美國政府出手解決Patent Troll的問題

持有專利要求授權，卻沒有實際實施該專利的人，是一般Patent Troll/NPE/PAE（Patent Assertion Entities）的定義，但更準確地，可以講是有組織地購買專利，並企圖透過法律途徑主張專利授權的人，這類專利權人因為不從事生產，沒有被交互授權、被告的對象（產品、作為），這樣定義可以排除一些擁有少數專利而尋求技術合作的獨立發明人/專利權人。對於正式名為「Patent Assertion Entity（PAE）」不從事生產這類的專利擁有人，美國政府嚴重地以「勒索（extort）」來形容。

可以參考先前文章：
Non-Practicing Entities (NPE) http://enpan.blogspot.tw/2009/01/non-practicing-entities-npe.html
軟體開發人員的專利危機 http://enpan.blogspot.tw/2011/07/blog-post_16.html
patent monetization entity http://enpan.blogspot.tw/2012/12/patent-monetization-entity.html

美國政府（白宮）發布一些鼓勵創新、刺激經濟成長、改善失業率的計畫，包括五個方案與七個立法建議，旨在保護創新、避免浮濫的訴訟。

這樣的宣示多少都是針對最近幾年很多浪費司法資源（聯邦巡迴法院最大宗的案件是專利訴訟）的浮濫訴訟的現象，特別包括與Patent Troll/NPE/PAE相關的訴訟，這裡提到的Patent Troll除了傳統的定義外，更是暗指手中握有"被認定是基礎專利"而浮濫興訟的一方。

相關研究顯示過去兩年由Patent Trolls提出近三倍多的訴訟，這占了62%的專利訴訟，相關的「受害人」已經繳付近300億美金的權利金（2011年數據）；去年發出近10萬封警告與要求授權的信函，500間受影響的公司，如下表顯示在2012年由PAE啟始的訴訟有很大的成長。據此，歐巴馬政府希望可以立法保護美國國內的創新技術與發明人。

以下供各位網友、相關單位參考：

五個實施方案：

1. Making “Real Party-in-Interest” the New Default.  Patent trolls often set up shell companies to hide their activities and enable their abusive litigation and extraction of settlements.  This tactic prevents those facing litigation from knowing the full extent of the patents that their adversaries hold when negotiating settlements, or even knowing connections between multiple trolls. The PTO will begin a rulemaking process to require patent applicants and owners to regularly update ownership information when they are involved in proceedings before the PTO, specifically designating the “ultimate parent entity” in control of the patent or application.
   （因為Patent Trolls常常設立一些空殼公司（掛羊頭賣狗肉），可能使得被警告者/被告不曉得對方是Patent Troll，因此PTO將會要專利權人/申請人時常更新專利權擁有人的資料，公佈背後的母公司）
2. Tightening Functional Claiming.  The AIA made important improvements to the examination process and overall patent quality, but stakeholders remain concerned about patents with overly broad claims — particularly in the context of software.  The PTO will provide new targeted training to its examiners on scrutiny of functional claims and will, over the next six months develop strategies to improve claim clarity, such as by use of glossaries in patent specifications to assist examiners in the software field.
   （美國專利局將會要求/訓練審查委員，特別在軟體領域，嚴格審查專利範圍中功能性用語，包括不希望權利範圍用模糊而過廣的語言，而建議採用字典用語等明確的用語）
3. Empowering Downstream Users.  Patent trolls are increasingly targeting Main Street retailers, consumers and other end-users of products containing patented technology — for instance, for using point-of-sale software or a particular business method.  End-users should not be subject to lawsuits for simply using a product as intended, and need an easier way to know their rights before entering into costly litigation or settlement.  The PTO will publish new education and outreach materials, including an accessible, plain-English web site offering answers to common questions by those facing demands from a possible troll.
   （簡單使用產品的終端使用者應不能成為訴訟的對象，美國專利局表示應該讓一般使用者在進入訴訟前瞭解他們的權利。因為訴訟也是法律賦予人的權利，包括Patent Trolls，因此需要使用者先自助，之後再尋求保護）
4. Expanding Dedicated Outreach and Study.  Challenges to U.S. innovation using tools available in the patent space are particularly dynamic, and require both dedicated attention and meaningful data.  Engagement with stakeholders — including patent holders, research institutions, consumer advocates, public interest groups, and the general public — is also an important part of our work moving forward.  Roundtables and workshops that the PTO, DOJ, and FTC have held in 2012 have offered invaluable input to this process. We are announcing an expansion of our outreach efforts, including six months of high-profile events across the country to develop new ideas and consensus around updates to patent policies and laws.  We are also announcing an expansion of the PTO Edison Scholars Program, which will bring distinguished academic experts to the PTO to develop — and make available to the public — more robust data and research on the issues bearing on abusive litigation.
   （建立各界共識，完成相關立法，包括取得專利權人、研究機構、消費者代表、公益團體、一般民眾的意見，一同改善專利制度）
5. Strengthen Enforcement Process of Exclusion Orders. Once the U.S. International Trade Commission (ITC) finds a violation of Section 337 and issues an exclusion order barring the importation of infringing goods, Customs and Border Protection (CBP) and the ITC are responsible for determining whether imported articles fall within the scope of the exclusion order. Implementing these orders present unique challenges given these shared responsibilities and the complexity of making this determination, particularly in cases in which a technologically sophisticated product such as a smartphone has been successfully redesigned to not fall within the scope of the exclusion order. To address this concern, the U.S. Intellectual Property Enforcement Coordinator will launch an interagency review of existing procedures that CBP and the ITC use to evaluate the scope of exclusion orders and work to ensure the process and standards utilized during exclusion order enforcement activities are transparent, effective, and efficient.
   （由於ITC為輸入把關，可發出禁制令，要求ITC發出禁制令前，確實瞭解是否相關產品已經修改設計而不落入專利權的請求範圍內，由美國智慧財產執行協調單位進行跨部門審視相關判決，確保判決透明化）

七個立法建議：

1. Require patentees and applicants to disclose the “Real Party-in-Interest,” by requiring that any party sending demand letters, filing an infringement suit or seeking PTO review of a patent to file updated ownership information, and enabling the PTO or district courts to impose sanctions for non-compliance.
   （要求專利權人/申請人揭露/更新專利擁有人資訊）
2. Permit more discretion in awarding fees to prevailing parties in patent cases, providing district courts with more discretion to award attorney’s fees under 35 USC 285 as a sanction for abusive court filings (similar to the legal standard that applies in copyright infringement cases).
   （避免濫訴，允許法院更多裁量權給勝訴方的費用，也就是讓法院自由限制律師費用）
3. Expand the PTO’s transitional program for covered business method patents to include a broader category of computer-enabled patents and permit a wider range of challengers to petition for review of issued patents before the Patent Trial and Appeals Board (PTAB).
   （擴大挑戰商業方法專利（電腦執行的專利）的異議程序）
4. Protect off-the-shelf use by consumers and businesses by providing them with better legal protection against liability for a product being used off-the-shelf and solely for its intended use.  Also, stay judicial proceedings against such consumers when an infringement suit has also been brought against a vendor, retailer, or manufacturer.
   （提供現成的消費者或是企業更好的法律保護，主要是針對採用現成技術的必然的使用）
5. Change the ITC standard for obtaining an injunction to better align it with the traditional four-factor test in eBay Inc. v. MercExchange, to enhance consistency in the standards applied at the ITC and district courts.
   （改變ITC標準，使之與地方法院有一致的判斷標準）
6. Use demand letter transparency to help curb abusive suits, incentivizing public filing of demand letters in a way that makes them accessible and searchable to the public.
   （提供警告信的透明度）
7. Ensure the ITC has adequate flexibility in hiring qualified Administrative Law Judges.
   （確保ITC僱用合格法官）

Ron
資料來源：
http://www.whitehouse.gov/blog/2013/06/04/taking-patent-trolls-protect-american-innovation
http://www.whitehouse.gov/the-press-office/2013/06/04/fact-sheet-white-house-task-force-high-tech-patent-issues