by Sebastian Glatzel and Nikolas Smirra
Die Expertennotizen von IP|Notiz sollen ein Forum für Experten im sogenannten „Grünen Bereich” und daran angeschlossenen Rechtsgebieten bilden. Unser Ziel ist, damit den öffentlichen Austausch – auch im Medium Internet – in unseren Rechtsgebieten zu fördern und Praxis und Wissenschaft einander anzunähern. Die Transparenz des wissenschaftlichen Austausches für die Öffentlichkeit ist dabei einer der wichtigsten Effekte dieser Reihe.
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Introduction
On September 1st 2008 section 140c of the German Patent Act (PatG) came into effect. This provision is part of a series of amendments to German IP related regulations due to the implementation of the IPR Enforcement Directive (2004/48/EG) made under the European internal market provisions. The Directive concerns measures, procedures and remedies necessary to ensure the enforcement of intellectual property.
Regarding the considerable difficulties that a rightholder may have to prove an infringement or to determine his claim to compensation in the case of a detected infringement, Sec.140c PatG in particular deals with the implementation of Art. 6 and 7, concerning „evidence“ and „measures for preserving evidence“, themselves being compliant with Art.43 (1) and Art.50 (1)(b) of TRIPS. Before the implementation of Sec.140c PatG claims regarding evidence were based on Sec.809 et seqq. of the German Civil Code. However those provisions were not sufficient to fulfill the requirements of Art.6 of the Directive. So the new provision to the Patent Act grants the rightholder a claim of examination of alleged infringing objects or processes and guarantees access to relevant documents. Moreover the obligor’s duty to present documents or to tolerate the inspection of an object can be ordered by interlocutory injunction according to the provisions of the German Code of Civil Procedure (ZPO). Sec.140c PatG can be regarded as an addition to Sec.140b PatG, which grants rightholders a demand for disclosure of relevant information about the origin and the channel of distribution of infringing products.
At first glance the German provision bears significant resemblance to the Anton-Pillar-Order (or Search-Order) and the French “saisie contrefacon”. However, due to preculiarities of the German law – especially the law of practice – Sec.140c PatG is far from being without controversy.
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Sec.140c PatG
§ 140c Patentgesetz
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Wer mit hinreichender Wahrscheinlichkeit entgegen den §§ 9 bis 13 eine patentierte Erfindung benutzt, kann von dem Rechtsinhaber oder einem anderen Berechtigten auf Vorlage einer Urkunde oder Besichtigung einer Sache, die sich in seiner Verfügungsgewalt befindet, oder eines Verfahrens, das Gegenstand des Patents ist, in Anspruch genommen werden, wenn dies zur Begründung von dessen Ansprüchen erforderlich ist. Besteht die hinreichende Wahrscheinlichkeit einer in gewerblichem Ausmaß begangenen Rechtsverletzung, erstreckt sich der Anspruch auch auf die Vorlage von Bank-, Finanz- oder Handelsunterlagen. Soweit der vermeintliche Verletzer geltend macht, dass es sich um vertrauliche Informationen handelt, trifft das Gericht die erforderlichen Maßnahmen, um den im Einzelfall gebotenen Schutz zu gewährleisten.
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Der Anspruch nach Absatz 1 ist ausgeschlossen, wenn die Inanspruchnahme im Einzelfall unverhältnismäßig ist.
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Die Verpflichtung zur Vorlage einer Urkunde oder zur Duldung der Besichtigung einer Sache kann im Wege der einstweiligen Verfügung nach den §§ 935 bis 945 der Zivilprozessordnung angeordnet werden. Das Gericht trifft die erforderlichen Maßnahmen, um den Schutz vertraulicher Informationen zu gewährleisten. Dies gilt insbesondere in den Fällen, in denen die einstweilige Verfügung ohne vorherige Anhörung des Gegners erlassen wird.
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§ 811 des Bürgerlichen Gesetzbuchs sowie § 140b Abs. 8 gelten entsprechend.
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Wenn keine Verletzung vorlag oder drohte, kann der vermeintliche Verletzer von demjenigen, der die Vorlage oder Besichtigung nach Absatz 1 begehrt hat, den Ersatz des ihm durch das Begehren entstandenen Schadens verlangen.
Section 140c Patent Act (Translation)
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Whoever uses a patented invention with reasonable probability contrary to Sec. 9-13 Patent Act, may be subject to claims by the rightholder or any other beneficiary to present documents or tolerate the inspection of an object in his control, or a process that is subject to a patent, if it is necessary in order to establish claims. If there is reasonable probability of infringement on a commercial scale, the claim extends to the presentation of banking, financial and commercial documents. The court takes necessary measures to warrant protection in a particular case, if the alleged infringer claims confidentiality of the documents.
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The claim according to subsection 1 is excluded, if the utilization is disproportionate in the particular case.
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The duty to present documents or to tolerate the inspection of an object may be ordered by interlocutory injunction according to Sec. 935-945 of the german Code of Civil Procedure. The court takes necessary measures to warrant the protection of confidential information. This applies in particular to cases where the preliminary injunction is issued without prior hearing of the opponent.
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Sec. 811 of the Civil Code and Sec.140b (VIII) Patent Act apply mutatis mutandis.
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Where it is found that there has been no infringement or threat of infringement, the alleged infringer may demand compensation of the damage caused by the demand from the applicant of the presentation or inspection according to paragraph 1
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Content of Sec.140c Patent Act
Following requirements have to be met in order to grant the rightholder or any other beneficiary the claim of inspection or the access to relevant documents:
(1) A patented invention has to be used with a reasonable probability contrary to Sec.9-13 Patent Act, which determine all acts preserved to the owner of a patent. This is due to Art.6 of the Enforcement Directive, according to which the provision’s objective is to secure evidence – even before the actual facts of the case are clear. To respect the other party’s interests it is obvious that not any slightest indication can suffice to justify a claim. According to the statement of the German legislator on the occasion of the amendment of the Patent Act the requirement of a reasonable probability was added in order to codify the principles developed by the German Federal Court of Justice in the so called “Faxkarte – Case”. The court decided that a general inspection claim according to Sec.809 Civil Code is substantiated, if a “certain degree of probability” of an infringement is given.
(2) Second, the presentation of documents or the examination of an object must be necessary. Again this is an abstract legal term, which has to be interpreted. This requirement of “necessity” was included in Sec.140c PatG in order to prevent an abuse of the provision as an instrument for industrial espionage. Moreover this precondition allows the courts the consideration of the obligor’s interest of non-disclosure in relation to the probability of an infringement or its significance. The “necessity” will be denied by the courts, if at the time of the claim any other, simpler, reasonable and at least equitable possibility to obtain evidence is apparent. In practice this might be the case if an infringement could be substantiated e.g. by inquiries on the internet or by a simple glaze at sales literature or instruction manuals. Even though such a requirement is not comprised by Art.6 or 7, Sec.140c PatG can still be considered as compliant to the Enforcement-Directive in respect of its Art.3.
(3) Additionally subsection (II) excludes claims according to subsection (I) in the case that its utilization is disproportionate in the particular case. By this the principle of proportionality is expressed in Sec.140c PatG. In an exceptional cases the court could reject an extensive claim if the alleged infringement is at the most insignificant. (weiterlesen…)