Huawei対ZTE事件CJEU判決後の判例法
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Updated 22 8月 2018

TQ Delta LLC v Zyxel Communications and Ors., EWHC

英国裁判所の決定
13 6月 2018 - Case No. HP-2017-000045, [2018] EWHC 1515 (Ch)

A. Facts

The Claimant acquired patents which were declared as essential to the DSL standard under the so-called "ITU Recommen¬dations" (Standard Essential Patents, or SEPs) from a company called Aware Inc [1] . The ITU Recommendations require from the SEP holder to make its patents accessible to users on Fair, Reasonable and Non-Discriminatory (FRAND) terms and conditions [2] . The Defendants manufacture and sell various types of equipment complying with the DSL standard [2] .

The Claimant asserted claims against the Defendants before the UK High Court of Justice (Court) based on two SEPs it holds [3] . The proceedings involve, on the one hand, technical issues concerning the validity, essentiality and infringement of the SEPs in question and, on the other hand, the licensing of these SEPs on FRAND terms [4] .

Prior to service of the statements of case, the Court ordered the Claimant to disclose licence agreements concluded with third parties covering the SEPs in suit (comparable agreements) [5] . The Claimant entered into licences with two companies (in the following referred to as "counterparty A" and "counterparty B") [6] and also possesses copies of licences previously granted by Aware Inc. to other SEP users [7] . Counterparty A and Aware Inc. argued that their licence agreements can only be disclosed on an "external eyes only" basis (that is only towards i.e. external counsels and independent experts), since they contain confidential information, such as party names, pricing terms and other commercial information [8] . Counterparty B did not object to the disclosure of its licence agreement to the Defendant (provided that this would take place on a confidential basis), but argued that any other confidential information provided to the Claimant in the course of negotiations for the licence can only be disclosed to "external eyes only" [9] .

The Claimant suggested that the parties to the proceedings enter into a co-called "Confidentiality Club Agreement". The agreement proposed by the Claimant differentiated between "Confidential Infor-mation" and "Highly Confidential Information" [10] . Whether information is designated as "Confidential" or "Highly Confidential" would be determined by the disclosing party [10] . Information designated as "Highly Confidential" would be subject to an "external eyes only" limitation [10] . This limitation would apply to both comparable licences granted by the Claimant and licences granted by Aware Inc. [11] . The Defendants did not agree with the Claimant’s proposal. Instead, they requested that two named individuals from the Defendant’s group should be given access to the comparable licences [10] .

The Court did not approve the establishment of an "external eyes only" mechanism as suggested by the Claimant [12] and ordered disclosure of the comparable licences. Nevertheless, the Court temporarily stayed that order to give the third parties affected (counterparties A and B and Aware Inc.) the opportunity to set it aside or vary it, before disclosure of the comparable licences is made [13] .


B. Court’s reasoning

In the Court’s eyes, it is "common practice" in patent cases for parties to reach Confidentiality Club Agreements [10] ; such agreements are "often essential", when disclosure of confidential information is required in court proceedings [14] . In cases involving intellectual property rights, a mechanism for disclosure limiting access to confidential documents to specific representatives of one of the parties is considered "commonplace" [14] . Furthermore, documents can be redacted to exclude confidential material which is irrelevant to the dispute [14] .

Looking particularly at "external eyes only" mechanisms, the Court takes the view that such mechanisms can be included in Confidentiality Club Agreements upon agreement of the parties (as it was the case in the matter Unwired Planet v Huawei [15] ) [16] . If no agreement can be reached on such a provision, parties can request the Court to restrict access to specified documents to "external eyes only" [7] .

The Court finds, however, that such a confidentiality regime can be applied only to exceptional cases [17] . An "external eyes only" mechanism enables one party to exclude access to any document that it chooses, placing the burden of seeking access to documents to the opposing party, despite the fact that the latter is prima facie entitled to such access [18] . In the Court’s view, the opposite should rather be the case: The party wishing to limit access to documents to "external eyes only" should be obliged to justify that limitation [19] .

According to the Court, when determining whether "external eyes only" restrictions should be ordered, the role which the affected documents are expected to play in the case must be considered [20] . Where the documents are of limited, if any, relevance to the proceedings and their disclosure could be unnecessarily damaging for the party asserting confidentiality, ordering an "external eyes only" limitation may be justified in specific cases [14] (insofar the Court adopts the notion expressed in the matter IPCom v HTC [21] ). Furthermore, the Court did not rule out that in certain exceptional cases an "external eyes only" mechanism might also be justified with respect to specific documents of "greater relevance", at least at an interim stage of the proceedings [22] .

When it comes to documents key to the case, the Court finds, however, that the "blanket exclusion" of access to such documents enabled through "external eyes only" mechanisms is not in line with the right to a fair hearing stipulated by Article 6 of the European Convention on Human Rights and the principles of natural justice . Such a regime is further incompatible with the obligation of lawyers to share all relevant information of which they are aware with their clients . If key documents were to be subject to an "external eyes only" restriction, the opposing party would be unable to discuss the respective documents with its legal representative, to attend parts of the trial and to see all of the reasons for the judgment .

Against this background, the Court held that in the present case, approving the establishment of an "ex-ternal eyes only" mechanism as suggested by the Claimant would "merely postpone the resolution of the dispute" . The Court had ordered the disclosure of the comparable licences, because they are, or are likely to be, key documents in the above sense . Since the Court may be asked to decide on a FRAND licence which must be reasonable and non-discriminatory, existing licence agreements entered into by the Claimant (and its pre¬decessor, Aware Inc.) may be highly relevant documents as comparators .

  • [1] TQ Delta LLC v Zyxel Communications, UK High Court of Justice, 13 June 2018, Case-No. HP-2017-000045, [2018] EWHC 1515 (Ch), para. 2.
  • [2] Ibid, para. 3.
  • [3] Ibid, para. 1.
  • [4] Ibid, para. 1. With respect to the relationship between the 'technical trials' (that means the proceedings concerning the validity, essentiality and infringement of the SEPs in suit) and the 'non-technical trial' regarding to FRAND licensing see, TQ Delta LLC v Zyxel Communications, UK High Court of Justice, 21 November 2017, Case-No. HP-2017-000045, [2017] EWHC 3305 (Pat)
  • [5] TQ Delta LLC v Zyxel Communications, UK High Court of Justice, 13 June 2018, Case-No. HP-2017-000045, [2018] EWHC 1515 (Ch), paras. 25 and 30.
  • [6] Ibid, para. 25.
  • [7] Ibid, para. 25.
  • [8] Ibid, paras. 26 and 28.
  • [9] Ibid, para. 27.
  • [10] Ibid, para. 4.
  • [11] Ibid, para. 22.
  • [12] Ibid, paras. 34 et seqq.
  • [13] Ibid, para. 35.
  • [14] Ibid, para. 23.
  • [15] Unwired Planet v Huawei, UK High Court of Justice, 5 April 2017, Case-No. HP-2014-000005, [2017] EWHC 711 (Pat).
  • [16] TQ Delta LLC v Zyxel Communications, UK High Court of Justice, 13th June 2018, Case-No. HP-2017-000045, [2018] EWHC 1515 (Ch), para. 23.
  • [17] Ibid, para. 21.
  • [18] Ibid, paras. 21 and 34.
  • [19] Ibid, para. 34.
  • [20] Ibid, para. 15.
  • [21] IPCom GmbH and Co KG v HTC Europe Co. Limited and ors, judgement dated 23 January 2013, Case No. HC11 C02064, [2013] EWHC 52 (Pat).
  • [22] TQ Delta LLC v Zyxel Communications, UK High Court of Justice, 13 June 2018, Case-No. HP-2017-000045, [2018] EWHC 1515 (Ch), para. 23.

Updated 6 3月 2018

OLG Düsseldorf

OLG Düsseldorf
18 7月 2017 - Case No. I-2 U 23/17

A. Facts

The Claimant is holder of a patent declared as essential to a standard (Standard Essential Patent, SEP). The Defendant is a provider of telecommuni­cation services. Under the policy governing the relevant standard, the Claimant is obliged to license its SEP on Fair, Reasonable and Non-Discriminatory (FRAND) terms and conditions. Against Claimant’s SEP a nullity action is pending. The Claimant, nevertheless, concluded portfolio licensing agreements also covering the SEP in question with two companies.

Since November 2012, the Claimant made efforts to license his SEP also to the Defendant. The parties could, however, not reach an agreement. In January 2016, the Claimant brought an action against the Defendant before the Regional Court of Düsseldorf requesting for a declaration of the Defendant’s liability for damages as well as rendering of accounts (main proceedings). After the main proceedings were ini­tiated, the Claimant made two offers for a license agreement to the Defendant. In order to protect busi­ness secrets connected with these offers, the Claimant requested the Defendant to sign a Non-Disclosure Agreement (NDA). The Defendant refused to sign a NDA. Moreover, the Defendant brought an action against the Claimant before an Irish Court requesting for a declaration that Claimant’s offers did not comply with FRAND.

Subsequently, the Claimant filed a motion for a preliminary injunction against the Defendant before the Regional Court of Düsseldorf. The Regional Court of Düsseldorf dismissed Claimant’s motion. The Claimant appealed this judgement. With the present ruling the competent Higher Regional Court of Düsseldorf in­dicated that the Claimant’s appeal has no prospects of success.

B. Court’s reasoning

The court made clear that preliminary injunctions involving SEPs are subject to the same strict prerequi­sites as injunctions referring to non-SEPs. The SEP-holder has, therefore, to adequately establish the va­lidity of the SEP, its use by the alleged infringer as well as the urgency of its request for a preliminary injunction.

Besides this, prior to seeking for a preliminary injunction, the SEP holder also has to fulfill the require­ments set forth by the Court of Justice of the European Union in its decision in the matter Huawei ./. ZTE (Huawei judgement). This follows from the fact that SEP-holders’ claims for injunctive relief are, in prin­ciple, only enforceable, after the prerequisites established by the Huawei judgement have been fully met.

Since preliminary injunctions may severely affect alleged infringer’s ongoing business, such injunctions can only be granted, when both the validity and the use of the SEP by the alleged infringer appear to be given with a high degree of certainty.

The validity of a SEP is deemed to be given, when the SEP has been confirmed in patent opposition or nullity proceedings. Without a prior confirming decision, the validity of a SEP can, exceptionally, also be regarded as being given, when

  • the alleged infringer has unsuccessfully intervened in the proceedings, in which the SEP was granted,
  • no opposition or nullity proceedings were initiated against the SEP, because it is universally consid­ered to be able to receive patent protection (one indication for this being, for instance, the fact that the SEP was licensed to renowned licensees),
  • the objections raised against SEP’s validity can be proven to be unfounded even by the limited means of the summary examination foreseen in proceedings for interim relief, as well as
  • in “extraordinary circumstances”, in which the SEP-holder will face substantial disadvantages, if he is forced to wait with the initiation of proceedings against the infringer, until after the end of opposition or nullity proceedings pending against the SEP.

Against this background, the court argued that the Claimant is most likely not entitled to the requested preliminary injunction.

First, the Claimant failed to establish the validity of the SEP in dispute with the required high degree of certainty. A decision confirming the SEP in dispute is missing, since the nullity proceedings are still pending. Furthermore, the exceptions allowing this conclusion to be drawn, even without a prior con­firming decision, do most likely not apply. In particular, the fact that the Claimant concluded portfolio licensing agreements with two other companies covering also the SEP in question, does not suffice to adequately establish its validity. This fact only proves that the licensees held the SEP-holder’s portfolio as being able to receive patent protection as a whole, not, however, that they considered the SEP itself as being worthy of such protection. Furthermore, due to the high level of technical complexity, the court does not expect that the objections raised against the validity of the SEP can be proven as being unfounded solely on basis of the limited examination means available to the court in the present pro­ceedings for interim relief.

Second, the court has also substantial doubts that urgency is given. The Claimant was aware of the alleged infringement since 2012. Nevertheless, the Claimant refrained from making his claim for injunctive relief enforceable by fulfilling the Huawei judgement requirements. Furthermore, in the main proceedings ini­tiated prior to the present proceedings for preliminary injunction, the Claimant did not request for injunc­tive relief, but limited his action against the Defendant to damages and rendering of accounts. In terms of urgency, it could be expected from the Claimant to request for injunctive relief already in the main proceedings. Furthermore, the fact that the Defendant brought an action before an Irish Court requesting a declaration that Claimant’s offers did not comply with FRAND, also fails to establish urgency. It is the Defendant’s right to seek legal redress.

C. Other issues

In addition, the court expressed its view regarding the consequences of the refusal of a potential licensee to sign a NDA covering information connected with the SEP-holder’s offer for a licensing agreement on FRAND terms, without, however, ruling on this question on the merits of the present case.

The court suggested that the unjustified refusal of a licensee to enter into a NDA does not release the SEP-holder from the obligations established by the Huawei judgement, namely the obligation to make a FRAND offer to the licensee and specify the underlying conditions (particularly the price calculation). An unjusti­fied refusal of the licensee to sign a NDA shall, however, lead to easing the SEP-holder’s burden to provide the licensee with detailed explanations regarding the justification of its licensing conditions, to the extent that this is required for protecting its justified confidentiality interests. Instead of detailed information, “merely indicative observations would, basically, suffice. The licensee cannot object the FRAND con­formity of the SEP-holder’s offer based on the insufficient specification of the licensing terms.
Updated 26 1月 2017

Sisvel v ZTE, Tribunale Ordinario di Torino

イタリア裁判所の決定
18 1月 2016 - Case No. 30308/20215 R.G.

  1. Facts
    Claimant (Sisvel Int. S.A.) is the proprietor of European patent EP 1 264 504, originally granted to Nokia Corporation, allegedly covering part of the UMTS standard, and being part of Claimant’s patent portfolio “Sisvel Wireless patents” which purportedly encompasses patents essential to various ICT standards. Defendant I (ZTE Italy S.R.L.) and Defendant II (Europhoto Trading S.R.L.) produce and market UMTS-based devices.
    On 10 April 2013, Claimant made a commitment towards ETSI declaring to grant a license on FRAND terms with regard to patent EP 1 64 504. By letter as of December 2012 Claimant informed ZTE Corporation, parent company of Defendant I, about its ownership in various SEPs, indicated that the teachings of these patents were implemented in Defendant I’s devices and expressed its willingness to grant licenses on FRAND terms. On 19 December 2012, ZTE Corporation requested from Claimant further information in order to be able to assess that offer. On 29 January 2013, Claimant sent a non-disclosure agreement (NDA) which ZTE Corporation signed only about seven months later on 3 September 2013. In the course of meetings in September and October 2013, Claimant and ZTE Corporation entered into licensing negotiations without concluding a licensing agreement. On 25 July 2014, after a break of several months, the licensing negotiations have been reinitiated and ZTE Corporation for the first time addressed a claim chart provided by Claimant about ten months before.
    Claimant, by letter as of 13 October 2014, gave notice of its decision to unilaterally terminate the NDA within thirty days because ZTE Corporation adhered to delaying tactics. At the same time, though, Claimant continued the licensing negotiations. Although ZTE Corporation declared at first, on 5 February 2015, to agree to the terms proposed by Claimant it submitted a counter-offer a few months later. The counter-offer was rejected by Claimant. After the presentation of a draft licensing agreement by Claimant on 11 March 2015 and several meetings of the parties Claimant submitted a final licensing offer on 4 November 2015 being rejected by ZTE Corporation due to its alleged non-conformity with FRAND terms. Since a further licensing offer being presented in December 2015 was equally refused by ZTE Corporation, Claimant commenced litigation against Defendants.
    After Defendant II, a retail company, was informed about the seizure of twenty mobile phones implementing the UMTS-standard, it immediately returned the remaining six devices to its supplier and provided the necessary sales documents to the court.
  2. Court’s reasoning
    Since Claimant only entered into licensing negotiations with and addressed all licensing offers to ZTE Corporation, being the parent company of Defendant I, it did not comply with its Huawei obligations vis-à-vis Defendant I. Claimant neither noticed Defendant I of the alleged infringement prior to initiating litigation nor did it provide the necessary documents indicating the essential character of the patent in question. [41]
    While rejecting all other actions , particularly as to the seizure of devices using the patent-in-suit, raised against Defendant II, who neither became involved into the licensing negotiations between Claimant and ZTE Corporation nor possesses mobile devices implementing the UMTS standard anymore, the court upheld the action for prohibitory injunction because the confirmation of cessation of sales does not completely exclude periculum in mora. [42] Furthermore, the court rejected the preliminary measures raised by Claimant against Defendant I.
    Furthermore, the court stated that the NDA was not validly terminated by Claimant’s unilateral declaration as of 19 December 2014 and that therefore Claimant was not allowed to initiate proceedings against ZTE Corporation or its subsidiaries, such as Defendant I, until 3 September 2016.
  • [41] Case No. 30308/20215 R.G., para. 3
  • [42] Case No. 30308/20215 R.G., para. 5, a-c

Updated 26 1月 2017

Sisvel v ZTE, Tribunale Civile e Penale di Torino, Sezione I Civile

イタリア裁判所の決定
4 3月 2016 - Case No. 2695/2016 R.G.

Additional information: Sezione I Civile, specializzata in materia di impresa (specialized in enterprise issues).

  1. Facts
    The proceedings before the Tribunale Civile e Penale di Torino concerned the appeal of Claimant in Case No. 30308/20215 R.G. seeking to set aside the decision of the court of first instance. As to the facts of the case, it can be referred to the summary of that case above.
  2. Court’s reasoning
    Due to non-compliance with the minimum duration of the NDA, including apactum de non petendo in connection to ZTE Corporation and its affiliates (such as Defendant I), of three years until 3 September 2016, Claimant’s unilateral termination of the agreement by letter as of 13 October 2014 and the subsequent initiation of proceedings were declared inadmissible. Claimant validly waived its right to bring actions under Italian law and it cannot circumvent this obligation by paying damages. According to the wording of the agreement, a lack of reaction on the part of ZTE Corporation was not to be interpreted as a waiver of rights.
  3. Other important issues
    Claimant argued that the patents in question never were essential to the UMTS standard and, hence, there existed no FRAND licensing obligation. The court rejected the appeal because Claimant’s action before the court of first instance was based on exactly the opposite argumentation (i.e. the patents in question being essential to the UMTS standard).

Updated 3 2月 2020

Philips v Wiko

OLG Karlsruhe
30 10月 2019 - Case No. 6 U 183/16

A. Facts

The Claimant, Philips, holds patents declared as (potentially) essential to the practice of wireless telecommunications standards (Standard Essential Patents or SEPs) developed by the European Telecommunications Standards Institute (ETSI), including SEPs reading on the UMTS and LTE standards. Philips committed towards ETSI to make its SEPs accessible to standard users on Fair, Reasonable and Non-Discriminatory (FRAND) terms and conditions.

The Defendant is the German subsidiary of the Wiko group of companies, which has its headquarters in France (Wiko). Wiko sells mobile phones implementing the LTE standard in Germany.

In October 2014, Philips informed the parent company of the Wiko group about its SEP portfolio, but did not receive a response. In July 2015, Philips shared a draft licensing agreement for its SEP portfolio as well as claim charts referring to several of its SEPs with the parent company of the Wiko group, which again did not react at all. In September 2015, Philips shared further technical details regarding its SEPs.

On 19 October 2015, Philips brought an infringement action against Wiko before the District Court of Mannheim based on one of its SEPs, requesting for injunctive relief, information and rendering of accounts, destruction and recall of infringing products from the market as well as a declaratory judgment confirming Wiko’s liability for damages on the merits.

On the next day, 20 October 2015, Wiko sent a letter to Philips, in which it declared its willingness to enter into negotiations with the latter for a licence covering ‘valuable’ patents. In August 2016, during the course of the pending infringement proceedings, Wiko made a counteroffer to Philips. Philips did not accept this offer. Subsequently, Wiko provided security to Philips for the use of its patents, calculated on basis of its counteroffer.

By judgment dated 25 November 2016 [199] , the District Court of Mannheim granted Philips’ claims almost to the full extent. Wiko appealed the District Court’s judgement. In addition, by way of a counterclaim, Wiko requested disclosure of existing licensing agreements signed by Philips with similarly situated licensees (comparable agreements).

With the present judgment [200] , the Higher District Court of Karlsruhe (Court) overturned the ruling of the District Court in part. In detail, the Court confirmed Philips’ claims for information and the rendering of accounts as well as Wiko’s liability for damages on the merits. The Court, however, rejected Philips’ claims for injunctive relief, destruction and recall of infringing products from the market.

Apart from that, the Court also rejected Wiko’s counterclaim regarding the production of comparable agreements in the proceedings.


B. Court’s reasoning

The Court confirmed that Wiko’s products infringe the patent in suit [201] .

Contrary to the view taken previously by the District Court, the Court found, however, that Article 102 of the Treaty for the Functioning of the EU (TFEU) prevents Philips from enforcing the claims for injunctive relief as well as the recall and destruction of infringing products asserted in the infringement proceedings for the time being [202] . In the Court’s eyes, Philips had failed to meet the conduct obligations established by the Court of Justice of the EU (CJEU) in the matter Huawei v ZTE [203] (Huawei framework or obligations) [204] .

Huawei framework

The Court explained that SEP holder’s failure to meet its Huawei obligations will – as a rule – render an infringement action resulting in an exclusion of the implementer from a downstream market (action for injunctive relief and/or recall and destruction of products) abusive in terms of Article 102 TFEU [205] . This will, however, not be the case, when the implementer himself fails to fulfil its duties under the Huawei framework; if the implementer acts in bad faith as an ‘unwilling’ licensee, then SEP holder’s Huawei obligations are ‘suspended’ [205] . As a result, asserting the rights to injunctive relief and/or the destruction and recall of infringing products in court could then be considered as a justified reaction of the SEP holder to the implementer’s unwillingness to enter into a FRAND licence [205] .

Having said that, the Court expressed the view that the parties can remedy potential flaws in their conduct under the Huawei judgment and/or even fulfil their Huawei obligations for the first time during the course of pending infringement proceedings [206] . The Court noted that in Huawei v ZTE, the CJEU did not require that the parties fulfil all conduct obligations established prior to the initiation of court proceedings [207] . In the Court’s eyes, denying the parties such possibility is not compatible either with the general principle of proportionality known to European law, nor with the German civil procedural law, according to which courts need to consider all facts relevant for their decision-making raised in the proceedings until the end of the oral arguments [208] .

Accordingly, an infringement action that did not give rise to any antitrust concerns at the time it was filed, can be considered as abusive at a later point in time, if the situation significantly changed, e.g. the implementer fulfilled its Huawei obligations in the meantime [209] . Vice versa, an action of an abusive nature can later on be ‘corrected’, if the patent holder performs its duties under the Huawei framework during the course of the pending proceedings [209] .

In the Court’s view, a SEP holder seeking to remedy (or fulfil for the first time) obligations under the Huawei framework after the initiation of infringement proceedings must make sure that pressure-free licensing negotiations between the parties are enabled, as required by the CJEU in Huawei v ZTE [210] . For this, the patent holder must use procedural tools available under German law, particularly a motion for suspension of the trial [210] . The SEP holder can also propose a consensual stay of the proceedings, especially when a parallel nullity action against the patent in suit is pending before the Federal Patent Court [210] . In case such a motion is filed, the Court expects that a ‘willing’ implementer will consent to a suspension of the proceedings [210] .

On the other hand, the Court pointed out that fulfilment of Huawei obligations by the implementer after the beginning of infringement proceedings does not necessarily lead to a dismissal of the claims asserted by the SEP holder [211] . Indeed, if the implementer meets its Huawei duties at a very late point in time in the proceedings (e.g. shortly before the closing of the oral arguments), the Court could eventually neglect this fact in its decision [212] . This way, delays can be avoided. In this context, the Court also made clear that the implementer is not in a position to cause a unilateral suspension of the proceedings; in contrast to the opposite case (that is cases, in which a stay of the proceedings is suggested by the claimant), the SEP holder will usually not be required to agree to a suspension of the proceedings proposed by the implementer, in order to allow pressure-free negotiations to take place [212] . Insofar, the implementer bears the risk that the fulfilment of its obligations under the Huawei framework in the course of a pending infringement trial will have no impact [212] .

Notification of infringement

Looking at the specific conduct of the parties in the present case, the Court found that Philips had fulfilled its obligation to notify Wiko about the infringement of the SEP in suit prior to the commencement of the infringement proceedings.

The Court confirmed that a notification addressed to the parent company within a group of companies will usually be sufficient under the Huawei framework [213] . In terms of content, the Court was satisfied by the fact that Philips’ letter from July 2015 named the patent in suit as well as the relevant part of standard document implementing the technical teachings of this patent [214] . The Court explained that the notification does not have to contain (further) information required for a final assessment of the validity and essentiality of the patent in suit [214] . Accordingly, the SEP holder is not obliged to share claims charts customarily used in SEP licensing negotiations with the implementer along with the notification of infringement [214] .

Willingness to enter into a licence

The Court further found that Wiko had sufficiently met its obligation to express its willingness to negotiate a licence with Philips [215] .

The Court agreed with the assessment of the District Court that Wiko’s initial reaction to Philips’ notification in July 2015 by letter dated 20 October 2015 was belated. According to the Court, the time available to the implementer for expressing its willingness to enter into negotiations for a licence will – as a rule – not exceed two months [216] . This period of time will usually be sufficient: since by declaring its willingness to enter into negotiations the implementer does not waive any rights (especially the right to contest the validity and/or infringement of the patents in question), it shall not be given more time than the time needed for an ‘initial overview’ of the SEP holder’s claims [216] . Delaying tactics potentially applied by the implementer must be prevented [216] . Against this background, Wiko’s letter dated 20 October 2015 was sent to Philips too late.

Nevertheless, the Court found that Wiko had remedied the belated response after the beginning of the infringement proceedings. On the one hand, Wiko’s letter dated 20 October 2015 had reached Philips at a very early stage of the proceedings, namely just some days after the action was filed [217] . In addition, Wiko had confirmed its willingness to enter into negotiations with Philips expressed in said letter during the course of the proceedings, by making a counteroffer, rendering accounts and providing security to Philips [217] .

SEP holder’s offer

On the other hand, the Court held that Philips had failed to comply with its obligation to make a FRAND licensing offer to Wiko. In particular, the Court took the view that Philips did not provide sufficient information to Wiko with respect to its licensing offer dated July 2015 [218] .

The Court argued that the ‘fairness’ element of the FRAND commitment establishes an ‘information duty’ (‘Informationspflicht’) of the SEP holder with respect to the content of its licensing offer to the implementer [219] . This duty exists besides the patent holder’s duty to make a FRAND licensing offer to the implementer [220] .

In terms of scope, the Court found that the information duty is, basically, not limited to the calculation of the offered royalty but also covers (objective) facts showing that the ‘contractual compensation factors’ (‘vertragliche Vergütungsfaktoren’) are not discriminatory [221] . The extent of the information to be shared depends on the circumstances of the specific ‘licensing situation’ [221] .

In case that the patent holder has already granted licences to third parties, the information duty will extend also towards its ‘licensing practice’, including comparable agreements [222] .

If the SEP holder uses exclusively a standard licensing programme, then it will be sufficient to show that said programme has been accepted in the market and that the offer made to the implementer corresponds with the standard licensing agreement used [222] .

On the other hand, if the SEP holder has concluded individual licensing agreements with third licensees, then it would be obliged to disclose – at least – the content of the key contractual terms in a way that would allow the implementer to identify whether (respectively why) the offer it received is subject to dissimilar conditions [222] . The Court made, however, clear that – contrary to the approach adopted by the Duesseldorf courts – the SEP holder is not obliged in any case to disclose the full content of all existing comparable agreements [222] . In the eyes of the Court, the information duty serves only the purpose of facilitating good will licensing negotiations. A full disclosure of comparable agreement is, however, uncommon in practice [222] .

In this context, the Court pointed out that the patent holder will have to adequately substantiate the content of ‘justified confidentiality interests’ that might hinder the disclosure of comparable agreements [222] . Furthermore, the SEP holder would need to facilitate the conclusion of a Non-Disclosure Agreement which would allow sharing further information with the implementer [222] .

Based on the above considerations, the Court found that Philips had not fulfilled its information duty at any time [223] . In particular, the Court criticized that Philips did not adequately explain the reasons for choosing to agree on a lump sum payment (instead of a running royalty) in an existing agreement with a third licensee [224] . The fact that companies of different size were affected did not relieve Philips from its information duty; according to the Court, the mere fact that two competitors in a downstream market are of different size does not per se offer sufficient ground for different treatment [225] .

Since the Court assumed that Philips had failed to meet its information duties, it did not examine whether Philips’ licensing offer to Wiko was FRAND in terms of content [226] . In this respect, the Court seemed to agree, however, with the notion that FRAND is a range providing parties with a degree of flexibility [227] .

Implementer’s claim for disclosure of comparable agreements

Referring to the counterclaim for full disclosure of Philips’ comparable agreements raised by Wiko in the appeal proceedings, the Court clarified that a respective right of Wiko does not exist [228] .

Such a right does not arise either from German civil law (Articles 809 and 810 German Civil Code) [228] or Article 102 TFEU [229] . Furthermore, a right for disclosure of comparable agreement can neither be extracted by the SEP holder’s FRAND commitment to ETSI [230] . The Court saw no indication that French law (which is applicable to the ETSI FRAND undertaking) establishes such a right in favour of standards implementers [231] .

C. Other important issues

The Court pointed out that the claims for damages as well as information and rendering of accounts also asserted by Philips in the present proceedings are not subject to the Huawei framework [232] . Moreover, the Court explained that the non-fulfilment of the Huawei obligations by the patent holder poses no limitations on these rights in terms of content [233] . This is particularly true with respect to SEP holder’s claim to request information about expenses and profits from the implementer5 [234] .

  • [199] Philips v Wiko, District Court (Landgericht) of Mannheim, judgment dated 25 November 2016, Case No. 7 O 44/16.
  • [200] Philips v Wiko, Higher District Court of Mannheim, judgment dated 25 November 2016, Case No. 7 O 44/16, cited by http://lrbw.juris.de.
  • [201] Ibid, paras. 37-87.
  • [202] Ibid, para. 88.
  • [203] Huawei v ZTE, Court of Justice of the European Union, judgment dated 16 July 2015, Case No. C 170/13.
  • [204] Philips v Wiko, Higher District Court of Mannheim, judgment dated 25 November 2016, para. 108.
  • [205] Ibid, para. 107.
  • [206] Ibid, paras. 117 et seqq.
  • [207] Ibid, para. 119.
  • [208] Ibid, paras. 120 et seq.
  • [209] Ibid, para. 120.
  • [210] Ibid, para. 125.
  • [211] Ibid, para. 126.
  • [212] Ibid, para. 127.
  • [213] Ibid, para. 111.
  • [214] Ibid, para. 112.
  • [215] Ibid, paras. 115 and 117.
  • [216] Ibid, para. 115.
  • [217] Ibid, para. 129.
  • [218] Ibid, paras. 131 et seqq.
  • [219] Ibid, paras. 132 et seq.
  • [220] Ibid, para. 135.
  • [221] Ibid, para. 133.
  • [222] Ibid, para. 134.
  • [223] Ibid, paras. 136 et seqq.
  • [224] Ibid, para. 136.
  • [225] Ibid, para. 138.
  • [226] Ibid, para. 131.
  • [227] Ibid, para. 106.
  • [228] Ibid, paras. 157 et seqq.
  • [229] Ibid, paras. 162 et seqq.
  • [230] Ibid, paras. 160 et seq.
  • [231] Ibid, para. 161.
  • [232] Ibid, para. 143.
  • [233] Ibid, para. 144.
  • [234] Ibid, paras. 145 et seqq.

Updated 7 4月 2021

Sisvel v Wiko

OLG Karlsruhe
9 12月 2020 - Case No. 6 U 103/19

A. Facts

The claimant, Sisvel, holds patents declared as (potentially) essential to the practice of the UMTS and LTE wireless telecommunications standards, which are subject to a commitment to be made accessible to users on fair, reasonable and non-discriminatory (FRAND) terms and conditions (standard-essential patents or SEPs). Sisvel also administrates a patent pool, comprising patents of several SEP holders, including Sisvel's own SEPs (patent pool).

The defendants are two companies that are part of the Wiko group (Wiko). [235] Wiko sells mobile phones complying with the LTE standard - among other markets- in Germany.

In June 2015, the patent pool informed Wiko for the first time about the need to obtain a licence. On 1 June 2016, Sisvel (as the patent pool's administrator) offered Wiko a portfolio licence, which also covered the patent in suit. Agreement was, however, not reached.

On 22 June 2016, Sisvel brought an action against Wiko before the District Court (Landgericht) of Mannheim in Germany (District Court) based on one patent reading on the LTE standard (infringement proceedings). Sisvel requested a declaratory judgment confirming Wiko's liability for damages on the merits, as well as information and rendering of accounts.

On 23 June 2016, Sisvel made an offer for a bilateral licence limited to its own SEP portfolio to the German subsidiary of Wiko. This offer was not accepted. Moreover, Wiko filed a nullity action against the SEP in suit before the German Federal Patent Court (nullity proceedings).

In October 2016, Sisvel extended the lawsuit. Claims for injunctive relief as well as the recall and destruction of infringing products were added to the other claims initially asserted.

On 11 November 2016, Wiko made a counteroffer to Sisvel. Some days prior to the oral hearing in the infringement proceedings, Wiko informed the Court that it had provided information to Sisvel and had also deposited a security amount for past uses.

On 8 November 2017, Sisvel made a new offer to Wiko with reduced royalty rates. Wiko did not immediately react to this offer.

On 22 December 2017, Sisvel asked the District Court to order a stay of the infringement proceedings, until the decision of the Federal Patent Court in the parallel nullity proceedings. Wiko agreed with Sisvel's motion. On 30 January 2018, the infringement proceedings were stayed.

On 9 February 2018, Sisvel sent a reminder to Wiko regarding the offer made on 8 November 2017. Wiko responded on 16 February 2018, requesting further claim charts and more time to examine the patents covered by the offer.

On 26 June 2018, during the stay of the infringement proceedings, Sisvel made another licensing offer to Wiko based on a new restructured licensing program (2018 offer). Along with the 2018 offer, Sisvel provided Wiko with claim charts regarding 20 selected patents and a list of existing licensees of both its new licensing program and two pre-existing programs. The list contained the date of the conclusion of each agreement as well as the agreed licence fees. The names of the licensees were, however, redacted.

Wiko did not react to the 2018 offer for more than three months. On 15 October 2018, following a respective reminder sent by Sisvel on 14 September 2018, Wiko replied, without, however, commenting the 2018 offer; it just referred back to its counteroffer dated 11 November 2016. Wiko also criticized the fact that Sisvel did not disclose the names of the existing licensees so far.

In response to that claim, Sisvel shared a draft Non-Disclosure Agreement (NDA) with Wiko on 22 October 2018, based on which it would be willing to disclose the names of the existing licensees. Wiko refused to sign the NDA proposed by Sisvel.

In October 2018, the Federal Patent Court upheld the SEP in suit in part. Subsequently, the District Court moved on with the infringement proceedings. After the end of the oral hearings in July 2019, Wiko made a new counteroffer to Sisvel and provided the latter with additional information. However, Wiko did not increase the amount of security deposited after its first counteroffer dated 11 November 2016.

In the beginning of September 2019, Sisvel set up an electronic data room containing redacted versions of Sisvel's existing licensing agreements with third parties and granted Wiko respective access rights. Wiko did not make use of this data room at any point in time.

On 4 September 2019, the District Court granted an injunction against Wiko and ordered the removal and destruction of infringing products from the market. It also confirmed Wiko's liability for damages on the merits and ordered Wiko to provide Sisvel with information required for the calculation of damages. Wiko appealed the decision of the District Court.

Shortly after the District Court rendered its decision, the term of the patent-in-suit expired. Sisvel, however, enforced the injunction granted by the District Court.

With the present judgment [236] (cited by http://lrbw.juris.de/cgi-bin/laender_rechtsprechung/list.py?Gericht=bw&GerichtAuswahl=Oberlandesgerichte&Art=en&sid=2b226ea73cc9637362d8e1af04a34d05), the Higher District Court (Oberlandesgericht) of Karlsruhe (Court) predominantly upheld the judgment of the District Court [237] .
 

B. Court's reasoning

The Court found that Wiko could not successfully raise a so-called 'FRAND-defence' based on an alleged abuse of market dominance (Article 102 TFEU) against the claims for injunctive relief and the recall and destruction of infringing products asserted by Sisvel. [238]

This question was still decisive in the present case, despite the fact that the patent-in-suit expired before the start of the appeal proceedings. The Court explained that the expiration of a patent affects only future acts of use (which, then, no longer constitute infringement): On the contrary, claims that had arisen prior to expiration based on acts of use during the lifetime of the patent are not impaired. [239] Whether claims were given before the expiration of the patent-in-suit is of particular importance, especially when the patent holder has enforced a (first-instance) judgment delivered in proceedings conducted within the term of protection of the patent, as it was the case here. [240]
 

Dominant market position

Having said that, the Court agreed with the finding of the District Court that Sisvel had a market dominant position in terms of Article 102 TFEU with respect to the patent-in-suit in the relevant time period prior to its expiration. [241]

The Court followed the District Court also insofar, as it confirmed that, by filing an infringement action, Sisvel had not abused its market dominance.
 

Notification of infringement

In the eyes of the Court, Sisvel had sufficiently notified Wiko about the infringement of the patent-in-suit prior to filing a court action. [242] The purpose of the notification of infringement is to draw the implementer's attention to the infringement and the necessity of taking a license on FRAND terms and conditions. [243] In terms of content, the notification must identify the patent infringed, the form of infringement and also designate the infringing embodiments. [243] Detailed technical or legal analysis of the infringement allegation is not required. [243] The production of so-called 'claim charts', which is common in practice, will, as a rule, suffice, but is not mandatory. [243] If the patent holder offers a portfolio licence, respective extended information duties occur. [243]

In the present case, it was not disputed that Sisvel had notified Wiko about the patent-in-suit prior to litigation. [244] As far as Wiko complained that no claim charts were presented before trial, the Court reiterated that no respective obligation of Sisvel existed. [245] What is more, the Court held that the court action initially filed by Sisvel, which did not include claims for injunctive relief and the recall and destruction of infringing products, could also be seen as an adequate notification of infringement. [244]
 

Willingness to obtain a licence

The Court then found that Wiko behaved as an unwilling (potential) licensee both prior and during the infringement proceedings [246] . The Court agreed with the assessment of the District Court that Wiko delayed the licensing negotiations between the parties with the goal to avoid taking a licence for as long as possible, in order to gain economic benefits. [247]

According to the Court, the 'expression of a general willingness to license' is not sufficient for assuming that an implementer is a 'willing licensee'. [248] Moreover, the implementer must 'clearly and unambiguously' declare willingness to conclude a license agreement on FRAND terms, 'whatever FRAND terms may actually look like" [248] . The respective declaration must be 'serious and unconditional'. [248]

The Court highlighted that for the assessment of willingness the overall facts and the particular conduct of the implementer shall be taken into account. [248] Willingness is not 'static': the finding that an implementer was willing (or unwilling) at a certain moment in time does not remain unchanged henceforth. [248]

The implementer must always be willing to obtain a licence and participate in negotiations in a 'target-oriented manner'; since implementers might be inclined to delay negotiations until the expiration of the patent-in-suit, there is a need to make sure that their behaviour in negotiations will not lead to delays. [249] Moreover, it should be expected that a willing implementer would seek a license as soon as possible, in order to shorten the period, in which it makes use of the patent-in-suit or the SEP holder's portfolio without authorisation and without paying licensing fees. [250] Accordingly, a willing licensee would not consider the 'negotiation obligations' of the SEP holder primarily as a means to defend itself against a court action, but as a means to utilize in order to reach a FRAND agreement, if needed. [250]

In the view of the Court, the above requirements are in line with the Huawei v ZTE judgment (Huawei judgment or Huawei) [251] of the Court of Justice of the EU (CJEU). [252] In Huawei, CJEU focused on the will of the infringer to conclude a license agreement on FRAND terms and emphasized that the latter must not pursue 'delaying tactics'. The Court explained that, although in Huawei the requirement to refrain from 'delaying tactics' is expressly mentioned only with respect to the duty of the implementer to react to a licensing offer of the SEP holder, it applies 'at all times' as long as the implementer uses the patents without a licence; otherwise, the suspension of SEP holder's right to the injunctive relief cannot be justified. [253]

In this context, the Court pointed out that not every 'reluctant involvement' of the implementer in licensing discussions will necessarily allow for the assumption of unwillingness. [254] Such behaviour could be justified in individual cases, especially when the SEP holder does not act in a 'target-oriented' manner itself. [254] Nevertheless, implementers must, as a rule, react timely even to a belated action of the SEP holder. [254] Furthermore, implementers must, in principle, inform the SEP holder of any objections at an early stage and should not wait to raise those much later in court proceedings. [254]

Looking at Wiko's conduct, the Court criticized especially the fact that it became active mostly as a reaction to new developments in the pending infringement proceedings. [255] A willing implementer would have, however, sought a licence independently of the initiation of legal steps and independently of the course of litigation. [256] As an example, the Court highlighted the fact that Wiko's counteroffer dated 11 November 2016 was made only shortly after Sisvel extended the infringement suit by adding a claim for injunctive relief. [257] Wiko also provided information on past acts of infringement only a few days prior to the first oral hearing in February 2017 (and refrained from constantly updating this information afterwards, as it would be expected by a willing licensee). [258]

The Court identified also further facts that indicate that Wiko engaged in delaying tactics. [259] Wiko reacted to Sisvel's licensing offers made during the course of the proceedings always belatedly and only after a reminder by Sisvel (for instance, it took Wiko more than three months to react to the 2018 offer) [260] . It also demanded further claim charts in February 2018, years after the action was filed. [261]

Wiko's refusal to sign the NDA offered by Sisvel -despite multiple reminders of the latter- without providing any reasons was also considered as a sign of unwillingness. [262] According to the Court, it should be expected by a willing licensee, who is not interested in delaying negotiations, to swiftly raise any criticisms regarding an NDA proposed by the SEP holder in writing or by e-mail, and not wait to raise any concerns several months later in the infringement proceedings, as Wiko had done here. [263] The Court also considered the fact that Wiko did not access the electronic data room set up by Sisvel containing redacted versions of Sisvel's third party agreements as an additional indication of unwillingness. [264]

Furthermore, the Court clarified that -contrary to Wiko's view- school holidays and/or staff shortages cannot provide sufficient justification for delays in negotiations. [265] Even if such circumstances occur, a willing implementer would have communicated any obstacles immediately. [265] Wiko failed to do so.
 

SEP holder's offer

Since Wiko was found to have been an unwilling licensee, the Court explained that the question whether Sisvel fulfilled its duty to make and adequately elaborate a FRAND licensing offer, was no longer decisive. [266] In fact, no such duty had arisen in the present case, due to Wiko's unwillingness to obtain a licence. [266] Notwithstanding the above, the Court provided guidance on the content and extend of the respective obligation of the SEP holder.

The Court first explained that FRAND is a 'range', which leaves room for flexibility. [267] As a rule, FRAND is determined in bilateral good faith negotiations between SEP holders and implementers, taking into account the specific circumstances of each individual case [267] ; indeed, parties are best situated to determine the exact content of FRAND in a specific setting. [267]

In order to meet its obligation, an SEP holder must present an offer to a willing licensee, which 'in general' complies with FRAND requirements and is fair, reasonable and not discriminatory with respect to the 'average licensee'. [268] The SEP holder shall further explain its offer in a way that permits the licensee to understand the assumptions, on which the offered rate and further conditions are based. [269] The rationale behind this obligation is to create a sufficient basis of information for the implementer for assessing the offer and eventually formulating a counteroffer. [270]

In this context, the Court made clear that implementers should not expect that the SEP holder individually adapts its (first) offer to the specific circumstances of each particular case. [271] The SEP holder's FRAND commitment does not give rise to such obligation. [271] The (first) offer is intended to launch the negotiations and provide an adequate information basis to the implementer, who will then be in a position to suggest necessary amendments by means of a counteroffer. [271] Accordingly, it will regularly be acceptable that the SEP holder's offer is 'not clearly and evidently' non-FRAND and sufficient information was provided to the implementer. [272]

The Court dismissed the notion that the implementer is obliged to negotiate (and eventually) make a counteroffer, only when the SEP holder's offer was fully FRAND-compliant. [272] This would bring the negotiations to a stand-still and, therefore, conflict with the spirit of the Huawei judgment, which is to encourage the parties to reach agreement on the licensing terms. [273] Moreover, the Court explained that –irrespective of whether the offer triggers an obligation of the implementer to submit a counter-offer– the latter will be regularly required, at least, to analyse the SEP holder's offer in due course and express any objections and queries without delay. [274]

Against this background, the Court found that none of the offers made to Wiko during the infringement proceedings was 'clearly and evidently' non-FRAND. [275] The fact that the offers did not define the start of the contract or the amount of royalties payable for past uses was not considered problematic. [276] The Court also found that the royalty rates offered were not 'evidently non-FRAND', since they were sufficiently substantiated by reference to existing licensing agreements and calculated on basis of a 'top-down' method. [277] A need to calculate royalties on grounds of the costs that incurred for the creation of the patented invention (cost-based approach) was not given, since this factor was not relevant for establishing value. [278]

In addition, the Court did not raise any concerns against the fact that Sisvel's offer concerned a worldwide portfolio licence: On the one hand, agreements with such scope are common in the telecommunications industry. [279] On the other hand, Wiko had worldwide activities, so that a licence with a limited scope would not provide sufficient coverage. [279]

The fact that some of the patents included in Sisvel's portfolio were -allegedly- not standard-essential did not render the offers 'un-FRAND'. [280] The Court stressed that, for the purpose of licensing negotiations and the conclusion of a licence, it is not necessary to conclusively clarify whether each portfolio patent is standard-essential. [281] Implementers can reserve the right to challenge the validity and essentiality of affected patents even after the conclusion of a licensing agreement. [281]

Similarly, the Court had no objections against a clause placing the burden of proof with regard to the exhaustion of licenced patents on Wiko. [282] This rule corresponds with the common allocation of the burden of proof under German law and does not place unreasonable weight on the licensee, since it will be better situated to trace the licensing chain by engaging with its suppliers. [283]

The question whether an adjustment clause is necessary for an offer to be considered FRAND was left unanswered by the Court. [284] Such clause would allow the implementer to adapt the agreed royalties, in case that patents fall out of the scope of the licence (e.g. due to expiration or invalidation). The Court saw no need for a respective contractual provision, since the licences offered by Sisvel would expire and, therefore, be re-negotiated after five years. [284] The Court did not express any concerns against the term of the offered licence or the termination clauses contained therein, either. [285]

Furthermore, the Court made clear that Sisvel had adequately elaborated the licensing rates offered to Wiko. [286] In the infringement proceedings, Sisvel responded to the 'top-down' calculation of Wiko in detail and made relevant clarifications. [287] According to the Court, Sisvel was under no circumstances obliged to elaborate on a cost-based calculation of royalties, as requested by Wiko; such demand was considered just another means to delay negotiations. [288]
 

Implementers' counteroffer

The Court also found that the counteroffers made by Wiko during the course of the first instance infringement proceedings were not FRAND. [289]

The Court highlighted that the obligation of the implementer to submit a FRAND counteroffer to the SEP holder is already triggered, when the previous licensing offer of the latter is not 'clearly and evidently' non-FRAND and sufficient information was provided, enabling the implementer to formulate its counteroffer. [290]

Having said that, the Court took the view that the royalty rates which Wiko offered were very low and, thus, not FRAND-compliant. [291] The Court criticized especially the fact that the rates were significantly lower than the rates which were considered to be adequate in previous court decisions. [292] Notwithstanding the above, the Court explained that, even if Wiko's counteroffer had been FRAND, this would not change the conclusion that Wiko had acted as an unwilling licensee. [293] According to the Court, a willing licensee would not have submitted a counteroffer around one year after receipt of the SEP holder's offer, as Wiko did. [294]
 

C. Other important issues

The Court stressed that for generating pressure-free licensing negotiations during pending infringement proceedings, it will, as a rule, be sufficient, if the proceedings are stayed with a view to parallel nullity proceedings concerning the patent-in-suit. [295] This is particularly true, when the SEP holder takes the respective initiative, as it was the case here. [295] Nevertheless, even if a pressure-free negotiation situation is not given, the infringers is not released from the obligation to act in good faith and engage in licensing negotiations, for instance by analysing a licensing offer of the SEP holder. [295] The refusal of the infringer to act accordingly could, in the eyes of the Court, allow the conclusion that it is an unwilling licensee. [295]

Apart from that, the Court confirmed that Wiko had no legal ground for requesting full disclosure of Sisvel's third party agreements [296] . Even if one would recognize a duty of the SEP holder to share information about the core content of existing licensing agreements (that are still in force), it is questionable whether this duty would also extend to agreements signed by previous patent holders. [297] The Court expressed particular doubts that this applies in cases in which a portfolio was assembled from patents acquired from different patent holders, since the relevance of bilateral or pool licensing agreements of the former patent holder can be limited in this case. [298]

Furthermore, the Court expressed the view that under German law a so-called 'covenant not to sue' does not have the effect of a (royalty-free) licence: such agreements will, as a rule, have only a procedural effect in terms of a pactum de non petendo, excluding only the initiation of court proceedings. [299]

Finally, the Court denied Wiko's motion to order a stay in the appeal proceedings due to the recent referral of several questions regarding the interpretation of the Huawei framework to the CJEU by the District Court of Düsseldorf in the matter Nokia v Daimler [300] . [301] According to the Court, it appears unlikely that the CJEU will establish criteria, by which SEP-based court actions against implementers engaging in delaying tactics would amount to an abuse of market dominance. [302]
 

  • [235] The action was extended to a third defendant, an individual person, who had served as a managing director for both aforementioned companies.
  • [236] Sisvel v Wiko, Higher Regional Court Karlsruhe, judgment dated 9 December 2020, Case-No. 6 U 103/19
  • [237] The claims for injunctive relief, rendering of accounts and damages asserted against the former managing director of the two Wiko companies were limited to the period of time until the end of its tenure; ibid, paras. 265-288.
  • [238] Ibid, para. 289.
  • [239] Ibid, paras. 284 et seqq.
  • [240] Ibid, para. 287.
  • [241] Ibid, paras. 290 et seq. Insofar, the Court made clear that a market dominant position ceases to exist after the expiration of the relevant patent.
  • [242] Ibid, paras. 292 et seqq.
  • [243] Ibid, para. 293.
  • [244] Ibid, para. 297.
  • [245] Ibid, paras. 297 et seq.
  • [246] Ibid, para. 299.
  • [247] Ibid, para. 299 and paras. 320 et seqq.
  • [248] Ibid, para. 301.
  • [249] Ibid, para. 302.
  • [250] Ibid, para. 303.
  • [251] Huawei v ZTE, Court of Justice of the EU, judgment dated 16 July 2015, Case-No. C-170/13.
  • [252] Sisvel v Wiko, Higher Regional Court of Karlsruhe, judgment dated 9 December 2020, para. 304.
  • [253] Ibid, para. 304.
  • [254] Ibid, para. 305.
  • [255] Ibid, paras. 321 et seqq.
  • [256] Ibid, para. 321.
  • [257] Ibid, para. 322.
  • [258] Ibid, paras. 323 et seq.
  • [259] In addition, the Court found that Wiko’s lack of willingness to obtain a license is also manifested in the fact that it (i) attempted to impede the enforcement of the first instance ruling of the District Court by questionable means (para. 335) and (ii) did not accept the offer of the District Court of The Hague, in which proceedings between the parties were pending in parallel, to engage in settlement negotiations (para. 336).
  • [260] Ibid, paras. 325, 328 and 331.
  • [261] Ibid, para. 327.
  • [262] Ibid, paras. 333 et seqq.
  • [263] Ibid, paras. 334 and 338.
  • [264] Ibid, paras. 337 and 341 et seqq.
  • [265] Ibid, para. 330.
  • [266] Ibid, para. 342.
  • [267] Ibid, para. 307.
  • [268] Ibid, para. 308.
  • [269] Ibid, paras. 308 and 310.
  • [270] Ibid, para. 309.
  • [271] Ibid, para. 310.
  • [272] Ibid, paras. 311 et seqq.
  • [273] Ibid, paras. 311 and 313 et seqq.
  • [274] Ibid, paras. 316 et seqq.
  • [275] Ibid, para. 352.
  • [276] Ibid, para. 353.
  • [277] Ibid, paras. 354 et seqq.
  • [278] Ibid, para. 358.
  • [279] Ibid, para. 359.
  • [280] Ibid, para. 360.
  • [281] Ibid, para. 361.
  • [282] Ibid, para. 362.
  • [283] Ibid, para. 363.
  • [284] Ibid, paras. 365 et seqq.
  • [285] Ibid, paras. 367 et seqq.
  • [286] Ibid, para. 366.
  • [287] Ibid, para. 344.
  • [288] Ibid, para. 346.
  • [289] Ibid, paras. 379 et seqq.
  • [290] Ibid, para. 311.
  • [291] Ibid, paras. 379 et seqq.
  • [292] Ibid, para. 380.
  • [293] Ibid, para. 378.
  • [294] Ibid, para. 384.
  • [295] Ibid, para. 348.
  • [296] Ibid, para. 389.
  • [297] Ibid, paras. 389 et seq.
  • [298] Ibid, para. 391.
  • [299] Ibid, paras. 260 et seqq.
  • [300] Nokia v Daimler, District Court of Düsseldorf, order dated 26 November 2020, Case No. 4c O 17/19.
  • [301] Sisvel v Wiko, Higher Regional Court of Karlsruhe, judgment dated 9 December 2020, para. 395.
  • [302] Ibid, para. 395.

Updated 20 10月 2020

Sisvel v Wiko

LG Mannheim
4 9月 2019 - Case No. 7 O 115/16

A. 内容

原告Sisvelは、公平、合理的かつ非差別的(FRAND)な条件にて規格実施者に利用を認めるとの約束に基づき、UMTS及びLTE無線通信の規格に必須である(と見込まれる)と宣言された特許を保有している(標準必須特許又はSEP)。Sisvelは、自らのSEPを含め、複数のSEP保有者の特許で構成されるパテントプールを管理している(パテントプール)。

被告は、Wikoグループのフランスに所在する親会社及びドイツに所在する子会社(Wiko)である。Wikoは、LTE規格を実施する携帯電話を特にドイツにおいて販売している。

2015年6月、Sisvelは、パテントプールの存在及びライセンス取得が必要である旨をWikoに通知した。両当事者は、ライセンス契約の協議に入った。Sisvelは、パテントプールに含まれるSEPの情報について、その複数の特許の規格必須性を示したクレームチャートを添えてWikoに提出した。2016年6月1日、Sisvelは、当該パテントプールを対象とするライセンスについてWikoに申出を行ったが、合意には至らなかった。

2016年6月22日、Sisvelは、1つの特許がLTE規格に抵触していることに基づき、Wikoを相手方として、ドイツのマンハイム地方裁判所(本裁判所)に訴訟を提起した(権利侵害訴訟)。Sisvelは、実体的事項に関するWikoの損害賠償責任を確認する宣言的判決とともに、情報及び計算書の提出を求めた。 2016年6月23日、Sisvelは、Wikoのドイツ子会社に対して自己のSEPのみを対象とする双務的ライセンスをオファーしたが、このオファーは、承諾されなかった。さらにWikoは、SEPの無効確認を訴えて、ドイツ連邦特許裁判所に訴訟を提起した(無効確認訴訟)。

2016年10月4日、Sisvelは、侵害訴訟での訴えを変更し、差止命令による救済手段、並びに侵害性を有する製品の市場からの排除及びその後の破棄を追加的に求めた。

2016年11月11日、WikoはSisvelにカウンターオファーを申し出た。その後、Wikoは、当該カウンターオファーに従い、保証金及び情報をSisvelに提供した。

訴訟手続中に、Sisvelは、プールライセンスに関し、ロイヤルティ料率を含めた新たな申出をWikoに行った。Wikoはこれについても拒絶した。2017年12月22日、Sisvelは、並行して行われていた特許の無効確認訴訟においてドイツ連邦特許裁判所によるSEPの有効性にかかわる判断が下るまで、権利侵害訴訟手続の停止を命じるよう本裁判所に申し立てた。Wikoは、Sisvelの申立てに同意した。2018年1月30日、権利侵害訴訟手続の停止が本裁判所により命じられた。

2018年6月26日、権利侵害訴訟手続の停止中に、Sisvelは、自らが策定した、新たな内容のライセンスプログラムに基づき、あらためてWikoにライセンスオファーを申し出た(2018年オファー)。

2018年オファーと同時に、Sisvelは、―とりわけー選定した20件の特許に関するクレームチャート及び新規ライセンスプログラムと既存の2つのプログラム双方の既存のライセンシーのリストをWikoに提供した。当該リストには、各契約の締結日と合意されたライセンス料が記載されていた。しかし、ライセンシーの名は黒塗りされていた。

Wikoは3か月超にわたり2018年オファーに対応しなかった。2018年10月15日、WikoはSisvelに回答したが、2018年オファーの内容に対しては意見を述べず、2016年11月11日付のカウンターオファーを引用するにとどまった。さらにWikoは、Sisvelが2018年オファーの際に提出したリストの中で既存のライセンシーの名を開示しなかったことを批判した。

この主張に応じ、Sisvelは、2018年10月22日、Wikoに秘密保持契約(NDA)の草案を送付した。Sisvelは、WikoがNDAに署名する時点で既存のライセンシーの名を開示するつもりであった。しかしながら、Wikoは、Sisvelから提案されたNDAに署名することを拒否した。

2018年10月、ドイツ連邦特許裁判所は、係争中のSEPを部分的に認めた。爾後、本裁判所は、権利侵害訴訟手続に取り掛かり、特にFRAND関連問題について協議した。

2019年7月の口頭審理終了後、WikoはSisvelに新たなカウンターオファーを申し出、追加情報をSisvelに提供した。しかしWikoは、2016年11月11日付の初回のカウンターオファー後には、保証金額を増額しなかった。

本判決において [421] 、本裁判所は、Wikoに差止命令を下すと共に、侵害性を有する製品を市場から排除し、滅失させるよう命じた。さらに本裁判所は、実体的事項に関するWikoの損害賠償責任を確認し、損害額の算定に必要な情報をSisvelに提供するようWikoに命じた。


B. 判決理由

本裁判所は、Wikoの製品が係争中の特許を侵害していると認めた [422] 。係争中の特許の必須性は、両当事者間で争われなかった [423]

さらに本裁判所は、EU機能条約(TFEU)第102条により、Sisvelが差止命令による救済手段及び権利侵害訴訟において侵害性を有するとされる製品のリコール及び破棄を求める請求権の行使を妨げられるものではないと判示した。Wikoは現訴訟の申立てにより、SisvelがTFEU第102条に反して市場での支配的な地位を濫用していたと異議を申し立てた。

本裁判所の見解によれば、SisvelはHuawei対ZTE事件 [424] においてEU司法裁判所(CJEU)が定めた行動義務(Huaweiフレームワーク又は義務)を履行していたため、本件は支配的な地位の濫用にあたらない。これに対しWikoは、Huaweiフレームワークを遵守していなかった。

Huaweiフレームワーク

これまでの判例法から外れて、本裁判所は、権利侵害訴訟手続の過程で両当事者がHuawei義務を是正することが可能であるとの見解を示した [425] 。しかしながら、これには、CJEUにより要請される通り、両当事者間で圧力のない協議ができるようになることが必要である。このため、両当事者は、並行する無効確認訴訟において連邦特許裁判所の決定がなされるまで、審理停止の申立て [426] 又は同意を得た上での手続停止等の利用可能な手続文書を使用して、訴訟手続の一時停止を求めなければならない [427]

上記を背景に、本裁判所は、権利侵害訴訟手続開始後Huaweiフレームワークに基づき情報開示義務の是正を求めるSEP保有者に対し、審理停止を申し立てるよう求めた [427] 。当該申立てがなされた場合には、「誠実意思を有する実施者は訴訟手続停止に同意するであろう」と本裁判所は期待している [427]

本裁判所は、係争中の権利侵害訴訟手続の過程でHuawei義務の欠点を是正する機会を両当事者に与えることは、英国控訴院(Unwired Planet対Huawei) [428] とハーグ控訴裁判所(Philips対Asus) [429] の双方で採用された「セーフハーバー」方式に準じていると述べた。上記裁判所はいずれも、Huaweiフレームワークについて厳密に実施すべき強制的な正式手続とみなしておらず、したがって、CJEUにより定められた協議の枠組みから逸脱したとしても、必ずしも、特許保有者による差止命令の請求を排除する濫用的な行動にはあたらない [430] 。さらに、これに該当するかどうかは、ケースバイケースで評価する必要がある [431]

権利侵害通知

その上で本裁判所は、Sisvelが係争中のSEPの侵害について権利侵害訴訟手続開始前にWikoに通知するHuawei義務を履行していたと認めた。

SEP保有者の各通知の内容に関し、本裁判所は基本的に、従前の決定と同じ要件を適用した。本裁判所は、当該通知において (1) 係争中の特許についてその特許番号を含めて記載し、(2) 当該特許が規格に必須として関連標準化機関に宣言されていることを通知し、(3) どの規格について当該特許が必須であるのかを示し、かつ、(4) 実施者の製品又はサービスのうち当該規格を実施する技術的機能を説明しなければならないと認めた [432] 。適切とする詳細の水準については、ケースバイケースで判断する [432] 。本裁判所は、原則として、特許保有者が、SEPライセンス許諾の交渉において慣習的に用いられるクレームチャートを実施者に提供することにより、その通知義務を履行したことになる旨を確認した [432] 。本裁判所はさらに、企業グループの親会社に通知が送付された場合、通常、Huaweiフレームワークにおいて十分であることを再確認した [432]

SEP保有者の申出

本裁判所は、SisvelがまたWikoに対して書面による明確なFRAND条件でのライセンスの申出を行うHuawei義務を履行していたことも認めた。各評価に関し、本裁判所は、権利侵害訴訟手続停止中にSisvelからWikoに対してなされた最後の申出である2018年オファーのみを検討した [433]

まず、本裁判所は、どの具体的なライセンス料や追加的な契約条件がFRANDの「客観的側面に該当する」のかについて、侵害を管轄する裁判所がこれを判断する義務を負うものではないとする自らの立場を重ねて強調した [434] 。カールスルーエ高等地方裁判所(superior Higher District Court of Karlsruhe)が以前に示した見解に反し、本裁判所は、CJEUが差止命令及び製品リコールに関する訴訟手続についてFRAND条件の「正確な数量的判断(precise mathematical determination)」を「負わせる」つもりはなかったとの考えを支持した [435] 。さらに、FRANDへの該当が見込まれる条件には「幅」があるため、差止命令の要求がTFEU第102条に抵触するのは、特段の交渉状況及び市況に鑑みて、SEP保有者の申出が「搾取的な濫用」にあたるような場合に限られる [434] 。すなわち、本裁判所の認識は、英国控訴院のUnwired Planet対Huaweiと共通であった [428]

上記にかかわらず、本裁判所は、権利侵害を管轄する裁判所がSEP保有者のライセンスの申出がFRANDに適合するか否かにつき、単なる「表面的」な評価ではなく、それ以上の評価を行うべきであることを明確にした。権利侵害を管轄する裁判所は、具体的な申出の全体的な内容について、両当事者の交渉上の立場における典型的な当初の違いにかかわらず、誠実に行為する実施者に対し当該申出に応じることを要求するものであるか否かを検討しなければならない [436] 。原則として、このような義務は、SEP保有者が自らの申出がFRAND条件での申出であると判断する理由を立証する方法でロイヤルティの算定を説明する場合に生じる [437] 。プールライセンシングプログラム又は標準ライセンシングプログラムが存在する場合は、通常、各プログラムが市場で受け入れられていることを立証すれば十分である。プールごとに十分な数のライセンスが許諾されている場合、特許保有者は、当該プールに包含される特許に言及した適切な数量のクレームチャートを提示して、当該プールの構成を概説すれば良い [438]

この状況において、本裁判所は、特許保有者の申出がFRANDに適合するか否かに関し実施者が申立てをする場合、原則として、個別の契約条項の違法性(の主張)を根拠として申立を行うことができない旨を指摘した。さらに、申出がFRANDに適合しているか否かについては、包括的な契約の概要に基づき評価しなければならない [439] 。例外が適用されるのは、特定の条項が「容認できない効果(unacceptable effect)」を有する場合に限られる [439] 。本件において、本裁判所は、2018年オファーのいずれの条項にもこのような効果がないと判断した [439] 。 とりわけ、本裁判所は、ライセンシー(ここではWiko)に申し出がなされたライセンスの対象たる特許の消尽に関する立証責任を定めた条項が許容されると判断した [440] 。同様の事件におけるデュッセルドルフ地方裁判所の見解とは対照的に、本裁判所は、ライセンシーがサプライヤーを関与させることによりライセンス網を追跡しやすい立場にあることから、関連の事実を確証するようライセンシーに要請することが適切であると論じた [440]

また、本裁判所は、提示されたライセンスの期間を5年に制限する条項が反トラストの観点から「容認できない効果(unacceptable effect)」を有するとは判断しなかった。本裁判所は、その5年の期間について、急速な技術の発展を特徴とする無線通信業界において実勢的な慣行に準じたものであると判示した [441]

さらに本裁判所は、ライセンシーによる報告義務の違反や30日を超える支払遅延が生じた場合のライセンス契約の例外的な終了を求める権利を定めた条項について、上記の「容認できない効果(unacceptable effect)」がないことを指摘した [441]

本裁判所は、2018年オファーにおいて、契約期間中、対象特許の数に変更が生じた場合に合意済みロイヤルティ料率の調整について定めた条項が含まれていなかったことに異議を唱えなかった。本裁判所の見解によれば、FRAND条件でのライセンスに当該条項を含めることは求められていない [441] 。しかしながら、プールを構成する特許の多数がライセンス期間締結後間もなく満了する場合には、例外が認められるべきである [441] 。一般的に、ライセンスの申出において、契約目的の履行不能性を理由にライセンスの調整を要請する両当事者の制定法上の権利(ドイツ民事法典第313条1項)が制限又は排除されていない場合には特に、「調整」条項がなくとも問題にならない [441]

非差別性/秘密保持

FRANDライセンスの申出の非差別的要素に関して、本裁判所は、TFEU第102条においては、係争中の権利侵害訴訟手続において、被告に対する申出が同様の状況に置かれた競業者に比べて被告を差別するものでないことを証明する特許保有者の義務(二次的な)が定められているとの見解を示した [438]

上記にかかわらず、本裁判所は、いかなる事例においても上記の義務が法的に「全面的な透明性」を伴うわけではないことを明確にした [438] 。SEP保有者の反トラスト義務により、法的保護に値する被告の秘密保持上の権利が常に重視されるものではない。さらに言えば、個々の事例の特別な状況により、秘密性を保護しなければならない可能性がある [438]

本裁判所は、SEP保有者と同様の状況に置かれた第三者たるライセンシーとの間の既存のライセンス契約(類似契約)に定められた情報を特段に参照した上で、当該契約を開示する特許保有者の義務については、侵害を管轄する裁判所により、訴訟手続における両当事者の訴答を考慮した上で、ケースバイケースで判断されるべきであるとの見解を示した [438]

本裁判所によれば、特許保有者は、保護されるべき秘密保持上の権利の存在を確立しなければならない。類似契約に秘密保持条項が適用されるというだけでは、本来的には、特許保有者の開示義務の範囲を制限する根拠とはならない [442] 。これに対し被告は、特許保有者のライセンスの申出がFRANDに該当するか否かを評価するに際し、要請した情報が必要であった理由を説明しなければならない [442] 。被告は、SEP保有者の差別的と見られる行動を示し、具体的な事実を確証しなければならない [443]

この点を考慮し、本裁判所は、いかなる場合においてもSEP保有者が権利侵害訴訟手続において既存の類似契約書すべてを提出する義務を負うとのデュッセルドルフ裁判所の見解に異議を申し立てた [444] 。とりわけ、特許保有者が実施者との間で標準的なライセンス契約のみを締結している場合、当該契約の条件が公開されているのであれば、本裁判所には、訴訟手続において(膨大な)同一の契約書を提出する義務を特許保有者に負わせる理由がない。すなわち、それまでに締結した(標準的な)ライセンス契約の件数を開示すれば十分である [444]

したがって、本裁判所は、2018年オファーに際しSisvelからWikoに提出された既存ライセンシーのリストについて、ライセンシーの名が黒塗りされていたとしても、当該オファーのFRAND該否の確証に十分であったと認めた。本裁判所の見解において、Wikoは、2018年オファーのFRAND該否を評価するために既存ライセンシーの身元情報が必要であった理由を説明していなかった [445] 。さらに本裁判所は、Wikoが既存ライセンシーの身元開示を目的として訴訟手続が停止されている間、Sisvelから提示されたNDAの締結を拒絶していた事実も考慮した [446] 。2018年オファーのFRAND該否に異議がなかったため、本裁判所は、WikoによるNDAの締結の拒絶がHuaweiフレームワークを準拠する意思のないこととみなされるかどうかについて判断を下さなかった。しかしながら、本裁判所は、実施者が適切なNDAの締結を拒絶した場合は原則としてこれをSEP保有者の申出の評価に関連して検討すべきとの、この点に関しデュッセルドルフ裁判所が示した見解に同意した [446]

さらに、本裁判所は、ドイツ民事訴訟手続法(Zivilprozessordnung, ZPO)第142条に従い管轄裁判所により発せられた文書提出命令を通じ、権利侵害訴訟手続において類似契約の使用を促す可能性についても検討した [443] 。このオプションは、特に、類似契約に定められた秘密保持条項により、裁判所命令が発せられた場合に限り契約の開示が認められる個別の事例において侵害を管轄する裁判所により検討される。本裁判所によれば、当該秘密保持条項は、それ自体では反トラスト法に反するものでないことから、特許保有者が訴訟手続において保護に値する秘密保持上の利益を確証できない場合を除き、尊重されるべきである [443] 。特許保有者が、秘密保持条項の拘束を受け、審理に際し類似契約書を提出する意思がある場合には、侵害を管轄する裁判所は、各案件の具体的な状況に基づき、ZPO第142条に従い文書提出命令を発する [443] 。特許保有者が当該命令に従わない場合、当該裁判所は、Huaweiフレームワークにおける両当事者の行為を全体的に評価する上で、その行動を不誠実さの顕れであると判断する場合がある [443] 。ZPO第142条に従い発せられた裁判所命令に基づき類似契約書の閲覧が認められた後、実施者が訴訟手続停止に同意しない場合も、同様に適用される [443]

実施者のカウンターオファー

本裁判所は、WikoがSisvelに対し、正当な過程でFRAND条件の対案(カウンターオファー)を行うHuawei義務を履行していなかったと認めた。各評価に関し、本裁判所は、2018年オファーに対するWikoの対応に注目した [447]

本裁判所は、申出がFRANDに該当するとみなしているか否かにかかわらず(通常はあてはまる)、実施者が具体的な事実に基づき、SEP保有者のライセンスオファーに対応する義務を負っていると明言した [443] 。さらに、実施者は、各事例の事実、特定分野での業界慣行及び誠実な原則を検討の上、可能な限り早急に対応しなければならない [427]

Wikoが3か月を超える期間、2018年オファーに一切対応しなかったことに鑑み、本裁判所は、Wikoが上記の義務に違反すると判示した [423] 。本裁判所の見解では、Wikoは時間の引き延ばし戦術をとったとされる [423] 。本裁判所は、フランスの休校期間や、(Wikoの陳述によれば)ライセンス関連業務を担当した従業員がわずか2名であったという事実が、Wikoによる対応の遅延の十分な根拠になるとは認めなかった [447] 。国際的な業務に携わる会社として、Wikoは、今後、各問題に対処できるよう十分な人材を確保すべきである [447]


C. その他の重要事項

差止命令並びに侵害性を有する製品の市場からの排除及び破棄を求めたSisvelの請求とは別に、本裁判所は、実体的事項に関するWikoの損害賠償責任を認め、宣言的判決を下した [448]

本裁判所は、Wikoが係争中の特許を著しく侵害したと判断した。とりわけ、Wikoは、少なくとも過失的行為をなした [448] 。Wikoは、極めて複雑な標準化技術(特に、規格に組み込まれる膨大な数の特許)が極めて複雑であるため、知的財産権に関する状況を評価することが困難になった(よって、過失を除外すべき)と主張した。しかしながら本裁判所は、基盤となる技術がより一層複雑になったために、実施者側に対するデューディリジェンス要件がさらに拡大したことを明言した [449]

  • [421] Sisvel対Wiko、マンハイム地方裁判所2019年9月4日、事件番号7 O 115/16。
  • [422] 同判決、17~31頁。
  • [423] 同判決、46頁。
  • [424] Huawei対ZTE、EU司法裁判所2015年7月16日判決、事件番号C-170/13。
  • [425] Sisvel対Wiko、マンハイム地方裁判所2019年9月4日、事件番号7 O 115/16、42頁。
  • [426] 同判決、43頁及び51頁以下。
  • [427] 同判決、42頁。
  • [428] Unwired Planet対Huawei、英国控訴院2018年10月23日判決、[2018] EWCA Civ 2344、第282節。
  • [429] Philips対Asus、ハーグ控訴裁判所2019年5月7日、事件番号200.221 .250/01。
  • [430] Sisvel対Wiko、マンハイム地方裁判所2019年9月4日、事件番号7 O 115/16、44頁。
  • [431] 同判決、44頁。
  • [432] 同判決、37頁。
  • [433] 同判決、47頁及び53頁。
  • [434] 同判決、38頁。
  • [435] 同判決、37頁。以下。
  • [436] Sisvel対Wiko、マンハイム地方裁判所2019年9月4日、事件番号7 O 115/16、39頁。
  • [437] 同判決、39頁。
  • [438] 同判決、40頁。
  • [439] 同判決、53頁。
  • [440] 同判決、54頁。
  • [441] 同判決、55頁。
  • [442] 同判決、40頁及び49頁。
  • [443] 同判決、41頁。
  • [444] 同判決、49頁。
  • [445] 同判決、50頁。
  • [446] 同判決、51頁。
  • [447] 同判決、47頁。
  • [448] 同判決、35頁。
  • [449] 同判決、35頁以下。

Updated 6 6月 2017

OLG Düsseldorf 2

OLG Düsseldorf
14 12月 2016 - Case No. I-2 U 31/16

  1. Facts
    The Claimant is holder of a patent declared as essential to a standard (Standard Essential Patent, SEP). The Defendant is a telecommunications company, which inter alia sells mobile phones allegedly using Claimant’s SEPs. Upon Claimant’s action, the Regional Court of Düsseldorf (1) ordered the Defendant to render accounts regarding the sales of mobile phones embedding Claimant’s SEPs and (2) recognized Defendant’s obligation to pay damages to the Claimant resulting from the infringement of its SEPs (cf. Regional Court of Düsseldorf, decision dated 19th January 2016, Case No. 4b O 49/14). The Defendant appealed this judgement. In the appeal proceedings before the Higher Regional Court of Düsseldorf (Case No. 2 U 31/16), one issue in dispute was whether the license fees, which the Claimant had calculated, were Fair, Reasonable and Non-Discriminatory (FRAND). The Claimant explained its calculation in a statement to the court that was produced in two versions. In the first version, which was filed only with the court, the information regarding the FRAND calculation (including comparable license agreements pre¬sented as evidence), were fully disclosed. In the second version, which was presented to the Defendant and a third party that had joined the proceedings (Intervener), the respective sections (and evidence) were redacted.
    With the present interlocutory application, the Claimant requested the court to order that disclosure of full information (and evidence) regarding its FRAND calculation shall be required only towards Defendant’s and Intervenor’s counsels, provided that the court would oblige the counsels to full confi-dentiality towards everyone, including their clients themselves (that is the Defendant and the Intervener). The Defendant objected this request. The Intervener, on the other hand, stated that it agreed with the proceeding defined in Claimant’s request.
    In its first decision dated 14th December 2016, the court rejected the application with respect to both the Defendant and the Intervener. Instead, the court encouraged the parties to enter into a Non-Disclosure Agreement (NDA) reinforced by a contractual penalty, in case confidentiality was breached.
    This decision was consequently modified by a further decision rendered by the court on 17th January 2017. The court granted Claimant’s application in respect to the Intervener, but again rejected the application in respect to the Defendant. The court, however, requested from the Defendant to present an offer for an NDA to the Claimant incorporating particularly the following conditions within a deadline of three weeks:
    • The confidential information should be used only in the context of the present litigation.
    • The information would be made available only to four company representatives of the Defendant (as well as any experts engaged by the Defendant in the ongoing litigation).
    • These persons shall be themselves obliged to confidentiality by the Defendant.
    • In case confidentiality was breached, the Defendant shall be liable for payment of a contractual pen-alty amounting to EUR 1 million.




  2. Court’s Reasoning
    In its first decision, the court found that the German rules of Civil Procedure do not provide a legal basis for granting an order in the form requested by the Claimant. [522] Such an order would exclude Defendant’s right to be heard with respect to Claimant’s FRAND calculation, in breach of Art. 103 Sec. 1 of the German Constitutional Law (Grundgesetz). [522] The fact that Defendant’s counsels would have access to the relevant information, does not suffice to meet the requirements set forth by the aforementioned provision. Party’s right to be heard contains also the right to personally participate in the proceedings. Consequently, a limitation of a party’s right to be heard reaching so far as Claimant requested, is not possible, unless the party affected expressly waives its right to personally participate in the proceedings. [522] Since the Defendant decided to not do so, a respective order cannot be rendered against it.
    The fact that the Intervener waived its respective right, can also not justify rendering such an order against the Defendant. [523] The Intervener does not join the proceedings as a party, but merely in support of one of the parties. [524] Accordingly, it cannot make decisions that would affect the party’s standing, such as a declaration to waive the right to be heard. In the present case, the Intervener’s decision to waive its respective right may, therefore, impact its own standing in the proceedings, but cannot affect Defendant’s position.

    As a result, the Claimant can either make the confidential information available to the Defendant or keep this information redacted, accepting that the court cannot take redacted information into consideration for its decision. [525]

    Notwithstanding the above, under reference to the “Umweltengel für Tragetaschen” judgement of the German Federal Supreme Court (Bundesgerichtshof) [526] the court held, that, as a rule, it can be expected from the implementer of SEPs to enter into a NDA reinforced by a contractual penalty with the SEP holder. [527] SEP implementer is obliged to facilitate FRAND licensing negotiations to the best of its ability. This includes also taking justified confidentiality interests of the SEP holder into account. [527]

    In its second decision dated 17th January 2017 the court applied the above considerations. Since the Intervener waived its right to be heard, the court found that there is no reason to deny Claimant’s request in relation to the Intervener. On the other hand, due to Defendant’s denial to waive its respective right, the court still refrained for granting Claimant’s request against the Defendant. Taking Claimant’s confi¬dentiality interests into account, the court ordered, however, the Defendant to submit an offer for a NDA to the Claimant based particularly on the conditions mentioned above.
  • [522] Judgement dated 14th December 2016, para. 1
  • [523] Judgement dated 14th December 2016, para. 2
  • [524] Judgement dated 14th December 2016, para. 2
  • [525] Judgement dated 14th December 2016, para. 3
  • [526] Bundesgerichtshof, Decision dated 19th February 2014, Case No. I ZR 230/12
  • [527] Judgement dated 14th December 2016, para. 5

Updated 27 6月 2018

OLG Düsseldorf 3

OLG Düsseldorf
25 4月 2018 - Case No. I-2 W 8/18

A. Facts

The Claimant holds a patent essential to a technical standard (Standard Essential Patent or SEP) which is subject to a so-called “FRAND-undertaking”, that is a commitment to make the SEP accessible to users on Fair, Reasonable and Non-Discriminatory (FRAND) terms and conditions. The Claimant entered into nego¬tiations for a FRAND licensing agreement with the Defendant. In June 2017, the parties signed a Non-Disclosure Agreement (NDA). [626] A few days later, the Claimant entered into an NDA also with a third party, the Intervener . Shortly after signing the NDA, the Intervener [627] argued that several clauses of the agreement were void. [628]

In September 2017, the Claimant initiated infringement proceedings against the Defendant before the District Court of Düsseldorf (District Court). The Intervener joined these proceedings in support of the Defendant. After joining the proceedings, the Intervener claimed that the NDA with the Claimant does not cover information which the latter has to produce in the trial. This is particularly the case with infor-mation regarding to comparable licensing agreements concluded by the Claimant with third parties (comparable licences), which the Claimant regarded as strictly confidential. [629]

In December 2017, the Intervener requested full access to the court files. [630] The District Court dismissed the Intervener’s motion in part, namely by excluding access to confidential information, including information on comparable licences. The District Court held that the protection of such information was not adequately ensured, since the Intervener’s behaviour raised significant doubts that he considered himself bound to confidentiality by the NDA signed with the Claimant. [631] The Intervener appealed this decision.

The Higher District Court of Düsseldorf (Court) set the above ruling aside and requested the District Court to further clarify the facts of the case and decide again on the Intervener’s motion for full access to the court files on basis of the principles set forth in its present judgement. [632] In particular, the Court requested from the District Court to (re-)examine whether the Claimant actually possessed confidential business information which needed protection. [632] If this fact could be positively established, then a limited access to the court files would, basically, be justified, if the party seeking access to the files refused to commit itself to confidentiality. [633]

B. Court’s reasoning

The Court pointed out that parties to court proceedings seeking to protect confidential information must undertake efforts to sign an NDA with the opposing party and any intervener that has joined or is expected to join the proceedings with a high degree of certainty, before disclosing such information in the trial. [634] A party doing so without an NDA has to accept that the opposing party and/or the intervener could gain access to confidential information through an inspection of the court files. [635]

In the eyes of the Court, requesting from the party seeking to protect confidential information to actively pursue the conclusion of NDAs with other parties involved in the proceedings does not put that party at a disadvantage. The unjustified refusal of the opposing party (or an intervener) to enter into an NDA allows the party seeking protection to use only non-confidential information in the proceedings for specifying the FRAND conformity of its licensing offer to the potential licensee. [636] Although still obliged to specify the conditions of its FRAND licensing offer, the party has a lower burden to bear; to the extent (and not be¬yond) that is required for protecting its justified confidentiality interests, the party can meet its respective obligation by making “merely indicative observations” in the trial. [637]

In case that an intervener joins the proceedings at a point in time, in which a party has already produced confidential information on grounds of an NDA previously signed with the opposing party, the intervener’s right to inspect the court files can only be limited, if it was (or can) be established that the party seeking protection actually possesses confidential business information. [638] The fact that the other parties involved in the proceedings have already signed an NDA does not of itself limit the intervener’s right to full access to the court files. [639]

To establish that it possesses confidential business information worthy of protection, a party must identify such information and concretely explain why this information constitutes a business secret. [640] The party also needs to present in detail which measures were taken so far for securing confidentiality with respect to the information in question. [640] In addition, the party has to demonstrate in a substantiated and verifiable manner (for each information separately), which concrete disadvantages would be suffered, if the information would be disclosed. [640] It also needs to be explained, with which degree of certainty the said disadvantages are expected to occur. [640]

When protection of confidential information contained in comparable licences is sought, the existence of confidentiality interests requires, in general, special justification. [641] In the Court’s view, the SEP holder’s FRAND-undertaking entails transparency vis-à-vis interested stakeholders with respect to licensing conditions. [641] Moreover, knowledge of licensing conditions already accepted in the market can help potential licensees exercise their rights in infringement proceedings effectively. [641] Considering the non-discriminating element of SEP holder’s FRAND undertaking, it is not immediately apparent to the Court which interest worthy of legal protection the SEP holder could have in keeping conditions agreed in existing licensing agreements confidential. [641] In fact, several licensing pools (e.g. MPEG) publish their licensing agreements online. [641]

Should the party seeking protection fail to establish that it possesses confidential business information needing protection, full access to the court files must be granted to the intervener upon request, irrespective of whether the latter signs an NDA or not. [642] Conversely, if the existence of confidential business information is established, the intervener’s right to inspect the court files can be limited only to non-confidential information, as long as the intervener refuses to enter into an NDA with the party seeking protection of its confidentiality interests. [633]

In case that a party which has signed an NDA breaches its obligations under this agreement or “backs out” of the NDA, the party relying on the protection of its confidentiality interests can again limit its (future) submissions of facts in the proceedings to non-confidential information. [643] In other words, in terms of detail, the party must again not present information going beyond “merely indicative observations”. [643] Whether a party has “backed out“ of an NDA is a question of fact which has to be decided on a case-by-case basis. [644] For this, it is required that the party’s behaviour has caused a high risk of a breach of confidentiality. [644] For instance, this could be the case, when legal arguments brought by the party against the validity of the NDA are not reasonable, but rather serve as a pretext. [644]

  • [626] Higher District Court of Düsseldorf, judgement dated 25 April 2018, Case No. I-2 W 8/18, para. 26
  • [627] Ibid, para. 26
  • [628] Ibid, para. 32
  • [629] Ibid, para. 35
  • [630] Ibid, para. 2
  • [631] Ibid, para. 27
  • [632] Ibid, para. 36 et seq
  • [633] Ibid, para. 17
  • [634] Ibid, paras 11 and 14
  • [635] Ibid, para. 11
  • [636] Ibid, para. 13
  • [637] Ibid, para. 13
  • [638] Ibid, para. 15
  • [639] Ibid, para. 15 et seq
  • [640] Ibid, para. 23
  • [641] Ibid, para. 24
  • [642] Ibid, para. 16
  • [643] Ibid, para. 20
  • [644] Ibid, para. 21

Updated 21 6月 2019

Unwired Planet v Huawei

OLG Düsseldorf
22 3月 2019 - Case No. I-2 U 31/16

A. Facts

The Claimant, Unwired Planet International Limited, acquired patents relevant to the 2G (GSM) and 3G (UMTS) wireless telecommunications standards developed by the European Telecommunications Standards Institute (ETSI).

The previous holder of the patents in question, Telefonaktiebolaget LM Ericsson (Ericsson), had made an undertaking towards ETSI to grant users access to its patents should they become essential to a standard (Standard Essential Patents or SEPs) on Fair, Reasonable and Non-Discriminatory (FRAND) terms and conditions.

The Defendants, China-based Huawei Technologies Co. Ltd (Huawei China) and its German affiliate Huawei Technologies Deutschland GmbH, offer for sale and sell devices in Germany complying with the 2G and 3G standards.

In March 2014, the Claimant brought an action against the Defendants before the District Court (Landgericht) of Düsseldorf (District Court) based on one of its SEPs, asking for a declaratory judgement recognising the Defendants’ liability for damages on the merits, as well as information and the rendering of accounts [537] . At the same time, the Claimant also initiated infringement proceedings against the Defendants in the UK (UK proceedings). During the course of the UK proceedings, the parties made certain licensing offers. However, an agreement was not reached.

By judgment dated 19th January 2016, the District Court found that the Defendants infringed the patent in suit, recognised the Defendant’s liability for damages on the merits and ordered the Defendants to render accounts to the Claimant [538] . The Defendants appealed the District Court’s ruling.

With the present judgment, the Higher District Court (Oberlandesgericht) of Düsseldorf (Court), basically, upheld the decision of the District Court. However, following a partial withdrawal of claims by the Claimant, the Court limited the Defendants’ obligation to render accounts by excluding information about production costs (broken down by single cost factors) and realised profits [539] .

The Court allowed for an appeal on points of law before the Federal Court of Justice (Bundesgerichtshof). The parties appealed the present decision.

B. Court’s reasoning

The Court confirmed the District Court’s finding that the Defendants had infringed the patent in suit by offering for sale and selling standard-compliant products in Germany [540] .

The Court also agreed with the District Court’s finding that the Claimant was entitled to assert claims against the Defendants: in its view, the patent in suit had been validly transferred to the Claimant [541] .

Transfer of SEPs

The Defendants had argued that the agreements underlying the transfer of said SEP to the Claimant had several flaws, which the District Court had not evaluated properly. In a lengthy reasoning, the Court dismissed this argument and confirmed the validity of the agreements in question [542] .

Besides that, the Defendants had claimed that the relevant agreements were void from an antitrust perspective, because they violated Articles 101 and 102 of the Treaty on the Functioning of the European Union (TFEU). The Court rejected these claims as well.

In the Court’s eyes, the – repeated – transfer of a SEP does not constitute an abuse of market power in violation of Article 102 TFEU [543] , since the FRAND undertaking, which – according to the Court – irrevocably limits the exclusion rights arising from a patent ‘in rem’ (‘dinglich’) [544] , is directly and indispensably binding for the new patent holder (irrespective of any contractual obligation assumed by the latter) [545] . Due to the ‘automatic’ transfer of the FRAND undertaking, there is no reason for prohibiting the transfer of SEPs or imposing limitations regarding to whom the SEP is assigned to; insofar, the patent holder has a free choice [546] .

Furthermore, the Court found that the transfer of the SEP in suit to the Claimant did not violate Article 101 TFEU [547] . Reciprocal agreements, as the agreements underlying the transfer of said patent, per se do not violate Article 101 TFEU, unless they contain side agreements which could impede competition [548] . According to the Court, this was not the case here. In this context, the Court explained that the fact that Ericsson had transferred only a part of its portfolio to the Claimant could not have any anti-competitive effect in terms of Article 101 TFEU [549] . Reason for this is that the FRAND-undertaking, to which both Ericsson and the Claimant are bound, sets the upper limit for the financial or other kind of burden from the licence that can be imposed on any licensee with respect to the entire patent portfolio [549] .

FRAND-undertaking

Having taken the view that the FRAND-undertaking is ‘automatically’ transferred to the new SEP holder, the Court suggested that it is binding for the latter not only ‘on the merits’ (‘dem Grunde nach’), but also in terms of ‘amount and content’ (‘der Höhe und dem Inhalt nach’) [550] . In other words: the new patent holder is not only – generally – obliged to offer access to the SEP on FRAND terms, it is, moreover, bound to the actual licensing practice of the previous patent holder [550] . The Court found that this is needed for ensuring that the SEP holder will not exempt itself of its FRAND commitment – especially the non-discrimination obligation – by transferring the SEP to a third party [551] .

Existing licensing agreements / Confidentiality

Accordingly, the Court held that existing licensing agreements of the previous patent holder (which have not expired yet) need to be considered for the assessment of the non-discriminatory character of licensing offers made by the new SEP holder [552] . Consequently, in the Court’s view, the SEP holder’s FRAND undertaking obliges the latter to provide its successor with information regarding to the content of licensing agreements which it had concluded with third parties [552] .

To be able to establish the non-discriminatory character of its licensing offer, the new SEP holder needs to make sure that it will be able to refer to and present licensing agreements of the prior SEP holder, particularly in court proceedings [553] . An exception could be made only when presenting such agreements would violate contractual confidentiality obligations. For this, the content of relevant confidentiality clauses must be presented in detail in trial, in order to allow an assessment of the extent of the patent holder’s obligations [554] . In addition, the party bound to respective clauses must demonstrate that it cannot release itself from its confidentiality obligations, by showing that all existing licensees have refused – upon request – to waive their rights arising from each clause in question [554] . Notwithstanding this, the Court expressed the view that agreeing to comprehensive confidentiality clauses will, as a rule, bar the SEP holder (and/or its successor) from invoking confidentiality with respect to existing licences in pending court proceedings: in this case, the refusal to present licences cannot be justified, since the patent holder acted culpably by agreeing to confidentiality with other licensees, regardless of its FRAND-obligation to provide information to its successor with respect to the licensing agreements it has signed [554] . Its unjustified refusal to present existing licences will, moreover, also affect the position of the new patent holder in trial (leading potentially to a dismissal of its claims for lack of evidence of the FRAND-conformity of its licensing offer) [554] .

In this context, the Court noted that presenting existing licensing agreements with third parties in trial does not raise antitrust concerns (especially under Article 101 TFEU) [555] . According to the Court, the fact that business secrets will be disclosed to potential competitors of the existing licensees is not harmful from an antitrust perspective, since measures to protect confidentiality in trial are available [555] . In particular, the addressee of confidential information is obliged to sign a Non-Disclosure Agreement (NDA), if the holder of such information (a) concretely explains why this information constitutes a business secret, (b) presents in detail which measures were taken so far for securing confidentiality with respect to the information in question, (c) demonstrates in a substantiated and verifiable manner (for each information separately), which concrete disadvantages would be suffered, if the information would be disclosed and (d) also explains, with which degree of certainty the said disadvantages are expected to occur [555] . If these requirements are met, the opposing party’s refusal to sign an NDA would allow the party holding confidential information to limit its pleadings in trial to ‘general, indicative statements’ [555] . According to the Court, this was, however, not the case here.

Application of the Huawei framework

On the merits of the case, the Court made clear that the conditions established by the Court of Justice of the European Union (CJEU) in the matter Huawei v ZTE [556] (Huawei framework or obligations) apply only to claims for injunctive relief and the recall of infringing products, not to the patent holders’ claims for information, rendering of accounts and damages [557] . In particular, when deciding about the implementer’s liability for damages on the merits, courts do not have to consider whether the patent holder has met its Huawei obligations or not [558] .

This question is, however, relevant for deciding on the amount of damages owed to the patent holder. The non-compliance of the SEP holder with the Huawei framework can limit the amount of damages that it can claim to the amount of a FRAND royalty (for certain periods of time) [559] . Since the right to request the rendering of accounts serves the calculation of the amount of damages, the Court took the view that the SEP holder is barred from claiming information about production costs and/or realised profits for periods of time, in which it is not entitled to damages going beyond the FRAND royalty, because this information is not required for calculating the latter [560] .

SEP holder’s offer to the implementer

Looking at the present case, the Court held that the Claimant had not fulfilled its Huawei obligation to make a written and specific FRAND licensing offer to the Defendants [561] . In particular, in the offers made the Claimant failed to adequately specify both the calculation and the non-discriminatory nature of the royalties proposed [562] .

For allowing the implementer to assess the non-discriminatory character of the SEP holder’s licensing offer, the Court repeated that the latter is obliged to disclose whether other licensees exist and, if so, to which conditions they have been licensed [563] . This obligation extends also to licensing agreements concluded by the previous patent holder(s) [563] . Only agreements that have expired or have been terminated do not need to be considered in this respect [564] . As a result, the Claimant should have referred to both the licences covering the SEP in suit that it had concluded with third parties after the transfer of the patent, and to all licences, which Ericsson had concluded with licensees prior to the transfer of said patent and were still in force, when the Claimant made the respective licensing offer to the Defendants [565] .

The Court took the view that, prior to granting the very first FRAND licence, the SEP holder ought to select a specific ‘licensing concept’. This ‘concept’ is ‘legally binding’ for the future licensing conduct of the SEP holder and potential successors. In other words: the licensing conditions established by the first FRAND licence granted outline the leeway available to the SEP holder for future licensing negotiations [566] . This is also the case, when the royalties agreed for the first licence lie at the lower end of the FRAND scale available to the patent holder [567] . Accordingly, any deviation from the ‘licensing concept’ is allowed only and to the extent that (existing and new) licensees are not discriminated through less favourable conditions [566] .

The Court allowed SEP holders to select a new ‘licensing concept’ (within the available FRAND range), provided that all licensing agreements subject to the existing ‘concept’ will expire at the same point in time [568] . In the Court’s view, this could be achieved, for instance, by agreeing with all later licensees that their licence will expire at the same time as the first FRAND licence ever granted [564] . The Court recognised that this would require substantial efforts, particularly when considerable patent portfolios are involved; this fact did not, however, speak against binding the successor to the licensing practice of the previous SEP holder [569] .

C. Other important issues

According to the Court, the fact that the UK proceedings were directed towards setting the terms of a worldwide licence between the parties, covering all SEPs held by the Claimant did not require the Court to stay its own proceedings [570] . According to Article 27 of the Brussels I Regulation, the court later seized of the matter has to stay its proceedings until the jurisdiction of the court first seized of the case has been settled. The Court saw, however, no indication that the UK proceedings (had ever) concerned the claims asserted in the proceedings brought before it (claims limited to Germany) [570] .

Besides that, the Court confirmed that German courts have international jurisdiction for the claims brought against Huawei China [571] . If infringing products are offered over the internet, the international jurisdiction of German courts is established, when German patent rights are being affected and the website can be accessed in Germany [571] .

  • [537] Unwired Planet v Huawei, Higher District Court of Düsseldorf, 22 March 2019, para. 32 (cited by www.nrwe.de).
  • [538] Ibid, para. 41. See District Court of Duesseldorf, judgement dated 19 January 2016, Case No. 4b O 49/14.
  • [539] Ibid, paras. 139 et seqq.
  • [540] Ibid, paras. 252-387.
  • [541] Ibid, paras. 161 et seqq.
  • [542] Ibid, paras. 169-199.
  • [543] Ibid, para. 203 et seqq.
  • [544] Ibid, para. 205.
  • [545] Ibid, paras 205 et seqq.
  • [546] Ibid, para 209.
  • [547] Ibid, paras. 235 et seqq.
  • [548] Ibid, para. 236.
  • [549] Ibid, para. 242.
  • [550] Ibid, paras. 212 et seqq.
  • [551] Ibid, para. 214.
  • [552] Ibid, paras. 216 et seq.
  • [553] Ibid, para. 216.
  • [554] Ibid, para. 218.
  • [555] Ibid, para. 220.
  • [556] Huawei v ZTE, Court of Justice of the European Union, judgment dated 16 July 2015, Case No. C-170/13.
  • [557] Unwired Planet v Huawei, Higher District Court of Düsseldorf, 22 March 2019, para. 159 (cited by www.nrwe.de).
  • [558] Ibid, para. 396.
  • [559] Ibid, para. 402.
  • [560] Ibid, para. 402 et seq. Insofar the Court expressly disagreed with the District Court of Mannheim, which in a previous decision had denied any limitations of the patent holder’s right to demand the rendering of accounts, in case of non-compliance with the Huawei framework; cf. District Court of Mannheim, judgment dated 10 November 2017, Case No. 7 O 28/16, GRUR-RR 2018, 273.
  • [561] Ibid, paras. 406 et seqq.
  • [562] Ibid, para. 411.
  • [563] Ibid, para. 419.
  • [564] Ibid, para. 420.
  • [565] Ibid, para. 423.
  • [566] Ibid, paras. 413 et seq.
  • [567] Ibid, para. 413.
  • [568] Ibid, paras. 414 and 420.
  • [569] Ibid, para. 421.
  • [570] Ibid, para. 144.
  • [571] Ibid, paras. 153 et seqq.