「不公開請求」案例分享

本篇為「不公開請求（Request Not to Publish）」的案例分享，不過，副標可以為：來不及主張優先權，但至少不要影響後案專利性。涉及「請求不公開」的討論。

範例：
美國申請案13/545,206，後來獲准US8693768。另一對照案為：WO2015126361。

WO2015126361資訊：
國際申請日（無優先權日）：02.18.2014
公開號：WO/2015/126361
國際申請號：PCT/US2014/016880

公開日：08.27.2015
申請人：ALINIC FAMILY PARTNERSHIP, LP
發明人：LAFORGIA, Lisa

13/545,206(US8693768 B1)資訊：
申請日（第一申請國）：07.10.2012
公告日：04.08.2014
專利獲准時擁有人：ALINIC FAMILY PARTNERSHIP, LP, NEW YORK

目前被授權人：Perfect Corp

發明人：LAFORGIA, Lisa

上述兩件案子有一致的揭露內容，從兩案的資訊來看，其實應該是同一個家族的專利申請案。

從申請日來看，WO2015126361的申請日已經超過美案'768申請日一年，無法主張優先權。猜測是"申請PCT時發現來不及主張優先權"，這種情況的風險是，從此PCT案衍生的後續各國申請案都可能會有專利性的問題，會被這個美案阻礙而無法獲准專利。

不過，當中有些蹊蹺。

從前案'768申請日來看，為07.10.2012，但到公告日（04.08.2014）之前卻沒有「早期公開日」，根據18個月早期公開的規則，'768應該在2014年1月左右會有公開的資訊，應該會阻礙後案WO2015126361取得專利的機會。

先看WO2015126361的檢索報告（International Search Report），並沒有'768的蹤影：


從美國專利局PAIR來查為何沒有提供公開，而延遲三個月公告獲准專利？

根據13/545,206的PAIR資訊，此案並沒有遭遇核駁意見，並已經在其申請日後18月之前獲准專利（12-02-2013），之後在02-20-2014提出「Rescind Nonpublication Request for Pre Grant Pub（撤銷不公開請求）」，之後USPTO在03-06-2014發出「Notice of New or Revised Publication Date（修改公開/公告日通知）」。



事實上，本案申請時（07-10-2012）在「Application Data Sheet」中提出「Request Not to Publish」（不公開請求），使得本案可以在獲准不公開，或是不實施早期公開。


Rescind Nonpublication Request for Pre Grant Pub
請求撤銷之前不公開請求。其中要求申請人在日後有國外申請案時，應通知USPTO，且應在國外申請案後45天內通知。如果沒有及時通知，本申請案將被拋棄。


Notice of New or Revised Publication Date（撤銷不公開請求，修正後公開日為06/12/2014）


根據以上資料，較早申請案在美國提出申請，並請求「不公開」，理由是不會在他國提出申請，之後在核准後又「撤銷不公開的請求」，且不久之後，申請人提出PCT申請案。...這可能是一種「挽救」，也是一種「申請策略」。

[法條]
本案申請時提出延遲公開的請求為依據「35 U.S.C. §122 (b)(2)(B)(i)」

If an applicant makes a request upon filing, certifying that the invention disclosed in the application has not and will not be the subject of an application filed in another country, or under a multilateral international agreement, that requires publication of applications 18 months after filing, the application shall not be published as provided in paragraph (1).

如果提出申請案，確認其中發明不會申請其他國家，或是提出任何多語國際協議下的申請案，可以提出不要早期18個月公開的請求。

35 U.S.C. §122 (b)(2)(B)(iii)

An applicant who has made a request under clause (i) but who subsequently files, in a foreign country or under a multilateral international agreement specified in clause (i), an application directed to the invention disclosed in the application filed in the Patent and Trademark Office, shall notify the Director of such filing not later than 45 days after the date of the filing of such foreign or international application. A failure of the applicant to provide such notice within the prescribed period shall result in the application being regarded as abandoned.

提出不公開請求的申請人，如果日後要提出國外申請案，應在申請日後45天內通知USPTO，如果沒有通知，本申請案將被視為拋棄。

35 U.S.C. 122 CONFIDENTIAL STATUS OF APPLICATIONS; PUBLICATION OF PATENT APPLICATIONS.

(b) PUBLICATION.—

• (1) IN GENERAL.—
  • (A) Subject to paragraph (2), each application for a patent shall be published, in accordance with procedures determined by the Director, promptly after the expiration of a period of 18 months from the earliest filing date for which a benefit is sought under this title. At the request of the applicant, an application may be published earlier than the end of such 18-month period.
  • (B) No information concerning published patent applications shall be made available to the public except as the Director determines.
  • (C) Notwithstanding any other provision of law, a determination by the Director to release or not to release information concerning a published patent application shall be final and nonreviewable.
• (2) EXCEPTIONS.—
  • (A) An application shall not be published if that application is—
    • (i) no longer pending;
    • (ii) subject to a secrecy order under section 181 ;
    • (iii) a provisional application filed under section 111(b); or
    • (iv) an application for a design patent filed under chapter 16.
  • (B)
    • (i) If an applicant makes a request upon filing, certifying that the invention disclosed in the application has not and will not be the subject of an application filed in another country, or under a multilateral international agreement, that requires publication of applications 18 months after filing, the application shall not be published as provided in paragraph (1).
    • (ii) An applicant may rescind a request made under clause (i) at any time.
    • (iii) An applicant who has made a request under clause (i) but who subsequently files, in a foreign country or under a multilateral international agreement specified in clause (i), an application directed to the invention disclosed in the application filed in the Patent and Trademark Office, shall notify the Director of such filing not later than 45 days after the date of the filing of such foreign or international application. A failure of the applicant to provide such notice within the prescribed period shall result in the application being regarded as abandoned.
    • (iv) If an applicant rescinds a request made under clause (i) or notifies the Director that an application was filed in a foreign country or under a multilateral international agreement specified in clause (i), the application shall be published in accordance with the provisions of paragraph (1) on or as soon as is practical after the date that is specified in clause (i).
    • (v) If an applicant has filed applications in one or more foreign countries, directly or through a multilateral international agreement, and such foreign filed applications corresponding to an application filed in the Patent and Trademark Office or the description of the invention in such foreign filed applications is less extensive than the application or description of the invention in the application filed in the Patent and Trademark Office, the applicant may submit a redacted copy of the application filed in the Patent and Trademark Office eliminating any part or description of the invention in such application that is not also contained in any of the corresponding applications filed in a foreign country. The Director may only publish the redacted copy of the application unless the redacted copy of the application is not received within 16 months after the earliest effective filing date for which a benefit is sought under this title. The provisions of section 154(d) shall not apply to a claim if the description of the invention published in the redacted application filed under this clause with respect to the claim does not enable a person skilled in the art to make and use the subject matter of the claim.

my two cents:
本案申請人在專利申請時提出「不早期公開請求」，理由是不會在別國或是PCT提出申請，但是...似乎在獲准專利時，決定要申請PCT案，即要求撤銷延遲公開/公告的請求，修改了公開/公告日。（編按，雖然看似合法，申請人在獲准前確實沒有申請他國專利，但在獲准後改變心意，但是也失去了主張優先權的權利，不過，之後仍提出PCT案，這似乎有點怪怪的）

確實會發生「來不及主張優先權」的情況，甚至可能會在前案申請日後18月後才想到佈局其他國家的，這時一般的反應是「將後申請案改一改」，避免被自己的前案打到（美國不適用），這時，本篇請求「Rescind Nonpublication Request for Pre Grant」的作法雖不意外，仍可以提供有此困擾的申請人參考。

感謝同事Liu提供案例。
Ron