Increasing Revenue via Freedom to Operate FTO Search

Increasing Revenue via Freedom to Operate (FTO) Search and Analysis 通过自由实施（FTO）– 检索与分析提高收益 Aaron Wininger, Partner 闻宁阁，合伙人

Firm Introduction 律所简介 § § § § More than 700 lawyers 700多名专业律师 17 offices throughout the United States 在美国有17个办公机构 2 offices in China (Shanghai and Beijing) 在中国有2个办公机构（上海和北京） Represent great companies across a wide range of industries and stages of growth—from start-ups to FORTUNE 100 corporations § 客户横跨各个领域，规模大至财富100强公司，小至初始创业公司 § Listed on FORTUNE magazine’s “ 100 Best Companies to Work For” for nine consecutive years (2003 - 2011) § 2003 -2011连续 9年被财富杂志列为“ 100 家最适合 作的公司"之一

FTO Introduction FTO简介 A Freedom to Operate Opinion (FTO) determines if an action would infringe the patent rights of others. 自由实施意见书（FTO）可确定某一行为是否会侵犯他人的专 利权。 Benefits 好处: §Design Around if Infringing §如有侵权可通过规避设计“绕开”目标专利 §Reassure customers they will not be sued for using your products or services §打消顾客顾虑，使其不必担心会因为使用您的产品或服务而遭 起诉 §Increase valuation if raising money §在您增资时增加公司价值 §Defense against charge of intentional infringement §避免因国际侵权产生的费用

Damages for Patent Infringement 专利侵权赔偿额 § In China the maximum statutory damages are only 1 million RMB ($153, 000 USD). § 在中国，法定赔偿额最多只有一百万人民币（约 15. 3万 美元）。 § In other foreign countries, Courts or Juries tend to award significantly higher damages and enforce injunctions. § 在其它国家，法院或陪审团都倾向于判处相当高的赔偿 金，并裁定具有强制执行力的禁令。

Damages for Patent Infringement 专利侵权赔偿额 § In 2009, the median US patent damages award was $9 million. § 2009年，美国专利侵权赔偿金额的平均值为 900万美元。 § Alcatel-Lucent was awarded over $1. 5 billion USD in a 2007 patent litigation over MP 3 technology against Microsoft. § 2007年阿尔卡特朗讯在与微软公司之间就MP 3技术展开 的专利侵权诉讼中获赔超过15亿美元。 § Centecor was awarded over $1. 6 billion USD in a 2009 patent litigation against Abbot. § 在Centecor诉Abbot专利侵权一案中，Centecor最终在 2009年获赔超过16亿美元。

What is a FTO? 什么是FTO? § A FTO is a legal opinion § FTO是法律意见 § by a patent attorney 由专利律师出具 § admitted in the relevant jurisdiction, § 该律师被允许在相关司法管辖区域内执业 § which indicates whether a technology would infringe a third party's patent or patents if manufactured, sold, etc. in that relevant jurisdiction. § 其表明如果在该司法管辖区域内进行某一技术的制造、 销售，是否会侵犯第三方的专利权。

How is a FTO prepared? FTO是如何准备的？ § First, there has to be an understanding the technology that will be sold or used. This will help define a field of search and later analysis of search results. § 首先，要理解即将销售或使用的技术。这有助于确定 检索的范围和之后对检索结果的分析。 § The understanding will come from a disclosure by relevant engineers and/or an examination of the technology itself. § 上述理解源于有关 程师披露的信息和/或对该技术的 研究。

After an Understanding – Clearance Search 理解技术之后——防侵权检索 § After there is an understanding of the technology, a clearance search should be performed. § 在完成对技术的理解之后，下一步将要进行防侵权检索。 § A patent attorney and/or a search firm can perform this clearance search. § 专利律师和/或检索机构可进行这种防侵权检索。 § Search can focus on competitors. § 检索可以专注于竞争对手的专利。 § Specific patents of concern may have been identified by a customer. § 客户可以先行指明一些需要注意的专利。

Clearance Search 防侵权检索 § Search firms typically employ former Patent Office Examiners and are more effective and less expensive than a patent attorney. § 检索机构一般会聘用前任专利局审查员，他们比专利律师相对 高效且收费较低。 § Patent attorneys, however, might have a better understanding due to working with engineers or examining the technology. § 然而，专利律师可能因为与 程师进行沟通或研究该项技术而 对其具有更透彻的理解。 § Not mutually exclusive, can use both for search. § 两种方式并非势不两立，可以同时使用进行检索。

Clearance Search 防侵权检索 § The clearance search should only be of enforceable patents (that is, patents in which the most recently due annuities or maintenance fees have been paid and in which the statute of limitations for any expired patents has not yet expired – usually 2 years after patent expiration). § 防侵权检索应当仅针对可实施的专利（即，已经缴纳了最近到 期的年费或维持费的专利，以及仍在诉讼时效内的已届满的专 利，该诉讼时效通常为专利届满后的两年）。 § The search should not include patent applications because they are not enforceable and claims may change in scope during examination. § 检索不应当包括专利申请，因为它们还不具有可实施性，且其 权利要求的范围可能会在审查期间改变。

After the Clearance Search – Screening 防侵权检索之后——筛选 § Once the results have been received, the resulting patents should be screened for relevance. § 得出防侵权检索结果之后，需要对检索出的专利进行 相关性筛查。 § Usually, only the patents in which a plausible argument for infringement can be made should be analyzed further. § 一般而言，只有那些能够作出看起来合理的侵权论证 的专利需要被进一步分析。

What does the FTO show? FTO报告显示的内容是什么？ § § The FTO itself comprises several sections including: FTO报告本身包含几个部分： § a description of the technology; § 对目标技术的说明； § search methodologies used (e. g. , was an agent used, patent classes and subclasses searched, whether an agent consulted a Patent Office Examiner, etc. ); § 所用的检索方法（例如，是否委托了代理机构，检索所针对的专利分类号，代理 机构是否咨询了专利局审查员，等等）； § a chart identifying all patents found (listing patent number, assignee, classes and subclasses, etc. ); § 显示检索到的所有专利的表格（列出专利号、专利权人（受让人）、分类号等）； § applicable legal principles for the analysis (e. g. , to define how a court will evaluate a charge of patent infringement in the relevant jurisdiction); § 分析所适用的法律原理（例如，明确法院在相关司法管辖区域内会如何评估一项 针对专利侵权的指控）； § evaluation of patents identified; and § 对所列专利的评估； 及 § disclaimers (limitations of the FTO), if any. § 以及免责声明（FTO报告的局限），如有 。

Irrelevant Patents vs. Relevant Patents 不相关专利与相关专利 § The evaluation of the patents mentioned above should include at least two sections: § 对上述专利的评估应当包括至少以下两部分： § 1) a table of irrelevant patents and the reasoning why they are irrelevant; and § 1）不相关专利的列表，以及认定这些专利为不相关专 利的理由；及 § 2) an analysis of relevant patents. § 2）对相关专利的分析。

Irrelevant Patents vs. Relevant Patents 不相关专利与相关专利 § For each relevant patent, the attorney should provide § 对每个相关专利，律师需要提供 § a description, § 介绍， § a review of the file history (e. g. , filing date and priority claim, if any; office action rejections and responses, etc. ), and § 文件历史的回顾（例如，申请日和优先权要求，如有； 否定性审查意见及答复等）；及 § an analysis of the claims using the applicable legal principles mentioned above. § 用上述的法律原理对权利要求所作的分析。

Analysis of Relevant Patents 对相关专利的分析 § § The analysis should address both literal infringement and infringement under the doctrine of equivalents. 该分析应当兼顾字面侵权和等同原则下的侵权。 § § § It performs substantially the same function 其基本上起到相同的作用 In substantially the same way 以基本上相同的方式 To yield substantially the same result 产生基本上相同的结果

Analysis of Relevant Patents 对相关专利的分析 § § Analysis may also address contributory infringement if needed. 如果需要，该分析还可以涵盖辅助侵权。 § § Selling a component for use in a patented invention and not suitable for non-infringing use. 销售在某发明专利中使用的组件且不适用于非侵权使 用。

Disclaimers 免责声明 § Disclaimers will set forth any limitations of the FTO. § 免责声明中会阐述FTO报告的各种局限。 § For example, potential deficiencies in the clearance search that may have caused relevant patents to be missed. § 例如，防侵权检索可能存在的缺陷也许会导致漏检。 § A potential deficiency in all clearance searches is the lag in granting of patents between conclusion of the search and drafting of the FTO. § 任何防侵权检索都会漏检那些在从检索完成到起草FTO 报告这段时间内授权的专利。

Disclaimers 免责声明 § Other deficiencies could include misclassification of relevant patents and use of different terminology as each applicant can be his/her own lexicographer. § 其它可能存在的缺陷包括相关专利的分类不当或使用 的专业术语不同，因为每个申请人都可能会使用其偏 好的一套术语。 § Another disclaimer is that even if the FTO concludes there is no infringement, a patentee may still assert a charge of patent infringement. § 另一项免责声明是，即使FTO报告的结论是不存在侵 权，专利权人仍可能会提出专利侵权的指控。

Infringement? 侵权? § What if FTO indicates infringement? § 如果FTO结果显示侵权怎么办？ § § § Design Around 规避设计绕开目标专利 License 专利许可 Prepare invalidity opinion 准备专利无效意见书 § Invalidate patent § 使专利无效

Conclusion 结论 § A FTO is a useful tool in evaluating risk of patent infringement when selling a new product or entering a new market with an existing product. § FTO报告是在销售新产品或将已有产品投入新的市场时用来评 估专利侵权风险的利器。 § Even if a customer is not requesting a FTO, it is best practice to conduct one anyway to reduce exposure to patent infringement lawsuits. § 为了降低被卷入专利侵权诉讼的风险，即使客户没有要求，在 实践中的上策还是主动准备FTO报告。