中國公司如何利用美國發(fā)明法減少在美侵權(quán)風(fēng)險(xiǎn)綜述

1、 Allen & Overy 20111How Can Chinese Companies Utilize AIA to Minimize Patent Infringement Risks in U.S.?中國公司如何利用美國發(fā)明法減少在美侵權(quán)風(fēng)險(xiǎn)?Benjamin Bai, PartnerAllen & Overy LLPShanghai Office白建民，合伙人白建民，合伙人安理國際律師事務(wù)所安理國際律師事務(wù)所上海代表處上海代表處 Allen & Overy 20112PTO Proceedings Overview美國專利局程序美國專利局程序 概覽概覽 Pro

2、ceeding /程序程序 Threshold/發(fā)起標(biāo)準(zhǔn)發(fā)起標(biāo)準(zhǔn)Prior Art /現(xiàn)有技術(shù)現(xiàn)有技術(shù)Estoppel? /是否禁止反悔？是否禁止反悔？Third party pre-issuance submissions 在授權(quán)前第三人意見陳述Not applicable 不適用Patents or printed publications 專利或出版物Not applicable 不適用Post-grant review (9 month window) 授權(quán)后重審程序(9個(gè)月)More likely than not that at least one claim unpatentab

3、le 更可能至少有一項(xiàng)權(quán)利要求不具備可取得專利權(quán)的條件Any ground 任何理由Yes, on any ground raised or could have been raised是，基于已提出的或可能提出的理由Inter partes review 多方重審程序Reasonable likelihood that petitioner would prevail on at least one claim 經(jīng)合理判斷有可能請求人在請求中質(zhì)疑的權(quán)利要求中至少有一項(xiàng)權(quán)利要求被駁回Patents or printed publications 專利或出版物Yes, on any ground

4、 raised or could have been raised是，基于已提出的或可能提出的理由Ex parte reexamination (unchanged) 單方再審程序 (未變更) Substantial new question of patentability 發(fā)現(xiàn)新的關(guān)于專利性的實(shí)質(zhì)問題Patents or printed publications 專利或出版物Not applicable 不適用Supplemental Examination 補(bǔ)充審查Substantial new question of patentability 發(fā)現(xiàn)新的關(guān)于專利性的實(shí)質(zhì)問題Any in

5、formation 任何信息Not applicable 不適用Derivation Proceedings 發(fā)明人確定程序Claimed invention derived from another 申請的專利，源自于其他發(fā)明人Not applicable 不適用Not applicable 不適用 Allen & Overy 20113Third Party Pre-Issuance Submissions在授權(quán)前第三人意見陳述在授權(quán)前第三人意見陳述 During prosecution, any third party may submit: 在訴訟中，任何第三人可以提交：Any

6、 patent application, patent, or printed publication 任何專利申請、專利或出版物Concise statement of relevance and fee required 關(guān)于提交的已有技術(shù)關(guān)聯(lián)性的簡要聲明Fee官費(fèi) Allen & Overy 20114Post-Grant Review (“PGR”) (1)授權(quán)后重審程序授權(quán)后重審程序(1) Who? Any person, other than the patent owner 何人？除專利所有權(quán)人外的任何人Must identify all real parties in

7、interes 必須指出所有實(shí)際利益方When? Within 9-months of issuance or reissue of patent 何時(shí)？在專利發(fā)布或再發(fā)布后9個(gè)月內(nèi)Reason? Any ground of invalidity (not just patents or publications) 理由？任何無效理由(不單是專利或出版物)Threshold? More likely than not that at least one challenged claim is unpatentable, or novel question of law 發(fā)起標(biāo)準(zhǔn)？更可能至少有一

8、項(xiàng)被質(zhì)疑的權(quán)利要求不具備可取得專利的條件，或存在新穎 性問題 Allen & Overy 20115Post-Grant Review (“PGR”) (2)授權(quán)后重審程序授權(quán)后重審程序(2)Proceedings: 程序：Patentee may respond 專利權(quán)人可應(yīng)答PTO issues preliminary response within 3 months of patentee statement, or expiry of patentees deadline 美國專利局在專利權(quán)人作出聲明后3個(gè)月內(nèi)或者專利權(quán)人應(yīng)答期限屆滿后3個(gè)月 內(nèi)給予初步答復(fù)Completion

9、 within one year after instituting PGR (+ six month extension for good cause) 授權(quán)后重審程序在發(fā)起后一年內(nèi)完成(可基于正當(dāng)事由延長六個(gè)月)Discovery allowable / 允許證據(jù)發(fā)現(xiàn)Patentee may comment or amend claims 專利權(quán)人可對權(quán)利要求提出意見或修改權(quán)利要求May be settled / 可予以和解 Allen & Overy 20116Post-Grant Review (“PGR”) (3)授權(quán)后重審程序授權(quán)后重審程序(3)Relationship t

10、o other proceedings 與其他程序的關(guān)系No PGR if challenger already filed a civil action challenging validity of patent如果異議人已提起質(zhì)疑專利有效性的民事訴訟，則不發(fā)起授權(quán)后重審程序Automatic stay of petitioners infringement action自動(dòng)中止相關(guān)的侵權(quán)訴訟PTO may consolidate multiple PGRs美國專利局可合并多項(xiàng)授權(quán)后重審程序Estoppel / 禁止反悔：Challenger cannot raise any ground

11、 that was raised or reasonably could have raised in PGR in:異議人不可在下述程序中提出在授權(quán)后重審程序中已提出的或經(jīng)合理判斷應(yīng)該會提出的理由：Another PTO proceeding / 美國專利局其他程序District court or ITC action / 地區(qū)法院或美國國際貿(mào)易委員會審理的訴訟 Allen & Overy 20117Inter Partes Reexamination多方再審程序多方再審程序Inter-partes reexamination is abolished as of Septembe

12、r 16, 2012. 多方再審程序于2012年9月16日不再施行A transitional provision provides for Inter Partes Reexamination requests filed on or after September 16, 2011: 過渡性條款規(guī)定，在2011年9月16日或之后提出發(fā)起多方再審程序的請求：The threshold has changed: 發(fā)起標(biāo)準(zhǔn)已變更：From a substantial new question of patentability affecting any claim” 原發(fā)起標(biāo)準(zhǔn)是 發(fā)現(xiàn)對權(quán)利要求

13、有影響的、新的關(guān)于專利性的實(shí)質(zhì)問題”To a reasonable likelihood that the requester would prevail with respect to at least 1 of the claims challenged in the request. 新發(fā)起標(biāo)準(zhǔn)是 經(jīng)合理判斷有可能請求人在請求中質(zhì)疑的權(quán)利要求中至少 有一項(xiàng)權(quán)利要求被駁回. Allen & Overy 20118Inter Partes Review - Comparison to Current Inter Partes Reexamination多方多方重審程序重審程序 與目前

14、的與目前的多方多方再審程序?qū)Ρ仍賹彸绦驅(qū)Ρ華spect對比項(xiàng)對比項(xiàng)Inter Partes Reexamination (abolished) 多方多方再審程序再審程序(已廢除已廢除) Inter Partes Review (new) 多方多方重審程序重審程序(新程序新程序) Tribunal 審理機(jī)構(gòu)Central Reexamination Unit 專利局再審機(jī)構(gòu) Patent Trial and Appeals Board 專利審判及上訴委員會Timing for filing 申請時(shí)間Any time 任何時(shí)候After the later of closing of PGR wi

15、ndow or termination of PGR在授權(quán)后重審程序期限屆滿或授權(quán)后重審程序終止(以較晚的時(shí)間為準(zhǔn))后Threshold發(fā)起標(biāo)準(zhǔn)Substantial new question of patentability 發(fā)現(xiàn)新的關(guān)于專利性的實(shí)質(zhì)問題Reasonable likelihood that petitioner would prevail on at least 1 claim 經(jīng)合理判斷有可能請求人在請求中質(zhì)疑的權(quán)利要求中至少有一項(xiàng)權(quán)利要求被駁回Time Limit審理期限Not Applicable不適用Within 1 year after institution (+

16、6 months for cause) 在發(fā)起后1年內(nèi)(可基于正當(dāng)事由延長6個(gè)月)Prior art 現(xiàn)有技術(shù)Patents and printed publications專利和出版物Patents and printed pubs 專利和出版物Appeal 上訴To Board of Patents and Interferences and then Federal Circuit 向?qū)＠显V及抵觸委員會提出，隨后向聯(lián)邦巡回上訴法院提出Directly to Federal Circuit 直接向聯(lián)邦巡回上訴法院提出 Allen & Overy 20119Supplemental

17、 Examination補(bǔ)充審查程序補(bǔ)充審查程序 For the patentees benefit 對專利權(quán)人有利Patentee may submit any information 專利權(quán)人可提交任何信息If substantial new question of patentability, PTO reexamines patent 如果發(fā)現(xiàn)新的關(guān)于專利性的實(shí)質(zhì)問題，則美國專利局對專利進(jìn)行再審A patent shall not be held unenforceable based on information considered in supplemental examinat

18、ion 不得基于補(bǔ)充審查所審議的信息，判定專利不可強(qiáng)制執(zhí)行Exception: 但是：Inapplicable to cure existing allegations 不適用于糾正已經(jīng)存在的問題 Allen & Overy 2011Supplemental Examination / 補(bǔ)補(bǔ)充充審查審查程序程序 May allow a patent holder to address its inequitable conduct 允許專利權(quán)人解決不正當(dāng)行為 Provides for supplemental examination of claims based on informa

19、tion that presents a substantial new question of patentability 提出補(bǔ)充審查申請，需要提供能說明可專利性實(shí)質(zhì)新問題的信息 Limited to 12 items of information 限于12項(xiàng)信息 No need to address whether there was any intent to deceive 不需要說明是否存在有欺騙的意圖 Patent cannot then be held unenforceable for inequitable conduct in subsequent litigation

20、在后續(xù)訴訟中，不能因不公平行為判決專利不可執(zhí)行 Available now for issued US patents 目前適用于已授權(quán)的美國專利 Official fee = $5000 for initial request; $16000 for re-examination (must both be paid upfront) 首次申請，費(fèi)用低于5000美元，再審費(fèi)用低于16000美元(均須提前繳納) Allen & Overy 2011Mechanisms for 3rd party challenge第三方挑第三方挑戰(zhàn)戰(zhàn)機(jī)制機(jī)制3rd party submissions第

21、三人意第三人意見見Post-grant review (PGR)授授權(quán)權(quán)后重后重審審程序程序Inter partes review多方重多方重審審程序程序Window of time期限The later of:以下述兩者中較晚發(fā)生的為準(zhǔn)：(i) 6 months from publication, and 從公告起6個(gè)月，以及(ii) First rejection (or before the notice of allowance if no rejections are made) 首次拒絕(如果不被拒絕，在簽發(fā)專利核準(zhǔn)通知之前)Within 9 months of patent gr

22、ant專利授權(quán)后9個(gè)月內(nèi)After the later of:在下述三者中最晚發(fā)生之時(shí)后：(i) 9 months after patent grant, 專利授權(quán)后9個(gè)月(ii) The date of termination of PGR (if instituted), and 授權(quán)后重審程序(如啟動(dòng))的終止之日(iii) Within 1 year of being sued 被起訴后1年內(nèi)Identity of 3rd party第三方身份Can remain anonymous可不公開Must identify all real parties in interest必須指明所有相

23、關(guān)利益方Must identify all real parties in interest必須指明所有相關(guān)利益方 Allen & Overy 2011Mechanisms for 3rd party challenge (contd)第三方挑第三方挑戰(zhàn)戰(zhàn)機(jī)制機(jī)制(續(xù)續(xù))3rd party submissions第三人意第三人意見見Post-grant review (PGR)授授權(quán)權(quán)后重后重審審程序程序Inter partes review多方重多方重審審程序程序Grounds理由Novelty and obviousness (patents and printed publica

24、tions only)新穎性和顯著性(僅專利和出版物)Prior art, utility, patent eligibility, enablement, written description and definiteness現(xiàn)有技術(shù)、實(shí)用性、專利性、公開充公性、書面描述、確切性Novelty and obviousness only (patents and printed publications only)新穎性和顯著性(僅專利和出版物)Forum審理機(jī)構(gòu)USPTO Examiner美國專利局Patent Trial and Appeal Board專利審判及上訴委員會Patent

25、Trial and Appeal Board專利審判及上訴委員會Estoppel是否禁止反悔？No否Yes是Yes是Discovery是否允許證據(jù)發(fā)現(xiàn)No否Limited有限度Limited有限度Oral hearing是否舉行口頭審理No否Yes是Yes是 Allen & Overy 2011Mechanisms for 3rd party challenge (contd)第三方挑第三方挑戰(zhàn)戰(zhàn)機(jī)制機(jī)制(續(xù)續(xù))3rd party submissions第三人意第三人意見見Post-grant review (PGR)授授權(quán)權(quán)后重后重審審程序程序Inter partes review多

26、方重多方重審審程序程序Cost費(fèi)用Low (fee of $180 for every 10 documents) 低(每10份文件收取180美元)Official fee = $35,000 (cheaper than litigation)政府收費(fèi)低于35,000美元(比訴訟費(fèi)用低)Official fee = $30,000 (cheaper than litigation)政府收費(fèi)低于30,000美元(比訴訟費(fèi)用低)Speed審理期限Examiner will consider early on in prosecution審理機(jī)構(gòu)在初期階段進(jìn)行審查Final determinatio

27、n 1 year after initiation在提起重審程序后1年，作出最終決定Final determination 1 year after initiation在提起重審程序后1年，作出最終決定Threshold發(fā)起標(biāo)準(zhǔn)None無“More likely than not”更可能至少有一項(xiàng)權(quán)利要求不具備可取得專利權(quán)的條件“Reasonable likelihood of success”經(jīng)合理判斷有可能請求人在請求中質(zhì)疑的權(quán)利要求中至少有一項(xiàng)權(quán)利要求被駁回When?何時(shí)？NOW!Available for any pending application現(xiàn)在！針對未授權(quán)的申請F(tuán)or p

28、atents granted from applications examined under the new law針對專利申請根據(jù)新法審查后授權(quán)的專利NOW!Available for any issued US patent現(xiàn)在！針對已授權(quán)的任何美國專利 Allen & Overy 2013Statistics on Post Grant Proceedings (2003 2012)授權(quán)后程序統(tǒng)計(jì)數(shù)據(jù)授權(quán)后程序統(tǒng)計(jì)數(shù)據(jù)(2003年年-2012年年)14單方再審程序申請多方再審程序申請抵觸審查程序 Allen & Overy 2011Ex Parte Reexaminat

29、ion Statistics As of September 30, 2012截至截至2012年年9月月30日，日，單單方再方再審審程序程序統(tǒng)計(jì)統(tǒng)計(jì)數(shù)據(jù)數(shù)據(jù)Total requests filed since start of ex parte reexam on 07/01/81 自1981年7月1日可申請單方再審程序起，提交的全部申請數(shù)量12569 a. by patent owner / 專利所有權(quán)人提出387231% b. by other member of the public / 社會其他人士提出853268% c. by order of Commissioner / 專利局作

30、出裁定1651%2. Number known to be in litigation / 進(jìn)入訴訟程序的數(shù)量399432%3. Total ex parte reexamination certificates issued (1981 present) 已簽發(fā)的單方再審程序證明總數(shù)(1981年-至今)9328 a. Certificates with all claims confirmed 關(guān)于所有關(guān)于所有權(quán)權(quán)利要求已利要求已獲獲確確認(rèn)認(rèn)的的證證明明202922% b. Certificates with all claims canceled 關(guān)于所有權(quán)利要求被撤銷的證明106311%

31、 c. Certificates with claims changes 關(guān)于權(quán)利要求被變更的證明623667% Allen & Overy 2011Inter partes Reexamination Statistics As of September 30, 2012截至截至2012年年9月月30日，多方再日，多方再審審程序程序統(tǒng)計(jì)統(tǒng)計(jì)數(shù)據(jù)數(shù)據(jù)Total requests filed since start of Inter partes reexam on 11/29/99 自1999年11月29日可提起多方再審程序起，提交的申請數(shù)量19192. Number known to be in litigation 進(jìn)入訴訟程序的數(shù)量1