議題一:光看這個題目,知道這是一個有爭議的判決,連CAFC也不是每個法官都支持這個結論。一般來說,解釋專利範圍時會參考專利說明書內容,但「臨時申請案(或說暫時、草案...等,provisional application)」呢?
實務上,「臨時申請案」內容因為在其目的的考量下會與「非臨時申請案(正式案)」有些差距,甚至是"很多差異",例如一件正式案主張可以多件臨時申請案優先權,臨時申請案的法律目的主要是「優先權」,但其內容是否會有影響?如果有影響,顯然我們面對臨時申請案要更嚴肅一點!就不能是草草送件的草案。
議題二:還有個有趣的技術議題是,電腦/網路技術往往帶來便利,而這個便利就是「自動取代人工」,就是產生「一鍵完成」原本「人為多個步驟」的特點,但是這個「一鍵完成」往往是基於一個程式背後的多個步驟程序,電腦不過是"自動"完成了本來就是多個步驟的動作而已。經典的技術如:購物車,消費者只要點一下"加入購物車"按鍵,之後可以"一鍵結帳";其他更多是「商業方法」提供消費者與系統簡潔的處理程序,都是廣義的一鍵完成,但是僅是一般電腦技術的通常應用,我想這也不容易克服顯而易見性核駁意見。
但本案結論並未解決這個問題,因為系爭專利經BRI解釋後並不限於一鍵完成的特徵。
案件MPHJ Tech v. Ricoh (Fed. Cir. 2017)關於臨時申請案的揭露內容是否會影響將來專利範圍解釋?
案件資訊:
上訴人/專利權人:MPHJ TECHNOLOGY INVESTMENTS, LLC
被上訴人:RICOH AMERICAS CORPORATION, XEROX CORPORATION, LEXMARK INTERNATIONAL, INC.,
系爭專利:US 8,488,173
本案緣起多件侵權訴訟案,系爭專利經IPR程序(IPR2014-00538)判決無效(claims 1-8)後,專利權人MPHJ上訴CAFC。
系爭專利關於文件管理的自動處理技術(updated on Feb. 20, 2017),這個系統讓一般電腦使用者將其電子文件納入商業程序中,當在某個位置以印表機掃描紙本文件同時,可以電子形式複製到其他位置,例如以網路傳送到其他位置,這是所述的虛擬印表機(virtual copier),是一個安裝在電腦中的程式,也是專利的重點,這個一次完成的動作可用於商業應用。
系爭專利Claim 1如下,界定一個傳送電子文件到多個目的地的系統,系統有「具有網路位址的印表機/掃描機」,以及儲存多個界面協定的「記憶體」與處理器,接著描述可以一鍵「Go button」完成掃描與傳送的技術。
1. A system capable of transmitting at least one of an electronic image, electronic graphics and electronic document to a plurality of external destinations including one or more of external devices, local files and applications responsively connectable to at least one communication network, comprising:
at least one network addressable scanner, digital copier or other multifunction peripheral capable of rendering at least one of said electronic image, electronic graphics and electronic document in response to a selection of a Go button;
at least one memory storing a plurality of interface protocols for interfacing and communicating;
at least one processor responsively connectable to said at least one memory, and implementing the plurality of interface protocols as a software application for interfacing and communicating with the plurality of external destinations including the one or more of the external devices and applications,
wherein one of said plurality of interface protocols is employed when one of said external destinations is email application software;
wherein a second of said plurality of interface protocols is employed when the one of said external destinations is a local file;
wherein a plurality of said external destinations is in communication with said at least one network addressable scanner, digital copier or other multifunction peripheral over a local area network;
wherein at least one of said external destinations receives said electronic image, electronic graphics and electronic document as a result of a transmission over the at least one communication network;
a printer other than said at least one network addressable scanner, digital copier or other multifunction peripheral;
wherein, in response to the selection of said Go button, an electronic document management system integrates at least one of said electronic image, electronic graphics and electronic document using software so that said electronic image, electronic graphics and electronic document gets seamlessly replicated and transmitted to at least one of said plurality of external destinations;
wherein at least one of said electronic image, electronic graphics and electronic document is processed by said at least one network addressable scanner, digital copier or other multifunction peripheral into a file format, and wherein a plurality of said external destinations are compatible with said file format without having to modify said external destinations; and
wherein upon said replication and seamless transmission to at least one of said external destinations, said electronic image, electronic graphics and electronic document is communicable across a network to at least three other of said external destinations, and is optionally printable by said printer.
系爭專利的家族也是頗為繁複,算了一下,更溯及7件臨時申請案,要"弄"這個專利,也挺累的。本案被上訴人也是IPR請願人,引用前案除了先前專利外,主要是一件印表機先驅全錄(Xerox)在1985年參考手冊(Xerox 150 Graphic Input Station Operator and Reference Manual),關鍵在PTAB解釋專利範圍時採用了最廣且合理的BRI解釋原則,在IPR階段,解釋專利範圍在最高法院判決後確認BRI原則,也是IPR無效率頗高的原因之一。
參考:
最高法院同意IPR程序中採用BRI原則 - Cuozzo v. Lee(http://enpan.blogspot.tw/2016/06/iprbri-cuozzo-v-lee.html)。
解釋專利範圍:
專利權人主張請求項中「seamless transmission」指的是一步驟(一鍵)完成的技術,例如一鍵完成印表機經特定介面到達電子郵件目的地,當中沒有人為介入的動作(也就是所述"seamlessly",也是能與先前技術區隔的重要特徵。認為PTAB錯誤解釋專利範圍為不限定為一步驟動作,全錄前案中有拖拉的一個人為步驟。
然而,PTAB認為系爭專利沒有對於"interface"的任何限制而能解釋這個"一鍵完成"的特徵,請求項範圍也讀不出印表機/掃描機到電子郵件的一步驟程序。PTAB認為全錄技術可以"scan"後再以"email"傳送:
雖專利說明書並未支持,專利權人MPHJ搬出臨時申請案內容,如60/108,798,當中提到「IMAGinE Virtual Copier Interface」的一步驟動作,主張臨時申請案為專利歷史的一部分,這些內容可支持所述「一鍵完成」的技術特徵。
CAFC認同臨時申請案為專利歷史的一部分,因此也可以作為解釋專利範圍的依據之一。這有前例支持。
不過,從系爭專利最後獲准的專利範圍並未限制到一步驟完成的技術,說明書與請求項都反映出一鍵完成的動作為一個"選項"。即便臨時申請案有揭示這個一步驟完成的技術,但都是技術人員的選項之一,並非必要的,也就是說,臨時申請案的內容本來就是支持最後正式案的內容,最後解釋仍倚賴正式案的申請專利範圍,以及說明書與圖式。因此使得專利權人如何用力地強調這個可與前案區隔的技術,都無法成為限制目前請求項範圍的特徵。
"A person skilled in this field would reasonably conclude that the inventor intended that single-step operation would be optional, not obligatory."
經專利範圍確認不能將一鍵完成作為唯一限制後,如同PTAB的決定,系爭專利請求項發明並未能與前案區隔,包括新穎性與非顯而易見性。
CAFC確認系爭專利不具專利性。
my two cents:
即便「一鍵完成」不容易准予專利,但本篇即便專利權人強調其技術性,仍是碰到說明書缺乏支持的阻礙。
本案有個學習是,provisional application內容在解釋專利範圍會被參考,但是provisional application的目的本來就是一種選擇,不能以此區隔前案,因此最後仍以正式案內容為主,因為正式案就是一個最終選擇,可能拋棄任一臨時申請案的技術特點。
這個爭議頗為有趣:
"Petitioner points out that the statements in the ’798 Provisional on which MPHJ now relies were omitted from the final application. MPHJ responds that these omitted sections were not explicitly disclaimed, and therefore that they are part of the prosecution history and are properly relied on to explain and limit the claims, even if the passages do not appear in the issued patent."
('798為系爭專利主張優先權的臨時申請案之一)
這句話說明專利權人/發明人在臨時申請案到正式申請案時的「抉擇」,這點可能反而成為一種限制,很重要。
"In this case, it is the deletion from the ’798 Provisional application that contributes understanding of the intended scope of the final application."
但你可以不同意,如法官O’MALLEY。
另外,若本案例中系爭專利如專利權人所強調下就"剩"「一鍵完成的Go button」,這樣是否可以承受BRI的解釋?
這點似乎並未解決,不過,我認為這樣仍無法在BRI解釋原則下存活。
判決文:http://www.cafc.uscourts.gov/sites/default/files/opinions-orders/16-1243.Opinion.2-9-2017.1.PDF
(備份:https://app.box.com/s/ckxpv4542rf3eh82b6yw3dko7ft0vgxv)
資料參考:http://patentlyo.com/patent/2017/02/broadened-provisional-application.html
Ron
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