2017年1月26日 星期四

股票交易使用者介面的可專利性討論 - Trading Technologies v. CQG (Fed. Cir. 2017)

表面上,討論「使用者介面」的可專利性(patent eligibility),簡直就是挑戰大家對軟體可專利性的底線,一般討論到發明如果僅涉及提供一個"好用、直覺"的GUI,不容易獲准專利,就會建議不如申請「設計專利」,如果這對公司有識別性的意義,更可以提出「商標」申請。主要理由是,GUI需要證明有「技術性」,不幸的是,GUI難以得出「技術貢獻」的特徵,或是固有不容易具有「解決技術問題」的技術元件,如果GUI可以取得發明專利,應該無所不可了! 當然,這還是與實質技術有關,case by case。

「使用者介面」發明專利也不是新鮮事,如果你的產品已經是公開、常見、成熟、賣很多年的東西,比如一個外接硬碟,是否還有可能有可專利的項目? 真的是...不容易,但如果你開發了一個手機上的APP,讓這個外接硬碟更好用,可以遠端存取、操作、自建雲,專利性就在APP上,但是這些功能卻是...公開、常見、成熟、賣很多年的功能,剩下的就是「圖形使用者介面」,專利性就各自發揮吧。

隨意找到的一件最近獲准的專利:US9,354,853,涉及利用GUI管理NAS中的程式碼的技術,這就是"類GUI"的發明。

1. A method comprising: 
receiving, from a network-attached storage (NAS) system, installer code at a client device; and 
performing, by the installer code executing at the client device, a selected subset of administrative tasks at the client device, 
wherein the administrative tasks are tasks associated with the NAS system, wherein performing the selected subset of administrative tasks comprises installing a subset of software components relating to the NAS system on the client device, and wherein installing the subset of the software components on the client device comprises installing a backup software component to perform file backup from the client device to the NAS system

8. The method of claim 1, further comprising: 
presenting, by the installer code executing at the client device, a graphical user interface (GUI) that presents questions to a user; 
receiving, through the GUI, answers to the questions; 
wherein the selected subset of administrative tasks is based on the answers. 

US8255550技術為收集多個NAS,並賦予名字,並且在透明的情況下可以協同作業。

1. A system for providing access to a plurality of file servers on a network comprising:
at least one namespace computer accessible by any one of a plurality of client computers on the network, each of the plurality of client computers using one or more network protocols, the namespace computer having access to the plurality of file server shares, and each of the plurality of file servers uses one or more network protocols;
wherein the at least one namespace computer includes a protocol handling unit having a plurality of protocol processing modules, each protocol processing module configured for handling a different network protocol in order to provide access from each of the plurality of client computers to each of the plurality of file server shares using a single mount point;
wherein the namespace computer provides a graphic user interface having a single namespace to each of the plurality of client computers, wherein the graphic user interface displays information for each of the plurality of file servers on the network.

更多的是,大公司就給我們很好的示範,共同條件是:不僅是介面上的特點,還要有技術性(技術手段、功能與解決問題)

案件資訊:
原告/被上訴人:TRADING TECHNOLOGIES INTERNATIONAL, INC.
被告/上訴人:CQG, INC., CQG, LLC, FKA CQGT, LLC
系爭專利:No. 6,772,132 (“the ’132 patent”) and No. 6,766,304 (“the ’304 patent”)

本案緣起專利權人Trading Technologies International, Inc. ("TTI")CQG等被告提出專利侵權告訴,只是議題轉換到可專利性(101)上,,美國依利諾地方法院作出系爭專利符合美國專利第101條適格規定的判決,被告CQG上訴CAFC。

系爭專利涉及股票交易的電腦方法,電腦方法提供準確與快速買賣股票的好處,而專利涉及股票交易的圖形使用者介面(GUI),透過此GUI,讓交易更快、更準確。

事實上,CAFC法官也證明系爭專利可以改善股票交易的準確性,因此專利技術涉及「改善電腦技術」的議題,引用Enfish前例:

案例參考:改善電腦技術的軟體方法具有可專利性? - Enfish LLC v Microsoft (Fed. Cir. 2016)http://enpan.blogspot.tw/2016/05/enfish-llc-v-microsoft-fed-cir-2016.html

"Precedent has recognized that specific technologic modifications to solve a problem or improve the functioning of a known system generally produce patent-eligible subject matter."

更涉及判斷101可專利性的最高法院判例:

TWO-STEP TEST)USPTO可專利性教戰守則(http://enpan.blogspot.tw/2014/12/uspto-two-step-test.html
抽象概念若僅以一般目的電腦實現,不可專利 - Alice Corporation Pty. Ltd. v. CLS Bank International (2014)(http://enpan.blogspot.tw/2014/06/alice-corporation-pty-ltd-v-cls-bank.html

系爭專利關於可以直覺點按來執行交易的方法,以能更準確與快速地執行股票交易,其中以垂直或水平面顯示市場的深度來呈現市場波動,以能快速做交易決定。



如'304的Claim 1,揭示顯示有關商品交易的市場資訊的電子交易方法,例如顯示市場中最高交易金額與最低詢問價格後,可以動態顯示其中指數,包括交易位置(市場、地區),每個位置的交易價格與詢問價格的水平放在座標軸上,可以呈現出市場波動,得出各位置的交易順序,作為電子交易選擇的依據(以上是快速閱讀翻譯,若有看不懂,請直接看原文)。
1. A method for displaying market information relating to and facilitating trading of a commodity being traded in an electronic exchange having an inside market with a highest bid price and a lowest ask price on a graphical user interface, the method comprising:
dynamically displaying a first indicator in one of a plurality of locations in a bid display region, each location in the bid display region corresponding to a price level along a common static price axis, the first indicator representing quantity associated with at least one order to buy the commodity at the highest bid price currently available in the market;
dynamically displaying a second indicator in one of a plurality of locations in an ask display region, each location in the ask display region corresponding to a price level along the common static price axis, the second indicator representing quantity associated with at least one order to sell the commodity at the lowest ask price currently available in the market;
displaying the bid and ask display regions in relation to fixed price levels positioned along the common static price axis such that when the inside market changes, the price levels along the common static price axis do not move and at least one of the first and second indicators moves in the bid or ask display regions relative to the common static price axis;
displaying an order entry region comprising a plurality of locations for receiving commands to send trade orders, each location corresponding to a price level along the common static price axis; and
in response to a selection of a particular location of the order entry region by a single action of a user input device, setting a plurality of parameters for a trade order relating to the commodity and sending the trade order to the electronic exchange.

以上列舉的專利範圍一定是會遇到不符35U.S.C.101的挑戰,依據Alice判例形成的可專利性判斷步驟,如果請求項發明是抽象概念,且沒有可以轉換為可專利的任何元件或組合時,並不符101規定。


但是地方法院給它極大的favor,認為這個專利範圍並非數學演算法、不是基本經濟或習知的商業措施,或是商業上的挑戰,而是解決了習知圖形使用者介面在交易上的速度與準確性的問題的電腦技術,因此認為是改善了已知圖形使用者介面裝置的技術,不僅是電子交易的邏輯,而是"更(significantly more)"超越視覺上設定、顯示、選擇資訊的技術。(哇!)


這表示地院法官認為系爭專利不是單純地以GUI呈現資訊的技術,通過TWO-STEP TEST的第一步驟,是解決了習知技術的技術問題。經與先前技術比對(這是重點),也發現具有與前案不同的進步性特點,不僅是一般電腦程序而已。

這時就搬出了"救星",DDR Holdings v. Hotels.com (Fed. 2014),解決電腦/網路問題的技術是可專利的。其實也引用了不少反面意見的案例。

可參閱:商業方法可專利性?電腦軟體專利的生機 - DDR Holdings v. Hotels.com (Fed. 2014)案例討論(http://enpan.blogspot.tw/2014/12/ddr-holdings-v-hotelscom-fed-2014.html

法院仍是基於不錯的邏輯來判斷系爭專利的可專利性,即便我並不十分認同,但是這個邏輯可以參考:


CAFC階段:
CAFC同意地方法院對於系爭專利可專利性的判決,認定系爭專利符合101規定。

my two cents:
我個人並不認同這個判決,不過,卻是給了將來面對相關技術的可專利性判斷的一個可參考的基礎。

面對這類"表面上"不容易可專利的議題,我覺得,比如中國專利審查時(希望只是部分審查委員的態度)看到"交易"兩個字就已經沒有好感了,加上還是個"使用者介面",能夠獲准的專利應該不多(這只是個初步印象),還是要像這幾位法官判決的態度:不能過份簡單地看待一個可專利性議題 - McRO v. Bandai Namco, et al. (Fed. Cir. 2016)http://enpan.blogspot.tw/2016/09/mcro-v-bandai-namco-et-al-fed-cir-2016.html

即便CAFC友善面對此類GUI軟體專利,但是不見得就因此樂觀,GUI發明專利的前途仍是處處受到挑戰,包括系爭專利也同樣面對CBM挑戰的狀況。

不過,此案也討論到「改善電腦技術的軟體技術」是可專利的議題,有案例支持:
引用Enfish的PTAB案例:改善電腦功能的軟體方法可專利 - Ex parte Carvalho, PTAB 2016(http://enpan.blogspot.tw/2016/07/enfishptab-ex-parte-carvalho-ptab-2016.html

判決文:http://www.cafc.uscourts.gov/sites/default/files/opinions-orders/16-1616.Opinion.1-13-2017.1.PDF
(備份:https://app.box.com/s/bi5gleuetafeke3mx31eafhvuakh0pf2

本篇參考:
http://patentlyo.com/patent/2017/01/trading-technologies-interface.html

Ron

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