Injunctions in IPR Infringement in Europe 欧洲知识产权侵权禁令 by Prof. Dr Injunctions in IPR Infringement in Europe 欧洲知识产权侵权禁令 by Prof. Dr. Christian Osterrieth 克里斯汀· 奥斯特里特教授、博士 Intellectual Property Protection and Management 知识产权保护与管理 27 - 28 November 2009 Beijing University, China 2009年11月27-28日 中国，北京大学

Overview提纲 European Patent Litigation Strategies欧洲专利诉讼策略 Venue Selection – Where to get what?起诉地选择-在哪里起诉？ Coordination of Multijurisdictional Patent Litigation 跨辖区专利诉讼的协调 Regular Proceedings vs. Preliminary Injunctions正常程序与临时禁令 Overview on Preliminary Injunction Proceedings in select major EU Jurisdictions 欧盟主要司法辖区临时禁令程序概述 Special Focus: A patent Infringement Action in Germany 特别关注：德国的专利侵权诉讼 The “Bifurcated” System两个体系 Claim Construction权利要求 Judicial Measures: Injunction司法措施：禁令 Duration of Proceedings程序期限 Preliminary Injunction in any Case?临时禁令是否适用任何案件？ www.rokh-ip.com

A. European patent litigation strategies欧洲专利诉讼策略 Venue Selection – Where to get what? 起诉地选择-在哪里起诉？ • Potentially decisive factors: 潜在的决定性因素： Time时间 Costs成本 Success rate for patentees专利权人胜诉率 www.rokh-ip.com

A. Multijurisdictional Litigation in Europe欧洲跨辖区诉讼 II. Coordination协调 Typical set-up: mixture of several specialty and international firms 典型情形：一般涉及多个领域及跨国公司的混合 One firm should take over coordination企业应当进行协调 Proceedings in one jurisdiction should have the lead with regard to drafting, development of arguments etc. 应当以一个司法辖区的诉讼文本以及理由为主导 European players know each other quite well and are typically used to either role 欧洲企业彼此之间都非常了解 www.rokh-ip.com

A. Multijurisdictional Litigation in Europe欧洲跨辖区诉讼 III. Regular Proceedings vs. Preliminary Injunctions 正常程序与临时禁令 Preliminary injunction proceedings effective means in obtaining enforceable decision within short time 有效的临时禁令程序能够在短时间内获得可以强制执行的决定 Injunction regularly granted on furnishment of prima facie evidence一般情况下，只要申请人提供初步证据，便可以获得禁令 Proceedings not very costly诉讼成本不是非常昂贵 On the other hand, injunction may only safeguard certain position; no final ruling of case另一方面，禁令仅在某些方面起到保护作用，而不是对案件的最终裁决 In patent matters, injunctions rarely granted by way of ex-parte proceedings在专利案件中，很少通过单方面程序发布禁令 www.rokh-ip.com

B. Overview on Preliminary Injunctions临时禁令概述 Availability of Preliminary Injunctions 获得临时禁令的可能性 • Generally, all EU jurisdictions provide regime for preliminary injunctions欧盟所有司法辖区大都规定了临时禁令制度 • Applies for all Intellectual Property Rights (including patents)适用各种知识产权（包括专利） • In the following focus on select major EU jurisdictions (Belgium, France, Germany, Italy, The Netherlands, Spain, Sweden and the UK)重点介绍欧盟主要司法辖区（比利时、法国、德国、意大利、荷兰、西班牙、瑞典和英国） www.rokh-ip.com

B. Overview on Preliminary Injunctions临时禁令概述 Types of Proceedings程序种类 • Two main types of proceedings: ex parte and proceedings with mandatory oral hearing • Ex parte proceedings available in all of the above jurisdictions • However, judges reluctant in awarding in patent matters • Only if “irreparable harm” (UK) or cases of “absolute urgency/necessity” (Belgium) 主要有两种程序：单方面程序和强制性口头听证程序 上述所有司法辖区都规定了单方面程序 但是在专利案件中，法官一般不会（基于单方面程序）发布禁令 除非会造成“无法弥补的损失”（英国）或“绝对紧急/必要”（比利时） www.rokh-ip.com

B. Overview on Preliminary Injunctions临时禁令概述 III. Duration of Proceedings诉讼期限 • Duration of proceedings greatly dependant on individual case (complexety and scope) • ex parte proceedings: injunction may be obtained - within a few hours / less than a day (Germany/Netherlands) - within a few days (UK) • regular (inter partes) preliminary proceedings (approx.): - Germany: 1 – 6 months - France / Italy / Netherlands / UK: 2 – 3 months - Belgium / Sweden: 2 – 6 months - Spain: 3 – 5 months 诉讼期限主要取决于案件的具体情况（复杂程度和范围） 单方面程序：可能获得禁令 -数小时内/不到一天的时间（德国/荷兰） -数天内（英国） 普通临时程序（当事人之间） （约）： -德国：1 - 6个月 -法国/意大利/荷兰/英国：2 - 3个月 -比利时/瑞典：2 - 6个月 -西班牙：3 - 5个月 www.rokh-ip.com

B. Overview on Preliminary Injunctions临时禁令概述 IV. Provision of Security缴纳保证金 • Some of the indicated jurisdictions grant preliminary injunctions subject to provision of security only • Security required: - Spain / Sweden • Security not required: - Belgium / Germany / Italy / Netherlands • France: provision of security subject to court‘s discretion • UK: cross undertaking: applicant agrees to compensate for damages; if such recovery is in doubt, court usually orders for security 一些司法辖区申请临时禁令时，必须缴纳保证金 需要缴纳保证金的司法辖区： -西班牙/瑞典 不需缴纳保证金的司法辖区： -比利时/德国/意大利/荷兰 法国：是否缴纳保证金，由法院自行决定 英国：交叉承诺：申请人同意赔偿损失；如果对其是否赔偿存在疑虑，法院通常会要求交纳保证金 www.rokh-ip.com

B. Overview on Preliminary Injunctions临时禁令概述 V. Damages (compensation)损害赔偿 • In the event that a preliminary injunction was granted unjustified, applicant regularly liable for any damages resulting thereof • Statutory provisions (e.g.): - Germany: Sec. 945 German Code Civil Procedure - UK: Civil Procedure Rules, PD 25, para. 5.2. 如果临时禁令不合理，申请人通常应对其造成的任何损害承担赔偿责任 法规（例如）： -德国：德国民事诉讼法典945条 -英国：民事诉讼程序规则：PD25，5.2条 www.rokh-ip.com

C. Special Focus: Germany 特别关注：德国 I. The “Bifurcated System”两个体系 Bifurcated System means: 两个体系指： Civil Courts dealing exclusively with infringement German/European PTO resp. Federal Patents Court / Federal Supreme Court dealing exclusively with validity 专门审理侵权案件的民事法院 德国/欧洲专利商标局。联邦专利法院/联邦最高法院专门审理专利有效性案件 www.rokh-ip.com

C. Special Focus: Germany 特别关注：德国 Consequences on Litigation: 诉讼结果： Patent-owner friendly system Infringement court can only stay proceedings if likelihood of invalidation of patent is high (~ 10 % of all cases) Enforceable decisions can be obtained within short time without substantial discussion on validity 该制度对专利权人有利 只有专利可能性无效时（10％的案件中专利无效）时，侵权法院才可以中止诉讼 能够在短时间内获得可以强制执行的决定，而无需就专利的有效性进行实质性讨论 www.rokh-ip.com

C. Special Focus: Germany 特别关注：德国 II. Claim Construction权利要求 Basis: Sec. 69 EPC + Prot., Sec.14 Patent Act Claims, description & figures, cited prior art, general knowledge of skilled person No file wrapper estoppels except bona fide limitation between same parties “each patent constitutes its own dictionary” (Federal Supreme Court “Tension Screw”) 依据：EPC、 Prot第 69条、《专利法》第14条 权利要求、说明、附图，引用现有技术、技术人员的一般知识 除非当事人善意限制，无需提交禁反言声明 “每项专利构成其自身的字典”（联邦最高法院“张力螺丝案”） www.rokh-ip.com

C. Special Focus: Germany 特别关注：德国 III. Judicial Measures: Injunction 司法措施：禁令 a) Preliminary Injunction 临时禁令 What can be achieved?通过取得临时禁令，可以： Injunction as such, i.e. stop the copycat Seizure of infringing devices to secure their destruction (sequestration) Seizure of the booth to secure payment of procedural costs (S. 917 para. 2 ZPO) 禁令，例如停止仿制 查封、销毁侵权设备（扣押） 查封展位以确保诉讼费用的缴纳（《民事诉讼法》917条第2款）

C. Special Focus: Germany 特别关注：德国 In Preliminary Injunction proceedings it is not necessary to provide the same level of “evidence” like in main proceedings, but only substantiation by prima facie evidence like 申请临时禁令时，无须提供与主诉讼程序要求程度相同的证据，只需提供初步证据 Affidavits Documents Samples Photos Brochures 书面陈述 文件 样品 图片 说明书

C. Special Focus: Germany 特别关注：德国 Preliminary Injunctions are granted: 在下列情况，发放临时禁令： If the technical facts are straightforward and the infringement is clear (“obvious infringement”) If there are no reasonable doubts regarding the validity of the patent in dispute If there is “Urgency” / Balance of interests in favor of applicant (1) 技术简单、事实清楚的侵权（“明显侵权”） (2) 所争议专利的有效性不存在合理怀疑 (3) 若存在情况紧急/平衡申请人利益

C. Special Focus: Germany 特别关注：德国 Protective Letters (Schutzschrift) 保护函 Statement of defense deposited in Court to avoid a possible preliminary injunction (including injunctions to tolerate inspection) Common practice (about 20,000 protective letters a year in Germany) Can be lodged at all relevant Courts (and at the prosecution) 向法院提交答辩书，以避免临时禁令（包括检查令） 常见实践做法（德国每年收到约20,000份保护函） 可以（在诉讼时）向所有相关法院提交

C. Special Focus: Germany 特别关注：德国 Protective Letters (Schutzschrift) (c‘ted) 保护函（续） Judge(s) will read the protective letter when considering to grant a preliminary injunction Useful before a trade fair, when the exhibitor anticipates that an preliminary injunction might be requested against him However, a protective letter which has only weak arguments can backfire and facilitate the grant of a preliminary injunction 考虑是否发布临时禁令时，法官将参考这些保护函 参展商认为可能会被申请临时禁令时，在参展前提交保护函会非常有用 然而，如果保护函已没有说服力，则会适得其反，促使临时禁令的发布

C. Special Focus: Germany 特别关注：德国 b) Main Proceedings主诉讼程序 Patentee should simultaneously to the injunction initiate main proceedings 专利权人在申请临时禁令的同时，应当启动主诉讼程序 If the patentee is not successful obtaining an injunction because he cannot convince the court of the patent‘s validity, he can still win in the main proceedings. This is because in main proceedings the burden of proof for the validity of the patent is with the defendant instead of the patentee 如果专利权人就专利的有效性问题未能说服法庭而无法取得禁令，仍然可能在主诉讼程序中胜诉。 这是因为在主诉讼程序中，由被告而不是专利权人承担专利有效性的举证责任。

C. Special Focus: Germany 特别关注：德国 b) Main Proceedings (c’ted) 主诉讼程序（续） Therefore the patentee should rather resume main proceedings than appeal against a court’s rejection to grant an injunction Serving a court order and / or beginning main proceedings can be difficult or even impossible if the exhibitor has no office in Germany (or Europe). Therefore a trade fair can be used to serve documents to the booth directly, and thus start main proceedings and the like 因此，专利权人应当继续进行主诉讼程序，而不是对法院的驳回禁令的申请提起上诉。 如果参展商在德国（或欧洲）没有分支机构，申请法院令状与/或启动主诉讼程序非常困难甚至是不可能的。因此，可以通过直接向展会提交文件从而启动主诉讼程序。

C. Special Focus: Germany 特别关注：德国 IV. Duration of Proceedings (Regional Court) 程序期限（地区法院） Regular Track普通程序 Enforceable decision (against bond) within 12 months from filing suit depending on regional court Whereas in invalidity proceedings: 18-24 months Mainly based on written arguments 1 hearing on the merits (1h-3h oral pleadings) ~90% of cases go to trial 提出申请后12个月之内，地区法院可以作出强制执行的决定（需缴纳保证金） 而在无效程序则为18-24个月 主要基于书面答辩 举行一次听证（1-3小时的口头答辩） 90％的案件进入审判程序 Fast Track (preliminary injunction)快捷程序（临时禁令） Injunction within several hours (trade fair) ex parte and a few weeks with other side being heard (in writing) （展会）几个小时之内发布单方面禁令，并在几个星期内进行书面审理 www.rokh-ip.com

C. Special Focus: Germany 特别关注：德国 V. Preliminary Injunction in any Case? 临时禁令是否适用任何案件？ In general: No Balancing Test 一般不进行平衡试验 District Court Düsseldorf, GRUR 2002. 692 - NMR-Contrast Agent、杜塞尔多夫地区法院， GRUR 2002. 692 -核磁共振-造影剂 FACTS: 案情： Applicant owns European Patent regarding a contrast agent for displaying the liver-biliary-system using NMR. The opponent offers and markets said contrast agents since 1998. Both applicant and opponent conducted license negotiations since 1995 without success. After warning letter applicant repeats licensing offer, which opponent rejects. Applicant files motion for preliminary injunction and repeats licensing offer without success. 申请人拥有一项核磁共振肝胆造影剂欧洲专利。被告自1998年以来一直销售该造影剂。申请人和被告自1995年进行许可谈判，但谈判失败。申请人发出警告信后，再次发出许可要约，但被告拒绝。申请人提出临时禁令申请，并再次发出许可要约，但仍然没有成功。 Privileged and Confidential

C. Special Focus: Germany 特别关注：德国 DECISION: 判决： Injunction not granted due to lack of ground for preliminary injunction Applicants have no competitive product on the market, they only intend to license product Those who only license or intend to license patent have to be referred to main proceedings or to damage claims in contrast to those who want to exploit their monopoly Interests of opponent prevail: Pharmaceuticals that have been abandoned from market for several months will only be introduced again with difficulties if at all 由于不符合条件，没有发布临时禁令 申请人在市场上没有竞争性产品，而只打算发放产品许可 如果仅发放专利许可或仅打算发放专利许可而不实施专利，则应当启动主诉讼程序或损害赔偿程序 优先考虑被告利益：已经退市数月的药品很难重返市场 Privileged and Confidential

C. Special Focus: Germany 特别关注：德国 No preliminary injunctions if patent owner has only monetary interests and does not want to exploit his monopoly 如果专利权人只有金钱利益而不愿意实施其专利，不发放临时禁令。 In main proceedings injunction is automatically granted if infringement is (+), BUT: discussion if patent owner is a “Troll”, i.e. only commercializes patents without having own products Relevant in telecommunications sector No relevance for pharma/biotech patents yet 在主诉讼程序中，如果侵权则法院主动发布禁令，但如果专利权人仅仅将专 利商业化而自己不从事生产，则需要进行答辩 -与电讯专利有关 -与制药/生物技术专利无关 Privileged and Confidential

Steinstrasse 20 Tel电话： +49 (0)211 550 22 0 Thank You!谢谢！ Steinstrasse 20 Tel电话： +49 (0)211 550 22 0 40212 Düsseldorf 杜塞尔多夫 Fax 传真：+49 (0)211 550 22 550 Christian.Osterrieth@rokh-ip.com www.rokh-ip.com