美國專利訴訟程序

U.S.PatentLitigationProcedure&Strategies美國專利訴訟程序與應(yīng)對實(shí)務(wù)ShaobinZhu（朱韶斌）深圳―2013年11月27日Disclaimer

免責(zé)聲明

ThesematerialsarepublicinformationandhavebeenpreparedsolelyforeducationalandentertainmentpurposestocontributetotheunderstandingofAmericanintellectualpropertylaw.Thesematerialsreflectonlythepersonalviewsoftheauthorsandarenotindividualizedlegaladvice.Itisunderstoodthateachcaseisfact-specific,andthattheappropriatesolutioninanycasewillvary.Therefore,thesematerialsmayormaynotberelevanttoanyparticularsituation.Thus,theauthorsandFinnegan,Henderson,Farabow,Garrett&Dunner,L.L.P.cannotbeboundeitherphilosophicallyorasrepresentativesoftheirvariouspresentandfutureclientstothecommentsexpressedinthesematerials.Thepresentationofthesematerialsdoesnotestablishanyformofattorney-clientrelationshipwiththeauthorsorFinnegan,Henderson,Farabow,Garrett&Dunner,L.L.P.Whileeveryattemptwasmadetoinsurethatthesematerialsareaccurate,errorsoromissionsmaybecontainedtherein,forwhichanyliabilityisdisclaimed.

本資料為公開信息，僅供教育與娛樂之目的，旨在增進(jìn)對美國知識產(chǎn)權(quán)法的理解。本資料僅代表作者的個人觀點(diǎn)，并不構(gòu)成對具體案件出具的法律意見。眾所周知，每個案件都有其獨(dú)特的案件事實(shí)，因此不同案件的適當(dāng)解決方法也各不相同。因此，本資料可能與任何特定情形相關(guān)，也可能無關(guān)。據(jù)此，就作者和飛翰律師事務(wù)所而言，對其現(xiàn)在或?qū)泶淼牟煌蛻簦涠紵o需就本資料中所出具的任何評論意見承擔(dān)任何法律責(zé)任。本資料的呈遞行為不構(gòu)成與作者或飛翰律師事務(wù)所的任何形式的律師-委托人關(guān)系。盡管作者已盡力確保本資料的準(zhǔn)確性，但本資料中仍可能含有錯誤或疏漏之處，對此作者將概不承擔(dān)任何責(zé)任。Overview

概覽PatentWarArisesinU.S.U.S.PatentLitigationProcedureandStrategies美國專利戰(zhàn)爭逐年增加美國專利訴訟程序與應(yīng)對策略PatentWarsAreMarketWars

專利大戰(zhàn)就是市場大戰(zhàn)Source:/article2/0,2817,2399098,00.aspPatentWarArises

專利戰(zhàn)隨專利數(shù)量逐年增加Source:PwC-2013PatentLitigationStudyTop10LargestInitialDamageAwards

10個最高的專利侵權(quán)賠償案Source:PwC-2013PatentLitigationStudyTop10HotAreasofPatentLitigation

專利訴訟的10大行業(yè)Source:PwC-2013PatentLitigationStudyOverview

概覽PatentWarArisesinU.S.U.S.PatentLitigationProcedureandStrategiesCourtSystemProcedureandStrategies美國專利戰(zhàn)爭逐年增加美國專利訴訟程序與應(yīng)對策略法院系統(tǒng)程序與應(yīng)對實(shí)務(wù)

UnitedStatesFederalCourts

美國聯(lián)邦法院

UnitedStatesFederalCourts

美國聯(lián)邦法院美國最高法院UnitedStatesSupremeCourt

地區(qū)巡回上訴法院（12個巡回審判區(qū)）U.S.CourtofAppeals,(12RegionalCircuits)

美國聯(lián)邦巡回上訴法院U.S.FederalCircuitCourtofAppeals

稅務(wù)法院TaxCourt

權(quán)利申訴法院ClaimsCourt

國際貿(mào)易委員會337調(diào)查U.S.InternationalTradeCommission(ITC)337Investigations

美國聯(lián)邦地區(qū)審判法院-94個U.S.FederalDistrictCourts-94judicial“trial”districts國際貿(mào)易法庭CourtofInternationalTrade

USPatentLitigationProcedure

美國專利訴訟程序Post-TrialPractices審后程序Pre-Litigation(Plaintiff)訴前（原告）FinalJudgment/Appeal最終判決/上訴Complaint起訴Discovery調(diào)查取證Pre-TrialMotionPractice審前動議程序Notice/LicenseLetter警告信/許可函Pre-Litigation(Defendant)訴前（被告）MarkmanHearing權(quán)利要求解釋聽證Trial審理Pre-LitigationStrategy—Plaintiffs

訴前策略—原告ReasonsforSuitBenefitsv.Risks：Business,IPStrategies:Notice/LicensingLetterv.SuitSuit:Where,Whom,What訴訟原因利益與風(fēng)險分析：商業(yè)、知識產(chǎn)權(quán)策略警告信（許可函）或訴訟訴訟：在哪里訴？訴誰？訴什么？USPatentLitigationProcedure

美國專利訴訟程序Post-TrialPractices審后程序Pre-Litigation(Plaintiff)訴前（原告）FinalJudgment/Appeal最終判決/上訴Complaint起訴Discovery調(diào)查取證Pre-TrialMotionPractice審前動議程序Notice/LicenseLetter警告信/許可函Pre-Litigation(Defendant)訴前（被告）MarkmanHearing權(quán)利要求解釋聽證Trial審理Pre-LitigationStrategy—Defendants

訴前策—被告ResponsetotheNotice/LicensingLetterNotifyU.S.litigationcounselimmediatelyRespondquicklytoshowattentionIssuestoexplore:Indemnity,validity,infringement,damages,ownpatentsResponsetoneandcontent對警告信（許可函）進(jìn)行回應(yīng)立即通知美國訴訟律師快速回應(yīng)以顯示重視程度探究問題：補(bǔ)償、有效性、侵權(quán)、損害、自己的專利回應(yīng)的語氣、內(nèi)容USPatentLitigationProcedure

美國專利訴訟程序Post-TrialPractices審后程序Pre-Litigation(Plaintiff)訴前（原告）FinalJudgment/Appeal最終判決/上訴Complaint起訴Discovery調(diào)查取證Pre-TrialMotionPractice審前動議程序Notice/LicenseLetter警告信/許可函Pre-Litigation(Defendant)訴前（被告）MarkmanHearing權(quán)利要求解釋聽證Trial審理MediaTime-to-TrialinDistrictCourts

在地區(qū)法院的平均立案到審理的時間Source:PwC-2013PatentLitigationStudyStrategyforFilingofComplaint—Plaintiff

提交訴狀的策略—原告GoalsSettlementwithlicenseSettlementwithcross-licenseBusinessarrangementRemovalofcompetitorsfrommarket目標(biāo)達(dá)成許可協(xié)議達(dá)成交叉許可協(xié)議業(yè)務(wù)安排把競爭對手踢出市場TheComplaint

起訴書Identifytheparties

（列明原告，被告）Jurisdictionalstatement

（管轄權(quán)）Subjectmatterjurisdiction,personaljurisdiction,venueStatementoftheclaim

（訴訟基礎(chǔ)、內(nèi)容）Identifytherelevantpatent(s)Assertownershipofthepatent(s)&righttosueIdentifytheaccusedinfringer&allegedinfringingactAssertotherclaimsTheComplaint

起訴書Demandforjudgment（訴訟請求）MonetarydamagesInjunctivereliefIncreaseddamagesAttorneys’feesDemandforjury

（要求陪審團(tuán)判決）Usuallybetterforplaintiffs(about70%jurytrials)Waivedifnotdemandedwithin10daysofthelastpleadingStrategiestoRespondtoComplaint—Defendants

應(yīng)訴策略—被告

ChooseandengageareputableUSlawfirmAnalyzethecomplaintDevelopstrategy:defensivev.aggressiveConsideryouroptionsbasedonyourbusinessneeds選擇和委托美國知名律師事務(wù)所分析訴狀制定辯護(hù)策略：防守與進(jìn)攻根據(jù)商業(yè)需求考慮您可以采取的應(yīng)對措施

StrategiestoRespondtoComplaint—Defendants

應(yīng)訴策略—被告

Options(examples) —Nottorespond(defaultjudgment) —EnteraConsentOrder —Negotiateforsettlement —Defendaggressively應(yīng)訴方案（舉例） —不應(yīng)訴（自動敗訴） —同意命令書 —庭外調(diào)解 —積極應(yīng)訴

StrategiestoRespondtoComplaint—Defendants

應(yīng)訴策略—被告

Options(examples) —AssertyourownIPRinChinaortheU.S. —Askforindemnificationbymanufacturer(ifavailable) —DesignAround應(yīng)訴方案（舉例） —在中國或美國反告人家侵權(quán) —要求廠家擔(dān)保 —設(shè)計不侵權(quán)的新產(chǎn)品

StrategiestoRespondtoComplaint—Defendants

應(yīng)訴策略—被告

NegotiateforSettlement(examples) —LicensetheComplainant’sIPR —BecometheComplainant’sOEM —EnterajointventurewiththeComplainant —Crosslicenseeachother’sIPR庭外調(diào)解（舉例） —接受許可 —成為海外制造商 —聯(lián)合辦廠 —交叉許可

StrategiestoRespondtoComplaint—Defendants

應(yīng)訴策略—被告

DefendAggressively(examples)

—Non-infringement —Patentinvalidity —Patentmisuse&antitrusttheories —Patentunenforceability —Post-grantchallengestopatentvalidityatUSPTO積極應(yīng)訴（舉例） —不侵權(quán) —專利無效 —專利濫用及反壟斷 —專利無執(zhí)行性 —專利授權(quán)后在美國專利局挑戰(zhàn)其有效性StrategiestoRespondtoComplaint—Defendants

應(yīng)訴策略—被告

Motions–dismiss,transfervenue

（撤銷或轉(zhuǎn)法庭動議）Answer–admitordenyallegations

（答辯）Within20daysofserviceWithin60daysofarequestforwaiverofserviceAffirmativedefenses

（抗辯理由）Noninfringement,invalidity,laches,estoppel,interveningrights,failuretostateaclaim,etc.Counterclaims

（反訴）Declaratoryjudgmentofinvalidity,noninfringement,antitrustviolationsAssertotherpatentsChallengevalidityofthreateningpatentsatUSPTOunderAIA

在美國專利商標(biāo)局通過行政途徑挑戰(zhàn)威脅專利有效性Post-Grant授予后ExParteReexam(post-grant)單方復(fù)審（授予后）Post-GrantReview(PGR)(within9monthsofgrant)(Patentsfiled>=3/16/2012)授予后復(fù)議（授予后9個月內(nèi)）(專利被提交>=3/16/2013)InterPartes

Review(IPR)(after9monthsofgrant)(Pre-AIApatents:no9-monthwaitingperiod)多方復(fù)議（授予9個月后））

(AIA前專利:無9個月的等待期）ChallengePatentValidityatPTO

在美國專利局挑戰(zhàn)專利的有效性USPatentLitigationProcedure

美國專利訴訟程序Post-TrialPractices審后程序Pre-Litigation(Plaintiff)訴前（原告）FinalJudgment/Appeal最終判決/上訴Complaint起訴Discovery調(diào)查取證Pre-TrialMotionPractice審前動議程序Notice/LicenseLetter警告信/許可函Pre-Litigation(Defendant)訴前（被告）MarkmanHearing權(quán)利要求解釋聽證Trial審理Discovery

調(diào)查取證Formaldiscoverytools(證據(jù)調(diào)查手段）Interrogatories–clarifyissues,identifywitnesses,uncoveropponent’scase

（正式詢問）Documentrequests–includeothertangiblematerial

（要求文件）Requestsforadmission–limitissuesfortrial,authenticatedocuments

（要求承認(rèn)）Depositions–individualorcorporation

（證言）Discovery

調(diào)查取證Accountsforalargepercentageofthelitigationcosts

（費(fèi)用高）Electronicdiscovery

（電子證據(jù)）NoharddrivewillgounturnedThirdpartydiscovery

（第三方）PrivilegedandconfidentialInformation

（豁免特權(quán)或機(jī)密信息）Protectiveorders–attempttolimitdiscoveryandmaintainconfidentiality

（保護(hù)命令）StrategyforTakingDiscovery

調(diào)查取證的策略AggressiveMostlikelytodiscovergoodinformationCostly:tobothsidesMayforceopponentintosimilarbehaviorMaydetersettlementMayincurreprimandorevensanctionfromajudge攻擊性的調(diào)查取證策略極有可能發(fā)現(xiàn)有利信息代價昂貴：雙方可能會迫使對手采取類似行動可能會阻礙和解可能會被法官責(zé)備甚至懲罰StrategyforTakingDiscovery

調(diào)查取證的策略TacticalLowercostConcentratesthecaseonimportantissuesTendstoavoidescalationMaymissevidence戰(zhàn)術(shù)性的調(diào)查取證策略減少費(fèi)用將注意力集中在案件的重要問題上易于避免矛盾升級可能會遺漏證據(jù)StrategyforRespondingtoDiscovery

應(yīng)對調(diào)查取證的策略AggressiveMayfrustrateopponentMayavoidproducingcertainevidenceCostly:tobothsidesMayforceopponentintosimilarbehaviorMaydetersettlementMayincurreprimandorevensanctionfromajudge攻擊性的應(yīng)對策略極有可能發(fā)現(xiàn)有利信息代價昂貴：雙方可能會迫使對手采取類似行動可能會阻礙和解可能會被法官責(zé)備甚至懲罰StrategyforRespondingtoDiscovery

應(yīng)對調(diào)查取證的策略AccommodatingLowercostConcentratesthecaseonimportantissuesTendstoavoidescalationMayhavetoproduceevidenceyouhopedtoavoidMaybeinconvenientanddisruptive通融性的應(yīng)對策略減少費(fèi)用將注意力集中在案件的重要問題上易于避免矛盾升級可能不得不出示你不希望呈堂的證據(jù)可能給您的企業(yè)帶來不方便和干擾USPatentLitigationProcedure

美國專利訴訟程序Post-TrialPractices審后程序Pre-Litigation(Plaintiff)訴前（原告）FinalJudgment/Appeal最終判決/上訴Complaint起訴Discovery調(diào)查取證Pre-TrialMotionPractice審前動議程序Notice/LicenseLetter警告信/許可函Pre-Litigation(Defendant)訴前（被告）MarkmanHearing權(quán)利要求解釋聽證Trial審理Judgeinterpretsclaimtermsasamatteroflaw

（法官解釋）Focusonintrinsicevidence

（專利內(nèi)部證據(jù)）Claimlanguage,patentspecification,andprosecutionhistoryExtrinsicevidencemaybeconsidered

（專利外部證據(jù)）Dictionaries,experttestimony,treatisesUsedtoinform,butcannotcontradicttheintrinsicevidenceFirstmajormilestoneinacase

（訴訟中首個重要里程碑）Oftendispositiveoftheinfringementand/orinvalidityissuesClaimConstruction(MarkmanHearing)

權(quán)利要求解釋(馬克曼聽證會）ExpertReport:Plaintiffvs.Defendant（專家報告:原告與被告）Infringementvs.Noninfringement

（侵權(quán)與不侵權(quán)）Invalidity

vs.Invalidity

（無效性與有效性）ExpertDiscovery（專家證據(jù)調(diào)查）Depositions(證人證言)ExpertReportandExpertDiscovery

專家報告和專家證據(jù)調(diào)查USPatentLitigationProcedure

美國專利訴訟程序Post-TrialPractices審后程序Pre-Litigation(Plaintiff)訴前（原告）FinalJudgment/Appeal最終判決/上訴Complaint起訴Discovery調(diào)查取證Pre-TrialMotionPractice審前動議程序Notice/LicenseLetter警告信/許可函Pre-Litigation(Defendant)訴前（被告）MarkmanHearing權(quán)利要求解釋聽證Trial審理PreliminaryInjunction

臨時禁令

Patentholdermustprove:Likelihoodofsuccess(infringementandvalidity)

（勝訴可能性）Irreparableharm（不可彌補(bǔ)損失）Balanceofhardshipsinfavorofenjoiningactivity

（雙方困難的平衡）Favorableimpactonpublicinterest

（公眾利益）MotionsforSummaryJudgment

簡易判決OftenfollowstheMarkmandecision

（一般在馬克曼聽證會之后）GroundsInfringement/noninfringement

（侵權(quán)或不侵權(quán)）Invalidity

（無效性）Unenforceability

（不可執(zhí)行性）Inequitableconduct–failuretodisclosematerialinformationUSPatentLitigationProcedure

美國專利訴訟程序Post-TrialPractices審后程序Pre-Litigation(Plaintiff)訴前（原告）FinalJudgment/Appeal最終判決/上訴Complaint起訴Discovery調(diào)查取證Pre-TrialMotionPractice審前動議程序Notice/LicenseLetter警告信/許可函Pre-Litigation(Defendant)訴前（被告）MarkmanHearing權(quán)利要求解釋聽證Trial審理Trial

庭審Determinationofliability&damages

（陪審團(tuán)決定責(zé)任和賠償額）JurydeterminesinfringementbasedontheclaimconstructionprovidedbythecourtPretrialconference–issuesfortrial,witnesses,exhibits

（庭審前會議-庭審，證人，附件問題）Specialverdicts&juryinstructions（特殊裁決和陪審團(tuán)指令）TrialStrategy

庭審策略TryallissuesShowstrengthofcaseJudgeorjurymaylikecertainissuesHelpfulonappealMayconfusejuryHardtodevelopthemeCostly對所有問題進(jìn)行庭審顯示案件優(yōu)勢法官或陪審團(tuán)可能會喜歡其中的某些問題有利于提出上訴可能會把陪審團(tuán)弄糊涂難以設(shè)計主題費(fèi)用昂貴TrialStrategy

庭審策略TrysomefocusedissuesShowstrengthofcaseDirectsattentiontostrongestissuesEasytodevelopthemeLesscostly:tobothsidesMustforfeitsomeissuesMakesopponent’scaseeasier對專注的特定問題進(jìn)行庭審將注意力集中在最重要的問題上便于設(shè)計主題費(fèi)用較低：雙方必須放棄一些問題方便對手的訴訟USPatentLitigationProcedure

美國專利訴訟程序Post-TrialPractices審后程序Pre-Litigation(Plaintiff)訴前（原告）FinalJudgment/Appeal最終判決/上訴Complaint起訴Discovery調(diào)查取證Pre-TrialMotionPractice審前動議程序Notice/LicenseLetter警告信/許可函Pre-Litigation(Defendant)訴前（被告）MarkmanHearing權(quán)利要求解釋聽證Trial審理MotionsforJMOLandNewTrial

依法律判決和新庭審的動議

FederalRulesofCivilProcedureRule50:(a)JudgmentasaMatterofLaw.(1)InGeneral.Ifapartyhasbeenfullyheardonanissueduringajurytrialandthecourtfindsthatareasonablejurywouldnothavealegallysufficientevidentiarybasistofindforthepartyonthatissue,thecourtmay:(A)resolvetheissueagainsttheparty;and(B)grantamotionforjudgmentasamatteroflawagainstthepartyonaclaimordefensethat,underthecontrollinglaw,canbemaintainedordefeatedonlywithafavorablefindingonthatissue.(2)Motion.Amotionforjudgmentasamatteroflawmaybemadeatanytimebeforethecaseissubmittedtothejury.Themotionmustspecifythejudgmentsoughtandthelawandfactsthatentitlethemovanttothejudgment.MotionsforJMOLandNewTrial

依法律判決和新庭審的動議

FederalRulesofCivilProcedureRule50:(b)RenewingtheMotionAfterTrial;AlternativeMotionforaNewTrial.IfthecourtdoesnotgrantamotionforjudgmentasamatteroflawmadeunderRule50(a),thecourtisconsideredtohavesubmittedtheactiontothejurysubjecttothecourt'slaterdecidingthelegalquestionsraisedbythemotion.Nolaterthan28daysaftertheentryofjudgment—orifthemotionaddressesajuryissuenotdecidedbyaverdict,nolaterthan28daysafterthejurywasdischarged—the

movantmayfilearenewedmotionforjudgmentasamatteroflawandmayincludeanalternativeorjointrequestforanewtrialunderRule59.Inrulingontherenewedmotion,thecourt