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2026年5月7日 星期四

設計新穎性優惠期隨筆 - 35 U.S.C. 102


發明與設計"本質上"的差異規定在MPEP 1502.01

差異包括:(A)專利期限不同(現行):發明20年、設計15年;(B)設計專利沒有維護費用;(C)設計案僅能有一項專利範圍;(D)審查委員可酌情限制申請案中的多個發明,但設計案僅能一個設計;(E)國際發明申請案依照PCT規定,國際設計申請案則適用Hague協議;(F)發明案一般優先權期限為1年,設計案則是6個月;(G)發明申請案可以主張美國臨時申請案優先權,但設計案沒有;(H)發明與植物申請案有RCE程序,但設計案並沒有;(I)設計案有CPA審查程序(可比擬RCE);(J)發明申請案有早期公開規定,設計申請案沒有。

摘錄MPEP關於"design"新穎性規定的段落(本篇以設計為主角,但規定都與utility申請案一致):
MPEP 2152 Detailed Discussion of AIA 35 U.S.C. 102(a) and (b)(https://www.uspto.gov/web/offices/pac/mpep/s2152.html
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

審查"設計申請案"新穎性時,同樣地須以其優先權作為有效申請日;若有阻礙新穎性的前案時,將考慮新穎性例外條款,AIA 35 U.S.C. 102(b)(1)(A)排除條款限於排除創作人或其共同創作人或自創作人/共同創作人直接或間接取得的人在有效申請日前一年內"已公開揭露/publicly disclosed"的創作(ps.可排除自己"申請日前一年內"的公開揭露)

MPEP 2153.01
AIA 35 U.S.C. 102(b)(1)(A) provides exceptions to the prior art provisions of AIA 35 U.S.C. 102(a)(1). These exceptions limit the use of an inventor's or at least one joint inventor’s own work as prior art, when the inventor's or at least one joint inventor’s own work has 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 not more than one year before the effective filing date of the claimed invention. AIA 35 U.S.C. 102(b)(1)(A) provides that a disclosure which would otherwise qualify as prior art under AIA 35 U.S.C. 102(a)(1) is not prior art 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. MPEP § 2153.01(a) discusses issues pertaining to inventor-originated disclosures within the grace period. MPEP § 2152.01 discusses the “effective filing date” of a claimed invention.

AIA 35 U.S.C. 102(b)(1)(B)排除條款用於排除"設計被創作人、共同創作人或直接或間接取得的人公開揭露""之後"的揭露。條件是(1)有效申請日前一年內;(2)創作被創作人等"更早之前已公開揭露"。(ps.創作人自己的公開揭露可以排除其他人在後的揭露,這些揭露都應該在"設計申請日前一年內")

ps.以下節錄內容的下半部就是討論"創作人之前的公開揭露"也應在創作"有效申請日"前一年內,才自己符合AIA 35 U.S.C. 102(b)(1)(A)的grace period。

MPEP 2153.02
AIA 35 U.S.C. 102(b)(1)(B) provides an additional exception to the prior art provision of AIA 35 U.S.C. 102(a)(1). AIA 35 U.S.C. 102(b)(1)(B) excepts as prior art a disclosure of subject matter that occurs 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 (i.e., an inventor-originated public disclosure). Specifically, AIA 35 U.S.C. 102(b)(1)(B) provides that a disclosure which would otherwise qualify as prior art under AIA 35 U.S.C. 102(a)(1) (patent, printed publication, public use, sale, or other means of public availability) is excepted 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. The previous inventor-originated public disclosure of the subject matter typically will be a disclosure within the one-year grace period (i.e., a grace period inventor-originated disclosure). However, if the previous inventor-originated public disclosure of the subject matter was made outside the grace period, that disclosure itself would qualify as prior art under AIA 35 U.S.C. 102(a)(1), and could not be excepted under AIA 35 U.S.C. 102(b)(1)(A). In other words, a previous inventor-originated public disclosure of the subject matter can be effective to establish that a grace period disclosure is excepted as prior art regardless of whether the previous inventor-originated disclosure was made within the grace period or not. MPEP § 2152.01 discusses the “effective filing date” of a claimed invention. MPEP § 2155.02 discusses the use of affidavits or declarations to show that the subject matter disclosed had, before such disclosure, been publicly disclosed by the inventor or a joint inventor, and MPEP § 2155.03 discusses the use of affidavits or declarations to show that the disclosure was made, or that the subject matter had been previously publicly disclosed, by another who obtained the subject matter disclosed directly or indirectly from the inventor or a joint inventor.

申請時是否要聲明「新穎性優惠期」的相關資訊,答案是可以不用,但提出聲明可以加快審查(寫在cross-reference (37 CFR 1.78))。

Applicants can include a statement regarding any grace period inventor-originated public disclosures in the specification upon filing. See 37 CFR 1.77(b)(6) and MPEP § 608.01(a). In order to be effective to show that a grace period inventor-originated public disclosure is not prior art under AIA 35 U.S.C. 102(a)(1) because the AIA 35 U.S.C. 102(b)(1)(A) exception applies, the statement must convey the same information as would be required in a declaration under 37 CFR 1.130(a). See MPEP §§ 717.01(a)(1) , 2155.01, and 2155.03. An applicant is not required to identify any grace period inventor-originated public disclosures or to use the format specified in 37 CFR 1.77, but identifying any such disclosures may expedite examination of the application and save applicants (and the Office) the costs related to an Office action and reply. If the patent application specification as filed contains a specific reference to a grace period inventor-originated public disclosure, and an oath or declaration under 37 CFR 1.63 from the inventor or the appropriate joint inventor(s) has been made of record, the Office will consider it apparent from the specification that the grace period public disclosure is attributable to the inventor or a joint inventor, provided there is a sufficient explanation of why the exception applies to a particular disclosure and there is no other evidence to the contrary. The applicant should also provide a copy of the grace period inventor-originated public disclosure (e.g., copy of a printed publication). The format specified in 37 CFR 1.77(b)(6) may not be the basis to add information about inventor-originated grace period public disclosures to the specification after the filing date of the application. Such an amendment may be considered new matter. Applicants should use 37 CFR 1.130(a) to submit such information after filing.

Ron

2026年5月6日 星期三

美國專利審查流程(筆記USPTO講義)

本篇材料源自:https://www.uspto.gov/sites/default/files/documents/patent_examination_process.pdf

這份材料可以成為初學者的教材,十分淺顯易懂,又專業。

一些截圖加上我的簡單註解。

釐清用語:

專利審查委員的責任:

簡化的審查流程:

Title 35 U.S.C.的意義:

Title 37 CFR的意義:

主要專利核駁的法律基礎:

解釋專利範圍:
MPEP 2103
"C. Review the Claims
The claims define the property rights provided by a patent, and thus require careful scrutiny. The goal of claim analysis is to identify the boundaries of the protection sought by the applicant and to understand how the claims relate to and define what the applicant has indicated is the invention. Examiners must first determine the scope of a claim by thoroughly analyzing the language of the claim before determining if the claim complies with each statutory requirement for patentability. See In re Hiniker Co., 150 F.3d 1362, 1369, 47 USPQ2d 1523, 1529 (Fed. Cir. 1998) (“[T]he name of the game is the claim.”)."

102:新穎性明顯是事實議題,也就是技術比技術,有事實基礎,一頁就講完。

103:"非/顯而易見性"是基於事實的法律議題,問題比較複雜,要好幾頁來講。

我發現對於審查委員提出"發明通過修正先前技術可以輕易達成"的103核駁意見的答辯方向:

運用4步驟判斷發明顯而易見性的範例:

接獲After Final Rejection後的標準措施:

後看到專利獲准後「領證前異議程序(Third party preissuance submissions under 35 U.S.C. 122(e))」:


提交「領證前異議程序」的時間點:
時間點應在「發出核准通知以前」或是「專利申請案第一次公開後6個月後」或是「專利申請案接獲第一次審查意見之後」,以當中較早的為準。

可參考:
-領證前異議程序以及監視計畫(有關PREISSUANCE SUBMISSIONS)(https://enpan.blogspot.com/2015/08/preissuance-submissions.html
-preissuance submissions筆記與案例(https://enpan.blogspot.com/2016/05/preissuance-submissions.html

Ron

2025年7月29日 星期二

以開放的態度解釋專利範圍 - In re Skvorecz (Fed. Cir. 2008)

IN RE ROBERT SKVORECZ案件資訊:
本案為BPAI(Board of Patent Appeal and Interferences,是PTAB前身)的上訴案,系爭專利申請案:09/772,278,為US5,996,948的再領證申請案(reissue),判決日:September 3, 2009。

系爭案母案US5,996,948,關於一種金屬線火爐,這是一種廚房內用於保溫食物的裝置。主要專利特徵是改良金屬線支架為可以彼此套接與分離,腳的部分設計有偏差,使得可以相互套接。


特別引起爭議的是,當審查委員於8/12/1999發出核准通知後,申請人於10/14/1999提出修正要修正Figs. 12, 13,使其更符合明書內容。修正的部分就是下圖中的偏差(offset 42),申請人主張此修正並未改變專利範圍的解讀。最後,審查委員並未同意修正,申請案仍於12/17/1999領證。

(未修正)

上述母案核准專利後,申請人提出再領證(reissue)程序:
03/15/2001 再領證申請
審查階段遭受到4次核駁(2次non-final, 2次final)。
03/25/2005提出訴願通知(notice of appeal)
07/21/2005 Appeal Brief Filed
10/27/2005 Appeal Brief Filed
03/28/2007 Patent Board Decision (Examiner Affirmed in Part) - 核駁Claims 1-5, 7
05/21/2007 Request for Rehearing of Patent Board Decision
11/19/2007 Decision on Reconsideration - Denied
01/17/2008 Appeal to Court of Appeals for Federal Circuit (CAFC)
09/03/2009 Decision by Court of Appeals for the Federal Circuit – Reversed
回到BPAI:
06/02/2011 申請人修正專利範圍與答辯
08/23/2011 面詢
10/12/2011 最終再領證檢核
10/21/2011 核准通知
12/6/2011 再領證:USRE42988

母案雖獲准,當中審查委員否決申請人提出的修正請求,理由是產生新事物。

如此,申請人於3/15/2001提出再領證程序 - 09/772,278(之後的過程就如上述時間表),藉由再領證程序擴大專利範圍:


再領證審查結果引用以下前案,核駁claims 1-5, 7,claim 6是可核准專利範圍。前案如下:


案件進入訴願,除上述涉及102的核駁意見外,BPAI另作出兩項核駁理由:claim 5不明確以及claims 1-5, 7不滿足撰寫要求(35USC112),這時專利申請人Skvorecz可以提出再審(rehearing),或是重啟(reopen)USPTO審查程序,結果申請人是選擇訴願再審,BPAI仍是駁回本案。

102
文中的102新穎性討論主要著墨在金屬支架中的腳是否彼此有位移而能套接別的金屬支架,顯然引證案Buff並沒有此結構,系爭案對此應具有新穎性,不過訴願委員會仍說明因為系爭案claim 1採用開放式寫法"comprising",因此認為解釋專利範圍時並非所有Claim 1描述的「金屬腳」都有位移(offset),也就是Skvorecz案專利範圍的解釋會包括沒有位移(offset)的金屬腳;更者,即便Skvorecz案發明所有的金屬腳都有位移,引證Buff還是有具有位移的金屬腳。如此解釋claim 1不具新穎性

然而,以上解釋被CAFC否決,因為USPTO/BPAI錯誤解釋"comprising",因為開放式轉接詞"comprising"的解釋是發明並不排除專利範圍中所描述以外的元件。


至少解讀Buff可知,Buff並非如Skvorecz案申請專利範圍記載每個金屬腳都有位移(offset),因此CAFC駁回BPAI新穎性的核駁意見

Claim 1: A wire chafing stand comprising an upper a first rim of wire steel which forms a closed geometrical configuration circumscribing a first surface area, a lower rim of wire steel forming a closed geometrical configuration circumscribing a second surface area with said first surface area being larger than said second surface area and having a plurality of at least two wire legs with each wire leg having two upright sections interconnected to one another at a location below the lower rim in a configuration forming a base support for the stand to rest upon with each upright section extending upwardly from said base support to form an angle equal to or greater than 90° with respect to a horizontal plane through said base support and being affixed to the upper first rim adjacent one end thereof and to said lower rim at a relatively equal distance below the point of attachment to said upper rim and further comprising a plurality of offsets located either in said upright sections of said wire legs or in said upper first rim for laterally displacing each wire leg relative to said upper first rim to facilitate the nesting of a multiplicity of stands into one another without significant wedging.

112
MPEP 2173.02 Determining Whether Claim Language is Definite

Definiteness of claim language must be analyzed, not in a vacuum, but in light of: 
(A) The content of the particular application disclosure; 
(B) The teachings of the prior art; and 
(C) The claim interpretation that would be given by one possessing the ordinary level of skill in the pertinent art at the time the invention was made.

請求項用語明確性(definiteness)分析應考量:(A)申請案揭露內容;(B)先前技術的教示;以及(C)相關領域一般技術人員在發明完成的時間點(當時技術水平)對專利範圍的解釋。

USPTO審查再領證案(系爭案)時並無提出違反112的核駁意見,案件進入BPAI,BPAI委員認為系爭再領證案Claim 5為不明確,理由包括有元件缺乏前述基礎(antecedency),以及其中"segments"並未定義在說明書中。

Claim5: A wire chafing stand as defined in claim 1 wherein said plurality of offsets are welded to said wire legs at the separation of the upright sections into segments.


CAFC摘錄MPEP 2173.05(e) Lack of Antecedent Basis中兩句話:

"There is no requirement that the words in the claim must match those used in the specification disclosure."(讓專利工程師鬆一口氣,這裡說沒有要求請求項的用詞應對照說明書揭露內容

"Obviously, however, the failure to provide explicit antecedent basis for terms does not always render a claim indefinite."(缺乏明確前述基礎不總是造成專利範圍不明確

我補一段:"If the scope of a claim would be reasonably ascertainable by those skilled in the art, then the claim is not indefinite.Ex parte Porter, 25 USPQ2d 1144, 1145 (Bd. Pat. App. & Inter. 1992)(如果相關領域技術人員可以合理地確定申請專利範圍,則權利要求並非不明確

基於以上規定,CAFC否決BPAI過度地用缺乏前述基礎與缺乏說明書支持的理由駁回本案。("Subject to this potential amendment, the rejection on the ground of indefiniteness is reversed.")

CAFC重申,關於"written description requirement",說明書撰寫要求目的是讓公眾理解發明內容,也是證明申請人所擁有的發明範圍。以開放的態度解釋發明內容,也就不會如BPAI拒絕本案系爭案申請人提出修正圖式會被認為是產生新事物的問題。

因為相關領域技術人員經參考說明書與圖式後,將可明確地理解圖中已經有金屬腳位移的特徵。因此CAFC"駁回"BPAI駁回本案不符112規定的決定



Ron

2025年5月16日 星期五

102(a)(1)與102(b)(1)(A)(B)筆記 - MPEP 2153

本篇筆記「Grace Period Inventor-Originated Disclosure Exception」。

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;
    • ...
    • 不具新穎性而不能取得專利的條件:(1)發明已被專利;(2)發明揭露在公開文獻中;(3)發明公開使用;(4)發明販售中;或是(5)發明以其他方式公開給大眾知悉。
  • (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.
      • ...
例外條款:如果發明揭露(DISCLOSURE)於其"專利申請案"有效申請日(主張優先權者以優先權日起算)之前"一年內",不視為先前技術,條件包括:
(A)(a)所述揭露(一年內)由發明人或共同發明人所為,或是(b)他人直接或間接從發明人或共同發明人揭露取得;或是
(B)在所述揭露之前(c)所述發明已經由發明人或共同發明人所為,或是(d)他人直接或間接自發明人或共同發明人揭露取得。
(換句話說,若發明人自己揭露或是授意公開揭露"早於專利有效申請日之前的揭露(我的解讀是特別是"他人"的揭露),可以排除這樣的揭露(such disclosure,此揭露仍須在一年內,超過一年就不能排除,但還有102(b)(2)其他保護)。)


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

102(b)(1)(A):
"2153.01"規範102(b)(1)(A)的例外條款,此例外條款宗旨是保障發明人(或共同發明人)的工作(publicly disclosed)"有條件地"不會成為自己專利申請案的先前技術,主要條件就是發明人、共同發明人或經兩者授意公開的揭露("inventor-originated disclosures")不能是專利申請案有效申請日"前一年內"。

如此建立一年的「新穎性優惠期」。

細節地,當專利申請案為共同發明,要證明之前揭露的先前技術為"inventor-originated disclosure",除了以上一年時間規定外,此"inventor-originated disclosure"不能有額外的發明人/作者("does not name additional persons")。

舉例來說,專利申請案發明人有A, B, C,而之前(有效申請日前一年內)公開揭露的作者有A, B,之前公開揭露可被排除是先前技術("grace period inventor disclosure")。

反之,如果專利申請案發明人(如A, B)少於先前揭露內容的作者(如A, B, C),先前揭露內容不能視為"inventor-originated disclosure",而先前揭露內容則為適格的先前技術。

102(b)(1)(B):
"2153.02"規範102(b)(1)(B)的例外條款,這裡稱「inventor-originated prior art disclosure exception」,主要用意是排除發生在發明人自己、共同發明人或其他經授意(直接或間接從發明人或共同發明人取得)公開揭露之後的揭露(such disclosure,指發明專利申請案有效申請日之前的揭露)形成的先前技術,在此揭露(such disclosure)之前發明人(共同發明人或授意他人)的公開揭露稱「inventor-originated public disclosure」。

如此,102(b)(1)(B)讓發明人自己公開的內容排除102(a)(1)規定的先前技術,但只能排除有效申請日之前的一年內的先前技術。

然而,仍要注意的是,排除有效申請日前的先前技術的發明人自己的公開內容,這裡強調,此公開內容仍應是在有效申請日前一年內,如此建立了一年的新穎性優惠期,稱「grace period inventor-originated disclosure」。

如果,發明人(含共同發明人或經授意)自己的公開揭露("inventor-originated public disclosure")不在所述一年新穎性優惠期間,發明人自己公開的內容仍是形成102(a)(1)規定的先前技術

"35U.S.C.102(b)(1)(B)"著重在發明人、共同發明人或經授意"先前公開揭露"(previously publicly disclosed),而在此強調的是,此先前揭露的內容(subject matter)一定要與要排除的先前技術一樣(基於新穎性例外排除的適用)。

特別地,如果發明人先前的揭露內容與要排除的先前技術僅有些微差異(非實質差異),仍不適用新穎性排除條款(35U.S.C.102(b)(1)(B)、35U.S.C.102(b)(2)(B)都不適用),意思是,發明人用自己的先前揭露內容排除他人揭露的先前技術(一年內,稱「intervening grace period disclosure」)的要求十分嚴格,還要注意自己的公開揭露也不能成為要申請專利發明的前案,因此也應在有效申請日前一年內

以上是否可排除先前技術的判斷是看技術特徵(逐元件判斷),而非直接排除整件文獻/揭露。這裡舉例,如果"inventor-originated prior public disclosure"包括A, B, C三個元件,之後欲排除的新穎性先前技術"intervening grace period disclosure"包括A, B, C, D四個元件,其中"A, B, C"可以被排除,但"D"仍為新穎性先前技術。

其中判斷也有"上位與下位"的差異,如果"inventor-originated prior public disclosure"揭露為"下位概念",而要排除之後的先前技術"intervening grace period disclosure"揭露的是"上位概念",此先前技術可以被排除;反之,上下位相反,此先前技術就不能被排除

當專利申請人要排除先前技術時,最好是可以提出聲明,主動指出可以排除先前技術的理由,可以加速審查委員的審查。


my two cents:
以上筆記是因為有客戶提出疑問後,再去明確理解102(b)(1)(A)(B)的內容,根據USPTO自己的解釋,應該是十分清楚的,但是...這畢竟是紙上談兵,應用時仍應反覆詳細查閱,並詢問代理人。

Ron

2025年3月31日 星期一

pre-AIA 35 U.S.C. § 102(e)(1)適格新穎性先前技術的近期案例 - In re Riggs (Fed. Cir. 2025)

案件資訊:
訴願案No.11/005,678的上訴人/專利申請人:IN RE: GLENN E. RIGGS...etc.
系爭專利申請案:No.11/005,678
判決日期:March 24, 2025

Pre-AIA 35 U.S.C. 102   Conditions for patentability; novelty and loss of right to patent.(https://www.uspto.gov/web/offices/pac/mpep/s2136.htmlhttps://enpan.blogspot.com/2008/09/102e.html
(e) the invention was described in — (1) an application for patent, published under section 122(b), by another filed in the United States before the invention by the applicant for patent or (2) a patent granted on an application for patent by another filed in the United States before the invention by the applicant for patent, except that an international application filed under the treaty defined in section 351(a) shall have the effects for the purposes of this subsection of an application filed in the United States only if the international application designated the United States and was published under Article 21(2) of such treaty in the English language.
(pre-AIA 35 U.S.C. § 102(e)(1):當發明日期之前已有其他美國專利申請案(該案經18個月早期公開),發明不具新穎性)

此案例特別地是由USPTO審查委員針對PTAB作出「公開專利申請案不符合35 U.S.C. § 102(e)(1)規定的先前技術的訴願決定提起再審請求(request for re-hearing,因為審查委員發現PTAB引用錯誤102(e)版本),PTAB同意此請求,確認審查委員意見正確-先前技術為102(e)(1)適格的先前技術,反過來由專利申請人提起上訴。

系爭案No.11/005,678首頁截圖如下,申請日:Dec. 7, 2004,為後續CA案,優先權為美國臨時申請案:No.60/221,541(Jul. 28, 2000)。最初由USPTO審查委員根據35 U.S.C. § 102(e)(pre-AIA),引用US2002/0049622(Lettich,申請日:Apr. 26, 2001,公開日:Apr. 25, 2002,優先權日:Apr. 27, 2000)駁回系爭案部分申請專利範圍,又根據35 U.S.C. § 103,結合Lettich與公開文獻Rojek認為部分申請專利範圍為顯而易見。

系爭專利:

Lettich:

案件經PTAB確認專利審查委員判定Lettich為適格35 U.S.C. § 102(e)先前技術後,專利申請人上訴CAFC。

系爭專利關於物流系統(logistics system),主要爭議是Lettich是否為適格的102先前技術?

事實上,專利權人提出的上訴議題有三:(1) PTAB同意審查委員的request for re-hearing是否越權(ultra vires)? (2) 是否PTAB適當地將具有較早美國臨時案優先權的Lettich作為102(e)規定的先前技術? (3) 是否實質證據支持PTAB的102, 103決定?

其中議題一也涉及上訴人是否被禁止質疑PTAB作出越權的決定,結果是判定上訴人被禁止主張PTAB行為越權。

本篇主要討論議題二:

Lettich申請於Apr. 26, 2001,主張Apr. 27, 2000的臨時申請案優先權。
系爭專利'678申請於Dec. 7, 2004(CA案),主張Jul. 28, 2000的臨時申請案優先權。

查兩案的優先權日期,顯然是Lettich有較早優先權日,因此表面上是符合102(e)規定的新穎性前案,因此議題轉為是否Lettich享有其主張的優先權?

USPTO審查委員與PTAB的決定都是基於MPEP 2136.03規定,特別是其中規定,先前專利/申請案/國際申請案只要至少一項專利範圍被其主張的優先權案支持,就具有先前技術的效果(prior art effect),因為Lettich符合此要件,因而判定Lettich為102(e)適格先前技術。


CAFC法官對此作出解釋,上述MPEP規定是基於"Dynamic 
Drinkware, Amgen"判決,CAFC法官認為並非只要證明有一項專利範圍被臨時申請案(優先權案)支持,連其他可能不被優先權案支持的內容都可拿來駁回後申請案

編案,因為臨時申請案擁有最早申請日,如果後申請案沒有全部都被臨時申請案支持,這部分內容(claims)應不享有最早申請日的優先權,這樣才像是一般理解的優先權。如此,CAFC至少釐清不是僅一項claim被臨時申請案(優先權案)支持其餘內容都可當作前案來核駁後申請案


CAFC在此補充,如本案,因為前案Lettich的優先權案是臨時申請案,且優先權日早於系爭申請案,並且臨時申請案後的正式申請案公開時,臨時申請案也會被公開,即可被引用為前案證據因此就應該以此最早申請案的內容作為102(e)/102/新穎性的證據

如此,就不用拐一個彎用MPEP2136解釋其引用前案的正當性。

Provisional applications become public when the corresponding non-provisional application publishes or the patent issues. As such, it is best to treat a published provisional application—like a published non-provisional application or patent—as prior art for all that it teaches as of its filing date.

這件特別的是,由USPTO審查委員基於MPEP2136指正PTAB的錯誤判決,但事實上,CAFC又否決PTAB之後更正的102(e)相關法條判斷,本案發回重審。




Ron

2024年11月1日 星期五

習知圖式形成AAPA - 訴願案(10/948,402)討論

在查圖式中標記「Prior Art」的規定時,發現圖式標示"prior art"也是有點學問的,根據MPEP608.02(g)規定,一開始就說以圖式表示先前技術是沒有需要的,還要求刪除!!! 然而,如果需要通過先前技術圖式理解本發明,則可保留並標記為"Prior Art"。

608.02(g)    Illustration of Prior Art
Figures showing the prior art are usually unnecessary and should be canceled. Ex parte Elliott, 1904 C.D. 103, 109 OG 1337 (Comm’r Pat. 1904). However, where needed to understand applicant’s invention, they may be retained if designated by a legend such as "Prior Art."

而我曾經收到以下審查意見,原始圖式針對習知技術的圖式標記為"Related Art",審查委員認為應該標示"Prior Art",姑且不論是否是審查委員的個人偏好,或是法律這樣規定不得用其他用語取代,經查網路上的各種資訊,其實很少針對此議題的案例。

然仍在All Things Pros已經沒有更新的部落格中找到本次想要分享的案例,其中專利申請人針對圖式"沒有"標示"prior art"答辯認為其並未建立申請人承認先前技術(AAPA),因為"圖式涵蓋發明的部分",但USPTO審查意見與訴願決定都判定此案仍因AAPA而不具新穎性。

專利申請號:10/948,402
系爭申請案爭議的圖式:

03/18/2008 最終駁回(駁回圖式理由:本案圖1的描述在段落0009,其中都是在描述相關技術)

在102議題中,圖1的描述被視為是本案的AAPA(申請人承認的先前技術)

申請人在說明書也承認本案與習知僅為細微差異,使得在最終審查意見中被判定本案不具新穎性。

06/17/2008 訴願請求
08/18/2008 提交訴願理由
01/26/2009 受理訴願

12/11/2009 訴願決定 - 訴願駁回,訴願委員會確認審查意見:基於AAPA發明不具新穎性。
訴願號碼:2009-006771
申請日:10/948,402
決定日:Dec. 10, 2009


my two cents:
本案例因為專利說明書中明確地在習知技術的部分描述Figure 1,卻又承認與本發明差異不大,使得審查時認為Figure 1建立了AAPA,也據此駁回申請案。可知,說明書描述先前技術需要考量是否建立了AAPA。

本案說明書的一些AAPA證據:


Ron

2024年8月15日 星期四

法院解釋"claimed invention"與"invention"並沒有什麼不同-關於"on-sale bar"(Celanese Intl. Corp. v. Intl. Trade Comm’n, 22-01827 (Fed. Cir. 2024))

本篇是我有點興趣的,因為知道"invention"是"發明","claimed invention"是要"取得專利的發明",但這樣翻譯不好讀,也好奇法條中的"invention"與"claimed invention"到底有何不同?結果本篇法院自己來解釋~~~原來 沒有什麼不同 @#@$!%!

Celanese Intl. Corp. v. Intl. Trade Comm’n,  22-01827 (Fed. Cir. 2024) 為ITC(美國國際貿易委員會,International Trade Commission)案,一般情況是專利權人(本案是上訴人)主張某進口商的進口商品侵權,ITC受理後將進行調查,並做出決定,最後需要總統裁決。

本案資訊:
上訴人:CELANESE INTERNATIONAL CORPORATION, CELANESE (MALTA) COMPANY 2 LIMITED, CELANESE SALES U.S. LTD.
被上訴人:INTERNATIONAL TRADE COMMISSION
參加人:ANHUI JINHE INDUSTRIAL CO., LTD., JINHE USA LLC
系爭專利:US10,023,546 (claims 11, 27)、US10,208,004 (claims 7, 28, 33)、US10,590,095 (claims 1, 19, 34)
判決日:August 12, 2024

ITC階段:
本案緣起專利權人Celanese向ITC提起請願(petition),主張本案參加人Anhui Jinhe Industrial Co. (Jinhe)與相關人進口商品Ace-K(人工甜味劑)的生產流程侵害了犯Celanese專利(系爭專利),違反19 U.S.C. § 1337 。(編按,判決文寫的是"19 U.S.C. § 337",但似乎是"19 U.S.C. § 1337")

19 U.S. Code § 1337 - Unfair practices in import trade(進口貿易不公平業務)
...
(B)The importation into the United States, the sale for importation, or the sale within the United States after importation by the owner, importer, or consignee, of articles that— 
(i)infringe a valid and enforceable United States patent or a valid and enforceable United States copyright registered under title 17; or 
(ii)are made, produced, processed, or mined under, or by means of, a process covered by the claims of a valid and enforceable United States patent.
...

經調查,專利權人Celanese在其專利關鍵日(critical date,September 21, 2015,在此指的是系爭專利優先權日之前一年的日期,也就是新穎性優惠期限第一天)之前已經在歐洲秘密使用;並且Celanese也已經在critical date之前在美國販售以專利流程生產的Ace-K。如此就觸及post-AIA美國專利法所保障的新穎性規定 - 35 U.S.C. § 102(a)(1)

以系爭專利'546為例,優先權溯及provisional application申請日Sep. 21, 2016,即可推算critical date - Sep. 21, 2015,即相同申請人/發明人公開或實施專利的新穎性優惠期起始日。


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(發明人或直接間接自發明人獲得專利的人的揭露)
      • (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.(發明人或直接間接自發明獲得專利的人的公開揭露的專利標的)
    • (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.

如此,Jinhe根據以上揭露時間的爭議提起簡易判決請求,主張自己並未違反19 U.S.C. § 337,因為系爭專利權人在critical date之前已經有實施並販售的行為,觸及on-sale bar(35 U.S.C. § 102(a)(1))。

特別地,針對post-AIA的on-sale bar,雙方都沒有意見,但是Celanese主張AIA改變了pre-AIA的法律,但其在critical date之前的行為是在2015年的祕密程序,主張沒有觸發on-sale bar。

ITC的ALJ(Administrative Law Judge)否決Celanese主張,判定Celanese在critical date之前的販售行為已經觸發on-sale bar,且AIA事實上並沒有推翻AIA前的先例,如美國最高法院在Helsinn案:

先前販售合約形成「on-sale bar」- Helsinn Healthcare v. Teva Pharma USA (Supreme Court 2019)(https://enpan.blogspot.com/2019/01/on-sale-bar-helsinn-healthcare-v-teva.html)。


Celanese反駁的理由主要是,根據現行35USC102法條,其中以"claimed invention"取代pre-AIA的"invention",這是有意義的,認為系爭專利涉及生產流程(claimed process),僅在申請人販售方法本身才會觸發on-sale bar,而不及於專利方法所生產的產品,但ALJ仍判定法條中加入"claimed"並未推翻過去適用的on-sale bar,因此根據前例由專利方法生產的產品足以觸發on-sale bar

也就是,ITC階段,ALJ認為post-AIA的on-sale bar與pre-AIA的on-sale bar沒有甚麼不同。

Celanese上訴CAFC。

CAFC階段:

上訴CAFC議題就是,是否秘密地以專利方法生產的產品仍會觸發on-sale bar而使之後方法專利申請案無效?

"The question before this court is whether the AIA changed Section 102’s on-sale bar such that Celanese’ pre-2015 sales of Ace-K made using a secret process would not invalidate its later-sought claims on that process."

"on-sale bar"討論可參考:https://enpan.blogspot.com/2023/07/on-sale-bar.html:滿足on-sale bar的條件:(1)商品有商業販售要約;以及(2)發明預備取得專利。

法院在pre-AIA的解釋:所謂"on sale"條款指的是在關鍵日(critical date/effective filing date前一年)之前販售以秘密流程(secret process)生產的產品將阻礙所述流程的專利性。(法院:"We explained that the intent behind the on sale bar is to preclude an inventor’s attempt to profit from commercial exploitation of his invention for more than one year before seeking a patent.")

(重要)法院表示,當下on-sale bar的解釋甚至可以溯及1836年實施的專利法,甚至與1829年的判決一致。"on-sale bar"條款目的是維護公眾利益,防止專利權人以商業取得的利益擴及法定期限以外的時間,也就是說,當發明人在申請專利之前已經通過商業販售得利,表示發明人"自願地"拋棄取得專利的權利,只是法律仍保護發明人的權益而提供"有限度的優惠期",這點從古至今並沒有改變。特別地,法院判決書還重新從歷史、Helsinn解釋on-sale bar,甚至沒有公開發明細節的行為(商業販售或合約)都可觸發on-sale bar。

回到Celanese主張,根據post-AIA的35USC102的用語"claimed invention",主張要使用專利流程生產的產品,若沒有公開此流程,並不會觸發on-sale bar。

但法院不同意Celanese主張,認為法條中加入"claimed"並沒有基本上的改變,不論是"invention"或是"claimed invention",都是發明人想要取得專利的"invention",沒有什麼不一樣

當然這樣解釋是基於眾多前例的理解,國會修法將"invention"改成"claimed invention"僅是法條中對文字上的精進。(編按,這樣精進會引起訴訟...應該是始料未及。)



CAFC判決:post-AIA並沒有改變pre-AIA的on-sale bar適用。 

如此,長久以來規定販售以秘密流程生產的產品仍會觸發on-sale bar,使得後續要申請專利的流程不具專利性。因此Celanese在申請前(關鍵日之前)販售的Ace-K已經觸發on-sale bar,同意ITC判決,系爭專利範圍中涉及相關流程的專利無效。



Ron