美國專利復權期限與拋棄聲明筆記

筆記

回應在「37 CFR 1.137復權規定筆記（https://enpan.blogspot.com/2019/05/37-cfr-1137.html）」中網友AA提出的問題：提復權的期限是多久呢？真是有點慢回應（編按，若有人在文章文後提問或是提醒或是更錯，編者並不會主動被提醒，不好意思！也不見得會每次都回，這是我自己的怠慢！），但仍在此筆記。

拋棄（abandonment）：

還是回到37 CFR 1.137，有復權的規定，表示之前權利已經被拋棄（abandonment），而拋棄的情況可以參考以下內容。

根據MPEP 711.03(c)引用37 C.F.R. 1.135內容，專利申請案被拋棄的主要原銀是「沒有在期限內回覆官方意見，即視為拋棄」（情況一）（37 C.F.R. 1.135 ABANDONMENT FOR FAILURE TO REPLY WITHIN TIME PERIOD），其他細節可以參考MPEP 711 Abandonment of Patent Application（https://www.uspto.gov/web/offices/pac/mpep/s711.html）。

根據MPEP 711引用37 CFR 1.138內容，申請人仍可通過拋棄聲明（written declaration of abandonment）（37 CFR 1.138  Express abandonment），主動表明拋棄（express abandonment）可針對專利申請案以及獲准專利（繳領證費前）（情況二），所述「拋棄聲明」應由申請人簽署，若希望申請案（或獲准專利）不要被公開，聲明拋棄需要在USPTO預備公開申請案程序前提出拋棄聲明，並完成付費等動作，文中提到的期限是公開日（早期公開是在最早申請日後18個月）前4週之前。

II. TO AVOID PUBLICATION OF APPLICATION

A petition under 37 CFR 1.138(c) will not stop publication of the application unless it is recognized and acted on by the Pre-Grant Publication Division in sufficient time to avoid publication. The petition will be granted when it is recognized in sufficient time to avoid publication of the application. The petition will be denied when it is not recognized in time to avoid publication. Generally, a petition under 37 CFR 1.138(c) will not be granted and the application will be published in regular course unless such declaration of express abandonment and petition are received by the appropriate officials more than four weeks prior to the projected date of publication. It is unlikely that a petition filed within four weeks of the projected date of publication will be effective to avoid publication. Also note that withdrawal of an application from issue after payment of the issue fee may not be effective to avoid publication of an application under 35 U.S.C. 122(b). See 37 CFR 1.313(d).

然而，相關規定中也提到，其實USPTO預備公開申請案的時間是在公開日前4個月就開始了！

A petition under 37 CFR 1.138(d) may not be effective to stop publication of an application unless the petition under 37 CFR 1.138(d) is granted and the abandonment processed before technical preparations for publication of the application has begun. Technical preparations for publication of an application generally begin four months prior to the projected date of publication.

看來是，若要主動拋棄專利申請案，又不要被公開，愈早提出愈好！

主動拋棄聲明表格：

主動聲明拋棄並要避免被公開的申請表格：

其他表格可以參考MPEP 711其餘內容，還有請求「退費」。

除以上兩種主要拋棄樣態外，專利申請案被拋棄的理由還有：未完整回覆官方意見（insufficiency of reply）（情況三），也就是申請人有及時回應官方意見，但是卻不完整。其他申請案被拋棄的理由可參考MPEP 711.02(b) Special Situations Involving Abandonment，包括：

- 隨便回應的內容不算是正式的回應（如回覆中將非審查委員建議的專利範圍複製貼上）（情況四）。

- 專利申請案會被拋棄，是因為專利範圍被撤回（withdrawal）、未回應審查意見、未及時提出訴願等，綜合來說，就是沒有及時回應官方意見（OA）。

- 撤回上訴（如CAFC，這應該是針對專利性的訴訟），也將導致相關申請案被拋棄（情況五）。

- 申請案申請專利範圍遭遇「衝突程序（interference）」，但沒有被解決。（情況六）

- 沒有正確執行RCE，也將導致申請案被拋棄（情況七）。

- 即便專利申請案獲准，但沒有及時繳交領證費，申請案被拋棄（情況八）。

復權（revival）：

37 CFR 1.137 Revival of abandoned application, or terminated or limited reexamination prosecution.

此節表示的復權程序針對的情況是，專利申請案（領證專利）被拋棄，專利申請案在再審程序（複審，reexamination）終止。

復權理由主要是「非蓄意延遲（unintentional delay）」，申請人可以提出復權請願（petition）時表明非蓄意延遲，並提出終權聲明（terminal disclaimer），也就是同意放棄在被拋棄時期的權利。

在復權請願中，申請人應提交：完整專利說明書、費用、終權聲明。

復權期限：

綜合以上各種資訊，其實提出復權是沒有設定明確期限的，只是，復權理由要有說服力的話，當然是愈早愈好，要不然提出復權理由的要求會更高、更多。根據MPEP 711規定，有以下內容，若復權請願並沒有在申請案被拋棄日期後一年內提出（這裡指出，拋棄日期是法律規定的時間，而不是發出拋棄通知的時間），USPTO可以要求：

(A) 申請人何時發現申請案被拋棄？

(B) 延遲發現申請案被拋棄的理由？

若申請人並未證明所述延遲為非蓄意，USPTO將拒絕此復權請願。

Where a petition pursuant to 37 CFR 1.137 is not filed within 1 year of the date of abandonment of the application (note that abandonment takes place by operation of law, rather than by the mailing of a Notice of Abandonment), the Office may require:

(A) further information as to when the applicant (or the applicant’s representative) first became aware of the abandonment of the application; and

(B) a showing as to how the delay in discovering the abandoned status of the application occurred.

To avoid delay in the consideration of the merits of a petition under 37 CFR 1.137 in instances in which such petition was not filed within 1 year of the date of abandonment of the application, applicants should include:

(A) the date that the applicant first became aware of the abandonment of the application; and

(B) a showing as to how the delay in discovering the abandoned status of the application occurred.

Applicant’s failure to carry the burden of proof to establish that the "entire" delay was "unintentional" may lead to the denial of a petition under 37 CFR 1.137, regardless of the circumstances that originally resulted in the abandonment of the application.

Ron