2019年11月12日 星期二

美國專利訴願程序筆記

筆記
(我偶然發現這篇未完成,現在因為需要解答問題重PO)



Appeal是個繁雜接近準訴訟的程序,MPEP 1200規範訴願的細節:https://www.bitlaw.com/source/mpep/1200.html

訴願為針對USPTO對專利申請案、再領證申請案與再審程序的審查結果的救濟方案,上圖表示了整個訴願程序:(1)提出訴願通知(Notice of Appeal)與費用;(2)提交訴願本文(Appeal Brief);(3)原USPTO審查委員回應訴願理由;(4)申請人可能提交回應(reply brief),或是請求口頭審理(Request for Oral Hearing)與費用;(5)PTAB決定(decision),申請人可請求口頭審理;(6)完成訴願程序,可請求再審查(Request for Rehearing)。

USPTO網頁提供完整的資料:https://www.uspto.gov/patents-application-process/patent-trial-and-appeal-board/appeals

有意思的是,訴願決定包括了:確認USPTO審查結果(affirmed)、部分確認(Affirmed in part),或是駁回USPTO審查結果(Reversed)。

Affirmed/Affirmed in part:
當PTAB作出決定後,將會把裁判權(jurisdiction)交還給USPTO審查委員,接續動作可以由申請人/訴願人、審查委員依照訴願決定繼續。

當PTAB確認USPTO決定後,若申請人/訴願人沒有繼續上訴法院,整個審查程序將被終止(除非:(1)有專利範圍可准;(2)審查委員提出後續動作)。

若申請人要繼續審查程序,可以在訴願決定後提出修正,並以新或修正後的專利範圍提出RCE。

Reversed:
當PTAB否決USPTO審查委員審查意見,這是對申請人最好的結果,案件將回到USPTO審查委員,應可依照PTAB意見核准專利。或是,審查委員不一定要再去執行新的檢索,但是審查委員已知有證明不予專利的資料時,還是要提交給技術中心(TC)長官或是再審查單位重開審查程序(reopen),作出新的核駁意見。

補充資料:

提出訴願時伴隨的修正規定在MPEP 1206,USPTO網頁:https://www.uspto.gov/web/offices/pac/mpep/s1206.html

情況有二:
- 在提出notice of appeal之後,但在提出appeal brief之前,僅受理Claim刪除、符合前次OA要求的修正、將被核駁Claim修改為比較好的樣子、提出足夠理由而修正。

Amendments filed after the filing of a notice of appeal, but prior to the date of filing a brief, may be admitted only to:
(A) cancel claims;
(B) comply with any requirement of form expressly set forth in a previous action;
(C) present rejected claims in better form for consideration on appeal; or
(D) amend the specification or claims upon a showing of good and sufficient reasons why the amendment is necessary and was not earlier presented. See 37 CFR 41.33(a).

- 在提交appeal brief的當日或之後,僅受理claim刪除、將附屬項改寫為獨立項。

(a) Amendments filed after the date of filing an appeal pursuant to § 41.31(a)(1) through (a)(3) and prior to the date a brief is filed pursuant to § 41.37 may be admitted as provided in § 1.116 of this title.
(b) Amendments filed on or after the date of filing a brief pursuant to § 41.37 may be admitted:
(1) To cancel claims, where such cancellation does not affect the scope of any other pending claim in the proceeding, or
(2) To rewrite dependent claims into independent form.

提出Notice of Appeal時,同時提出修正專利範圍,有兩個情況:
(1)如果專利申請案是在Final action之後提出Notice of Appeal,細則規定在37 CFR 1.116,這樣的修正並不會被接受,但如果是刪除專利範圍,或是符合前次OA的修正,或是將專利範圍修改成比較好的樣式、或有任何合理修正的理由,可能會被接受。

(1) An amendment may be made canceling claims or complying with any requirement of form expressly set forth in a previous Office action;
(2) An amendment presenting rejected claims in better form for consideration on appeal may be admitted; or
(3) An amendment touching the merits of the application or patent under reexamination may be admitted upon a showing of good and sufficient reasons why the amendment is necessary and was not earlier presented.

(2)如果專利申請案在non-Final action之後提出Notice of Appeal,細則規定在37 CFR 1.111,即如回應non-final action的條件。

(A) Cancellation of a claim(s);
(B) Adoption of the examiner suggestion(s);
(C) Placement of the application in condition for allowance;
(D) Reply to an Office requirement made after the first reply was filed;
(E) Correction of informalities (e.g., typographical errors); or
(F) Simplification of issues for appeal.

請注意,專利申請案有至少兩次核駁意見後才可提出Appeal。

資料來源:
https://www.uspto.gov/patents-application-process/patent-trial-and-appeal-board/appeals

Ron

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