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

免責聲明

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，旨在增進對美國知識產權法的理解。本資料僅代表作者的個人觀點，并不構成對具體案件出具的法律意見。眾所周知，每個案件都有其獨特的案件事實，因此不同案件的適當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，也可能無關。據此，就作者和飛翰律師事務所而言，對其現在或將來代理的不同客戶，其都無需就本資料中所出具的任何評論意見承擔任何法律責任。本資料的呈遞行為不構成與作者或飛翰律師事務所的任何形式的律師-委托人關系。盡管作者已盡力確保本資料的準確性，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任何責任。Overview

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

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

專利戰隨專利數量逐年增加Source:PwC-2013PatentLitigationStudyTop10LargestInitialDamageAwards

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

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

概覽PatentWarArisesinU.S.U.S.PatentLitigationProcedureandStrategiesCourtSystemProcedureandStrategies美國專利戰爭逐年增加美國專利訴訟程序與應對策略法院系統程序與應對實務

UnitedStatesFederalCourts

美國聯邦法院

UnitedStatesFederalCourts

美國聯邦法院美國最高法院UnitedStatesSupremeCourt

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

美國聯邦巡回上訴法院U.S.FederalCircuitCourtofAppeals

稅務法院TaxCourt

權利申訴法院ClaimsCourt

國際貿易委員會337調查U.S.InternationalTradeCommission(ITC)337Investigations

美國聯邦地區審判法院-94個U.S.FederalDistrictCourts-94judicial“trial”districts國際貿易法庭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訴訟原因利益與風險分析：商業、知識產權策略警告信（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）進行回應立即通知美國訴訟律師快速回應以顯示重視程度探究問題：補償、有效性、侵權、損害、自己的專利回應的語氣、內容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權利要求解釋聽證Trial審理MediaTime-to-TrialinDistrictCourts

在地區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目標達成許可協議達成交叉許可協議業務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）Subjectmatterjurisdiction,personaljurisdiction,venueStatementoftheclaim

（訴訟基礎、內容）Identifytherelevantpatent(s)Assertownershipofthepatent(s)&righttosueIdentifytheaccusedinfringer&allegedinfringingactAssertotherclaimsTheComplaint

起訴書Demandforjudgment（訴訟請求）MonetarydamagesInjunctivereliefIncreaseddamagesAttorneys’feesDemandforjury

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

應訴策略—被告

ChooseandengageareputableUSlawfirmAnalyzethecomplaintDevelopstrategy:defensivev.aggressiveConsideryouroptionsbasedonyourbusinessneeds選擇和委托美國知名律師事務所分析訴狀制定辯護策略：防守與進攻根據商業需求考慮您可以采取的應對措施

StrategiestoRespondtoComplaint—Defendants

應訴策略—被告

Options(examples) —Nottorespond(defaultjudgment) —EnteraConsentOrder —Negotiateforsettlement —Defendaggressively應訴方案（舉例） —不應訴（自動敗訴） —同意命令書 —庭外調解 —積極應訴

StrategiestoRespondtoComplaint—Defendants

應訴策略—被告

Options(examples) —AssertyourownIPRinChinaortheU.S. —Askforindemnificationbymanufacturer(ifavailable) —DesignAround應訴方案（舉例） —在中國或美國反告人家侵權 —要求廠家擔保 —設計不侵權的新產品

StrategiestoRespondtoComplaint—Defendants

應訴策略—被告

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

StrategiestoRespondtoComplaint—Defendants

應訴策略—被告

DefendAggressively(examples)

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

應訴策略—被告

Motions–dismiss,transfervenue

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

（答辯）Within20daysofserviceWithin60daysofarequestforwaiverofserviceAffirmativedefenses

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

（反訴）Declaratoryjudgmentofinvalidity,noninfringement,antitrustviolationsAssertotherpatentsChallengevalidityofthreateningpatentsatUSPTOunderAIA

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

Review(IPR)(after9monthsofgrant)(Pre-AIApatents:no9-monthwaitingperiod)多方復議（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權利要求解釋聽證Trial審理Discovery

調查取證Formaldiscoverytools(證據調查手段）Interrogatories–clarifyissues,identifywitnesses,uncoveropponent’scase

（正式詢問）Documentrequests–includeothertangiblematerial

（要求文件）Requestsforadmission–limitissuesfortrial,authenticatedocuments

（要求承認）Depositions–individualorcorporation

（證言）Discovery

調查取證Accountsforalargepercentageofthelitigationcosts

（費用高）Electronicdiscovery

（電子證據）NoharddrivewillgounturnedThirdpartydiscovery

（第三方）PrivilegedandconfidentialInformation

（豁免特權或機密信息）Protectiveorders–attempttolimitdiscoveryandmaintainconfidentiality

（保護命令）StrategyforTakingDiscovery

調查取證的策略AggressiveMostlikelytodiscovergoodinformationCostly:tobothsidesMayforceopponentintosimilarbehaviorMaydetersettlementMayincurreprimandorevensanctionfromajudge攻擊性的調查取證策略極有可能發現有利信息代價昂貴：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備甚至懲罰StrategyforTakingDiscovery

調查取證的策略TacticalLowercostConcentratesthecaseonimportantissuesTendstoavoidescalationMaymissevidence戰術性的調查取證策略減少費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StrategyforRespondingtoDiscovery

應對調查取證的策略AggressiveMayfrustrateopponentMayavoidproducingcertainevidenceCostly:tobothsidesMayforceopponentintosimilarbehaviorMaydetersettlementMayincurreprimandorevensanctionfromajudge攻擊性的應對策略極有可能發現有利信息代價昂貴：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備甚至懲罰StrategyforRespondingtoDiscovery

應對調查取證的策略AccommodatingLowercostConcentratesthecaseonimportantissuesTendstoavoidescalationMayhavetoproduceevidenceyouhopedtoavoidMaybeinconvenientanddisruptive通融性的應對策略減少費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可能給您的企業帶來不方便和干擾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權利要求解釋聽證Trial審理Judgeinterpretsclaimtermsasamatteroflaw

（法官解釋）Focusonintrinsicevidence

（專利內部證據）Claimlanguage,patentspecification,andprosecutionhistoryExtrinsicevidencemaybeconsidered

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

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

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

（侵權與不侵權）Invalidity

vs.Invalidity

（無效性與有效性）ExpertDiscovery（專家證據調查）Depositions(證人證言)ExpertReportandExpertDiscovery

專家報告和專家證據調查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

（侵權或不侵權）Invalidity

（無效性）Unenforceability

（不可執行性）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權利要求解釋聽證Trial審理Trial

庭審Determinationofliability&damages

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

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

庭審策略TryallissuesShowstrengthofcaseJudgeorjurymaylikecertainissuesHelpfulonappealMayconfusejuryHardtodevelopthemeCostly對所有問題進行庭審顯示案件優勢法官或陪審團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弄糊涂難以設計主題費用昂貴TrialStrategy

庭審策略TrysomefocusedissuesShowstrengthofcaseDirectsattentiontostrongestissuesEasytodevelopthemeLesscostly:tobothsidesMustforfeitsomeissuesMakesopponent’scaseeasier對專注的特定問題進行庭審將注意力集中在最重要的問題上便于設計主題費用較低：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