2014年2月24日 星期一

你寫的是"手段功能用語"的專利範圍嗎?(about Claims)

這是一件LIGHTING BALLAST CONTROL(原告,專利權人)與北美PHILIPS ELECTRONICS(被告)的侵權上訴案。

其中涉及了專利範圍解釋的爭議。地方法院階段解釋專利範圍,並判斷侵權成立,但經被告上訴,CAFC法院重新解釋專利範圍(Cybor standard),否決地方法院的決定,認為因為權利範圍中"voltage source means"不符專利範圍中手段功能用語(means plus function)的撰寫規定,判斷專利範圍不明確而無效,也就是專利範圍中"voltage source means"被認定為功能手段用語,卻因此因為無法有說明書之撐的結構特徵,不符35U.S.C.112(f)撰寫規定(請參閱35USC112(f))而被認定無效。(updated on Jun. 29, 2015)

專利權人於是要求en banc審理,反對CAFC推翻地方法院解釋專利範圍的決定,不認為法院應該重新解釋專利範圍,要求重新考慮需要重新解釋專利範圍的標準(reconsidering Cybor standard)

解釋專利範圍往往是訴訟過程中最重要的事情之一,在此案例(Lighting Ballast Control LLC v. Philips Electronics N.A. Corp. (Fed. Cir. 2014) (En banc))中,案件歷經北德州地方法院、聯邦巡迴上訴法院(CAFC)與經全院聯席(En banc)重新審理後作出決定。

此例涉及專利範圍中「voltage source means」的解釋是否符合功能手段用語(means plus function)的解釋方式,先看一下美國專利法第112條第6段(pre-AIA)的內容(http://enpan.blogspot.tw/2008/09/112.html):
An element in a claim for a combination may be expressed as a means or step for performing a specified function without the recital of structure, material, or acts in support thereof, and such claim shall be construed to cover the corresponding structure, material, or acts described in the specification and equivalents thereof.
申請專利範圍的元件可以手段功能用語或是步驟功能用語撰寫, 並描述執行的功能而不用述及結構, 材料或是其他動作, 此類範圍解釋應包括說明書中對應的結構, 材料或是動作, 與其均等範圍

先提一下所謂的"Cybor standard",這個標準關聯到1998年案例Cybor Corp. v. FAS Technologies, Inc., 138 F.3d 1448 (Fed. Cir. 1998) (en banc),就是當專利自地方法院上訴到上訴法院後,將重新解釋專利範圍(claim construction),而且已經適用多年,到了此案例,仍確認Cybor standard對於專利系統的重要性。

系爭專利US5,436,529
1. An energy conversion device employing an oscillating resonant converter producing oscillations, having DC input terminals producing a control signal and adapted to power at least one gas discharge lamp having heatable filaments, the device comprising:
voltage source means providing a constant or variable magnitude DC voltage between the DC input terminals;
output terminals connected to the filaments of the gas discharge lamp;
control means capable of receiving control signals from the DC input terminals and from the resonant converter, and operable to effectively initiate the oscillations, and to effectively stop the oscillations of the converter; and direct current blocking means coupled to the output terminals and operable to stop flow of the control signal from the DC input terminals, whenever at least one gas discharge lamp is removed from the output terminals or is defective.
18. An energy conversion device employing an oscillating resonant converter, having DC input terminals and adapted for powering at least one gas discharge lamp having heatable filaments, the device comprising:
voltage source means able to provide a constant or variable magnitude DC voltage between the DC input terminals;
output terminals for connection to the filaments of the gas discharge lamp;
control means able to receive control signals from the DC input terminals and from the resonant converter, and operable to effectively initiate the oscillations, and to effectively stop the oscillations of the converter; and
direct current blocking means coupled to the output terminals and operable to stop flow of the control signal from the DC input terminals, whenever at least one gas discharge lamp is removed from the output terminals or is defective wherein the direct current blocking means includes a semiconductor diode and is connected effectively across at least one heatable filament of at least one gas discharge lamp.
檢視說明書內容,看到一些有關voltage source的描述,但都如專利範圍一般的簡略!
voltage source means able to provide constant or variable magnitude of a DC voltage between the DC input terminals;
The ballast constructed as described above (i) will not oscillate and will not draw any power from a supply voltage source whenever lamps are removed or inoperative; (ii) will ignite new lamps after relamping, without turning voltage source OFF and ON;
看來說明書確實沒有明確記載何謂"voltage source means",無法支撐"voltage source means"的功能手段用語解釋。但法院似乎是在文意主義上轉!

此案還有一個有興趣的地方,專利權人用盡各種方式阻礙法院重新解釋專利範圍的依據,此案爭議中提到如果法院一直採用重新解釋專利範圍(Cybor standard),或說一直用重新審理的標準(de novo),將會增加訴訟時間、費用,甚至一直讓訴訟雙方對未來充滿了可能性(不確定性)而阻礙了雙方和解的可能,這點質疑,判決文用極大的篇幅來回應,甚至提出過去的統計來否決此假設議題。比如證明這幾年由地方法院繼續上述的案件逐年下降:

(全院聯席的決定確認CAFC判決)


後語:
此案例中,法院顯然採用比較保守又省事的態度來回應,也就是在沒有明確應該要改變的理由下,就遵循前例(stare decisis)。
確實專利範圍經過整個審理與訴訟過程應該被充分討論,這也是Cybor standard的精神,讓侵權判斷能夠更公正,不過也意味各位寫的專利範圍將被嚴格檢驗。

撰寫申請專利範圍的各位工程師或律師們辛苦了,一分專利範圍不僅要貼切技術核心,更要滿足各種職位、需求的人的仔細查閱,比如與發明人洽案時就要先有共識,寫完稿件後事務所長官要先認同,接著是發明人、企業內工程師校稿,之後就是專利審查人員,專利公開後又是全民公審,特別是有興趣的對手。專利獲准後,事情還沒完,若有法律爭議,又是專利局、訴願委員、法官(地方法院、智慧財產權法院、上訴法院、高等法院...)與對方律師一連串的檢驗...。

結果,到底是誰說了算,就是最後仲裁的法官。所以一份申請專利範圍最後落腳處就是法院,經法院認同後的專利範圍就是最穩當的嗎?事實上因為經過層層關卡後的專利範圍或許已經弄得體無完膚。

判決原文:
http://www.cafc.uscourts.gov/images/stories/opinions-orders/12-1014.Opinion.2-18-2014.1.PDF

Ron
資訊參考:Patently-O

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