美国专利诉讼程序PPT课件.ppt

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 PatentWarArises专利战随专利数量逐年增加 Source PwC 2013PatentLitigationStudy Top10LargestInitialDamageAwards10个最高的专利侵权赔偿案 Source PwC 2013PatentLitigationStudy Top10HotAreasofPatentLitigation专利诉讼的10大行业 Source PwC 2013PatentLitigationStudy Overview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 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 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 MediaTime to TrialinDistrictCourts在地区法院的平均立案到审理的时间 Source PwC 2013PatentLitigationStudy StrategyforFilingofComplaint 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 allegedinfringingactAssertotherclaims TheComplaint起诉书 Demandforjudgment 诉讼请求 MonetarydamagesInjunctivereliefIncreaseddamagesAttorneys feesDemandforjury 要求陪审团判决 Usuallybetterforplaintiffs about70 jurytrials Waivedifnotdemandedwithin10daysofthelastpleading StrategiestoRespondtoComplaint 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 antitrustviolationsAssertotherpatents ChallengevalidityofthreateningpatentsatUSPTOunderAIA在美国专利商标局通过行政途径挑战威胁专利有效性 ChallengePatentValidityatPTO在美国专利局挑战专利的有效性 USPatentLitigationProcedure美国专利诉讼程序 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 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 orinvalidityissues ClaimConstruction 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 Invalidityvs 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 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 failuretodisclosematerialinformation USPatentLitigationProcedure美国专利诉讼程序 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 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 themovantmayfilearenewedmotionforjudgmentasamatteroflawandmayincludeanalternativeorjointrequestforanewtrialunderRule59 Inrulingontherenewedmotion thecourtmay 1 allowjudgmentontheverdict ifthejuryreturnedaverdict 2 orderanewtrial or 3 directtheentryofjudgmentasamatteroflaw Damages损害赔偿 Supplementaldamagesinfringementoccurringbetweenthedateofthejury sverdictandthedateofthejud