美國(guó)專(zhuān)利訴訟程序

U.S.PatentLitigationProcedure&Strategies美國(guó)專(zhuān)利訴訟程序與應(yīng)對(duì)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(kāi)信息，僅供教育與娛樂(lè)之目的，旨在增進(jìn)對(duì)美國(guó)知識(shí)產(chǎn)權(quán)法的理解。本資料僅代表作者的個(gè)人觀點(diǎn)，并不構(gòu)成對(duì)具體案件出具的法律意見(jiàn)。眾所周知，每個(gè)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(wú)關(guān)。據(jù)此，就作者和飛翰律師事務(wù)所而言，對(duì)其現(xiàn)在或?qū)?lái)代理的不同客戶，其都無(wú)需就本資料中所出具的任何評(píng)論意見(jiàn)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(cuò)誤或疏漏之處，對(duì)此作者將概不承擔(dān)任何責(zé)任。Overview

概覽PatentWarArisesinU.S.U.S.PatentLitigationProcedureandStrategies美國(guó)專(zhuān)利戰(zhàn)爭(zhēng)逐年增加美國(guó)專(zhuān)利訴訟程序與應(yīng)對(duì)策略PatentWarsAreMarketWars

專(zhuān)利大戰(zhàn)就是市場(chǎng)大戰(zhàn)Source:/article2/0,2817,2399098,00.aspPatentWarArises

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

10個(gè)最高的專(zhuān)利侵權(quán)賠償案Source:PwC-2013PatentLitigationStudyTop10HotAreasofPatentLitigation

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

概覽PatentWarArisesinU.S.U.S.PatentLitigationProcedureandStrategiesCourtSystemProcedureandStrategies美國(guó)專(zhuān)利戰(zhàn)爭(zhēng)逐年增加美國(guó)專(zhuān)利訴訟程序與應(yīng)對(duì)策略法院系統(tǒng)程序與應(yīng)對(duì)實(shí)務(wù)

UnitedStatesFederalCourts

美國(guó)聯(lián)邦法院

UnitedStatesFederalCourts

美國(guó)聯(lián)邦法院美國(guó)最高法院UnitedStatesSupremeCourt

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

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

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

USPatentLitigationProcedure

美國(guó)專(zhuān)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(dòng)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(tīng)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(xiǎn)分析：商業(yè)、知識(shí)產(chǎn)權(quán)策略警告信（許可函）或訴訟訴訟：在哪里訴？訴誰(shuí)？訴什么？USPatentLitigationProcedure

美國(guó)專(zhuān)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(dòng)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(tīng)證Trial審理Pre-LitigationStrategy—Defendants

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

美國(guó)專(zhuān)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(dòng)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(tīng)證Trial審理MediaTime-to-TrialinDistrictCourts

在地區(qū)法院的平均立案到審理的時(shí)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(jìng)爭(zhēng)對(duì)手踢出市場(chǎng)TheComplaint

起訴書(shū)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(shū)Demandforjudgment（訴訟請(qǐng)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(guó)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(duì)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(dòng)敗訴） —同意命令書(shū) —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(guó)或美國(guó)反告人家侵權(quán) —要求廠家擔(dān)保 —設(shè)計(jì)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(zhuān)利無(wú)效 —專(zhuān)利濫用及反壟斷 —專(zhuān)利無(wú)執(zhí)行性 —專(zhuān)利授權(quán)后在美國(guó)專(zhuān)利局挑戰(zhàn)其有效性StrategiestoRespondtoComplaint—Defendants

應(yīng)訴策略—被告

Motions–dismiss,transfervenue

（撤銷(xiāo)或轉(zhuǎn)法庭動(dòng)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(guó)專(zhuān)利商標(biāo)局通過(guò)行政途徑挑戰(zhàn)威脅專(zhuān)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(gè)月內(nèi)）(專(zhuān)利被提交>=3/16/2013)InterPartes

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

(AIA前專(zhuān)利:無(wú)9個(gè)月的等待期）ChallengePatentValidityatPTO

在美國(guó)專(zhuān)利局挑戰(zhàn)專(zhuān)利的有效性USPatentLitigationProcedure

美國(guó)專(zhuān)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(dòng)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(tīng)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(wèn)）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(jià)昂貴：雙方可能會(huì)迫使對(duì)手采取類(lèi)似行動(dòng)可能會(huì)阻礙和解可能會(huì)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(wèn)題上易于避免矛盾升級(jí)可能會(huì)遺漏證據(jù)StrategyforRespondingtoDiscovery

應(yīng)對(duì)調(diào)查取證的策略AggressiveMayfrustrateopponentMayavoidproducingcertainevidenceCostly:tobothsidesMayforceopponentintosimilarbehaviorMaydetersettlementMayincurreprimandorevensanctionfromajudge攻擊性的應(yīng)對(duì)策略極有可能發(fā)現(xiàn)有利信息代價(jià)昂貴：雙方可能會(huì)迫使對(duì)手采取類(lèi)似行動(dòng)可能會(huì)阻礙和解可能會(huì)被法官責(zé)備甚至懲罰StrategyforRespondingtoDiscovery

應(yīng)對(duì)調(diào)查取證的策略AccommodatingLowercostConcentratesthecaseonimportantissuesTendstoavoidescalationMayhavetoproduceevidenceyouhopedtoavoidMaybeinconvenientanddisruptive通融性的應(yīng)對(duì)策略減少費(fèi)用將注意力集中在案件的重要問(wèn)題上易于避免矛盾升級(jí)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(lái)不方便和干擾USPatentLitigationProcedure

美國(guó)專(zhuān)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(dòng)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(tīng)證Trial審理Judgeinterpretsclaimtermsasamatteroflaw

（法官解釋?zhuān)〧ocusonintrinsicevidence

（專(zhuān)利內(nèi)部證據(jù)）Claimlanguage,patentspecification,andprosecutionhistoryExtrinsicevidencemaybeconsidered

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

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

權(quán)利要求解釋(馬克曼聽(tīng)證會(huì)）ExpertReport:Plaintiffvs.Defendant（專(zhuān)家報(bào)告:原告與被告）Infringementvs.Noninfringement

（侵權(quán)與不侵權(quán)）Invalidity

vs.Invalidity

（無(wú)效性與有效性）ExpertDiscovery（專(zhuān)家證據(jù)調(diào)查）Depositions(證人證言)ExpertReportandExpertDiscovery

專(zhuān)家報(bào)告和專(zhuān)家證據(jù)調(diào)查USPatentLitigationProcedure

美國(guó)專(zhuān)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(dòng)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(tīng)證Trial審理PreliminaryInjunction

臨時(shí)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(jiǎn)易判決OftenfollowstheMarkmandecision

（一般在馬克曼聽(tīng)證會(huì)之后）GroundsInfringement/noninfringement

（侵權(quán)或不侵權(quán)）Invalidity

（無(wú)效性）Unenforceability

（不可執(zhí)行性）Inequitableconduct–failuretodisclosematerialinformationUSPatentLitigationProcedure

美國(guó)專(zhuān)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(dòng)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(tīng)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(huì)議-庭審，證人，附件問(wèn)題）Specialverdicts&juryinstructions（特殊裁決和陪審團(tuán)指令）TrialStrategy

庭審策略TryallissuesShowstrengthofcaseJudgeorjurymaylikecertainissuesHelpfulonappealMayconfusejuryHardtodevelopthemeCostly對(duì)所有問(wèn)題進(jìn)行庭審顯示案件優(yōu)勢(shì)法官或陪審團(tuán)可能會(huì)喜歡其中的某些問(wèn)題有利于提出上訴可能會(huì)把陪審團(tuán)弄糊涂難以設(shè)計(jì)主題費(fèi)用昂貴TrialStrategy

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

美國(guó)專(zhuān)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(dòng)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(tīng)證Trial審理MotionsforJMOLandNewTrial

依法律判決和新庭審的動(dòng)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(dòng)議

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

movantmayfilearenewedmotionforjudgmentasamatteroflawandmayincludeanalternativeorjointrequestforanewtrialunderRule59.Inrulingontherenewedmotion,thecourt