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1、BRIEF INTRODUCTION TO INTELLECTUAL PROPERTY STRATEGIES IN USA美国知识产权策略简介,美国莱纳戴维律师事务所,Presented by史伯隆 Bruce H.SALES何勇 HE Yong,Intellectual property specialty law firm LitigationLicensingTransactionsDue DiligenceStrategies for US and worldwidePatent and Trademark procurement一家专注于知识产权的律师事务所诉讼知识产权许可知识产权交
2、易尽职调查在美国以及世界范围的知识产权策略专利以及商标注册申请,2,Who is Lerner David?莱纳戴维是谁？,3,80 IP attorneys;25 partnersAll attorneys dual qualified as attorneys-at-law and patent attorneysOur Firm Tier 1 Firm(Chambers)Our PartnersLeading IP lawyers in the USA(Chambers)International Law“Super Lawyers”(Corporate Counsel)80名各个领域的
3、专职知识产权律师，25名合伙人所有的律师均具有双重律师身份，均为专利律师；我们的律所为美国一类律师事务所我们的合伙人均为美国一流的著名知识产权律师我们的合伙人被评为国际法超级律师团队（公司法律顾问）,Who is Lerner David?莱纳戴维是谁？,4,Who is Lerner David?莱纳戴维是谁？,Our Partners(Continued)Preeminent Lawyers in U.S.(LexisNexis)Best Lawyers in America 我们的合伙人(续)我们的合伙人被美国LEXISNEXIS评为全美卓越律师团队美国最卓越的律师,5,Our lega
4、l practice 50%adverse mattersPatent litigationTrademark litigationTrademark oppositions and cancellationsPatent oppositionsInfringement allegations 我们所涉足的领域包括：50%对抗性案件 专利诉讼 商标诉讼 商标异议和商标无效 专利权异议 侵权申诉,Who is Lerner David?莱纳戴维是谁？,6,Who is Lerner David?莱纳戴维是谁？,Our legal practice（Continued）50%non-adverse
5、 mattersLicensing(drafting and negotiating)Strategy creation and implementation worldwidePatent opinions on infringement and validity Due diligence analysis Patent searching,writing and prosecuting worldwideTrademark selection,clearance and prosecution worldwide我们所涉足的领域包括：（续）50%非对抗性案件知识产权许可（许可合同的撰写和
6、谈判）知识产权策略的制定和全球化的策略实施 关于专利侵权和专利有效性的法律意见 尽职调查分析 全球范围的专利检索，专利申请撰写和申请 全球范围的商标选择，商标检索和申请,7,Computer Associates,Becton Dickinson,Our Clients我们的客户,Our Clients我们的客户,8,WHY INTELLECTUAL PROPERTY(A US VIEW)?为什么需要知识产权(从美国角度),9,10,Quick View Of Technology History,New technologies often developed by more than 1
7、person at about same time 新技术的开发往往是多家公司同时进行Telephone,transistor,laser 电话、晶体管、激光Best technology not necessarily technology that wins in market place 最先进的技术不一定就能赢得市场Beta Max v.VHS 索尼公司的BETA录像格式和JVC的VHS格式之争Important factors 重要的因素Best patent portfolio 好的专利布局Patent portfolio covers innovation(not just in
8、vention)and how innovaiton might be used“专利布局能更有效保护创新，专利保护的是整个创新，而不仅仅发明本身。Market power made stronger by global patent protection 强大的市场作用-全球性的专利布局能使企业的市场地位更稳固,The Power of IP知识产权的力量,11,Why Intellectual Property(“IP”)?Right to stop others from using your innovation as claimed(not only invention)or oth
9、er IPUsed in marketplace to intimidate and disrupt activities of competitorsUsed in financial communities to increase value of a company 知识产权为什么有这么大的力量？知识产权赋予权利人阻止他人使用自己的创新（不只是发明)或者其他知识产权的权利知识产权赋予权利人吓阻及干预竞争对手的权利和力量知识产权可以为权利人带来商业利润和经济效益,12,Patents protect technical advances or designs;protect ideas a
10、nd innovations,no need to have built product Minor changes can be patentable Commercial successPatent application must have detail to support claims and patent strategies 商标保护商品的标识，外观设计，外形以及其它一些相关的标识；它是产品或者服务来源的身份证注册商标非注册商标例如：字母，单词，包装，产品外形或者颜色都可以成为商标,The Power of IP知识产权的力量,13,The Power of IP知识产权的力量,
11、Trademarks protects brand names,designs,shapes and other ways a source of a product/service is knownRegisteredUnregisteredExamples:word,logo,package,product shape or color Copyrights protects expression of ideas,not the ideas themselvesRegisteredUnregisted 专利保护先进技术和先进工业设计，想法以及创意（即使产品还没有生产出来）一个很小的改变可
12、能也可以用来申请专利成功的商业模式也可以用来申请专利专利申请必须有支撑权利保护要求及专利策略的细节版权保护思想意思的表达，但不是思想本身注册版权非注册版权,Trade secrets highly confidential information providing economic benefit to the ownerMust maintain as secret Examples:Know how,Customer lists,marketing plans,expansion plans European design registration unique right to pro
13、tect designs in European Union商业秘密非常高等级的秘密信息，能够给权利人带来商业利益必须采取了保密措施例如：技术、客户名单、市场营销计划、市场扩展计划欧洲工业设计注册在欧洲，一种非常独特的保护工业设计的权利,14,The Power of IP知识产权的力量,15,Chinese companies have the reputation for not understanding unique procedures of US legal system 中国公司具有不了解美国司法体系的名声Western companies are quick to attemp
14、t to enforce any intellectual property rights they may havePatents used as a weapon Against competitorsIntimidate customers西方公司会迅速地试图执行他们可能具有的任何知识产权专利作为武器针对竞争者恐吓顾客,Western Companies Use IP As A Competitive Tool 西方公司使用IP作为一个竞争工具,16,Western Companies Use IP As A Competitive Tool 西方公司使用IP作为一个竞争工具,Weste
15、rn companies anticipate that most Chinese companies do not have a large or strong IP portfolio西方公司预期大部分中国公司不具有大规模的或者高质量的知识产权组合U.S.patent portfolio can be used offensively to defend market or defensively to help resolve disputes可以进攻性地利用美国专利组合来保卫市场份额，或者可以防御性地利用美国专利组合来帮助解决纠纷U.S.patent portfolio can be
16、a separate profit center美国专利组合可以是一个单独的利润点,17,The Power Of Intellectual Property 知识产权的力量,BusinessProtect company technologyBasis to attract customers(buyers look to avoid patent issues if possible)Way to create joint venture with company established in U.S.Enhance company value,particularly if going
17、public商业保护公司技术吸引顾客的基础(买方希望避免可能的专利问题)一种与美国公司建立合资企业的途径提升公司价值，尤其是在希望公开上市的情况下,18,The Power Of Intellectual Property 知识产权的力量,Business(continued)Allows for higher profit margins and larger market share sustainable over time Monetize IP for loans and cash flowIncrease value in mergers and acquisitions商业(续)
18、在可持续的长时间内，允许获得更高的利润率和更大的市场份额 IP质押，获得贷款和现金流在兼并和收购中增加价值,19,The Power Of Intellectual Property 知识产权的力量,Business(continued)Keep potential competitors out of market by establishing patent portfolio which creates infringement risks License and crosslicenseStandards bodies 商业(续）通过建立创造,侵权风险的专利组合,阻止潜在竞争者进入市场
19、许可和交叉许可标准机构,BASICS OF GETTING US PATENTS美国专利基础知识,20,In USA can patent almost anything including software,computer systems and methods of manufacture Novelty:invention not made beforeNon-obvious(inventive step in Europe):change that provides an advantage(faster,smaller,less costly)在美国，基本上任何东西都可以用来申请专
20、利，包括软件、电脑系统、和生产方法新颖性：发明必须具有新颖性,即以前没有被制造获使用过显著性（具有显著的技术进步）：即该种产品流程、制造方法或者其改进具有显著的进步,21,Patent Basics专利基础知识,22,Patent Basics专利基础知识,Patent monopoly or right of exclusion is defined only by the patent claims Use detailed description to help explanations to USPTO,licensing negotiations and court In USA y
21、ou can assert your patent against any person or corporation that makes,uses,imports,sells or offers to sell the inventionTerm:20 years from the date utility patent filed with the USPTO Can be extended if USPTO takes a long time to grant the patent专利的垄断权或者独占权以专利申请中的权利要求为范围在专利许可谈判上、在法庭上以及向美国专利商标局的汇报都使
22、用详细描述在美国，专利权利人能起诉任何使用、制造、进口、销售、或者为销售该专利产品提供报价的公司和个人专利保护期：通常来讲发明专利是从专利申请日起20年能续期(如果美国专利商标局要经很长时间才批准此专利),23,Basic Legal Requirements美国专利的基本法律要求,Useful实用性New Not in the pre-existing technology(prior art)Not previously used新颖性不属于现有技术未曾使用过,24,Basic Legal Requirements美国专利的基本法律要求,Non-obvious Difference bet
23、ween invention and pre-existing technology would not have been obvious at the time the invention was made to a person having ordinary skill in the art非显而易见性 在做出本发明的时候，该发明和现有技术之间的差异对本领域技术人员不是显而易见的,25,Non-Obviousness非显而易见性,Factors to considerScope and content of the pre-existing technologyDifferences
24、between the pre-existing technology and the claims of the patent Level of ordinary skill in the artSecondary considerations(if applicable)Commercial successLong felt need Failure of others考虑的因素现有技术的范围和内容现有技术和专利权利要求之间的差异本领域的普通技术水平（如果适用）次要因素商业成功长久以来的需要其他人的失败,26,Content of US Patent Applications,Detail
25、ed description(“specification”)of invention and innovative benefits发明内容要尽量具体，发明点要多Many examples尽量多的实施例Explain commercial and marketplace advantages 说明该发明带来的商业和市场优势Write for a technical audience and a non technical audience写专利申请时，要尽量让该领域的技术人员和非技术人员都能看懂 Specification is essential for interpreting clai
26、ms发明内容（说明）是将来解释权利要求的基础（说明的书写非常重要）Want the most description to support claim interpretation 发明内容（说明）将来要用来解释权利要求Claim interpretation is word by word in US 在美国，权利要求的解释逐字解释Write specification with a plan of how patent will be used during its 20 year life 在专利申请撰写中，在开始写专利说明时就要计划好将来在其20年的有效期内要如何使用该专利，按照其使用
27、计划制定撰写策略Arguing with USPTO 为了将来在USPTO审核时更容易Licensing and hard to“design around”为了专利许可的目的或者为了阻止他人进行规避性设计Court 为了将来在诉讼中更有利于权利人,27,A Simplified Patent Examination Procedure In U.S.美国专利审查程序简略示意图,USPTO审查,第一次驳回,最终驳回,上诉前程序,授权,授权,授权（5%）,授权,继续上诉程序,民事诉讼,上诉,请求继续审查,USPTO对原始申请进行审查,新的驳回理由,继续申请,USPTO对继续申请进行审查（保留优先
28、权日）,上诉,向专利上诉和抵触委员会上诉,联邦巡回上述法院,最高法院,推翻审查员的驳回决定,新的驳回理由（85%-90%）,哥伦比亚特区地方法院,最高法院,联邦巡回上述法院,Supreme Court,28,U.S.Patent Infringement Allegations and Litigation美国侵权指控和诉讼的应对实务,29,Judge interprets what the terms of claim mean in a Markman Hearing 法官通过马克曼听证程序解释权利要求的具体含义Jury decides if claim as interpreted is
29、 infringed 法官裁定权利要求中关系到是否侵权的相关字句的具体含义Every term or element of claim must be considered to interpret claim 权利要求中的每个字句或者每个要素在解释权利要求时都很重要，需要充分考虑Judge analyze the words of the claim 法官要分析权利要求中的每一个单词For help the judge first looks to specification在解释权利要求时，法官首先要借助说明Specification helps judge interpret claim
30、 broadly or narrowly法官对权利要求解释的宽窄取决于说明Essential that specification be written to anticipate arguments for claim construction 在撰写说明时就要预先考虑到将来要用来解释权利要求Consider prior art,evolution of technology,applications of innovation,potential design around,basis for broad definition of claim words在撰写说明时，要考虑在先技术、技术
31、的更新速度，相关的专利申请、潜在的进行规避设计的可能等,Interpreting A Claim In Patent Litigation,30,Writing Claims For The Market Place And Court,Think about how claims will be used in marketplace and against competitors撰写专利时要考虑其中的权利要求是将来开拓市场,保护产品的主要工具,也是对抗竞争对手至关重要的手段.Claims are interpreted by lawyers NOT engineers权利要求的撰写一定要从
32、法律的角度而不是从技术的角度为切入点Use words that make it harder to design around claims撰写权利要求的用词一定要从阻止他人进行规避性设计的角度思考Must have support in specification 并且必须在发明内容中能找到支持的依据Examples of words accepted by courts because supported by specification 对一个单词的解释的举例或者实施例如果在发明内容中有提及,基本上法院会予以支持Essentially,substantially,sized to fi
33、t,about,exceeding,not less than,generally,31,All patent cases in Federal District Court(trial court)所有的专利案件都在联邦地区法院（审判法院）进行Judges are appointed by President,approved by Congress and serve for life联邦法官由美国总统提名，国会批准，终身任职All appeals go to Court of Appeal for Federal Circuit(patent appellate court)所有上诉都诉
34、至联邦巡回上诉法院（专利上诉法院）Any participant can ask for trial by jury任何参与方均可要求由陪审团审理案件U.S.law looks to precise meaning of every word in claim,not to overall intent of patent美国法律考察权利要求的每一个字的精确含义，而不是考察专利的整体含义,Basics Of Patent Litigation In U.S.美国专利诉讼的基础知识,32,Patentee must prove infringement“Preponderance of evid
35、ence”Greater than 50%likelihood专利权人必须证明侵权“优势证据”大于50%的可能性Must show that defendant practices each and every element recited in claimLiterally exactly as set forth in claimEquivalently substantially the same function,way and result as set forth in the patent必须表明被告实施了权利要求记载的每一个要素字面侵权与权利要求完全相符等同侵权 和专利记载的
36、内容相比，具有基本相同的功能、手段和效果,What Must Be Proved必须证明什么,33,What Must Be Proved必须证明什么,Defendant must prove invalidityBy clear and convincing evidence Greater than 75%likelihood Must show that Patentee or USPTO did not comply with requirements of Patent ActUsually based on pre-existing technology(prior art)Def
37、endant or third party used similar technology before invention Prior art wrongly applied,not applied or not found by USPTO 被告必须证明专利无效用 清楚可信证据 大于75%的可能性 必须表明专利权人或者USPTO不符合美国专利法的规定通常基于现有技术被告或者第三方在发明之前使用了类似的技术 USPTO错误应用、没有应用或者没有发现现有技术,34,Decision Making Process In Patent Litigation专利诉讼中的决定性过程,Markman h
38、earingClaim constructionJudge decides what the important terms of the claims mean马克曼听证会权利要求的界定法官决定权利要求的重要术语的含义,35,Markman Hearing马克曼听证会,Judge issues written decision 法官发出书面决定No appeal until after trial or summary judgment在审判或者简易判决之前不得上诉After Markman ruling Review of strength of caseMay significantly
39、 impact damage analysisOften time for settlement discussionsSummary judgment motions filed在马克曼裁决后评估案件的走势可对赔偿金分析有重大影响通常是和解谈判的时机提交简易判决请求,Decision Making Process In Patent Litigation专利诉讼中的决定性过程,Infringement,invalidity and money damagesSummary judgmentReasonable people cannot differ about outcomeTrialJu
40、ry or judgeIf juryMust be able to explain technology in a simple wayMust tell a story that the jury can understand侵权、无效和货币赔偿金简易判决通情达理的人对结果不会有分歧审理程序陪审团或法官如果是陪审团必须能以一种简单的方式解释技术必须对陪审团讲一个他们能听懂的故事,36,37,Notice Of Infringement侵权通知,Accusation from patent owner Letter not required before starting litigation
41、来自专利权人的侵权指控在开始诉讼前不需要律师函Was a claim chart receivedIf not,ask for oneContact US qualified patent attorney with experience in court and patent negotiations 有没有收到权利要求的一览表如果没有，去要一份联系有出庭经验以及专利谈判经验的合资格美国律师,38,Evaluate commercial aspect of accusation评价指控的商业情况Does it make business sense to expend resources花费
42、资源有没有商业意义Assess how much money company will need invest in dispute评估在案件中公司需要投入多少金钱What has been the response of others in the field 本领域的其他人有什么反应Patentees record in previous litigation专利权人的先前诉讼记录Knowledge of past licenses by patentee专利权人先前许可的信息Is patentee a troll专利权人是专利诉棍吗Can an easy change be made t
43、o avoid alleged infringement?可不可以采取容易的应变手段来避免侵权指控？,Notice Of Infringement侵权通知,39,A Very Brief Introduction ToTrademarks商标简介,40,Trademarks商标,Trademarks can often have more value than patents 商标常常会比专利更有价值Brands drive purchase and public recognition 商标驱使人们购买和公众认知The filing and obtaining of trademarks i
44、s much simpler than patents申请和获得商标比专利简单得多,41,In the United States there are two levels of trademark protectionRegisteredCommon LawCommon Law protection is obtained by using a trademark,but only in geographic areas where the mark is used在美国，有两层商标保护注册商标普通法通过使用商标可获得普通法保护，但仅限商标所使用的地理区域内,Trademarks商标,42,
45、Registration can be obtained in three waysUse of markSection 44(based on foreign registration)Madrid Protocol(China is also)可通过三种途径注册商标使用商标美国商标法第44条(基于国外注册)马德里议定书(中国也可以通过此途径注册),Trademarks商标,43,Trademark rightsBased on use of a trademark in U.S.or in commerce with U.S.Register with USPTORegister use
46、of trademarkFull examination,not merely formalities商标权利基于在美国使用商标或与美国的商业联系向USPTO注册注册使用商标完全审查，不仅是形式审查,Trademarks商标,44,Our Philosophy For Trademark Filings 我们的理念美国商标申请,Discuss filing strategy and use in U.S.讨论申请在美国的战略和使用Consider whether clearance search should be done考虑到是否应该进行侵权分析检索Select the best legal filing strategyMadrid ProtocolIntent to useUseReliance on filing in China选择最佳的法律申请战略马德里议定书意向使用使用依赖于在中国的申请,45,史伯隆(Bruce H.SALES)T:+86(20)3810-3788F:+86(20)3810-,Thank you!谢谢！Please contact us with any questions如果有任何问题，请随时联系我们,何勇(Yong HE)T:+86(20)3810-3791F:+86(20)3810-,
