1HowCanChineseCompaniesUtilizeAIAtoMinimizePatentInfringementRisksinU.S.?中國(guó)公司如何利用美國(guó)發(fā)明法減少在美侵權(quán)風(fēng)險(xiǎn)?BenjaminBai,Partner

Allen&OveryLLPShanghaiOffice白建民，合伙人安理國(guó)際律師事務(wù)所

上海代表處2PTOProceedings–Overview

美國(guó)專利局程序–概覽Proceeding/程序Threshold/發(fā)起標(biāo)準(zhǔn)PriorArt/現(xiàn)有技術(shù)Estoppel?/是否禁止反悔？Thirdpartypre-issuancesubmissions在授權(quán)前第三人意見(jiàn)陳述Notapplicable不適用Patentsorprintedpublications專利或出版物Notapplicable不適用Post-grantreview(9monthwindow)授權(quán)后重審程序(9個(gè)月)Morelikelythannotthatatleastoneclaimunpatentable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Anyground任何理由Yes,onanygroundraisedorcouldhavebeenraised是，基于已提出的或可能提出的理由Interpartesreview多方重審程序Reasonablelikelihoodthatpetitionerwouldprevailonatleastoneclaim經(jīng)合理判斷有可能請(qǐng)求人在請(qǐng)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Patentsorprintedpublications專利或出版物Yes,onanygroundraisedorcouldhavebeenraised是，基于已提出的或可能提出的理由Expartereexamination(unchanged)單方再審程序(未變更)Substantialnewquestionofpatentability發(fā)現(xiàn)新的關(guān)于專利性的實(shí)質(zhì)問(wèn)題Patentsorprintedpublications專利或出版物Notapplicable不適用SupplementalExamination補(bǔ)充審查Substantialnewquestionofpatentability發(fā)現(xiàn)新的關(guān)于專利性的實(shí)質(zhì)問(wèn)題Anyinformation任何信息Notapplicable不適用DerivationProceedings發(fā)明人確定程序Claimedinventionderivedfromanother申請(qǐng)的專利，源自于其他發(fā)明人Notapplicable不適用Notapplicable不適用3ThirdPartyPre-IssuanceSubmissions

在授權(quán)前第三人意見(jiàn)陳述

Duringprosecution,anythirdpartymaysubmit:在訴訟中，任何第三人可以提交：Anypatentapplication,patent,orprintedpublication任何專利申請(qǐng)、專利或出版物Concisestatementofrelevanceandfeerequired關(guān)于提交的已有技術(shù)關(guān)聯(lián)性的簡(jiǎn)要聲明Fee官費(fèi)4Post-GrantReview(“PGR”)(1)

授權(quán)后重審程序(1)Who?Anyperson,otherthanthepatentowner何人？除專利所有權(quán)人外的任何人Mustidentifyallrealpartiesininteres必須指出所有實(shí)際利益方When?Within9-monthsofissuanceorreissueofpatent何時(shí)？在專利發(fā)布或再發(fā)布后9個(gè)月內(nèi)Reason?Anygroundofinvalidity(notjustpatentsorpublications)理由？任何無(wú)效理由(不單是專利或出版物)Threshold?Morelikelythannotthatatleastonechallengedclaimisunpatentable,ornovelquestionoflaw發(fā)起標(biāo)準(zhǔn)？更可能至少有一項(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(wèn)題5Post-GrantReview(“PGR”)(2)

授權(quán)后重審程序(2)Proceedings:程序：Patenteemayrespond專利權(quán)人可應(yīng)答PTOissuespreliminaryresponsewithin3monthsofpatenteestatement,orexpiryofpatentee’sdeadline美國(guó)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)CompletionwithinoneyearafterinstitutingPGR(+sixmonthextensionforgoodcause)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(zhǎng)六個(gè)月)Discoveryallowable/允許證據(jù)發(fā)現(xiàn)Patenteemaycommentoramendclaims專利權(quán)人可對(duì)權(quán)利要求提出意見(jiàn)或修改權(quán)利要求Maybesettled/可予以和解6Post-GrantReview(“PGR”)(3)

授權(quán)后重審程序(3)Relationshiptootherproceedings與其他程序的關(guān)系NoPGRifchallengeralreadyfiledacivilactionchallengingvalidityofpatent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Automaticstayofpetitioner’sinfringementaction自動(dòng)中止相關(guān)的侵權(quán)訴訟PTOmayconsolidatemultiplePGRs美國(guó)專利局可合并多項(xiàng)授權(quán)后重審程序Estoppel

/禁止反悔：ChallengercannotraiseanygroundthatwasraisedorreasonablycouldhaveraisedinPGRin: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(huì)提出的理由：AnotherPTOproceeding/美國(guó)專利局其他程序DistrictcourtorITCaction/地區(qū)法院或美國(guó)國(guó)際貿(mào)易委員會(huì)審理的訴訟7InterPartesReexamination

多方再審程序Inter-partesreexaminationisabolishedasofSeptember16,2012.多方再審程序于2012年9月16日不再施行AtransitionalprovisionprovidesforInterPartesReexaminationrequestsfiledonorafterSeptember16,2011:過(guò)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(qǐng)求：Thethresholdhaschanged:發(fā)起標(biāo)準(zhǔn)已變更：From‘‘a(chǎn)substantialnewquestionofpatentabilityaffectinganyclaim”

原發(fā)起標(biāo)準(zhǔn)是‘‘發(fā)現(xiàn)對(duì)權(quán)利要求有影響的、新的關(guān)于專利性的實(shí)質(zhì)問(wèn)題”To‘‘a(chǎn)reasonablelikelihoodthattherequesterwouldprevailwithrespecttoatleast1oftheclaimschallengedintherequest….’’

新發(fā)起標(biāo)準(zhǔn)是‘‘經(jīng)合理判斷有可能請(qǐng)求人在請(qǐng)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….’’8InterPartesReview-ComparisontoCurrentInterPartesReexamination

多方重審程序–與目前的多方再審程序?qū)Ρ華spect對(duì)比項(xiàng)InterPartesReexamination(abolished)多方再審程序(已廢除)InterPartesReview(new)多方重審程序(新程序)Tribunal審理機(jī)構(gòu)CentralReexaminationUnit專利局再審機(jī)構(gòu)PatentTrialandAppealsBoard專利審判及上訴委員會(huì)Timingforfiling申請(qǐng)時(shí)間Anytime任何時(shí)候AfterthelaterofclosingofPGRwindoworterminationofPGR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)Substantialnewquestionofpatentability發(fā)現(xiàn)新的關(guān)于專利性的實(shí)質(zhì)問(wèn)題Reasonablelikelihoodthatpetitionerwouldprevailonatleast1claim經(jīng)合理判斷有可能請(qǐng)求人在請(qǐng)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TimeLimit審理期限NotApplicable不適用Within1yearafterinstitution(+6monthsforcause)在發(fā)起后1年內(nèi)(可基于正當(dāng)事由延長(zhǎng)6個(gè)月)Priorart現(xiàn)有技術(shù)Patentsandprintedpublications專利和出版物Patentsandprintedpubs專利和出版物Appeal上訴ToBoardofPatentsandInterferencesandthenFederalCircuit向?qū)＠显V及抵觸委員會(huì)提出，隨后向聯(lián)邦巡回上訴法院提出DirectlytoFederalCircuit直接向聯(lián)邦巡回上訴法院提出9SupplementalExamination

補(bǔ)充審查程序Forthepatentee’sbenefit對(duì)專利權(quán)人有利Patenteemaysubmitanyinformation專利權(quán)人可提交任何信息Ifsubstantialnewquestionofpatentability,PTOreexaminespatent如果發(fā)現(xiàn)新的關(guān)于專利性的實(shí)質(zhì)問(wèn)題，則美國(guó)專利局對(duì)專利進(jìn)行再審Apatentshallnotbeheldunenforceablebasedoninformationconsideredinsupplementalexamination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：Inapplicabletocureexistingallegations不適用于糾正已經(jīng)存在的問(wèn)題SupplementalExamination/補(bǔ)充審查程序Mayallowapatentholdertoaddressitsinequitableconduct

允許專利權(quán)人解決不正當(dāng)行為Providesforsupplementalexaminationofclaimsbasedoninformationthatpresentsasubstantialnewquestionofpatentability

提出補(bǔ)充審查申請(qǐng)，需要提供能說(shuō)明可專利性實(shí)質(zhì)新問(wèn)題的信息Limitedto12itemsofinformation

限于12項(xiàng)信息Noneedtoaddresswhethertherewasanyintenttodeceive

不需要說(shuō)明是否存在有欺騙的意圖Patentcannotthenbeheldunenforceableforinequitableconductinsubsequentlitigation

在后續(xù)訴訟中，不能因不公平行為判決專利不可執(zhí)行AvailablenowforissuedUSpatents

目前適用于已授權(quán)的美國(guó)專利Officialfee=~$5000forinitialrequest;~$16000forre-examination(mustbothbepaidupfront)

首次申請(qǐng)，費(fèi)用低于5000美元，再審費(fèi)用低于16000美元(均須提前繳納)Mechanismsfor3rdpartychallenge

第三方挑戰(zhàn)機(jī)制3rdpartysubmissions第三人意見(jiàn)Post-grantreview(PGR)授權(quán)后重審程序Interpartesreview多方重審程序Windowoftime期限Thelaterof:以下述兩者中較晚發(fā)生的為準(zhǔn)：(i)6monthsfrompublication,and從公告起6個(gè)月，以及(ii)Firstrejection(orbeforethenoticeofallowanceifnorejectionsaremade)首次拒絕(如果不被拒絕，在簽發(fā)專利核準(zhǔn)通知之前)Within9monthsofpatentgrant專利授權(quán)后9個(gè)月內(nèi)Afterthelaterof:在下述三者中最晚發(fā)生之時(shí)后：(i)9monthsafterpatentgrant,專利授權(quán)后9個(gè)月(ii)ThedateofterminationofPGR(ifinstituted),and授權(quán)后重審程序(如啟動(dòng))的終止之日(iii)Within1yearofbeingsued被起訴后1年內(nèi)Identityof3rdparty第三方身份Canremainanonymous可不公開(kāi)Mustidentifyallrealpartiesininterest必須指明所有相關(guān)利益方Mustidentifyallrealpartiesininterest必須指明所有相關(guān)利益方Mechanismsfor3rdpartychallenge(cont’d)

第三方挑戰(zhàn)機(jī)制(續(xù))3rdpartysubmissions第三人意見(jiàn)Post-grantreview(PGR)授權(quán)后重審程序Interpartesreview多方重審程序Grounds理由Noveltyandobviousness(patentsandprintedpublicationsonly)新穎性和顯著性(僅專利和出版物)Priorart,utility,patenteligibility,enablement,writtendescriptionanddefiniteness現(xiàn)有技術(shù)、實(shí)用性、專利性、公開(kāi)充公性、書面描述、確切性Noveltyandobviousnessonly(patentsandprintedpublicationsonly)新穎性和顯著性(僅專利和出版物)Forum審理機(jī)構(gòu)USPTOExaminer美國(guó)專利局PatentTrialandAppealBoard專利審判及上訴委員會(huì)PatentTrialandAppealBoard專利審判及上訴委員會(huì)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Oralhearing是否舉行口頭審理No否Yes是Yes是Mechanismsfor3rdpartychallenge(cont’d)

第三方挑戰(zhàn)機(jī)制(續(xù))3rdpartysubmissions第三人意見(jiàn)Post-grantreview(PGR)授權(quán)后重審程序Interpartesreview多方重審程序Cost費(fèi)用Low(feeof$180forevery10documents)低(每10份文件收取180美元)Officialfee=~$35,000(cheaperthanlitigation)政府收費(fèi)低于35,000美元(比訴訟費(fèi)用低)Officialfee=~$30,000(cheaperthanlitigation)政府收費(fèi)低于30,000美元(比訴訟費(fèi)用低)Speed審理期限Examinerwillconsiderearlyoninprosecution審理機(jī)構(gòu)在初期階段進(jìn)行審查Finaldetermination1yearafterinitiation在提起重審程序后1年，作出最終決定Finaldetermination1yearafterinitiation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(wú)“Morelikelythannot”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“Reasonablelikelihoodofsuccess”經(jīng)合理判斷有可能請(qǐng)求人在請(qǐng)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!Availableforanypendingapplication現(xiàn)在！針對(duì)未授權(quán)的申請(qǐng)F(tuán)orpatentsgrantedfromapplicationsexaminedunderthenewlaw針對(duì)專利申請(qǐng)根據(jù)新法審查后授權(quán)的專利NOW!AvailableforanyissuedUSpatent現(xiàn)在！針對(duì)已授權(quán)的任何美國(guó)專利StatisticsonPostGrantProceedings(2003–2012)

授權(quán)后程序統(tǒng)計(jì)數(shù)據(jù)(2003年-2012年)14單方再審程序申請(qǐng)多方再審程序申請(qǐng)抵觸審查程序ExParte

ReexaminationStatisticsAsofSeptember30,2012截至2012年9月30日，單方再審程序統(tǒng)計(jì)數(shù)據(jù)Totalrequestsfiledsincestartofexpartereexamon07/01/81自1981年7月1日可申請(qǐng)單方再審程序起，提交的全部申請(qǐng)數(shù)量12569a.bypatentowner/專利所有權(quán)人提出387231%b.byothermemberofthepublic/社會(huì)其他人士提出853268%c.byorderofCommissioner/專利局作出裁定1651%2.Numberknowntobeinlitigation/進(jìn)入訴訟程序的數(shù)量399432%3.Totalexpartereexaminationcertificatesissued(1981–present)已簽發(fā)的單方再審程序證明總數(shù)(1981年-至今)9328a.Certificateswithallclaimsconfirmed

關(guān)于所有權(quán)利要求已獲確認(rèn)的證明202922%b.Certificateswithallclaimscanceled關(guān)于所有權(quán)利要求被撤銷的證明106311%c.Certificateswithclaimschanges關(guān)于權(quán)利要求被變更的證明623667%InterpartesReexaminationStatisticsAsofSeptember30,2012截至2012年9月30日，多方再審程序統(tǒng)計(jì)數(shù)據(jù)TotalrequestsfiledsincestartofInterpartesreexamon11/29/99自1999年11月29日可提起多方再審程序起，提交的申請(qǐng)數(shù)量19192.Numberknowntobeinlitigation進(jìn)入訴訟程序的數(shù)量1