最高人民法院知识产权法庭年度报告（2019）(14)

　　Second, strengthen professional capabilities and enhance the team’s ability to perform duties. Based on active thinking, fast knowledge update, and high degree of internationalization in the field of intellectual property, the IP Court has actively created conditions to specifically strengthen the trainings in intellectual property and foreign language to enhance the team’s ability to perform its duties. Over the past year, two national trial practice training courses were held to provide in-depth explanation of the judicial policy and adjudication rules and promote harmonization in thoughts and coordination in pace among the IP courts and tribunals across the country. The IP Court also held multi-level professional trainings, built high-quality standardized learning platforms such as the “The New Knowledge Lecture Hall” and “The IP Court Forum,” to invite well-known experts and scholars from across the country to give lectures to the IP Court, and broadcast live to the local courts, to improve the trial team’s professional quality. It established a foreign language working group, carried out daily online and offline foreign language training, and translated foreign court decisions and academic papers on frontier issues. The IP Court has given full play to the pioneering role of its national trial experts, who as the trendsetters can thus be followed by the other staff members of the IP Court, and is striving to become an education base for the IP courts and tribunals across the country to forge the professional technical trial team of Chinese courts.

　　（一）立足审判职能，公正审理案件

　　In 2019, the average trial period for substantive cases of second instance tried by the IP Court was 73 days, and 29.4 days for cases of second instance on challenge to jurisdiction. The closing rate was 39.2 cases per judge.

　　以“第一槌”为样板，法庭根据不同技术领域知识产权的特性，通过个案智慧总结类案经验，树立了一批标杆案件。如在机械领域，上诉人无锡海斯凯尔医学技术有限公司与被上诉人弹性测量体系弹性推动公司、原审被告中日友好医院侵害发明专利权纠纷案，所涉专利为“肝病无创诊断仪”，该案对专利侵权诉讼中权利要求保护范围的解释、举证责任的分配、相同和等同技术特征的判断等问题确立了裁判规则。在医药领域，上诉人国家知识产权局与被上诉人伊拉兹马斯大学鹿特丹医学中心、罗杰金登克雷格发明专利驳回复审行政纠纷案，涉及的发明为前沿生物基因技术药物，法庭厘清了专利创造性判断与说明书充分公开等法律标准的关系，促使专利审查实践中创造性判断标准回归核心和本质，并对如何在创造性判断中避免“后见之明”给出了明确指引。在通信领域，上诉人深圳市吉祥腾达科技有限公司与被上诉人深圳敦骏科技有限公司等侵害发明专利权纠纷案，所涉专利为“一种简易访问网络运营商门户网站的方法”，该案以网络通信领域的技术特点为重要考量因素，确定了多主体实施方法专利的侵权判断规则：以生产经营为目的，未经许可将专利方法的实质内容固化在被诉侵权产品中，对专利权利要求的技术特征被全面覆盖起到了不可替代的实质性作用，即构成侵害方法专利权。在植物新品种领域，上诉人蔡新光与被上诉人广州市润平商业有限公司侵害植物新品种权纠纷案，所涉植物新品种为“三红蜜柚”，该案对植物新品种权保护范围以及被诉侵权行为的认定等问题确立了裁判规则，指出在植物体既是繁殖材料又是收获材料的情形下，应审查被诉侵权的销售者将其作为繁殖材料还是收获材料进行销售的真实意图。

　　Team building is the foundation and guarantee for stable and long-term development of the judiciary. Technology-related intellectual property case trials have the characteristics of professionalism, cutting-edge technology, and international scope. The judges must have a firm political position, exceptional professional capabilities, and be prudent and honest, to effectively improve judicial capacity and become the talent guarantee for improving the quality and effectiveness of trials.

　　2. Strengthen informatization development and promote intelligent case handling

　　(iii) The cases involve interconnected procedures. The IP Court accepted many mutually competitive litigation cases where the parties file multiple civil and administrative litigations against each other in different courts. There were many related cases involving different trial levels and different procedures. The IP Court achieved good results by coordinating and handling the cases from the aspects of trial procedures, judgment standards, holistically mediation, etc., and the percentage of mediation and withdrawal rate of second instance cases concluded in 2019 was 29.9%.

　　第二，坚持国际视野，“走出去”用心讲述中国知识产权法治故事。法庭通过积极参与国际交流活动，展示中国技术类知识产权司法保护的成果，宣传中国技术类知识产权司法保护的理念，争取国际社会对于中国知识产权保护情况的认知、理解和认同，为知识产权国际规则的制定贡献中国智慧和中国方案。2019年5月，法庭副庭长王闯率中国专利法官代表团一行8人，赴法国、卢森堡和德国进行技术类知识产权案件审判专题交流，向欧洲知识产权司法和实务界介绍法庭的设立与我国技术类知识产权司法审判制度的创新发展，传递了我国大力加强知识产权司法保护的强烈信号。2019年6月，法庭副庭长周翔参加由国际知识产权保护协会中、日、韩三国分会联合主办的“2019AIPPI中日韩三国分会交流会”，并做英文主旨演讲，全面介绍法庭的机构设置和创新工作机制，以及中国知识产权司法保护的最新发展。一年中，法庭还有多位法官“走出去”讲述中国知识产权法治故事，如赴美国哈佛大学、耶鲁大学进行英文宣讲，赴英国参加2019年度AIPPI世界大会“模拟法庭”活动，赴瑞士参加世界知识产权组织执法咨询委员会会议，赴西班牙参加欧盟知识产权局举办的“知识产权调解大会”，赴新加坡参加知识产权周活动全球论坛，赴南非参加“国际无性繁殖观赏植物与果树育种者协会”年会，赴韩国参加WIPO“知识产权争端解决继续教育课程”，等等。

　　（三）实施系统工程，统一裁判标准

　　第二，加强与律师协会、学术界等法律职业共同体的沟通，形成知识产权法治保护合力。2019年5月29日，中华全国律师协会知识产权专业委员会参访法庭，围绕法庭的建设发展、相关立法的完善、诉讼体验的优化等问题，与法庭法官座谈交流。2019年11月23日，法庭庭长罗东川应邀出席中国知识产权法律实务研讨会暨中华全国律师协会知识产权专业委员会2019年年会，介绍法庭情况，并围绕知识产权法律人才培养与法律职业共同体建设发表演讲。法庭还邀请中国科学院院士等专家学者，为法庭干警讲授课程，并研讨技术类知识产权审判相关法律问题和技术问题。法庭探索与高校建立长效合作机制，提供司法实践资源助力高校人才培养。

　　(ii) Judgment of inventiveness is the main dispute in most cases. There were a total of 92 cases involving inventiveness judgment, accounting for about 70% of patent administrative cases, and among the cases where the judgment of the first instance was reversed, 80% involve examination of inventiveness. In the trial of such cases, the IP Court judges attach importance to determination of non-obviousness by using the “three-step approach”, standardize auxiliary considering factors such as  commercial success, and explore judgment of inventiveness concerning compound medicines in new crystalline form, preserved biomaterials, etc., so as to ensure that truly valuable inventions are protected according to law.

　　On March 27th, 2019, the collegial panel of the IP Court consisting of Chief Judge Luo Dongchuan and Deputy Chief Judge Wang Chuang “struck the gavel for the first time” when they tried in public the first technology-related IP case—an invention patent infringement dispute of Xiamen Lukasi Automobile Parts Co., Ltd. and Xiamen Fuke Automobile Parts Co., Ltd. (Appellants) v. VALEO SYSTEMES D’ESSUYAGE (Respondent). From filing time of this second instance case to court hearing, closing and service of judgment, the IP Court took only 50 days. The case involved a frontier issue of preliminary judgment on patent infringement. Through this case, the IP Court clarified the criteria for determining functional feature, the unique value of the preliminary injunction when the preliminary decision involving the permanent injunction has not yet taken effect, and the applicable conditions and rules when the preliminary injunction and the preliminary judgment involving permanent injunction coexist. The case was identified as a guiding case by the Supreme People’s Court, and included in the “Top Ten Model Civil and Administrative Cases in 2019”.

　　Focusing on the goal “to make people feel fairness and justice in every judicial case”, the IP Court takes judicial openness as the core and judicial publicity as the primary measure, to constantly enhance the transparency of judicial information, and promote improvement of judicial trustworthiness.

　　Cases concerning jurisdiction heard by the IP Court have the following characteristics:

最高人民法院

　　The IP Court learns from successful international practices in protecting intellectual property rights through international exchanges, and at the same time tells the world the story of China’s efforts in protecting intellectual property by law, thereby contributing Chinese wisdom to the world’s rule of law and civilization. During the year, the IP Court conducted a total of 32 foreign exchange activities, including 18 incoming exchange visits, 8 outgoing exchange visits, and 6 foreign-related activities in China.

　　2020年是中国全面建成小康社会、实现第一个百年奋斗目标的收官之年，也是国家创新驱动发展战略目标实现过程中，进入创新型国家行列、基本建成中国特色国家创新体系、有力支撑全面建成小康社会目标的实现之年。知识产权作为创新发展的基本保障和重要支撑，承载着重要历史使命，也对司法保护工作提出了更高要求。在新的历史节点，法庭将坚持以习近平新时代中国特色社会主义思想为指导，不畏艰险，不惧挑战，充分发挥审判职能作用，加大司法保护力度，服务创新驱动发展战略，以强有力的司法手段激发全社会创造热情，释放创新创业活力，努力营造法治化、国际化、便利化的国际一流营商环境，为实现“两个一百年”奋斗目标、为建设知识产权强国和世界科技强国提供更加有力的司法服务和保障，为实现中华民族伟大复兴的中国梦做出新的更大贡献！

前 言

　　First, strengthen communication and cooperation with the administrative departments to establish a joint force for judicial and administrative protection of technology-related intellectual properties. Since its establishment, the IP Court has actively communicated and cooperated with China National Intellectual Property Administration, the Ministry of Agriculture and Rural Affairs, the anti-monopoly law-enforcing departments of the State Council, etc. to promote multi-party synergy, and actively serve and guarantee an innovation-driven development strategy. Strengthen cooperation with China National Intellectual Property Administration. The two parties basically agreed on electronic services, remote exchange of evidence, data sharing and other works, and determined the data exchange method. In order to ensure that the data provided by each party can be exchanged stably and quickly, the two sides will further study the special line connection scheme for exchanging data. Strengthen cooperation with the Ministry of Agriculture and Rural Affairs. The IP Court and the Ministry of Agriculture and Rural Affairs carried out joint research on the protection of new plant varieties. At the invitation of the Ministry of Agriculture and Rural Affairs, the IP Court participated in a seminar on the protection of new varieties of agricultural plants, a seminar on the revision of Regulations on the Protection of New Varieties of Plants, and the top ten typical cases review session for the protection of new varieties of agricultural plants. The IP Court also invited experts from the Ministry of Agriculture and Rural Affairs to give lectures on the protection of new plant varieties. The two sides conducted extensive studies on how to establish a long-term mechanism for communication and cooperation to jointly protect national food security. Strengthen cooperation with the anti-monopoly law-enforcing departments of the State Council. With respect to formulating regulations on prohibiting monopoly agreements and anti-monopoly enforcement, the IP Court is actively providing suggestions and views on amendments to State Administration for Market Regulation. The IP Court’s judges are invited as members of the expert advisory group of the Anti-Monopoly Committee of the State Council, and regularly participate in China Competition Policy Forum, Big Data and Antitrust Conferences and so on, to provide advisory opinions on antitrust competition policies and other legal issues.

　　Fourth, prepare overall plans for future informatization development work. The IP Court formulated the Three-year Development Plan for the Intelligent Construction of the IP Court (2019-2021), which clarified the goals and ideas of informatization development. The Plan proposed the concept of “one platform”, “two services”, “three scenarios”, “four connections”, and “five key projects”, to create an intelligent case handling system for the IP Court that is safe and controllable, supports comprehensive coverage, interconnection, cross-border integration, in-depth application, and is transparent and convenient. “One platform” refers to the IP Court’s electronic litigation platform, which provides a full range of intelligent services for judges, litigants, and the public. “Two services” refers to insisting on serving the people and serving the trial work. “Three scenarios” indicates that the results of informatization development are reflected in three scenarios: litigation service, the technology IP Court, and the big data analysis platform. “Four connections” refer to connecting the relevant lower courts, external units, parties, and the public. “Five key projects” include the adjudication rules database, the big data analysis platform, the external data interaction platform, the two-level collaboration platform & remote court hearing system, and the IP Court cloud.

Introduction

　　实行集中统一管辖制度和中国特色“飞跃上诉”制度。根据全国人大常委会《关于专利等知识产权案件诉讼程序若干问题的决定》，法庭集中统一管辖全国范围技术类知识产权民事和行政上诉案件。无论技术类知识产权案件一审裁判由中级人民法院还是高级人民法院作出，对其提起的上诉均由法庭受理。最高人民法院在中级人民法院一审的技术类知识产权案件的上诉管辖上，跨越了高级人民法院，形成了具有中国特色的“飞跃上诉”制度。这不仅有助于统一裁判标准和缩短纠纷解决周期，也凸显了中国最高司法层面对技术类知识产权案件的司法政策和裁判规则。

　　第三，具有商业维权色彩的关联案件占有一定比例。此类案件表现为权利人以同一专利在全国各地进行批量商业维权，所涉专利多为未经实质审查的实用新型专利，被诉侵权人多为居于商品流通环节下游的小型销售商。

　　(iii) Among the cases sent back for retrial, many cases have natural persons as the applicants. Of the 57 reexamination cases, 75% of the cases have natural persons as the applicants. Most of them were dismissed due to lacking of inventiveness, and a few lacking of either practical applicability or patent subject matter eligibility. The applicants were natural persons in 10 cases where the cases were not accepted due to a misunderstanding of the calculation method for the time limit of litigation filing in patent administrative litigation.

　　2019年3月27日，知识产权法庭由庭长罗东川、副庭长王闯等五人组成合议庭敲响法庭“第一槌”，公开开庭审理了上诉人厦门卢卡斯汽车配件有限公司、厦门富可汽车配件有限公司与被上诉人法国瓦莱奥清洗系统公司等侵害发明专利权纠纷一案。从立案、开庭到结案送达，案件审理过程用时仅50天。该案涉及专利侵权纠纷的先行判决问题，具有前沿性。通过该案，法庭明晰了功能性特征的认定标准，阐明了判令停止侵害的部分判决尚未发生效力时临时禁令的独特价值，明确了判令停止侵害的部分判决制度和临时禁令制度并存适用的条件和规则。该案被确定为最高人民法院指导性案例，并被评为2019年十大民事行政案例。

　　队伍建设是审判事业行稳致远的基础和保障。技术类知识产权审判兼具专业性、前沿性和国际性等特点，审判人员既要有坚定的政治立场，又要有高超的业务能力，还需有慎独慎微的廉洁品质，方能有效提升司法能力，成为审判质效提升的人才保障。

　　十八大以来，以习近平同志为核心的党中央大力实施创新驱动发展战略，高度重视知识产权保护，从建设知识产权强国和世界科技强国的战略高度，作出设立最高人民法院知识产权法庭(简称“法庭”)的重大战略决策部署。2019年1月1日，法庭正式揭牌成立，成为世界范围内首个在最高法院层面设立的专门化知识产权审判机构，行使统一审理全国范围内专利、垄断等技术类知识产权上诉案件的终审职能，承担进一步统一技术类知识产权案件裁判尺度、进一步提高审判质量和效率、进一步提升司法公信力和国际影响力、进一步为加强创新驱动发展战略和国家知识产权战略实施提供司法保障的职责使命。

　　第一，涉及技术领域广。当事人诉请保护的知识产权类型涵盖了医药、基因、通信、机械、农林业等诸多与国计民生、前沿科技、衣食住行密切相关的领域。

　　第五，平等保护中外当事人的合法权益。法庭受理的涉外、涉港澳台案件占比8.9%，有部分案件属于当事人之间跨国诉讼的一部分，与国外专利侵权诉讼相互影响。法庭坚持对中外各类市场主体的知识产权依法一视同仁、平等保护。

　　Among the 962 civil substantive cases of second instance accepted by the IP Court, there were 454 disputes over infringement of utility model patent rights, 234 disputes over infringement of invention patent rights, 142 disputes over computer software, 40 disputes over patent agency and licensing contracts, 26 disputes over technical contracts, 20 disputes over new plant variety rights, 12 disputes over technical secrets, 9 disputes over monopoly, 9 disputes over patent application rights and patent ownership, 8 disputes over confirmation of non-infringement, 7 disputes over remuneration to service inventors, and 1 dispute over layout design of integrated circuits. The majority of the cases are disputes over infringement of utility model patent rights (47.2%), disputes over infringement of invention patent rights (24.3%), and disputes over computer software (14.8%).