新穎性先前技術的例外 - MPEP 717

102筆記（雖然這個議題常見，但還是會根據一些問題做一些筆記，法條內的用語翻譯有時會有誤差，不容易讓每篇的用語一致，在此抱歉）

MPEP 717 Prior Art Exceptions under AIA 35 U.S.C. 102(b)(1) and (2)
https://www.uspto.gov/web/offices/pac/mpep/s717.html

一些重點整理：

• 35 U.S.C. 102(a)(1)規定在專利有效申請日前，若其中主張權利的發明（claimed invention）已經獲得專利、印刷品公開、公開使用、販售與讓公眾知悉，不予專利。（比公開日）
• 35 U.S.C. 102(b)(1)讓專利「有效申請日（effective filing date）」前一年內的「揭露（disclosure）」為「35 U.S.C. 102(a)(1)法定例外」而不為核駁專利的前案，條件是這個「disclosure」為(1)同一發明人、共同發明人，或是他人直接或間接從發明人取得的揭露；或是(2)在此揭露之前，相關專利標的已經被發明人、共同發明人，或是他人直接或間接從發明人取得的公開揭露（也就是發明人自己在前公開的揭露內容可以迴避他人在有效申請日前一年內他人直接或間接自發明人取得的揭露）updated on Nov. 20, 2019。
  
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• 35 U.S.C. 102(a)(2)規定當主張權利的發明（claimed invention）已經被他人在有效申請日之前提出申請，且根據35 U.S.C. 151領證（指美國專利），或是根據35 U.S.C. 122(b)提出專利申請而早期公開或視為公開（指美國專利公開、WIPO公開案），不予專利。（比申請日，且僅限定在US、WIPO案）
• 35 U.S.C. 102(b)(2)(A) and (B)讓有效申請日之前的「揭露（disclosure）」不會成為35 U.S.C. 102(a)(2)規定的先前技術，條件是：(1)所揭露的專利標的（subject matter）為直接或間接從發明人、共同發明人得到；或是(2)在相關專利標的有效申請之前，若所揭露的專利標的已經(had been publicly disclosed, updated on July 5, 2018)為發明人、共同發明人或他人直接或間接從發明人或共同發明人的公開揭露。（這沒有一年的期限）
• 35 U.S.C. 102(b)(2)(C)規定讓相同申請人（owned by the same person or subject to an obligation of assignment to the same person）在前的美國專利、專利申請案、WIPO申請案不會成為35 U.S.C. 102(a)(2)規定的先前技術。這沒有期限。
• 如此可知，AIA讓相同申請人等自己之前的美國專利與US, WIPO公開案不會成為後申請案的先前技術。---------------------------------------------------------------
• （重要）所述「揭露（disclosure）」，MPEP 717提到，AIA並未定義「disclosure」，甚至102(a)也沒有使用這個字，而USPTO對此「disclosure」認為是在102規範中的文件與活動的一般用語，如專利、印刷品、公開使用、販售與其他讓公眾知悉的活動、描述在美國專利、公開案、WIPO公開案等。
  
  "The AIA does not define the term "disclosure," and 35 U.S.C. 102(a) does not use the term "disclosure." 35 U.S.C. 102(b)(1) and 102(b)(2), however, each state conditions under which a "disclosure" that otherwise falls within 35 U.S.C. 102(a)(1) or 102(a)(2) is not prior art under 35 U.S.C. 102(a)(1) or 102(a)(2). Thus, the Office is treating the term "disclosure" as a generic expression intended to encompass the documents and activities enumerated in 35 U.S.C. 102(a) (i.e., being patented, described in a printed publication, in public use, on sale, or otherwise available to the public, or being described in a U.S. patent, U.S. patent application publication, or WIPO published application)."---------------------------------------------------------------
• 37 CFR 1.130讓申請人提出宣誓書或聲明（affidavit or declaration）說明在有效申請日前一年內的揭露為發明人等自己人的揭露，排除自己的在前揭露。
• 宣誓書或聲明用在：
  (1)核駁意見使用了非美國專利、申請案時，如非專利文件、國外專利文件；
  (2)核駁意見使用了美國專利或專利申請案，以及專利或是懸宕的申請案，但並未主張與申請人發明相同的發明；
  (3)用於排除在自己在前公開揭露之後的揭露。
  
  "The provisions of 37 CFR 1.130, however, would be available if:(1) The rejection is based upon a disclosure other than a U.S. patent or U.S. patent application publication (such as non-patent literature or a foreign patent document);(2) the rejection is based upon a U.S. patent or U.S. patent application and the patent or pending application did not claim an invention that is the same or substantially the same as the applicant’s claimed invention; or(3) the rejection is based upon a U.S. patent or U.S. patent application and while the patent or pending application does claim an invention that is the same or substantially the same as the applicant’s claimed invention, the affidavit or declaration under 37 CFR 1.130 does not contend that an inventor named in the U.S. patent or U.S. patent application publication derived the claimed invention from the inventor or a joint inventor named in the application or patent under examination (e.g., an affidavit or declaration under 37 CFR 1.130 would be available if instead of alleging derivation, the affidavit or declaration under 37 CFR 1.130 contends that the subject matter disclosed had, before such disclosure was made or before such subject matter was effectively filed, been publicly disclosed by the inventor or a joint inventor or by another who obtained the subject matter disclosed directly or indirectly from the inventor or a joint inventor)."

完整102法條：
https://www.bitlaw.com/source/35usc/102.html

35 U.S.C. 102 CONDITIONS FOR PATENTABILITY; NOVELTY.

• (a) NOVELTY; PRIOR ART.—A person shall be entitled to a patent unless—
  • (1) the claimed invention was patented, described in a printed publication, or in public use, on sale, or otherwise available to the public before the effective filing date of the claimed invention; or
  • (2) the claimed invention was described in a patent issued under section 151, or in an application for patent published or deemed published under section 122(b), in which the patent or application, as the case may be, names another inventor and was effectively filed before the effective filing date of the claimed invention.
• (b) EXCEPTIONS.—
  • (1) DISCLOSURES MADE 1 YEAR OR LESS BEFORE THE EFFECTIVE FILING DATE OF THE CLAIMED INVENTION.—A disclosure made 1 year or less before the effective filing date of a claimed invention shall not be prior art to the claimed invention under subsection (a)(1) if—
    • (A) the disclosure was made by the inventor or joint inventor or by another who obtained the subject matter disclosed directly or indirectly from the inventor or a joint inventor; or
    • (B) the subject matter disclosed had, before such disclosure, been publicly disclosed by the inventor or a joint inventor or another who obtained the subject matter disclosed directly or indirectly from the inventor or a joint inventor.
  • (2) DISCLOSURES APPEARING IN APPLICATIONS AND PATENTS.—A disclosure shall not be prior art to a claimed invention under subsection (a)(2) if—
    • (A) the subject matter disclosed was obtained directly or indirectly from the inventor or a joint inventor;
    • (B) the subject matter disclosed had, before such subject matter was effectively filed under subsection (a)(2), been publicly disclosed by the inventor or a joint inventor or another who obtained the subject matter disclosed directly or indirectly from the inventor or a joint inventor; or
    • (C) the subject matter disclosed and the claimed invention, not later than the effective filing date of the claimed invention, were owned by the same person or subject to an obligation of assignment to the same person.
• (c) COMMON OWNERSHIP UNDER JOINT RESEARCH AGREEMENTS.—Subject matter disclosed and a claimed invention shall be deemed to have been owned by the same person or subject to an obligation of assignment to the same person in applying the provisions of subsection (b)(2)(C) if—
  • (1) the subject matter disclosed was developed and the claimed invention was made by, or on behalf of, 1 or more parties to a joint research agreement that was in effect on or before the effective filing date of the claimed invention;
  • (2) the claimed invention was made as a result of activities undertaken within the scope of the joint research agreement; and
  • (3) the application for patent for the claimed invention discloses or is amended to disclose the names of the parties to the joint research agreement.
• (d) PATENTS AND PUBLISHED APPLICATIONS EFFECTIVE AS PRIOR ART.—For purposes of determining whether a patent or application for patent is prior art to a claimed invention under subsection (a)(2), such patent or application shall be considered to have been effectively filed, with respect to any subject matter described in the patent or application—
  • (1) if paragraph (2) does not apply, as of the actual filing date of the patent or the application for patent; or
  • (2) if the patent or application for patent is entitled to claim a right of priority under section 119, 365(a), 365(b), 386(a), or 386(b), or to claim the benefit of an earlier filing date under section 120, 121, 365(c), or 386(c) based upon 1 or more prior filed applications for patent, as of the filing date of the earliest such application that describes the subject matter.

(待續)

各種資訊連結：
MPEP 2153 Prior Art Exceptions Under 35 U.S.C. 102(b)(1) to AIA 35 U.S.C. 102(a)(1)
https://www.uspto.gov/web/offices/pac/mpep/s2153.html


2152 Detailed Discussion of AIA 35 U.S.C. 102(a) and (b)
https://www.uspto.gov/web/offices/pac/mpep/s2152.html

其他部落格報導：
- 判斷核駁理由是102(a)(1)或102(a)(2) - MPEP 706.02(a)(1)（http://enpan.blogspot.com/2016/12/102a1102a2-mpep-70602a1.html）

- 美國102與歐洲專利實務筆記（http://enpan.blogspot.com/2018/01/102.html）

- 判斷核駁理由是102(a)(1)或102(a)(2) - MPEP 706.02(a)(1)（http://enpan.blogspot.com/2016/12/102a1102a2-mpep-70602a1.html）

- 適格的先前技術（102(a)(1)）：在審查中專利有效申請日（effective filing date）之前的專利、公開文獻、公開使用、販售與其他提供給公眾的事由。（所述販售或公開使用不一定要發生在美國本土）

- 例外不適用先前技術（102(b)(1)(A)）：不為先前技術的條件是：(1)有效申請日前一年內的揭露內容；以及(2)這些揭露是由發明人自己、共同發明人，或其他直接或間接自發明人或共同發明人取得的發明的揭露內容。

102(b)(1)(A)

if the disclosure was made: (1) One year or less before the effective filing date of the claimed invention; and (2) by the inventor or a joint inventor, or by another who obtained the subject matter directly or indirectly from the inventor or joint inventor.

- 例外不適用先前技術（102(b)(1)(B)）：不為先前技術的條件是：(1)有效申請日前一年內的揭露內容；以及(2)在早先已經由發明人自己、共同發明人，或其他直接或間接自發明人或共同發明人取得的發明的公開揭示（"previously publicly disclosed"）。

102(b)(1)(B)

may be disqualified as prior art if: (1) The disclosure was made one year or less before the effective filing date of the claimed invention; and (2) the subject matter disclosed had been previously publicly disclosed by the inventor, a joint inventor, or another who obtained the subject matter directly or indirectly from the inventor or joint inventor.

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- 適格的先前技術（102(a)(2)）：在專利申請案有效申請日前提出申請的美國專利、美國專利公開案以及國際專利公開案。即便先前技術並未在專利申請案之前公開或公告，但是只要前案「有效申請日」在專利申請案早，仍為適格的先前技術（也就是沒有所謂的擬制新穎性不適用或是不得為進步性引用前案的事情）。

- 例外不適用先前技術（102(b)(2)(A)）：他人直接或間接從發明人或共同發明人取得發明而取得的專利、申請案或WIPO申請案。

35 U.S.C. 102(b)(2)(A) limits the use of an inventor’s own work as prior art, when the inventor’s own work is disclosed in a U.S. patent, U.S. patent application publication, or WIPO published application by another who obtained the subject matter directly or indirectly from the inventor or joint inventor. 

- 例外不適用先前技術（102(b)(2)(B)）：在發明人、共同發明人，或其他直接或間接自發明人或共同發明人的公開揭露之後的他人的申請案。

35 U.S.C. 102(b)(2)(B) disqualifies subject matter that was effectively filed by another after the subject matter had been publicly disclosed by the inventor, a joint inventor, or another who obtained the subject matter directly or indirectly from the inventor or joint inventor.

- 例外不適用先前技術（102(b)(2)(C)）：在有效申請日前同人或是被授權人擁有的美國專利、申請案或WIPO申請案。

35 U.S.C. 102(b)(2)(C) disqualifies subject matter disclosed in a U.S. patent, U.S. patent application publication, or WIPO published application from constituting prior art under 35 U.S.C. 102(a)(2) if the subject matter disclosed and the claimed invention, not later than the effective filing date of the claimed invention, “were owned by the same person or subject to an obligation of assignment to the same person.” 35 U.S.C. 102(b)(2)(C) resembles pre-AIA 35 U.S.C. 103(c) in that both concern common ownership, and both offer an avenue by which an applicant may avoid certain prior art. However, there are significant differences between 35 U.S.C. 102(b)(2)(C) and pre-AIA 35 U.S.C. 103(c). See MPEP § 2154.02(b).

Ron