2020年4月9日 星期四

有關摘要的撰寫規定 - 筆記&範例

筆記&範例

聽說同事處理專利申請案因為「摘要」撰寫不符規定而被駁回,...核駁理由大約是審查委員認為摘要應該要完整撰寫「發明/創作欲解決之問題、解決問題之技術手段與主要用途」,這樣的話,來看看怎麼寫「摘要」?

每一個完整的文章應該是有:起、承、轉、合,這是從一個網頁的理解:https://www.rocknovels.com/blog-post_12.html

如果簡短如「專利摘要」的寫作,至少寫這些吧!

1. "專利名稱"應該要帶入,之後說這個發明用在哪裡,可以簡單說個環境,如網路系統、工廠、家庭。
2. 直接描述技術手段,可以參考規劃中的最大專利範圍,並可斟酌加入一些重要元件(可能在附屬項中)。
(可以不要有結尾)
3. 如果要有"結尾",可以是一個動作的結束,或是完成一個裝置,也可能會不自禁地置入「最後達成的功效」,不過,這種內容對將來解釋專專利範圍或是訴訟可能有負面影響。(編按,"功效"應該是專利範圍描述的發明的功效,但是專利範圍會因為一或多次答辯而改變,功效必然會有差異或是轉變,除非很認真地隨著專利範圍改變而修改這部分描述)

根據實務經驗,摘要...千奇百怪,最方便的寫法就是將「初稿」的Claim 1置入,改成比較好讀的寫法,避免一些用語。有時我個人會一開始寫稿時就將摘要寫出,這時不是依照Claim 1寫,而是憑著對發明的理解寫出摘要,我覺得這才像摘要(之後可能會依照更多的理解而修改),不過卻也不容易每次都這樣做!

隨便找幾件範例。

範例一:
Apple Inc.的US9686539("Camera pair calibration using non-standard calibration objects"),摘要如下,順便帶入說明:


"Systems, methods, and computer readable media for calibrating two cameras (image capture units) using a non-standard, and initially unknown, calibration object are described (專利名稱). More particularly, an iterative approach to determine the structure and pose of an target object in an unconstrained environment are disclosed (應用情境). The target object may be any of a number of predetermined objects such as a specific three dimensional (3D) shape, a specific type of animal (e.g., dogs), or the face of an arbitrary human. Virtually any object whose structure may be expressed in terms of a relatively low dimensional parametrized model may be used as a target object (發明的動機) The identified object (i.e., its pose and shape) may be used as input to a bundle adjustment operation resulting in camera calibration (用途).

小結:結果這件並未描述「技術手段」,嚴格來說,看不出技術手段!

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範例二:
Apple Inc.的US9462558("Managing power consumption of transmission circuitry in a wireless communication device"),摘要與說明如下:


"Methods, apparatuses and computer readable media are described that manage transmit power levels for a wireless device connected to a network access system of a wireless network (專利名稱). Processing circuitry in the wireless device obtains a target average transmit power level. Based on estimates of an actual average transmit power level for a sliding window of a past time period and the target average transmit power level, the processing circuitry determines a target transmit power level, a duty cycle percentage, and a transmit pattern of transmit on frames and transmit off frames for a future time period. The processing circuitry sends to the access network system signaling messages indicating non-zero valued buffer status reports for the transmit on frames and zero valued buffer status reports for the transmit off frames. Non-zero values correspond to actual amounts of pending uplink data, while zero values are sent irrespective of actual uplink buffer status (技術手段)."

小結:本篇就只寫兩件事:專利名稱與主要技術手段,並對應此案的Claim 1。

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範例三:
Google LLC的US10489112("Method for user training of information dialogue system"),摘要與說明如下:

"Provided is a method for user training of an information dialogue system (專利名稱). The method may include activating a user input subsystem, receiving a training request entered by the user, converting the training request into text by the user input subsystem, sending the text of the training request obtained as a result of the conversion to a dialogue module, processing the text of the training request by the dialogue module, forming a response to the training request by the dialogue module, and sending the response to the training request to the user. The response to the training request may be formed in a form of one or more of the following: a voice cue, a text, and an action performed by the information dialogue system (技術手段)."

小結:本篇摘要也僅兩件事,也符合本篇最前面的說明,就專利名稱與技術手段而已,內容遠小於之後核准的Claim 1。


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回頭看台灣、歐洲與美國的法規怎麼說。(這才是應該要注意的,以上的說明僅是個人意見,或是代理人的習慣)

US:
美國「35 U.S.C. 112 SPECIFICATION」規範專利說明書的撰寫要求,但這部分並未規範摘要,如果看MPEP 2163.01,這是說明書支持請求項標的的規定,其中要求說明書(written description)要支持專利範圍(claimed subject matter),這是112(a)的要求,且可知到,Written description由abstract, specification 以及 drawings組成。

MPEP 608.01(b) Abstract of the Disclosure

"Abstract" or "Abstract of the Disclosure" as a heading.
「摘要」內容可視為說明書(specification)的一部分,因此,表示要符合112規定,也會被核駁並要求修正,也會影響專利是否核准。

「摘要」撰寫應簡明地描述技術特徵,應關於揭露書揭示的發明(不得有無關內容),應包括發明中新穎的部分,不能包括優點與推測的內容,也不應與現有技術比較(編按,十分重要的提醒)

如果發明關於現有技術的改良,摘要應該要包括改良的內容。

(重要)如果適用,應該:(1)如果是機器或裝置,應包括其中組成與運作;(2)如果是物品,應包括其製作方法;(3)如果是化學成份,應包括其特性與用途;(4)如果是混合物,應包括其成份;(5)如果是流程,應包括其步驟。有關衍生的機構與設計細節不應包括在摘要中。


若發明涉及化學成份,應提出其通式。

PCT規定:
MPEP 1826(含37CFR1.438,有關PCT規範)提到「摘要」的撰寫是要有效地作為「掃描工具」,目的是提供檢索用(編按,因此要明確定讓閱讀者知道發明的領域,這部分有「發明領域」,特別如PCT規則要求要讓科學家、工程師與研發人員考量申請國際申請案的依據)。根據37CFR1.438規定,沒有「摘要」,不影響取得專利申請日的權益,但還是要補,否則會被撤銷。

繼續補充:摘要應包括「揭露內容、申請專利範圍與圖示」的總結(summary),如果適用(顯然是針對化學、醫藥方面的發明),應包括化學方程式(主要特徵)。「摘要」應以簡明方式撰寫(50~150字,但非絕對,這是因應印刷/公報的需求)。同樣地,摘要的用途也是為了可以有效地檢索用途,

摘要要表達的是,關於發明中新穎的部分,還建議寫為「the invention "relates to"」,並不准寫出關於發明的優點與其評價("statements on the alleged merits or value of the invention are not allowed.")。

50~150字的摘要撰寫規定:
(A) 指出發明領域(編按,可從專利名稱得出)。
(B) 清楚指出「技術問題」。
(C) 解決技術問題的手段總結(Summary of invention’s solution of the problem)。
(D) 主要用途。
(E) 如果要寫元件編號,應放在括號內。
(F) 如果適用,應包括主要化學方程式。

不能包括:
(A) 多餘的語言(廢話不多說)。
(B) 法律用語,如“said” and “means等。
(C) 優點與推測的陳述。
(D) 如上述(PCT Rule 9)規定的禁止內容。

EP:

Rule 47 Form and content of the abstract

「摘要」應指出發明名稱。
「摘要」應包括簡明的發明的總結。
「摘要」其總結(summary)應指出技術領域,應能清楚理解技術問題,應包括解決問題的解決方案的要點。
適用的話,應包括化學方程式,也應是發明的主要特徵。
不得包括優點評價等無關用語。
不能超過150字。
歐洲專利公開案所謂的摘要,包括了主要圖式。
「摘要」中的主要特徵,若標示在圖式中,應以括號標註編號。
「摘要」的撰寫,以有效檢索相關技術領域的目的為主。

TW:
(TW專利法施行細則)
- 摘要,應簡要敘明發明所揭露之內容,並以所欲解決之問題、解決問題之技術手段及主要用途為限。
(編按,這裡的「為限」,應該是規定不能超出這些內容,而非規定必須包括這些內容。)
- 字數以不超過二百五十字為原則。
- 有化學式者,應揭示最能顯示發明特徵之化學式。
- 摘要,不得記載商業性宣傳用語。


--- 法規 ---
TW專利法施行細則:

第二十一條  摘要,應簡要敘明發明所揭露之內容,並以所欲解決之問題、解決問題之技術手段及主要用途為限;其字數,以不超過二百五十字為原則;有化學式者,應揭示最能顯示發明特徵之化學式。

摘要,不得記載商業性宣傳用語。

摘要不符合前二項規定者,專利專責機關得通知申請人限期修正,或依職權修正後通知申請人。

申請人應指定最能代表該發明技術特徵之圖為代表圖,並列出其主要符號,簡要加以說明。

未依前項規定指定或指定之代表圖不適當者,專利專責機關得通知申請人限期補正,或依職權指定或刪除後通知申請人。

第二十二條  說明書、申請專利範圍及摘要中之技術用語及符號應一致。

前項之說明書、申請專利範圍及摘要,應以打字或印刷為之。

說明書、申請專利範圍及摘要以外文本提出者,其補正之中文本,應提供正確完整之翻譯。

US/PCT
MPEP1826/37CFR1.438

8.3 Guiding Principles in Drafting
The abstract shall be so drafted that it can efficiently serve as a scanning tool for purposes of searching in the particular art, especially by assisting the scientist, engineer or researcher in formulating an opinion on whether there is a need for consulting the international application itself.

37 CFR 1.438 The abstract
(a) Requirements as to the content and form of the abstract are set forth in PCT Rule 8, and shall be adhered to.
(b) Lack of an abstract upon filing of an international application will not affect the granting of a filing date. However, failure to furnish an abstract within one month from the date of the notification by the Receiving Office will result in the international application being declared withdrawn.

後續補充:
The abstract must consist of a summary of the disclosure as contained in the description, the claims and any drawings. Where applicable, it must also contain the most characteristic chemical formula. The abstract must be as concise as the disclosure permits (preferably 50 to 150 words if it is in English or when translated into English). National practice (see MPEP § 608.01(b)) also provides a maximum of 150 words for the abstract. See 37 CFR 1.72(b). The PCT range of 50 - 150 words is not absolute but publication problems could result when the PCT limit is increased beyond the 150 word limit. Maintaining the PCT upper limit is encouraged. As a rule of thumb, it can be said that the volume of the text of the abstract, including one of the figures from the drawings (if any), should not exceed what can be accommodated on an A4 sheet of typewritten matter, 1 1/2 spaced. The abstract of the international application as filed must begin on a new sheet following the claims (Administrative Instructions Section 207). The other physical requirements must correspond to those for the description. The abstract must be so drafted that it can efficiently serve as a scanning tool for the purposes of searching in the particular art. These and other requirements concerning the abstract are spelled out in detail in PCT Rule 8. Useful guidance can be obtained from the “Guidelines for the Preparation of Abstracts Under the Patent Cooperation Treaty,” published in the PCT Gazette (No. 5/1978). Those Guidelines may be obtained, in English and French, from the International Bureau.

The abstract should be primarily related to what is new in the art to which the invention pertains. Phrases should not be used which are implicit, (for instance, “the invention relates to...”), and statements on the alleged merits or value of the invention are not allowed.

Where the receiving Office finds that the abstract is missing, it invites the applicant to furnish it within a time limit fixed in the invitation. Where the receiving Office has not invited the applicant to furnish an abstract or the applicant fails to furnish an abstract within a time limit fixed in the invitation, the International Searching Authority establishes one. See PCT Rule 38. The same applies where the abstract does not comply with the requirements outlined in the preceding paragraphs. Where the abstract is established by the International Searching Authority, the applicant may propose modifications of, or comment on, the new abstract until the expiration of 1 month from the date of mailing of the international search report (PCT Rule 38.3).

SUMMARY OF ABSTRACT REQUIREMENTS
Preferably 50-150 words. Should contain:

(A) Indication of field of invention.
(B) Clear indication of the technical problem.
(C) Summary of invention’s solution of the problem.
(D) Principal use or uses of the invention.
(E) Reference numbers of the main technical features placed between parentheses.
(F) Where applicable, chemical formula which best characterizes the invention.
Should not contain:

(A) Superfluous language.
(B) Legal phraseology such as “said” and “means.”
(C) Statements of alleged merit or speculative application.
(D) Prohibited items as defined in PCT Rule 9.

MPEP § 608.01(b)/37 CFR 1.72(b)

MPEP 608.01(b) Abstract of the Disclosure
The Office of Patent Application Processing (OPAP) will review all applications filed under 35 U.S.C. 111(a) for compliance with 37 CFR 1.72 and will require an abstract, if one has not been filed. In all other applications which lack an abstract, the examiner in the first Office action should require the submission of an abstract directed to the technical disclosure in the specification. See Form Paragraph 6.12 (below). Applicants may use either "Abstract" or "Abstract of the Disclosure" as a heading.

If the abstract contained in the application does not comply with the guidelines, the examiner should point out the defect to the applicant in the first Office action, or at the earliest point in the prosecution that the defect is noted, and require compliance with the guidelines. Since the abstract of the disclosure has been interpreted to be a part of the specification for the purpose of compliance with 35 U.S.C. 112 (In re Armbruster, 512 F.2d 676, 678-79, 185 USPQ 152, 154 (CCPA 1975)), it would ordinarily be preferable that the applicant make the necessary changes to the abstract to bring it into compliance with the guidelines. See Form Paragraphs 6.13-6.16 (below).

Replies to such actions requiring either a new abstract or amendment to bring the abstract into compliance with the guidelines should be treated under 37 CFR 1.111(b) practice like any other formal matter. Any submission of a new abstract or amendment to an existing abstract should be carefully reviewed for introduction of new matter, 35 U.S.C. 132, MPEP § 608.04. The abstract will be printed on the patent.


Upon passing the application to issue, the examiner should make certain that the abstract is an adequate and clear statement of the contents of the disclosure and generally in line with the guidelines. If the application is otherwise in condition for allowance except that the abstract does not comply with the guidelines, the examiner generally should make any necessary revisions by a formal examiner’s amendment after obtaining applicant’s authorization (see MPEP § 1302.04) rather than issuing an Ex parte Quayle action requiring applicant to make the necessary revisions.

B.    CONTENT
A patent abstract is a concise statement of the technical disclosure of the patent and should include that which is new in the art to which the invention pertains. The abstract should not refer to purported merits or speculative applications of the invention and should not compare the invention with the prior art.

If the patent is of a basic nature, the entire technical disclosure may be new in the art, and the abstract should be directed to the entire disclosure.

If the patent is in the nature of an improvement in old apparatus, process, product, or composition, the abstract should include the technical disclosure of the improvement.

Where applicable, the abstract should include the following: (1) if a machine or apparatus, its organization and operation; (2) if an article, its method of making; (3) if a chemical compound, its identity and use; (4) if a mixture, its ingredients; (5) if a process, the steps. Extensive mechanical and design details of apparatus should not be included in the abstract.

With regard particularly to chemical patents, for compounds or compositions, the general nature of the compound or composition should be given as well as the use thereof, e.g., "The compounds are of the class of alkyl benzene sulfonyl ureas, useful as oral anti-diabetics." Exemplification of a species could be illustrative of members of the class. For processes, the type of reaction, reagents and process conditions should be stated, generally illustrated by a single example unless variations are necessary.

EP
Rule 47 Form and content of the abstract

(1) The abstract shall indicate the title of the invention. 
(2) The abstract shall contain a concise summary of the disclosure as contained in the description, the claims and any drawings. The summary shall indicate the technical field to which the invention pertains, and shall be drafted in a manner allowing the clear understanding of the technical problem, the gist of the solution of that problem through the invention, and the principal use or uses of the invention. The abstract shall, where applicable, contain the chemical formula which, among those contained in the application, best characterises the invention. It shall not contain statements on the alleged merits or value of the invention or on speculative applications thereof.  
(3) The abstract shall preferably not contain more than one hundred and fifty words. 
(4) If the European patent application contains drawings, the applicant shall indicate the figure or, exceptionally, the figures of the drawings which should be published with the abstract. The European Patent Office may decide to publish one or more other figures if it considers that they better characterise the invention. Each essential feature mentioned in the abstract and illustrated by a drawing shall be followed by a reference sign placed in parentheses. 
(5) The abstract shall be drafted in such a manner as to constitute an efficient instrument for the purpose of searching in the particular technical field. In particular, it shall make it possible to assess whether consultation of the European patent application itself is necessary. 

Ron

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