美国专利诉讼程序

U.S.PatentLitigationProcedure&Strategies美国专利诉讼程序与应对实务ShaobinZhu（朱韶斌）深圳―2013年11月27日Disclaimer

免责声明

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.

本资料为公开信息，仅供教育与娱乐之目的，旨在增进对美国知识产权法的理解。本资料仅代表作者的个人观点，并不构成对具体案件出具的法律意见。众所周知，每个案件都有其独特的案件事实，因此不同案件的适当解决方法也各不相同。因此，本资料可能与任何特定情形相关，也可能无关。据此，就作者和飞翰律师事务所而言，对其现在或将来代理的不同客户，其都无需就本资料中所出具的任何评论意见承担任何法律责任。本资料的呈递行为不构成与作者或飞翰律师事务所的任何形式的律师-委托人关系。尽管作者已尽力确保本资料的准确性，但本资料中仍可能含有错误或疏漏之处，对此作者将概不承担任何责任。Overview

概览PatentWarArisesinU.S.U.S.PatentLitigationProcedureandStrategies美国专利战争逐年增加美国专利诉讼程序与应对策略PatentWarsAreMarketWars

专利大战就是市场大战Source:/article2/0,2817,2399098,00.aspPatentWarArises

专利战随专利数量逐年增加Source:PwC-2013PatentLitigationStudyTop10LargestInitialDamageAwards

10个最高的专利侵权赔偿案Source:PwC-2013PatentLitigationStudyTop10HotAreasofPatentLitigation

专利诉讼的10大行业Source:PwC-2013PatentLitigationStudyOverview

概览PatentWarArisesinU.S.U.S.PatentLitigationProcedureandStrategiesCourtSystemProcedureandStrategies美国专利战争逐年增加美国专利诉讼程序与应对策略法院系统程序与应对实务

UnitedStatesFederalCourts

美国联邦法院

UnitedStatesFederalCourts

美国联邦法院美国最高法院UnitedStatesSupremeCourt

地区巡回上诉法院（12个巡回审判区）U.S.CourtofAppeals,(12RegionalCircuits)

美国联邦巡回上诉法院U.S.FederalCircuitCourtofAppeals

税务法院TaxCourt

权利申诉法院ClaimsCourt

国际贸易委员会337调查U.S.InternationalTradeCommission(ITC)337Investigations

美国联邦地区审判法院-94个U.S.FederalDistrictCourts-94judicial“trial”districts国际贸易法庭CourtofInternationalTrade

USPatentLitigationProcedure

美国专利诉讼程序Post-TrialPractices审后程序Pre-Litigation(Plaintiff)诉前（原告）FinalJudgment/Appeal最终判决/上诉Complaint起诉Discovery调查取证Pre-TrialMotionPractice审前动议程序Notice/LicenseLetter警告信/许可函Pre-Litigation(Defendant)诉前（被告）MarkmanHearing权利要求解释听证Trial审理Pre-LitigationStrategy—Plaintiffs

诉前策略—原告ReasonsforSuitBenefitsv.Risks：Business,IPStrategies:Notice/LicensingLetterv.SuitSuit:Where,Whom,What诉讼原因利益与风险分析：商业、知识产权策略警告信（许可函）或诉讼诉讼：在哪里诉？诉谁？诉什么？USPatentLitigationProcedure

美国专利诉讼程序Post-TrialPractices审后程序Pre-Litigation(Plaintiff)诉前（原告）FinalJudgment/Appeal最终判决/上诉Complaint起诉Discovery调查取证Pre-TrialMotionPractice审前动议程序Notice/LicenseLetter警告信/许可函Pre-Litigation(Defendant)诉前（被告）MarkmanHearing权利要求解释听证Trial审理Pre-LitigationStrategy—Defendants

诉前策—被告ResponsetotheNotice/LicensingLetterNotifyU.S.litigationcounselimmediatelyRespondquicklytoshowattentionIssuestoexplore:Indemnity,validity,infringement,damages,ownpatentsResponsetoneandcontent对警告信（许可函）进行回应立即通知美国诉讼律师快速回应以显示重视程度探究问题：补偿、有效性、侵权、损害、自己的专利回应的语气、内容USPatentLitigationProcedure

美国专利诉讼程序Post-TrialPractices审后程序Pre-Litigation(Plaintiff)诉前（原告）FinalJudgment/Appeal最终判决/上诉Complaint起诉Discovery调查取证Pre-TrialMotionPractice审前动议程序Notice/LicenseLetter警告信/许可函Pre-Litigation(Defendant)诉前（被告）MarkmanHearing权利要求解释听证Trial审理MediaTime-to-TrialinDistrictCourts

在地区法院的平均立案到审理的时间Source:PwC-2013PatentLitigationStudyStrategyforFilingofComplaint—Plaintiff

提交诉状的策略—原告GoalsSettlementwithlicenseSettlementwithcross-licenseBusinessarrangementRemovalofcompetitorsfrommarket目标达成许可协议达成交叉许可协议业务安排把竞争对手踢出市场TheComplaint

起诉书Identifytheparties

（列明原告，被告）Jurisdictionalstatement

（管辖权）Subjectmatterjurisdiction,personaljurisdiction,venueStatementoftheclaim

（诉讼基础、内容）Identifytherelevantpatent(s)Assertownershipofthepatent(s)&righttosueIdentifytheaccusedinfringer&allegedinfringingactAssertotherclaimsTheComplaint

起诉书Demandforjudgment（诉讼请求）MonetarydamagesInjunctivereliefIncreaseddamagesAttorneys’feesDemandforjury

（要求陪审团判决）Usuallybetterforplaintiffs(about70%jurytrials)Waivedifnotdemandedwithin10daysofthelastpleadingStrategiestoRespondtoComplaint—Defendants

应诉策略—被告

ChooseandengageareputableUSlawfirmAnalyzethecomplaintDevelopstrategy:defensivev.aggressiveConsideryouroptionsbasedonyourbusinessneeds选择和委托美国知名律师事务所分析诉状制定辩护策略：防守与进攻根据商业需求考虑您可以采取的应对措施

StrategiestoRespondtoComplaint—Defendants

应诉策略—被告

Options(examples) —Nottorespond(defaultjudgment) —EnteraConsentOrder —Negotiateforsettlement —Defendaggressively应诉方案（举例） —不应诉（自动败诉） —同意命令书 —庭外调解 —积极应诉

StrategiestoRespondtoComplaint—Defendants

应诉策略—被告

Options(examples) —AssertyourownIPRinChinaortheU.S. —Askforindemnificationbymanufacturer(ifavailable) —DesignAround应诉方案（举例） —在中国或美国反告人家侵权 —要求厂家担保 —设计不侵权的新产品

StrategiestoRespondtoComplaint—Defendants

应诉策略—被告

NegotiateforSettlement(examples) —LicensetheComplainant’sIPR —BecometheComplainant’sOEM —EnterajointventurewiththeComplainant —Crosslicenseeachother’sIPR庭外调解（举例） —接受许可 —成为海外制造商 —联合办厂 —交叉许可

StrategiestoRespondtoComplaint—Defendants

应诉策略—被告

DefendAggressively(examples)

—Non-infringement —Patentinvalidity —Patentmisuse&antitrusttheories —Patentunenforceability —Post-grantchallengestopatentvalidityatUSPTO积极应诉（举例） —不侵权 —专利无效 —专利滥用及反垄断 —专利无执行性 —专利授权后在美国专利局挑战其有效性StrategiestoRespondtoComplaint—Defendants

应诉策略—被告

Motions–dismiss,transfervenue

（撤销或转法庭动议）Answer–admitordenyallegations

（答辩）Within20daysofserviceWithin60daysofarequestforwaiverofserviceAffirmativedefenses

（抗辩理由）Noninfringement,invalidity,laches,estoppel,interveningrights,failuretostateaclaim,etc.Counterclaims

（反诉）Declaratoryjudgmentofinvalidity,noninfringement,antitrustviolationsAssertotherpatentsChallengevalidityofthreateningpatentsatUSPTOunderAIA

在美国专利商标局通过行政途径挑战威胁专利有效性Post-Grant授予后ExParteReexam(post-grant)单方复审（授予后）Post-GrantReview(PGR)(within9monthsofgrant)(Patentsfiled>=3/16/2012)授予后复议（授予后9个月内）(专利被提交>=3/16/2013)InterPartes

Review(IPR)(after9monthsofgrant)(Pre-AIApatents:no9-monthwaitingperiod)多方复议（授予9个月后））

(AIA前专利:无9个月的等待期）ChallengePatentValidityatPTO

在美国专利局挑战专利的有效性USPatentLitigationProcedure

美国专利诉讼程序Post-TrialPractices审后程序Pre-Litigation(Plaintiff)诉前（原告）FinalJudgment/Appeal最终判决/上诉Complaint起诉Discovery调查取证Pre-TrialMotionPractice审前动议程序Notice/LicenseLetter警告信/许可函Pre-Litigation(Defendant)诉前（被告）MarkmanHearing权利要求解释听证Trial审理Discovery

调查取证Formaldiscoverytools(证据调查手段）Interrogatories–clarifyissues,identifywitnesses,uncoveropponent’scase

（正式询问）Documentrequests–includeothertangiblematerial

（要求文件）Requestsforadmission–limitissuesfortrial,authenticatedocuments

（要求承认）Depositions–individualorcorporation

（证言）Discovery

调查取证Accountsforalargepercentageofthelitigationcosts

（费用高）Electronicdiscovery

（电子证据）NoharddrivewillgounturnedThirdpartydiscovery

（第三方）PrivilegedandconfidentialInformation

（豁免特权或机密信息）Protectiveorders–attempttolimitdiscoveryandmaintainconfidentiality

（保护命令）StrategyforTakingDiscovery

调查取证的策略AggressiveMostlikelytodiscovergoodinformationCostly:tobothsidesMayforceopponentintosimilarbehaviorMaydetersettlementMayincurreprimandorevensanctionfromajudge攻击性的调查取证策略极有可能发现有利信息代价昂贵：双方可能会迫使对手采取类似行动可能会阻碍和解可能会被法官责备甚至惩罚StrategyforTakingDiscovery

调查取证的策略TacticalLowercostConcentratesthecaseonimportantissuesTendstoavoidescalationMaymissevidence战术性的调查取证策略减少费用将注意力集中在案件的重要问题上易于避免矛盾升级可能会遗漏证据StrategyforRespondingtoDiscovery

应对调查取证的策略AggressiveMayfrustrateopponentMayavoidproducingcertainevidenceCostly:tobothsidesMayforceopponentintosimilarbehaviorMaydetersettlementMayincurreprimandorevensanctionfromajudge攻击性的应对策略极有可能发现有利信息代价昂贵：双方可能会迫使对手采取类似行动可能会阻碍和解可能会被法官责备甚至惩罚StrategyforRespondingtoDiscovery

应对调查取证的策略AccommodatingLowercostConcentratesthecaseonimportantissuesTendstoavoidescalationMayhavetoproduceevidenceyouhopedtoavoidMaybeinconvenientanddisruptive通融性的应对策略减少费用将注意力集中在案件的重要问题上易于避免矛盾升级可能不得不出示你不希望呈堂的证据可能给您的企业带来不方便和干扰USPatentLitigationProcedure

美国专利诉讼程序Post-TrialPractices审后程序Pre-Litigation(Plaintiff)诉前（原告）FinalJudgment/Appeal最终判决/上诉Complaint起诉Discovery调查取证Pre-TrialMotionPractice审前动议程序Notice/LicenseLetter警告信/许可函Pre-Litigation(Defendant)诉前（被告）MarkmanHearing权利要求解释听证Trial审理Judgeinterpretsclaimtermsasamatteroflaw

（法官解释）Focusonintrinsicevidence

（专利内部证据）Claimlanguage,patentspecification,andprosecutionhistoryExtrinsicevidencemaybeconsidered

（专利外部证据）Dictionaries,experttestimony,treatisesUsedtoinform,butcannotcontradicttheintrinsicevidenceFirstmajormilestoneinacase

（诉讼中首个重要里程碑）Oftendispositiveoftheinfringementand/orinvalidityissuesClaimConstruction(MarkmanHearing)

权利要求解释(马克曼听证会）ExpertReport:Plaintiffvs.Defendant（专家报告:原告与被告）Infringementvs.Noninfringement

（侵权与不侵权）Invalidity

vs.Invalidity

（无效性与有效性）ExpertDiscovery（专家证据调查）Depositions(证人证言)ExpertReportandExpertDiscovery

专家报告和专家证据调查USPatentLitigationProcedure

美国专利诉讼程序Post-TrialPractices审后程序Pre-Litigation(Plaintiff)诉前（原告）FinalJudgment/Appeal最终判决/上诉Complaint起诉Discovery调查取证Pre-TrialMotionPractice审前动议程序Notice/LicenseLetter警告信/许可函Pre-Litigation(Defendant)诉前（被告）MarkmanHearing权利要求解释听证Trial审理PreliminaryInjunction

临时禁令

Patentholdermustprove:Likelihoodofsuccess(infringementandvalidity)

（胜诉可能性）Irreparableharm（不可弥补损失）Balanceofhardshipsinfavorofenjoiningactivity

（双方困难的平衡）Favorableimpactonpublicinterest

（公众利益）MotionsforSummaryJudgment

简易判决OftenfollowstheMarkmandecision

（一般在马克曼听证会之后）GroundsInfringement/noninfringement

（侵权或不侵权）Invalidity

（无效性）Unenforceability

（不可执行性）Inequitableconduct–failuretodisclosematerialinformationUSPatentLitigationProcedure

美国专利诉讼程序Post-TrialPractices审后程序Pre-Litigation(Plaintiff)诉前（原告）FinalJudgment/Appeal最终判决/上诉Complaint起诉Discovery调查取证Pre-TrialMotionPractice审前动议程序Notice/LicenseLetter警告信/许可函Pre-Litigation(Defendant)诉前（被告）MarkmanHearing权利要求解释听证Trial审理Trial

庭审Determinationofliability&damages

（陪审团决定责任和赔偿额）JurydeterminesinfringementbasedontheclaimconstructionprovidedbythecourtPretrialconference–issuesfortrial,witnesses,exhibits

（庭审前会议-庭审，证人，附件问题）Specialverdicts&juryinstructions（特殊裁决和陪审团指令）TrialStrategy

庭审策略TryallissuesShowstrengthofcaseJudgeorjurymaylikecertainissuesHelpfulonappealMayconfusejuryHardtodevelopthemeCostly对所有问题进行庭审显示案件优势法官或陪审团可能会喜欢其中的某些问题有利于提出上诉可能会把陪审团弄糊涂难以设计主题费用昂贵TrialStrategy

庭审策略TrysomefocusedissuesShowstrengthofcaseDirectsattentiontostrongestissuesEasytodevelopthemeLesscostly:tobothsidesMustforfeitsomeissuesMakesopponent’scaseeasier对专注的特定问题进行庭审将注意力集中在最重要的问题上便于设计主题费用较低：双方必须放弃一些问题方便对手的诉讼USPatentLitigationProcedure

美国专利诉讼程序Post-TrialPractices审后程序Pre-Litigation(Plaintiff)诉前（原告）FinalJudgment/Appeal最终判决/上诉Complaint起诉Discovery调查取证Pre-TrialMotionPractice审前动议程序Notice/LicenseLetter警告信/许可函Pre-Litigation(Defendant)诉前（被告）MarkmanHearing权利要求解释听证Trial审理MotionsforJMOLandNewTrial

依法律判決和新庭审的动议

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

依法律判決和新庭审的动议

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

movantmayfilearenewedmotionforjudgmentasamatteroflawandmayincludeanalternativeorjointrequestforanewtrialunderRule59.Inrulingontherenewedmotion,thecourt