“保险计划”：美国337调查专利侵权类案件规避设计策略分析

对接受337调查的每一个被告来说，最基本的应诉方案就是想办法让产品继续进入美国市场。规避设计就是一个可以实现这一目标的策略。正是因为如此，每个案子都应该准备对涉案专利的规避设计。我们有时把这个策略叫做“保险计划”，因为它是个作为保险的备用方案，也许这个方案不见得总是很容易、理想或必要，但它总是最确定的方案。
The basic plan for every respondent in a USITC 337 action is to keep products coming into the U.S. market. A design around strategy will accomplish that. And that is why designing around the asserted patents should be done in every case. We sometimes refer to the strategy as "Plan B" because it is insurance that may not always be easy, desirable or even necessary. But it is the surest strategy.
在下面的讨论开始之前，我们想强调，鼓励公司及个人对已经颁布的专利进行规避设计是美国的政策。这样有利于在市场上创造出多种多样的产品，被认为有利于消费者。
At the outset of this discussion it should be stressed that it is in the policy of the United States that companies and people should engage in designing around issued patents. This creates diversity of products in the market and is considered good for the consumers.
就规避设计而言，根据我们的经验，中国企业被告经常面临的问题及解答如下：
In terms of design around, based on our experience, the questions frequently faced by respondents from China and its analysis are as follows:
问题一
被告应该什么时候做规避设计？
When should a respondent design a product around asserted patent claims?
答案是立即做，或者越快越好。因为这是很好的保险，它会在最糟糕的情况出现时派上用场。
The answer is, immediately or as soon as possible. Because it is good insurance in case the worst case scenario occurs.
问题二
规避设计在337调查中能起到什么作用？
What effect does the design around product have on a 337 action?
答案是有多重作用：（1）使得原告无法阻止所有被告的产品进入美国，从而打击原告的士气; （2）如果该规避设计产品在程序中足够早的提出的话，规避设计的产品会从任何排除令中划出去。
The answer is several effects: (1) it will demoralize the complainant who will not be able to stop all of the respondent's products from coming into the Country; and (2) the design around product will be carved out of any exclusion order (assuming the product is introduced early enough in the proceedings).
问题三
规避设计要花多长时间？
How long does it takes to obtain design arounds?
如果原告同意规避设计，我们可能在3-4个月左右以同意令或调解方式终止调查。
(1) If the complainant does not assert claim against our design arounds, the investigation may be terminated by consent order or settlement in around 3 or 4 months.
如果原告不同意规避设计，我们可能在6个月左右以简式决定的方式终止调查。
(2) If the complainant does assert claim against our design arounds, the investigation may be terminated by a summary determination in around 6 months.
问题四
如果某被告在被诉时，已经针对涉案专利做了规避设计，被告可以直接使用这些规避设计产品作为抗辩吗？
If a respondent has several types of products that are already designed around the patents-in-suit, can a respondent directly use such products for design around purposes?
如果经律师判断已成功绕开涉案专利，并满足已实际出口到美国等其他要求，被告则可以将这些产品提交给原告和ITC以期达成和解或者获得同意令，或者向行政法法官提出简式决定的动议，以终止调查。
If the respondent's counsel concludes that the patents-in-suit has been successfully designed around and meets the requirement of actual importation to the U.S., the respondent can submit these products to the ITC and the complainant for the purposes of settlement or consent order, or file a motion with the ALJ for a summary determination to terminate the investigation.
问题五
When can a design around product be introduced to the ITC?
什么时候可以把规避设计产品递交给ITC？
The answer is during the discovery phase. Also, it can be introduced to the ITC after an exclusion order is issued, by the advisory opinion route. 19 CFR §210.79.
答案是在证据披露阶段。并且，即使在排除令已经颁布之后，也可以通过建议意见（advisory opinion）的途径递交给ITC。参见19 CFR §210.79。
问题六
规避设计是如何实现的？
How is a design around accomplished？
对规避设计的解释是假定ITC及所有法院都要求有一份专利侵权对照表。在法院程序开始时，原告不一定需要提供这张表；但在ITC程序中，每一位原告在递交起诉书时就必须提供这张表。
This explanation assumes that there is a patent infringement claim chart as required by the ITC and at all courts. Such charts may not be available at the beginning of court cases, but they are required with every complaint filed at the ITC.
这张表的左侧是专利的权利要求，右侧是相应的被告产品的结构或构成。专利侵权对照表的一部分看起来可能像下面这个例子：
The chart has patent claim language on the left side and corresponding structure or steps of the respondent's products on the right side. An example of a partial chart may appear as follows:

基本的概念是规避设计必须去掉专利权利要求中的一个限制，或者是对该限制作出了实质性的改变从而相应的结构以不同的方式工作。例如，假设专利权人对被告主张某一条专利权利要求。并且假设那一条权利要求的句子结构是这样的：1. 某样东西，包括这些部分：A + B +C + D +E。（所有的专利权利要求都是这样的或者类似的句子结构。）为了实现规避设计，则必须去掉A-E中至少一项，或者改变A-E中至少一项，从而替代的部分以一种不同的方式工作。
The basic concept is that the design around product must eliminate a limitation in the patent claim, or substantially change the limitation such that the corresponding structure functions in a different way. For example, assume that the patentee has asserted a numbered patent claim against the respondent. Also assume that numbered claim has a sentence structure of the form: 1. An object or process comprised of A + B +C + D +E. (All patent claims have this or a similar sentence structure.) To design around one must eliminate at least one of A-E, or change at least one of A-E so that the replacement functions in a different way.
在上面来自大成代理的DELCO 337调查案的部分专利侵权对照表的例子中，一个规避设计的策略就是去掉“自攻螺纹”，代之以普通的不能自攻或切割的螺纹。
In the above partial chart example taken from the DELCO case represented by Dentons at the ITC, one design around strategy is to eliminate "self tapping threads" and replace them with regular threads that cannot tap or cut.
问题七
如果被告主张规避设计，胜算率有多高？
What is the general success percentage regarding design-arounds?
并非所有的规避设计都如DELCO案那么容易，但许多都不难。规避设计的容易程序取决于相应的专利权利要求的性质是宽泛还是狭窄。
Not all design arounds are as easy as the DELCO case, but many are. The ease of the design around depends on the nature of the patent claims involved, broad or narrow.
问题八
如果被告主张不侵权，胜诉率有多高？
What is the general success percentage regarding non-infringements?
根据ITC对2020年第一季度的统计，原告的胜诉率有约45%（如下图）。值得引起注意的是，ITC统计的历年数据并不一定能成为您这个特定案子的胜诉率参考。比如，大成处理的伟创力案，是历史上非常罕见地代表337调查被告在侵犯商业秘密案中取得胜利的案例。
According to statistics for the first quarter of 2020 provided by the ITC, the percentage of violation determined by the ITC is 45% (see below). It is worth noting that the statistics provided by the ITC may not be an exact reference for your case. For example, the Flextronics case represented by Dentons is a very rare winning case in history in which the 337 investigation respondent won a trade secret misappropriation case.

问题九
怎么组织规避设计团队成员？
How to manage our design-around team members?
这支团队应该包括一位设计工程师、一位美国专利律师、一位会计和一位决策人。专利律师和工程师可以研究侵权表并探讨哪个地方有可以作出改变。专利律师必须去专利办公室查看专利的细节以及申请记录，从而判断提议的改变是否足够。一般来说，如果一项改变充分的话，则足以让行政法法官作出简易决定了。需要有会计来决定相应的工程变化带来的成本。决策人必须尽快批准该工程变化的实施。
The team should include a design engineer, a U.S. patent attorney, an accountant, and a decision maker. The patent attorney and the engineer can study the charts and explore where a change might be possible. The patent attorney must consult the patent specification and the prosecution history at the patent office to determine if the proposed change is sufficient. In general, a change is sufficient if it will result in a summary determination by the Administrative Law Judge. An accountant should be available to determine the cost of the engineering change. The decision maker must authorize the engineering change to implement it as soon as possible.
问题十
当规避设计的样品准备好了该做什么？
What to do when the prototype for the design around is ready?
一旦有了样品，应该把它送到ITC的法律顾问那里，从而让样品通过海关构成进口以奠定ITC的管辖权。然后被告的律师就可以把它披露给原告律师及非公平进口调查办公室。如果一切进展顺利，这个规避设计就可以避免排除令，并且这个产品就可以不受原告的干扰进口美国了。
When a prototype is available, it should be sent it to ITC counsel in the United States, so that the prototype goes through customs to establish importation and ITC jurisdiction. Then respondent's ITC counsel can disclose it to Complainant counsel and the Office of Unfair Import Investigations. If all goes well, the design around will avoid an exclusion order and such products can be imported without interference from the Complainant.
问题 十一
我的规避设计可以申请专利吗？
Is my design-around patentable?
规避设计本身往往也是满足专利要求的。为这样的变化寻求并获得专利保护会提高被告产品的价值，并且加强被告的不侵权立场。
Very often the design around is patentable in its own right. Seeking and obtaining patent protection for the change will increase value in Respondent's products, and strengthen Respondent's non-infringement position.
问题十二
在多个被告在进行规避设计的过程中，律师如何保护每一位客户的商业秘密？
How do lawyers protect each client's trade secrets while developing design-around strategy for multiple respondents?
尽管有相当大部分的律师工作内容是有重合的，但是每一位被告都有其个性化的问题。就这部分个性化问题，律师应该为每个客户保守商业秘密，同时律师和客户的沟通也受律师客户特权的保护。
Although a substantial percentage of the work overlaps, each respondent has its individual issues. Regarding the non-overlapping issues, lawyers should keep trade secrets for each client. In addition, attorney-client communications are protected by the attorney-client privilege.