北加州地院修改Patent Local Rules，要求當事人提早揭露與損害賠償計算有關的文件

NDCA Patent Local Rules

北加州地方法院於2017年1月17日修改了Patent Local Rule，規定了與損害賠償的計算相關的資訊揭露規定。以下整理部分重點供參。


1. Initial Case Management Conference：新增需揭露對損害賠償的評估

Initial Case Management Conference大概會在被告被送達訴狀後的兩三個月就召開 (詳情請參考美國聯邦民事訴訟法第26(f)與第16條)。修改後的Patent Local Rule第2-1條新增了(b)(5)，規定在Initial Case Management Conference之前，雙方當事人就需要提供對損害賠償的評估給法院，不提供需交代原因：

(5)  The parties shall provide the court with a non-binding, good-faith estimate of the damages range expected for the case along with an explanation for the estimates. If either party is unable to provide such information, that party shall explain why it cannot and what specific information is needed before it can do so. Such party shall also state the time by which it should be in a position to provide that estimate and explanation.

我曾多次在研討會上建議聽眾，評估專利侵權警告函的風險時，應盡早計算相關產品的營業額，以便計算潛在的損害賠償風險。很明顯地，這麼做的理由現在又多了一個：若進入訴訟，這個資訊會很早就需要提供給法院。


2. Infringement Contentions：原告需提早揭露與損害賠償計算相關的文件

修改後的Patent Local Rule第3-1條新增了(h)，規定原告需在其Infringement contentions中，加入請求損害賠償的時間點：

(h) Identify the timing of the point of first infringement, the start of claimed damages, and the end of claimed damages;

此外，Patent Local Rule第3-2條新增了(f)-(j)，要求原告提供對造許多文件，包括原告認為與計算合理權利金相關的comparable license，以及所有反映了FRAND承諾相關的文件：

(f) All agreements, including licenses, transferring an interest in any patent-in-suit;

(g) All agreements that the party asserting infringement contends are comparable to a license that would result from a hypothetical reasonable royalty negotiation;

(h) All agreements that otherwise may be used to support the party asserting infringement’s damages case;

(i) If a party identifies instrumentalities pursuant to Patent L.R. 3-1(g), documents sufficient to show marking of such embodying accused instrumentalities and if it wants to preserve the right to recover lost profits based on such products, sales, revenues, costs and profits of such embodying accused instrumentalities"; and

(j) All documents comprising or reflecting a F/RAND commitment or agreement with
respect to the asserted patent(s).

這些文件都會跟損害賠償計算有關。本來在證據發現的過程中，被告律師就會要求原告律師在保護令之下提供這些文件。現在等於將這些文件揭露的時間，提早到跟原告的Infringement contention一起提供。很明顯這是為了提升訴訟效率。


3. Invalidity Contentions：被告也需提早揭露與損害賠償計算相關的文件

與上面相對應地，修改後的Patent Local Rule第3-4條也新增了(c)-(d)，規定被告需在其Invalidity contentions中，加入與損害賠償計算相關的文件：

(c) All agreements that the party opposing infringement contends are comparable to a license that would result from a hypothetical reasonable royalty negotiation.;

(d) Documents sufficient to show the sales, revenue, cost, and profits for accused instrumentalities identified pursuant to Patent L.R. 3-1(b) for any period of alleged infringement; 

這邊需要注意的，是(d)所要求的，被控侵權產品於被控侵權期間的銷售、營收、成本、利潤相關文件。這些文件現在需提早到與Invalidity contention一起提供。通常整理這些文件曠日費時，尤其對無法自動產生報表，需要手動整理這些文件的公司而言，往後這些準備動作都需要提早進行。


4. 新增Damages Contentions

這是最主要的修改了：Patent Local Rules新增了3-8條與3-9條，分別是原告的Damages Contentions，以及被告的Responsive Damages Contentions：

3-8. Damages Contentions

Not later than 50 days after service of the Invalidity Contentions, each party asserting infringement shall:

(a) Identify each of the category(-ies) of damages it is seeking for the asserted infringement, as well as specifics regarding its theories of recovery, factual support for those theories, and computations of damages within each category, including:

    1. lost profits;
    2. price erosion;
    3. convoyed or collateral sales;
    4. reasonable royalty; and
    5. any other form of damages.

(b) To the extent a party contends it is unable to provide a fulsome response to the disclosures required by this rule, it shall identify the information it requires.

3-9. Responsive Damages Contentions

Not later than 30 days after service of the Damages Contentions served pursuant to Patent L.R. 3-8, each party denying infringement shall identify specifically how and why it disagrees with those contentions. This should include the party’s affirmative position on each issue. To the extent a party contends it is unable to provide a fulsome response to the disclosures required by this rule, it shall identify the information it requires.

原告的Damages contentions需在被告提出Invalidity contentions之後的50天內提出。在這之後，被告需在30天內針對原告的主張提出Responsive damages contentions。跟以往damages discovery的緩慢步調相比，這個時程可說是非常快速。往後在北加州進行專利訴訟，針對這部分可能需要與律師一起提早準備。

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在了解法院的規定後，許多動作其實可以提早進行，甚至在訴訟開打之前就開始準備。這樣做的原因有二。

首先，提早準備損害賠償的相關資料，可以讓自己在訴訟進行過程中，不會因程序問題而手忙腳亂。這樣可以讓負責管理訴訟案件的人，花更多時間在實體的攻防策略上。對產品線多樣化，商業模式複雜的大公司而言，法務部門可以更進一步思考一下，往後碰到專利訴訟時，應該如何準備損害賠償相關資料，以便及時應對法院的要求。

其次，作為風險評估的一環，提早整理損害賠償的相關資料，可以讓雙方當事人都更清楚這是多大的案件，對於和解談判的進行，或是決定需調用多少資源進行訴訟，都會有幫助。事實上這個整理，在接到警告信函之後就該開始做了。這至少可以避免，比如，小案子卻請了昂貴的大律師，或是大案子卻只預留了不夠花的預算的窘況發生。