
Triple choice
295
4.
Patent transfer and licensing
A.
Common foundations of patent transfer and licensing
299
I.
Relevance and sources of law
300
II.
Transferrable patent rights
300
1.
The patent and its antecedent forms as legal transfer objects
300
2.
Transfer of patents as part of technology transfer agreements
301
III.
Forms of patent transfer
301
1.
Full transfer
301
2.
Limited transfer of rights
301
3.
Transfer due to death
302
IV.
Dispositions, seperation principle and the principle of the abstract nature of rights in rem
302
V.
No bona fide acquisition
302
VI.
Anticipatory disposal
303
VII.
Rules of interpretation and the theory of transfer tied to purpose
303
VIII.
Relevance of the patent registry for the assignment of rights
304
IX.
Application of rules of general civil law
305
1.
Rescission
305
2.
Ineffectiveness and invalidity, sec. 134, 138 BGB
306
3.
Applicability of further civil law rules
306
B.
Full transfer of patents
307
I.
General
307
II.
Form
307
III.
Default in performance and warranty for defects
307
1.
Warranty in law of sales
307
a.
Preliminary notes
307
b.
Liability for defects
308
c.
Liability for sound title
309
2.
Liability for failure to perform
310
C.
Licenses
311
I.
Economic relevance and statutory provisions
311
II.
Terminology
312
III.
Form
312
IV.
Structure of exclusive and non-exclusive licenses
312
1.
Preliminary notes
312
a.
Necessity of approximation between types of licenses
312
b.
Structural independence irrespective of the breadth of rights assigned
313
2.
Exclusive licenses
313
3.
Non-exclusive licenses
314
a.
The legal position of the non-exclusive licensee
314
b.
Non-exclusive license as positive right of use
314
4.
Sole licenses
314
5.
Negative licenses
315
6.
Consent
315
V.
Dogmatic fundamentals of the granting of a license
315
1.
Relevance of this inquiry
315
2.
Licenses as rights in rem
315
a.
Exclusive licenses
315
b.
Non-exclusive licenses as right in rem
316
3.
Separation principle and the principle of the abstract nature of rights in rem
317
VI.
Issuance of sub-licenses and transfer of licenses
318
1.
Issuance of sub-licenses
318
a.
Disposition by authorised party
318
b.
Approval requirements
318
2.
Transfer of licenses
319
a.
Exclusive licenses
319
b.
Non-exclusive licenses
320
c.
Consequences of the invalidity of the obligation to transfer the license
320
3.
Consequences of the unauthorized issuing of sub-licenses or transfer of licenses
320
VII.
Elements of contract design
321
1.
Overview
321
2.
Personal scope of application
321
3.
Territory subject to a license
322
4.
Duration
322
5.
Modalities of remuneration
323
6.
Rights of use
323
a.
Overview
323
b.
Production and distribution license
323
c.
License for use
324
d.
Simultaneous transfer of patent related know-how
324
7.
Non-challenge clause
324
8.
Restraint of competition
325
9.
Warranty
325
10.
Other typical contractual obligations
325
11.
Differentiation between the infringement of the exectuory agreement and the patent
326
a.
Necessity of the differentiation
326
b.
Limits to splitting up agreements to license
326
c.
Consequences of infringement
327
VIII.
Protection against interim dispositions
327
1.
Overview and dogmatic classification
327
2.
Effect of protection against interim dispositions
328
IX.
Termination of licenses
329
1.
Expiry of term of protection and other reasons for the cessation of a patent
329
2.
Termination or cessation of a license
329
a.
Prevailing opinion
329
b.
Conclusions from the application of the principle of the abstract nature of rights in rem
329
c.
Exceptional automatic return despite the applicability of the principle of the abstract nature of rights in rem
330
3.
Consequences of the cessation of the primary license for the sub-license
330
5.
Grant and rejection of patents
A.
The proceedings for grant
338
I.
The European Proceedings for Grant
339
1.
Overview of the proceedings and its stages
340
2.
The application
341
a.
Two ways to file a European patent application: Direct application and Euro PCT application
341
b.
The applicant and his representative
344
c.
Text of the application and drawings
347
d.
Request for grant
372
e.
Fees
374
f.
Designation of the inventor
386
g.
Priority Background
388
h.
Obligation to mention the prior art
394
i.
Filing requirements for the accordance of a date of filing
395
j.
Filing an application
399
3.
Effect of a filing
404
4.
Examination on filing and examination as to formal requirements
404
a.
Examination on filing
405
b.
Examination as to formal requirements
405
5.
Search
407
a.
Subject-matter of the search
408
b.
Scope of the considered state of the art
412
c.
The search report
412
d.
The applicant's response to the search report
413
6.
Publication of the application
416
7.
Examination procedure
418
a.
Summary
418
b.
Request for examination
419
c.
Communications during examination
420
d.
Observations by third parties
422
e.
Response options of the applicant
422
f.
Oral proceedings
424
g.
Grant
427
h.
Refusal
433
i.
Appeal and correction of decisions
433
8.
Amendments and corrections
433
a.
Time limitations for amendments
434
b.
Procedural limitations for amendments
435
c.
Subject-matter limitations for amendments
436
d.
Correction of errors and mistakes
441
9.
Divisional applications
442
a.
Applicant of a divisional application
443
b.
Period for filing a divisional application
444
c.
Subject-matter and content of a divisional application
446
10.
Special requirements for PCT applications
448
11.
Time limits and failure to observe time limits
451
a.
Calculation of periods
452
b.
Extension of a time limit
453
c.
Observation of a time limit
454
d.
Failure to observe a time limit
455
12.
Accelerated prosecution of applications
458
II.
National patent grant procedure
459
1.
Overview of the procedure and its stages
459
2.
The application
459
a.
Two paths to a German patent application: direct application and PCT application
460
b.
The applicant and its representative
460
c.
Application text and drawings
462
d.
Request
468
e.
Fees
469
f.
Designation of the inventor
472
g.
Priority
474
h.
Minimum requirements for the accordance of a date of filing
476
i.
Filing of the application
477
3.
Examination for obvious defects
478
4.
Search
480
a.
Search request
480
b.
Subject-matter of the search
481
c.
Scope of consideration of prior art
482
d.
The search report
482
5.
Publication of the application
482
6.
Examination procedure
483
a.
Overview
483
b.
Request for examination
484
c.
Examiner's communications
485
d.
Options of the applicant
487
e.
Hearing
487
f.
Grant
488
g.
Rejection
489
h.
Appeal from and correction of decisions
489
7.
Amendments and corrections
489
a.
Time limits for amendments
490
b.
Restrictions regarding the nature of amendments
490
c.
Implementation of amendments
491
d.
Correction of errors
491
8.
Divisional applications
492
a.
Divisional applications
492
b.
Divisional applications by elimination
496
9.
Special requirements for PCT applications
498
10.
Time limits and failure to observe time limits
499
a.
Further processing
500
b.
Reinstatement
501
B.
Opposition proceedings
501
I.
The procedure before the European Patent Office
502
1.
Purpose, nature and object of the proceedings
502
2.
Grounds for opposition
503
a.
Lack of patentability
503
b.
Insufficiency of disclosure
505
c.
Inadmissible extension
505
d.
No grounds for opposition
506
3.
Overview of the course of the proceedings
506
4.
Admissibility
507
a.
Right to file an opposition
507
b.
Formal requirements
508
c.
Sufficiency of substantiation
511
d.
Examining admissibility
512
5.
Substantive examination of the opposition
516
a.
Extent of the substantive examination
516
b.
Grounds for opposition
516
c.
Prior use as prior art
517
6.
The patent proprietor's options for taking action and the written procedure
518
7.
Oral proceedings
521
a.
Preparing for oral proceedings
521
b.
The course of the oral proceedings
521
8.
Decision
523
9.
Costs
524
10.
Appeal
525
11.
Intervention
525
12.
Procedural matters
527
a.
Right to be heard
527
b.
Time limits and failure to observe them
528
c.
Lateness
528
d.
Withdrawal of the opposition
529
13.
Change of the patent proprietor during opposition proceedings
529
14.
Change in the person of the opponent
529
15.
Accelerating the proceedings
529
II.
The proceedings before the German Patent and Trade Mark Office
530
1.
Purpose, nature and object of the proceedings
530
2.
Grounds for opposition
531
a.
Lack of patentability
531
b.
Insufficiency of disclosure
531
c.
Inadmissible extension
532
d.
Usurpation
532
3.
Course of the proceedings
533
4.
Admissibility
533
a.
Right to file an opposition
533
b.
Formal requirements
534
c.
Substantiation
535
d.
Examining admissibility
536
5.
Substantive examination of the opposition
536
a.
Extent of the substantive examination
536
b.
Grounds for opposition
536
6.
The patent proprietor's options for taking action
537
7.
Oral proceedings
538
8.
Decision
538
9.
Costs
539
10.
Appeal
540
11.
Intervention
540
12.
Procedural matters
541
a.
Right to be heard
541
b.
Time limits
541
c.
Lateness
541
d.
Withdrawal of the opposition
541
13.
Change of patent proprietor during the opposition proceedings
541
14.
Change in the person of the opponent
542
C.
Appeal proceedings
542
I.
Proceedings according to the EPC
542
1.
Purpose, nature and object of the proceedings
542
2.
Overview of the course of the proceedings
543
3.
Effects of filing an appeal
544
4.
Admissibility
544
a.
Appealable decisions
544
b.
Entitlement to appeal
545
c.
Notice of appeal
545
d.
Grounds for appeal
546
5.
Amendments to the patent application or the patent
549
a.
Principles
549
b.
Issues specific to multilateral proceedings
550
6.
Oral proceedings
551
a.
Principles
551
b.
Preparing for oral proceedings
551
c.
Conduct of the oral proceedings
551
7.
Decision
552
a.
Own decision on the merits
552
b.
Remittal for a further decision by the department of first instance
552
8.
Costs
553
9.
Petition for review by the Enlarged Board of Appeal
553
a.
Principles
553
b.
Admissibility
553
c.
Overview of the course of the proceedings
554
d.
Decision
555
10.
Intervening in opposition appeal proceedings
556
11.
Miscellaneous procedural issues
556
a.
Procedural principles
556
b.
Right to be heard
556
c.
Time limits and the consequences of the failure to observe them
556
d.
Lateness
557
e.
Withdrawal of the appeal
557
f.
Withdrawal of the opposition in opposition appeal proceedings
558
12.
Change in the person of the opponent
558
II.
National procedure
558
1.
Purpose, character and subject matter of the proceedings
559
2.
Overview of the procedure
560
3.
Effects of the lodging of an appeal
560
4.
Admissibility
560
a.
Appealable decisions - permissibility
560
b.
Locus standi
561
c.
Notice of appeal
562
d.
Time limit for submitting the statement of grounds for appeal
562
e.
Examination of admissibility
563
5.
Factual examination of the appeal
563
a.
Scope
563
b.
Examination of grounds of appeal in multilateral proceedings
564
6.
Amendment of the patent application or specification
564
a.
Principles
564
b.
Special features of multilateral proceedings
564
7.
Oral proceedings
564
b.
Preparation of the oral hearing
565
c.
Holding oral hearings
565
8.
Ruling
565
a.
Independent ruling
565
b.
Remittal
566
9.
Costs
566
10.
Appeal on points of law
566
a.
Principles
566
b.
Differences compared to the appeal procedure
567
11.
Intervention in appeal proceedings
567
12.
Various procedural questions
568
a.
Procedural principles
568
b.
Right to be heard
568
c.
Time limits and consequences of non-observance
568
d.
Lateness
568
e.
Withdrawal of the appeal
569
f.
Withdrawal of the opposition in appeal proceedings
569
13.
Change in identity of the opponent
569
D.
Nullity proceedings
569
I.
Purpose, character and subject-matter of the proceedings
570
II.
Delimitation to opposition proceedings
571
III.
Grounds for nullity
571
IV.
Overview of the proceedings
572
1.
First instance
572
2.
Second instance
573
V.
Procedure in the first instance
574
1.
Filing of a complaint
574
a.
Claimant
574
b.
Defendant
575
c.
Representative
576
d.
Value of the subject matter
576
e.
Prerequisites of admissibility
576
f.
Fee
578
g.
Security
579
2.
Service of the writ and invitation to contest
580
a.
Service
580
b.
No contesting
580
c.
Cost in case that no contesting reply is submitted
580
3.
Statement of defence
581
4.
Examination of admissibility
581
5.
Examination as to substance
582
a.
Subject-matter of the examination (review) as to substance
582
b.
Amendment of the patent
583
6.
Qualified interim report
584
7.
Oral hearing
585
a.
Principles
585
b.
Preparation
585
c.
Procedure in the oral hearing
585
8.
Decision
586
VI.
Appeal against the judgements
587
1.
In general
587
2.
Admissibility
588
3.
Representation
588
4.
Notice of appeal
588
a.
Time limit
588
b.
Requirements as to content and form
589
5.
Statement of grounds for appeal
589
a.
Time limit
589
b.
Content
590
6.
Fee
590
7.
Procedure
591
8.
Oral hearing
592
9.
Basis of decision and decision
592
VII.
Withdrawal of the action and settlement
594
E.
Limitation and revocation proceedings
594
I.
Purpose and nature
594
II.
Delimitation to other procedures
595
III.
Effect
595
IV.
Procedure pursuant to the EPC
596
1.
Formal requirements
597
a.
Request
597
b.
Fee
598
2.
Examination as to substance
598
3.
Decision and conclusion of the proceedings
600
a.
Decision in revocation proceedings
600
b.
Decision in limitation proceedings
600
V.
National procedure
601
1.
Formal requirements
601
a.
Request
601
b.
Fee
601
2.
Requirements as to substance
601
3.
Decision
601
F.
Lapse without retroactive effect
602
I.
Failure to designate the inventor
602
II.
Surrender
602
III.
Failure to pay annual fees or surcharge
603
IV.
Expiry
603
6.
Interpretation and scope of protection of patents
A.
Basic outline
607
I.
The definition of interpretation
607
II.
General remarks on determining the scope of protection
608
1.
The meaning of the scope of protection in patent law
608
2.
The patent specification and its interpretation as the basis for determining the scope of protection
608
3.
Balancing interests between the reward function and legal certainty
608
III.
Legal sources
609
1.
Legal sources for European patents
609
a.
Art. 69 EPC
609
b.
Protocol on the Interpretation of Article 69 EPC
610
2.
Legal sources for German patents
610
IV.
Objective criterion for interpretation
611
1.
The understanding of the person of average skill in the art
611
a.
Level of education and practical professional experience
612
b.
Average knowledge and skill
612
2.
Relevant time
613
3.
Criterion substantively unchanged over time
614
4.
Distinction between interpretation and subsumption of the attacked embodiment under the scope of protection
615
V.
Interpretation as a question of law/findings as to facts
615
VI.
Functionally orientated interpretation
618
B.
The importance of the patent specification as a source for interpretation
618
I.
The authentic version of the patent specification
619
1.
Authentic nature of the version in the language of the proceedings in the case of European patents
619
2.
Consideration of later amendments
619
II.
The patent specification as its own dictionary
620
III.
Authoritative role of the claims
621
1.
Categories of claims
622
2.
The claim as the sum of its features
623
a.
Unity of the claim
623
b.
The feature analysis as an aid
624
c.
Importance of all technical features
625
d.
Peculiarities of statements of purpose, effect and function
626
e.
Peculiarities of numerical and dimensional statements
627
f.
Peculiarities of product-by-process wording
629
g.
Explanatory reference numerals in the claim
631
3.
The systematic structure of the respective claims
631
a.
Relationship with independent claims
631
b.
Relationship with dependent claims
632
IV.
Comprehending the literal wording taking the description and drawings into account
633
1.
Relationship between the description and the claims
633
2.
Classic structure of the description
634
3.
The technical background and state of the art mentioned in the patent
634
a.
The range of relevant documents for interpretation purposes
634
b.
Influence of the relevant documents on the interpretation
635
4.
The object, or the technical problem
636
5.
The general description of the idea behind the solution and its advantages
637
6.
The description of worked embodiments
638
7.
Illustration by means of drawings
639
8.
The abstract
639
C.
The importance of sources outside the patent specification
640
I.
Common general knowledge
640
1.
Definition of common general knowledge
640
2.
The influence of common general knowledge on the substance of the interpretation
641
II.
State of the art not mentioned in the patent specification and not forming part of the common general knowledge
641
III.
Grant history
642
IV.
Reasons for decisions in proceedings attacking validity
643
1.
Prevailing teaching
644
2.
Comment
644
D.
Extension of the scope of protection to equivalents
647
I.
Principles
647
II.
Prerequisites for protection
648
1.
The alternative means
648
2.
The identical effect
649
3.
Perceptibility
650
a.
Relevant knowledge and skill
650
b.
Point in time for perceptibility
651
c.
Special constellations
652
4.
Equivalent in value
653
a.
Outline
653
b.
Technical value judgments in the patent
654
c.
Special constellations
655
III.
"Formstein" defence
657
1.
Outline
657
2.
Examination criteria
658
3.
Scope
659
IV.
Procedural issues
660
1.
Obligation to present arguments and burden of proof
660
2.
Subject matter of the dispute
660
3.
Motion
661
7.
Chemical and biological inventions
A.
Introduction and development
664
I.
Chemical inventions
665
1.
General
665
2.
Historical development and current status
665
a.
Patentgesetz of 1877 - PatG (German Patent Act 1877)
665
b.
Restatement 1891
666
c.
Abolition of the Substance Protection Prohibition 1967
667
II.
Biological inventions
670
B.
Definitions, exceptions and special cases regarding biological inventions
672
I.
Definitions regarding chemical and biological inventions
672
II.
Exceptions and special cases regarding biological inventions
674
1.
Inventions regarding the Human Body
674
2.
Inventions regarding micro-organisms
677
3.
Inventions regarding animals
678
4.
Inventions regarding plants
678
C.
Prerequisites for patent registration
680
I.
General
682
II.
Novelty and inventive step
682
1.
Novelty of substances
683
a.
Novelty of the first medical indication
683
b.
Novelty of the second medical indication
685
b.
Interim products
686
d.
Polymorphic forms
687
e.
Enantiomers
687
f.
Markush formula
688
g.
Selection inventions
689
h.
Natural Substances
690
i.
DNA sequences
691
2.
Novelty of processes
691
3.
Novelty of non-medical applications
691
III.
Capability of industrial application
691
IV.
Specific problems of feasibility
692
V.
Particular problems in case of stem cells
694
D.
Scope of protection and types of claims
695
I.
Introduction
698
II.
Absolute substance protection - range and wording of the unrestricted substance claim
699
1.
General and scope of the substance claim
699
2.
Most recent criticism of absolute substance protection
700
3.
Drafting the claim
701
4.
The product-by-process claim
703
III.
Limited substance claim - range and wording of the claim
704
1.
General
704
2.
Purpose-bound substance protection
704
3.
First medical indication
704
4.
Second medical indication
706
5.
Case studies on substance inventions and first and second medical indication
708
6.
Function-bound substance protection
709
7.
Indirect substance protection
711
IV.
Process and utility claim - scope and wording of the claim
712
1.
Process claims
712
2.
Utility claims
713
E.
Effects of the patent
715
I.
Overview of [§][§] 9 a to 9 c PatG
715
II.
Biological material, [§] 9 a PatG
716
1.
General
716
2.
Product patents, [§] 9 a para. 1 PatG
716
a.
Propagation and multiplication
716
b.
"with identical properties"
717
c.
Scope of Protection
717
3.
The process patent, [§] 9 a para. 2 PatG
717
4.
Genetic information, [§] 9 a para. 3 PatG
718
III.
The reproduction of biological material, [§] 9 b PatG
719
1.
General
719
2.
Exhaustion
719
a.
General
719
b.
Prerequisites
720
c.
Restriction of [§] 9 b sentence 2 PatG
721
d.
Legal consequence
721
IV.
Use for agricultural purposes, [§] 9 c PatG
721
1.
General
721
2.
Farmers' privilege for crops, [§] 9 c para. 1 PatG
721
a.
Variety constituents
721
b.
Farmer
722
c.
"For the purpose of agricultural cultivation"
722
d.
His/her crops and farming operation
722
e.
Use by the farmer
723
f.
Legal consequence: Limitation of [§][§] 9, 9 a and 9 b sentence 2 PatG
723
g.
Information and compensation claim
723
3.
Farm animals or animal reproductive material, [§] 9 c Abs. 2 PatG
727
a.
Farm animals
727
b.
Animal reproductive material
727
c.
Placing on the market
727
d.
Use for agricultural purposes
728
e.
Legal consequence
728
4.
Accidental reproduction, [§] 9 c para. 3 PatG
728
a.
Agriculture
728
b.
Accidental reproduction
728
c.
Burden of proof
729
d.
Legal consequence
729
8.
Use of a patent
A.
General
733
B.
Direct use of a patent
733
I.
General principles
733
1.
Patents as monopoly rights and positive rights of use
733
2.
Rights of use when patents collide
734
a.
Positive right of use
734
b.
Collision of patents with different priorities
734
c.
Collision of patents with the same priority
735
3.
Analysis of features and comparison of features
735
4.
Objective criterion for determining the use of a patent
736
5.
Improved embodiments and embodiments of poorer quality
736
a.
Sub-combination
736
b.
Dependent inventions
737
6.
Implementation of plural use actions side-by-side or in succession
737
II.
Individual elements of use
737
1.
Product patents
738
a.
Comprehensive exploitation rights in principle
738
b.
Combining, mixing, further processing
738
c.
Manufacturing
739
d.
Offering
741
e.
Placing in circulation
744
f.
Using
746
g.
Importing and possessing
746
2.
Process patents
746
a.
Preliminary remarks
746
b.
Carrying out a patented process as a use of the patent
747
c.
Offering a patented process to be carried out as a form of using a patent
748
d.
Using in Germany
748
e.
Protection of the direct product of a process
749
3.
Employing use patents in the form of a "manifest arrangement"
753
C.
Indirect use of a patent
753
I.
Historical development
754
II.
European law
754
III.
Systematic position and purpose of section 10 PatG
755
1.
Elements of risk as a preliminary to direct patent infringement
755
2.
Delimitation from other forms of accompliceship in the law of tort
755
3.
Typology of features of the constituent elements
756
a.
Constituent elements relating to the nature of the means and others
756
b.
Objective and subjective constituent elements
756
4.
The special provisions of section 10 paras. 2 and 3 PatG
756
IV.
The object of indirect patent infringement
757
1.
The definition of the means
757
2.
Means relating to an essential element of the invention
757
3.
Means which are objectively suitable for being employed in order to use the invention
758
V.
The prohibited act and its circumstances
760
1.
Offering
760
2.
Supplying
760
3.
Limitations on the effects of the patent
760
4.
Means must be intended to be used in accordance with the invention
761
5.
Knowledge or obviousness
763
a.
Knowledge relating to the nature of the use, not the patent granted
763
b.
Knowledge of the suitability
763
c.
Knowledge of the intention
763
d.
Obviousness as an alternative to knowledge
764
e.
Special considerations in the case of products which are generally commercially available
765
6.
Double domestic nexus
766
VI.
Relevant time for assessment
767
VII.
The persons involved and their lack of legitimation
767
1.
The perpetrator
767
2.
The customer
768
VIII.
Special cases
769
1.
Supplying replacement parts
769
2.
Indirect infringement of use claims
769
IX.
Legal consequences
770
D.
Liability and imputation
770
I.
General principles
771
II.
Patent infringement by the perpetrator
771
III.
Complicity
771
IV.
Liability of participants
772
1.
General
772
2.
Premeditated participation
772
3.
Contributory infringement by omission
773
V.
Indirect perpetration
774
VI.
Vicarious liability
774
1.
Analogue liability of executive bodies sec. 31 BGB
774
2.
Liability for employees, representatives and vicarious agents
775
VII.
Liability for violations of commercial obligations and interference liability
775
1.
Accountability of third parties beyond contributory patent infringement
775
a.
Nature of the interests involved
775
b.
Scope of third party liability other than participant liability and contributory patent infringement
775
2.
Taking interference liability and liability for violations of commercial obligations as a starting point
777
a.
Evolution of interference liability in competition and trademark law
777
b.
Terminology
777
3.
Liability for violations of commercial obligations under patent law
778
4.
Practical consequences
779
5.
Content of commercial obligations under patent law
780
a.
Transferability of case law in the areas of trademark, copyright and competition law
780
b.
No proactive obligation to search
780
c.
No liability for privileged patent usage
780
d.
Isolated cases
781
6.
Liability of executive bodies for patent infringements as liability for a violation of commercial obligations
783
9.
Defences
A.
Permitted acts under Section 11 PatG
790
I.
Introduction
790
II.
Acts in the private domain (Section 11 No. 1 PatG)
791
1.
Acts in the private domain
791
2.
Acts for non-commercial purposes
792
III.
Privilege for experimentation (Section 11 No. 2 PatG)
792
1.
Justification
793
2.
What is an experiment or an act relating to the subject matter of a patented invention?
794
a.
Opinion of the previous instance
794
b.
Opinion of the BGH
794
3.
Exempted acts and preparatory acts J
796
4.
Limitations of the privilege for experimentation
797
5.
Contract research
797
6.
Acts of facilitation by third parties (external deliveries)
798
a.
Indirect infringement by the third party
798
b.
Direct infringement by the third party
800
7.
Research tools
800
IV.
Use of biological material (Section 11 No. 2 a PatG)
800
V.
Roche Bolar Rule (Section 11 No. 2 b PatG)
801
VI.
Individual preparation of medical drugs (Section 11 No. 3 PatG)
802
VII.
Other privileges (Section 11 No. 4-6 PatG)
802
1.
Section 11 No. 4 PatG - Shipping
802
2.
Section 11 No. 5 PatG - Air and land transportation
802
3.
Section 11 No. 6 PatG - International civil aviation
803
B.
Exhaustion
804
I.
Introduction
804
II.
Principle and justification
805
III.
Conditions and scope of exhaustion
805
1.
Putting on the market
806
a.
Principle
806
b.
Borderline cases
806
2.
Consent
807
3.
Scope of exhaustion
808
IV.
Scope of exhaustion and ban on new manufacture
809
1.
Flügelradzähler
809
2.
Laufkranz decision
811
3.
Pipettensystem decision
812
4.
Summing up
813
V.
Exhaustion in cases of method claims
813
1.
No exhaustion for the method claim
814
2.
Implied licence in the disposal of apparatus
814
VI.
EU-wide and international exhaustion
815
1.
EU-wide exhaustion
815
a.
Principle and justification
815
b.
Individual and special cases
816
2.
No further international exhaustion beyond this
817
VII.
Procedural aspects and burden of proof
818
C.
Prior use law according to Section 12 PatG
818
I.
Introduction
819
II.
Arguments in justification of Section 12 PatG
819
III.
Conditions of prior use
820
1.
Possession of the invention
820
a.
Possession of the invention
820
b.
Honest and lawful possession of the invention
821
2.
Use or arrangements for use
822
a.
Use in Germany
822
b.
Arrangements to use
823
3.
Timing of use or arrangements for use and cessation of use and its consequences
824
a.
Timing of use or arrangements for use
824
b.
Cessation of use and its consequences
824
4.
Entitlement to right of prior use
825
IV.
Legal consequences of a right of prior use
826
1.
Legal nature of right of prior use
826
2.
Scope of the right of prior use for the immediate entitled person
826
a.
Principle
826
b.
Qualitative scope of the right of prior use - acts of use
826
c.
Qualitative scope of the right of prior use - development of the invention
827
d.
Quantitative scope of the right of prior use
828
3.
Consequences of the right of prior use in favour of third parties
829
a.
Principle
829
b.
The problem of "indirect prior use"
829
V.
Transfer of a right of prior use
831
VI.
Other rights of continued use
831
1.
Interim use between application and disclosure of the patent
831
2.
Use after expiry of a patent and effective restitutio in integrum (Section 123 Para. 5 PatG)
831
3.
Section 28 ErstrG
832
4.
Positive right of use
832
a.
Principle
832
b.
Extent of the right of use
833
c.
Procedural aspects
833
D.
Defence of invalidity
834
I.
Introduction
834
II.
The connection between infringement proceedings and the invalidity action via Section 148 ZPO
835
III.
Application of Section 148 ZPO
835
1.
General conditions of Section 148 ZPO and procedures
836
2.
Infringement proceedings of first instance
837
a.
Decision or opinion from the nullity action
838
b.
Prior art
838
c.
Public prior use as a special case
839
d.
Grounds for nullity
839
e.
Behaviour of the defendant
839
3.
Second-instance infringement proceedings
840
a.
Defeat for patent proprietor and claimant in first-instance infringement proceedings
840
b.
Victory for the patent proprietor and claimant in first-instance infringement proceedings
840
4.
Infringement proceedings in the third instance
841
5.
Special case: enforcement of a limited version of the claim
841
a.
Present practice
841
b.
The Maschinensatz decision
842
c.
Criterion for examination
843
IV.
Special case: Preliminary injunction proceedings
844
1.
Principle
844
2.
More recent tendencies and decisions
845
3.
Further aspects and exceptions
847
E.
Fraudulant abstraction
847
I.
Introduction
847
II.
The offence of usurpation
848
III.
Use as a defence in infringement proceedings
849
F.
Objection of a compulsory licence under antitrust law
851
I.
Introduction
851
II.
European law
852
III.
National Law
853
1.
The Standard-Spundfass ruling
853
2.
The Orange Book Standard ruling
856
3.
Implementation in case law and open questions according to the Orange Book Standard
858
a.
Summary of the Orange Book mechanism
858
b.
Point in time the offer has to be made
859
c.
Content of the offer - no most-favoured-treatment, change in the practice of granting licences
860
d.
Content of the offer - inadmissibility of conditions and degree of regulation
861
e.
Content of the offer - amount of royalty
862
f.
Content of the offer - regulation of the past
863
g.
Content of the offer - territorial scope
864
h.
Acts of performance - deposit and rendering of accounts
865
i.
Discrimination - selective legal enforcement/non-enforcement of the licence agreement
866
4.
Rulings on patent pools and the transferability of the statements contained therein
867
a.
Exploitative abuse - the unnecessary inclusion of patented technologies in the standard
869
b.
Exploitative abuse - benchmarks in relation to the licence fee
869
c.
National licence/global licence
870
d.
Single licence for infringers/general licence for a group
871
e.
Cap/royalty stacking
872
5.
Procedural Aspects of the FRAND objection
872
a.
Burden of proof
872
b.
Delayed FRAND objection
873
c.
Jurisdiction
873
6.
Consequences for the Individual Claims
874
IV.
Specifics of a Licensing Declaration (FRAND Declaration)
875
1.
Introduction and Background
875
2.
Content of a licensing declaration: the example of the ETSI declaration
875
3.
Legal Consequences
876
a.
Applicable law
876
b.
Legal effects of such a declaration
877
c.
Licensing willingness declaration and equal treatment of de-facto- and de-iure standard
879
G.
Forfeiture of rights
880
I.
Introduction
880
II.
Requirements and consequences of a defence that the claim has been forfeited
880
1.
The "Temperaturwächter" ruling
880
2.
The requirements for a forfeiture of rights
881
a.
Legal principle
881
b.
Injunctive relief
881
c.
Compensation for damages and unjust enrichment
883
3.
Possible elements allowing for acceptance of a forfeiture of claims and individual aspects
884
a.
Element of time and element of circumstance
884
b.
Lack of knowledge of the patent
884
c.
Flexible system in terms of the element of time and the element of circumstance
884
10.
Legal consequences of patent infringement
A.
Creditors and debtors of claims for infringement
890
I.
Creditors
890
1.
Registered owner
890
2.
Extent of the registered owner's capacity to sue
891
3.
Several owners
891
4.
Others with property rights
891
5.
Exclusive licensees
892
6.
Other licensees
892
7.
Transferred claims
892
II.
Debtors
893
1.
Potential debtors of an infringement claim
893
2.
Infringer in the narrow sense
893
3.
Patent infringement by "interferers"
893
a.
Joint cause and promotion of a patent infringement by a third party
893
b.
Liability as "interferer" when infringing statutory inspection duty
893
c.
Extent of liability as interferer
894
4.
Several debtors
894
B.
Injunctive relief
896
I.
Basis and conditions for the claim
896
1.
Legal basis for the claim
896
2.
Condition for injunctive relief in a nutshell
896
II.
Risk of repetition and first perpetration
897
1.
Risk of repetition
897
a.
How a risk of repetition occurs
897
b.
Removal of the risk of repetition
897
2.
Risk of first perpetration
898
a.
Cause of the risk of first perpetration
898
b.
Removal of the risk of first perpetration
899
3.
Personal extent of the risk of perpetration
899
III.
Extent of the cease and desist obligation
900
1.
Extent of the cease and desist obligation
900
2.
Conditions for compliance with the cease and desist order
901
3.
Beginning of the cease and desist obligation
901
4.
Additional aspects of indirect patent infringement
902
IV.
Claim for removal
903
C.
Claim for damages
904
I.
Basis and conditions for a claim for damages
904
1.
Legal basis and purpose of a claim for damages
904
2.
Fault of the infringer
905
II.
Calculating the level of damages
907
1.
There are three ways to calculate damages
907
a.
The creditor's right to choose
907
b.
Comparing the creditor's right to choose with the provisions of the Enforcement Directive
908
2.
Damages actually suffered
908
a.
Lost profit
909
b.
Concomitant/accessory damages
909
c.
Interest
910
3.
Licence analogy
910
a.
Basis of the calculation
910
b.
Reference volumes
911
c.
Royalty rate
912
d.
Interest
915
4.
Surrender of the infringer's profit
915
a.
The relevance of infringer's profit
915
b.
Infringer's relevant sales
916
c.
Debtor's cost deductions
916
d.
Causality of the infringer's profit
919
e.
Interest
920
5.
Calculation of damages for indirect patent infringement
920
D.
Claims for unjust enrichment and claims for compensation
921
I.
Legal basis of other compensation claims
921
II.
General claim for unfair enrichment
922
III.
Claim for residual damages
922
IV.
Claims for compensation under Section 33 PatG and Law on International Patent Conventions Art II Section 1
923
V.
Claims for unjust enrichment and compensation in the case of indirect patent infringement
925
E.
Claims for information and accounts
925
I.
Legal basis
925
II.
Information and accounts as a supporting claim
926
1.
Basis and conditions for the claim
926
2.
The contents of the claim
927
3.
The sworn statement
927
4.
The limits on the duty to provide information
928
III.
Claim for information under Section 140 b PatG
929
1.
Purpose and conditions of Section 140 b PatG
929
2.
Claim for information from the infringer and interferer
929
3.
Claim for information from other debtors
930
a.
General conditions to be met
930
b.
Debtors
930
4.
The scope of the claim
931
5.
Exclusion of the claim and inadmissibility as evidence
932
a.
Debtor's right of refusal under Section 140 b Paragraph 2 PatG
932
b.
Exclusion of claim if disproportionate
933
c.
Inadmissible evidence in criminal proceedings
933
6.
Liability of the person providing information
934
a.
Liability for false or late information
934
b.
Exemption from liability when correct information is provided
934
7.
Reimbursement claim by the person providing information
935
8.
Information on traffic data
935
9.
Enforcement of claim for information in interim proceedings
936
IV.
Claim for the disclosure of banking, financial and commercial documents
937
1.
Legal base and purpose of the claim
937
2.
The conditions for the claim
937
3.
The scope of the claim
937
4.
Refusal of claim if disproportionate
938
5.
Order by interim injunction
938
6.
Inadmissible evidence in criminal proceedings
939
7.
Cost of production of documents
939
V.
Claims for information and accounts in cases of indirect patent infringement
939
F.
Claim for recall and destruction
940
I.
Legal basis
940
II.
Claim for destruction
940
1.
General conditions for the claim
940
2.
Debtors to the claim for destruction
941
3.
Exclusion of claim if disproportionate
941
4.
Implementation of destruction
942
5.
The destruction of materials and apparatus
943
III.
Claim for recall
943
1.
Basis of the claim
943
2.
The contents of the Claim
944
3.
Exclusion of claim if disproportionate
944
IV.
Recall and destruction claims in the case of indirect patent infringement
945
G.
Statute of limitation for the claims
945
I.
Statute of limitation pursuant to Section 141 PatG
945
II.
The beginning of limitation
946
III.
Limitation of the residual damages claim
947
IV.
Statute of limitation of the claim for compensation
947
H.
Publication of a judgment
948
I.
Legal basis for publication of a judgment
948
II.
Formal requirements for publication of a judgment
948
III.
Legitimate interest
949
IV.
The court's discretion
950
V.
Type and extent of publication
950
VI.
Using authorisation to publish
950
11.
European Patent and European Patent Court
I.
Current position
951
II.
The European Patent with unitary effect
952
1.
European Court of Justice Opinion 1/09 of 8th March 2012
952
2.
Enhanced cooperation: the "European Patent Package"
952
a.
The Unitary Patent Regulation
953
b.
Translation Regulation
954
c.
Patent Court Agreement: Unified Patent Court (UPC)
954
12.
Other proceedings and claims in patent cases
A.
Criminal patent law
959
I.
General
959
II.
Objective elements (actus reus)
960
1.
Punishable alternative actions
960
2.
"Acts carried out for commercial purposes/on a commercial basis"
961
3.
Granted patents or supplementary protection certificates
961
4.
Scope of patent protection
962
5.
Offenders and accomplices
962
III.
Subjective criteria (plus mens rea)
962
1.
Intent
962
2.
Mistakes
962
a.
Mistake of fact
962
b.
Mistake in law
963
IV.
Attempts
963
V.
Prosecution
963
1.
Request: (particular) public interest
963
2.
Time limit for filing requests
964
3.
Limitation period
964
4.
Private prosecution
965
5.
Public prosecution
965
VI.
Consequences
965
1.
Deprivation
965
2.
Forfeiture of the proceeds of an act
966
3.
The legal rights of the aggrieved party
966
4.
Summary proceedings
966
5.
Recovery procedures
966
6.
Publication of the judgment
967
B.
Border seizure proceedings
967
I.
Border seizure procedures: section 142 a PatG
967
1.
Primacy of community law
967
2.
Purpose of the provision
968
3.
Substantive requirements giving rise to national seizure procedures
969
a.
Patent-infringing products
969
b.
Import/export
969
4.
Formal conditions for seizure
970
a.
Request
970
b.
Applicant
970
c.
Duration of the request
971
d.
Posting of a security
971
5.
Procedure following a seizure of goods by the customs authorities
971
a.
Notification and time limit
971
b.
Absence of timely objection
972
c.
Timely objection
972
6.
Risk of damage claims
972
7.
Right of appeal
974
II.
Seizure under EU law EC Regulation No. 1383/2003
974
1.
Primacy of community law
974
2.
Scope of application
974
3.
General/Purpose of the provisions
976
4.
Substantive requirements giving rise to seizure procedures
977
a.
Patent-infringing products
977
b.
Simple suspicion
977
c.
The external borders of the EU: Import/export
978
5.
Formal conditions for seizure
979
a.
Without a request
979
b.
Lodging and processing of applications "for action by the customs authorities"
979
c.
Applicant
980
d.
Content/form
980
c.
Duration of the application
980
f.
Declaration of assumption of liability
980
g.
Competence
980
6.
Procedure
980
a.
Notification of the customs department by the Federal Finance Directorate, Art. 8 para. 2 Regulation 1383/2003
980
b.
Discovery of infringing goods, Art. 9 para. 1 Regulation 1383/2003
980
c.
Notification, Art. 9 para. 2 Regulation 1383/2003
981
d.
Declaratory procedure, Art. 10 Regulation 1383/2003
981
e.
Simplified destruction procedure Art. 11 Regulation 1383/2003/[§] 142 b PatG
981
7.
Risk of damage claims
982
8.
Legal remedy and defence measures
983
C.
Allegation of entitlement and misleading advertising
983
I.
General
983
1.
Allegation of entitlement to a patent
983
2.
Further assessment criteria based on general competition rules
984
II.
The right to information resulting from an allegation of entitlement to a patent, section 146 PatG
984
1.
Essential conditions governing the exercise of the right to information
984
a.
Allegation of entitlement to a patent
984
b.
Public statements
985
c.
The right to sue
986
d.
The right to be sued
986
e.
Requests for information
986
2.
The legal consequences of exercising a right to information
986
a.
Scope of the duty to inform
986
b.
Legal obligations
987
c.
Information procedure
987
III.
Intellectual property rights in advertising
987
1.
Application of general competition rules
987
2.
No specific labelling requirements under patent law
988
3.
Existence of patent protection
988
4.
Material scope of protection
990
5.
Utility models
990
6.
Validity of intellectual property rights
990
7.
Sphere of personal responsibility
991
8.
Civil proceedings
991
D.
Claims arising from unjustified warnings of property right infringement
991
I.
Differentiation
991
1.
Letter of notice
991
2.
Warning (reprimand)
992
3.
Warnings issued to manufacturers and their customers
992
II.
Intrusion into an established and operating business
993
1.
Unlawful warning letters
993
2.
Unlawfulness
994
3.
Fault - minor negligence
995
4.
Legal consequences
996
a.
Injunction
996
b.
Removal, information
996
III.
Warnings used as an unlawful business practice
997
13.
The law of utility models
A.
General
1001
I.
The importance of the law of utility models
1001
II.
Historical development of the law of utility models
1002
III.
Development of European law
1003
IV.
Legal bases
1004
B.
Protection: Subject-matter and prerequisites
1004
I.
The technical invention
1004
II.
Novelty
1005
III.
Inventive step
1008
IV.
Commercial applicability
1009
V.
Exceptions from utility model protectability
1009
C.
Inventor's rights and invention ownership
1011
D.
Formation and expiration of the utility model
1012
I.
Application and registration
1012
1.
General prerequisites
1012
2.
Form and contents of the application
1012
3.
Claiming a senior right
1013
4.
Withdrawal of the application
1015
5.
Limited scope of review
1015
6.
Registration
1016
7.
Branch-off registration
1016
8.
International utility model applications
1017
II.
Term of protection and expiration of the utility model
1017
III.
The cancellation of the utility model
1018
1.
Cancellation claim
1018
2.
Cancellation application
1020
3.
Cancellation proceedings
1020
4.
Relationship between cancellation proceeding and infringement litigation
1021
IV.
Appeal proceedings
1022
V.
Costs of representation in cancellation and appeals proceedings
1023
E.
Content and scope of protection of the utility model
1023
I.
Effects of a utility model registration
1023
II.
Limitations of the utility model
1023
III.
Scope of protection
1024
IV.
Objections in infringement actions
1025
1.
Objection of liability to cancellation
1025
2.
Free state of the art ("Formstein Objection")
1026
3.
Objection of illicit extraction
1026
4.
Further objections
1026
F.
Utility models in business transactions
1026
G.
Consequences of the utility model infringement under civil law
1027
I.
Damage compensation claim
1027
II.
Deletion claim
1027
III.
Presentation and inspection claim
1028
IV.
Judgment publication claim
1028
H.
Consequences of the utility model infringement under criminal law
1028
I.
Utility model infringement action
1029
I.
Pre-trial measures: Gathering evidence and warning
1029
II.
Preliminary injunction
1029
1.
Substantial likelihood of success on the merits of the case
1029
2.
Substantial threat of irreparable damage or injury
1030
III.
General preconditions for decisions on the merits
1031
IV.
The Judgment and its validity
1031
V.
Determination of the disputed amount and costs of the utility model action
1031
VI.
Restitution action (sec. 578 et seq. ZPO) and action to oppose enforcement ([§] 767 ZPO)
1032
VII.
Seizure by the customs agency
1032
VIII.
Utility models in execution
1032
J.
Unjustly claiming a utility model
1033
14.
The supplementary protection certificate
A.
General, purpose, history and legal character of the certificate
1037
I.
Overview
1037
1.
Temporal relevance of the supplementary protection certificate
1037
2.
Economic relevance of the supplementary protection certificate
1038
3.
Scope of application
1039
II.
Relationship between grant of the patent and authorisation under pharmaceutical law
1039
1.
Overview of the drug authorisation procedures
1040
2.
Differentiation between preparatory actions and actual authorisation procedure
1041
3.
The early patent application
1042
4.
The factual reduction of the patent duration and its 'countermeasures'
1042
5.
Conceivable alternatives to the supplementary protection certificate
1044
III.
History
1044
IV.
Legal character
1045
B.
Substantive granting prerequisites
1046
I.
General
1046
II.
Product
1046
III.
Basic patent
1048
1.
Discrepancy between basic patent and authorisation
1049
2.
Multiple basic patents and patent holders
1050
IV.
First marketing authorisation
1051
1.
Senior and extraterritorial authorisations
1052
2.
Interim extension in case of ex-post authorisation
1053
V.
No earlier certificate
1054
C.
Calculation of term
1055
I.
General
1055
II.
Relevant date for the calculation of term
1056
1.
Grant of the basic patent
1056
2.
Lodging the basic patent application
1057
3.
Grant of the first marketing authorisation
1058
III.
Discrepancy between delay and term
1058
IV.
Negative terms
1059
D.
Subject matter and scope of protection
1060
I.
General
1060
II.
Specific problems of the scope of protection
1061
1.
Salt problem
1061
2.
Indication patents
1063
3.
Substance combinations
1065
a.
Formulation patents - active ingredient and adjuvant
1065
b.
Substance combinations
1066
E.
Rights, limitations and obligations
1070
I.
Rights of the certificate holder
1071
1.
Rights of use and exclusivity
1071
2.
Licenses
1071
3.
Right to the SPC (Art. 6 RegSPC)
1073
II.
Limitations and obligations
1074
F.
Grant procedure
1075
I.
General
1075
II.
Application
1075
1.
General application requirements
1076
2.
Form and content of the application
1076
3.
Application deadline
1078
4.
Application regarding the term extension of an SPC
1080
5.
Application fees
1081
6.
Publication of an application notice
1081
III.
Grant and announcement
1082
IV.
Fees to maintain the SPC
1084
G.
Expiry, invalidity and revocation
1084
I.
Reasons for expiry pursuant to Art. 14 RegSPC
1084
II.
Reasons for invalidity pursuant to Art. 15 RegSPC
1086
III.
Revocation of a term extension
1087
IV.
Announcement
1087
H.
Remedies
1088
Index
1089
Editors and authors
1121