2018年7月15日 星期日

審查委員所認定的可專利性 - 101筆記



這段內容出現在審查委員某次審查意見中,當案件審理過程,MPEP要求審查委員對101, 102, 103, 112都要有所評論,雖然不是全部都會表示在審查意見中(通常沒出現表示沒問題),但也偶爾會表示出來,例如以上摘錄內容表示受審查的專利範圍涉及「方法(method)」與「裝置(apparatus)」,兩者都屬於法定可專利的類別中(101,通過TWO-STEP測試的step 1: statutory categories),但認為其中流程(process)如計算...、產生...、加總...等步驟,可被認為是抽象概念(數學演算,step 2A: judicial exceptions),但他們直指"directed to"程序產生的應用為相關領域的「技術改良(improvement in the technology)」因此具備「實質超越(significantly more,step 2B: inventive concept)」抽象概念的額外元件(additional element,有些是我補上的)。

先講MPEP 2106的相關規定,其中某段落要求審查委員,不論是否作出有關101的核駁意見,一個完整的審查應對所有專利性要件(101, 102, 103, 112)以及"非法定重複專利(MPEP 2103)"做出意見

在MPEP 2103提示審查委員審查101要件時,避免將101議題導向判斷102, 103, 112等議題,101就是101,不要混淆。這已經在相關案例確認這個原則。

在一篇USPTO關於專利適格性研討會的檔案中,某段落中提到(1)「評估所述額外元件(additional elements)的 意義」,並(2)「識別出額外元件與評估他們的意義:得出請求項中的進步的概念(inventive concept)」,之後,(3)考量這些額外元件的個別或組合以評估是否專利範圍的整體(as a whole)為實質超越(significantly more)抽象概念。

以下舉出可以產生實質超越抽象概念效果的額外元件:

  1. 改善其他技術或技術領域。
  2. 改善電腦功能。
  3. 在抽象概念上,或是通過特定機器(particular machine):(1)不能是一般目的電腦執行一般電腦功能;(2)不能僅加入用語"apply it“或是"實施抽象概念的等效用語;(3)不能僅是在電腦中實現抽象概念的指令。
  4. 轉換特定物品為不同的狀態或事物的效果。
  5. 加入"非公知‘常規與習知"的特定限制。
  6. 加入非習知的步驟而可限定專利範圍為有用的應用上(不能僅是加入非重要的額外方案活動,如資料採集)。
  7. 加入有意義限制到特定技術領域,而能使得專利範圍超越其一般抽象概念的使用。


[引用段落]
Evaluate the significance of the additional elements. Identifying additional elements and evaluating their significance involves the search for an “inventive concept” in the claim. It can be helpful to keep in mind what applicant invented (identified in Section I above) and how that relates to the additional elements to evaluate their significance. Consider all of the identified additional elements individually and in combination to determine whether the claim as a whole amounts to significantly more than the abstract idea identified above. Reasons supporting the significance of the additional elements can include one or more of the following: 
 improves another technology or technical field 
 improves the functioning of a computer itself 
 applies the abstract idea with, or by use of, a particular machine 
o not a generic computer performing generic computer functions 
o not adding the words “apply it” or words equivalent to “apply the abstract idea” 
o not mere instructions to implement an abstract idea on a computer 
 effects a transformation or reduction of a particular article to a different state or thing 
 adds a specific limitation other than what is well-understood, routine and conventional in the field 
o not appending well-understood, routine, and conventional activities previously known to the industry, specified at a high level of generality 
o not a generic computer performing generic computer functions 
 adds unconventional steps that confine the claim to a particular useful application 
o not adding insignificant extrasolution activity, such as mere data gathering
 adds meaningful limitations that amount to more than generally linking the use of the abstract idea to a particular technological environment 

[MPEP 2103]
...
The patent eligibility inquiry under 35 U.S.C. 101 is a threshold inquiry. Even if a claimed invention qualifies as eligible subject matter under 35 U.S.C. 101, it must also satisfy the other conditions and requirements of the patent laws, including the requirements for novelty (35 U.S.C. 102), nonobviousness (35 U.S.C. 103), and adequate description and definite claiming (35 U.S.C. 112). Bilski v. Kappos, 561 U.S. 593, 602, 95 USPQ2d 1001, 1006 (2010). Therefore, examiners should avoid focusing on issues of patent-eligibility under 35 U.S.C. 101 to the detriment of considering an application for compliance with the requirements of 35 U.S.C. 10235 U.S.C. 103, and 35 U.S.C. 112, and should avoid treating an application solely on the basis of patent-eligibility under 35 U.S.C. 101 except in the most extreme cases.
...
VI. CLEARLY COMMUNICATE FINDINGS, CONCLUSIONS AND THEIR BASES
Once examiners have concluded the above analyses of the claimed invention under all the statutory provisions, including 35 U.S.C. 10135 U.S.C. 11235 U.S.C. 102, and 35 U.S.C. 103, they should review all the proposed rejections and their bases to confirm that they are able to set forth a prima facie case of unpatentability. Only then should any rejection be imposed in an Office action. The Office action should clearly communicate the findings, conclusions and reasons which support them.
https://www.uspto.gov/web/offices/pac/mpep/s2103.html

[MPEP 2106 III]
MPEP 2106 Patent Subject Matter Eligibility
...
III. SUMMARY OF ANALYSIS AND FLOWCHART
Examiners should determine whether a claim satisfies the criteria for subject matter eligibility by evaluating the claim in accordance with the following flowchart. The flowchart illustrates the steps of the subject matter eligibility analysis for products and processes that are to be used during examination for evaluating whether a claim is drawn to patent-eligible subject matter. It is recognized that under the controlling legal precedent there may be variations in the precise contours of the analysis for subject matter eligibility that will still achieve the same end result. The analysis set forth herein promotes examination efficiency and consistency across all technologies.
As shown in the flowchart, Step 1 relates to the statutory categories and ensures that the first criterion is met by confirming that the claim falls within one of the four statutory categories of invention. See MPEP § 2106.03 for more information on Step 1. Step 2, which is the Supreme Court’s Alice/Mayo test, is a two-part test to identify claims that are directed to a judicial exception (Step 2A) and to then evaluate what more such claims recite to provide an inventive concept (Step 2B) (also called a practical application) to the judicial exception. See MPEP § 2106.04 for more information on Step 2A, and MPEP § 2106.05 for more information on Step 2B.
The flowchart also shows three pathways (A, B, and C) to eligibility:
  • Pathway A: Claims taken as a whole that fall within a statutory category (Step 1: YES) and, which may or may not recite a judicial exception, but whose eligibility is self-evident can be found eligible at Pathway A using a streamlined analysis. See MPEP § 2106.06 for more information on this pathway and on self-evident eligibility.
  • Pathway B: Claims taken as a whole that fall within a statutory category (Step 1: YES) and are not directed to a judicial exception (Step 2A: NO) are eligible at Pathway B. These claims do not need to go to Step 2B. See MPEP § 2106.04 for more information about this pathway and Step 2A.
  • Pathway C: Claims taken as a whole that fall within a statutory category (Step 1: YES), are directed to a judicial exception (Step 2A: YES), and recite additional elements either individually or in an ordered combination that amount to significantly more than the judicial exception (Step 2B: YES) are eligible at Pathway C. See MPEP § 2106.05 for more information about this pathway and Step 2B.
Claims that could have been found eligible at Pathway A (streamlined analysis), but are subjected to further analysis at Steps 2A or Step 2B, will ultimately be found eligible at Pathways B or C. Thus, if the examiner is uncertain about whether a streamlined analysis is appropriate, the examiner is encouraged to conduct a full eligibility analysis. However, if the claim is not found eligible at any of Pathways A, B or C, the claim is patent ineligible and should be rejected under 35 U.S.C. 101.
Regardless of whether a rejection under 35 U.S.C. 101 is made, a complete examination should be made for every claim under each of the other patentability requirements: 35 U.S.C. 102103112, and 101 (utility, inventorship and double patenting) and non-statutory double patenting. MPEP § 2103.
這裏有張很清楚的TWO-STEP測試流程:

https://www.uspto.gov/web/offices/pac/mpep/s2106.html

Ron

2018年7月11日 星期三

AIA 35 U.S.C. 102筆記

本篇為延續前篇針對ipwatchdog.com網站的回應。

前篇報導:
AIA 35 U.S.C. 102(b)(1)(B)筆記(https://enpan.blogspot.com/2018/07/102.html

本篇資料參考:
http://www.ipwatchdog.com/2016/09/14/intervening-disclosures-aia/id=72636/

102(b)等新穎性例外條款為何重要,對於申請人/發明人/專利工程師/代理人而言可能需求上還比102(a)重要,真的是因為當中有「不確定感」,但事實上已經比pre-AIA還要更明白了。

所謂「不確定感」是因為專利申請時,可能有"看不到的先前技術"存在,可先參考本部落格文章:秘密先前技術(secret prior art),所謂"看不到的先前技術"這裡稱為「intervenin disclosure」,就是專利申請前的「申請在前、公開在後」的先前技術。

這就是申請專利的最大風險之一,還好在美國專利法102(a)(2)規定的適格「秘密先前技術」僅指「美國專利(之後獲准專利)、美國公開專利與PCT案」,就比「申請日」誰早。("(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.")

相較於102(a)(1)規定的先前技術為專利申請前任何形式的公開文獻,「公開日」早者即為適格先前技術。(102(a)(1)規定先前技術為:"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; ")

回顧pre-AIA的102(e),對美國專利而言,雖是比較「申請日」誰早,卻僅限於美國專利申請日(Hilmer Doctrine)的一種相對新穎性,不能溯及國外優先權日(如果有的話);而AIA之後,取消Hilmer Doctrine,重新定義「有效申請日」,如果有主張國外專利優先權,就以最早優先權日為有效申請日,作為引證案的話,也是使用其有效申請日,可作為102、103的核駁引證案。

但是,如果這個較早「申請日」的專利僅申請中國,雖是申請在前,卻僅會在中國公開,不會在美國公開,也沒有PCT案,仍不符合102(a)(2)的"intervening disclosure"。

Ron

2018年7月6日 星期五

國外獲利納入美國損害賠償的計算 - WesternGeco v. Ion (Supreme Court 2018)

最高法院在WesternGeco v. Ion案中確立國外利潤符合35U.S.C.271(f)規範損害賠償的原則。

WesternGeco公司擁有的系爭專利(US6,691,038, 7,080,607, 7,162,967, and 7,293,520)關於調查海底資訊的系統,被告Ion Geophysical公司販售競爭產品,被告產品中有部分元件在美國製造,並出口到國外,再組合成一個與原告產品相同的系統。因此原告依照35 U. S. C. §§271(f)(1) and (f)(2)提出侵權告訴。


在地方法院階段,陪審團判決侵權成立,並依照35 U. S. C. §284根據權利金與損失作出損害賠償的決定。被告提出請願,認為271(f)並不及於國外的獲利而能納入賠償金額

地院否決此請願,但經上訴CAFC後,CAFC在2016年的判決中認為Ion侵權成立(271(f)(2)),但271(f)卻沒有讓專利權人可以將國外的利潤作為損害賠償的一部分,因此撤回地院作出非蓄意侵權的決定,並發回重新考量追加損害賠償(enhanced damage)的決定。

案件進入最高法院

主要議題是,是否國外的獲利可以成為國內求償損害賠償的一部分?

有個用字「extraterritoriality」,翻為「治外法權」,議題是,是否美國國內法及於國外的行為?是否美國聯邦法(updated on Jul. 26, 2018)適用美國國境外?

在專利法第284條規定中,法院應判給專利權人(求償者)足以補償侵權造成的損害的損害賠償("court shall award the claimant damages adequate to compensate for the infringement")。專利法第271(f)(2)條規定是原告根據侵權主張獲利即損害的依據(lost-profits damages),其中規定未授權而"在或從"美國的供應或致使供應的元件("supplies or causes to be supplied in or from the United States any component of a patented invention"),如果知悉這是用於"境外組合"成為具有專利的產品上,此元件在美國的製造者仍為侵權者。

如此,最高法院認為,根據專利法第284條規定的損害賠償即包括271(f)(2)規定的從美國出口的元件
"In sum, the focus of §284 in a case involving infringement under §271(f)(2) is on the act of exporting components from the United States."

損害賠償本身僅是法規實現補償其侵權行為的手段(means)。
"The damages themselves are merely the means by which the statute achieves its end of remedying infringements,"

因此,海外的事件(侵權)的利潤引起損害賠償僅是侵權行為的附帶事件。
"...the overseas events giving rise to the lost-profit damages here were merely incidental to the infringement."

在美國國外的損失適用治外法權,成為國內損害賠償的一部分。
"In asserting that damages awards for foreign injuries are always an extraterritorial application of a damages provision."

最高法院判決:原告獲得被告獲利產生的損害賠償,這是284允許的情況。
"WesternGeco’s award for lost profits was a permissible domestic application of §284 of the Patent Act."

my two cents:
本案適用的情況是:(1)美國國內製造侵權產品的元件;(2)元件從美國出口;(3)此元件就只是用在侵權產品上;(4)國外獲利成為損害賠償的一部分,這是保障原告的利益。

其他部落格報導:
- 筆記美國專利法第271條(http://enpan.blogspot.com/2017/11/271.html
- 供應國外生產的多元件侵權產品的單一元件不構成侵害271(f)(1) - Life Technologies Corp. v. Promega Corp. (Supreme Court 2017)(http://enpan.blogspot.com/2017/02/271f1-life-technologies-corp-v-promega.html

[法條]
35 U.S. Code § 271 - Infringement of patent
...
(f)
(1)
Whoever without authority supplies or causes to be supplied in or from the United States all or a substantial portion of the components of a patented invention, where such components are uncombined in whole or in part, in such manner as to actively induce the combination of such components outside of the United States in a manner that would infringe the patent if such combination occurred within the United States, shall be liable as an infringer.
(2)
Whoever without authority supplies or causes to be supplied in or from the United States any component of a patented invention that is especially made or especially adapted for use in the invention and not a staple article or commodity of commerce suitable for substantial noninfringing use, where such component is uncombined in whole or in part, knowing that such component is so made or adapted and intending that such component will be combined outside of the United States in a manner that would infringe the patent if such combination occurred within the United States, shall be liable as an infringer.
...

35 U.S. Code § 284 - Damages

Upon finding for the claimant the court shall award the claimant damages adequate to compensate for the infringement, but in no event less than a reasonable royalty for the use made of the invention by the infringer, together with interest and costs as fixed by the court.

When the damages are not found by a jury, the court shall assess them. In either event the court may increase the damages up to three times the amount found or assessed. Increased damages under this paragraph shall not apply to provisional rights under section 154(d).


The court may receive expert testimony as an aid to the determination of damages or of what royalty would be reasonable under the circumstances.


最高法院意見:
https://www.supremecourt.gov/opinions/17pdf/16-1011_6j37.pdf
(備份:https://app.box.com/s/dtmhnqtrhj554oktv9jd5txkef6sllva

WesternGeco v. Ion在2016年的CAFC判決:
http://www.cafc.uscourts.gov/sites/default/files/opinions-orders/13-1527.Opinion.9-19-2016.1.PDF

資料參考:
https://patentlyo.com/patent/2018/06/westerngeco-available-infringement.html
http://www.scotusblog.com/case-files/cases/westerngeco-llc-v-ion-geophysical-corp-2/
http://www.ipwatchdog.com/2018/06/22/industry-reaction-westerngeco-llc-v-ion-geophysical/id=98636/
http://www.patentdocs.org/2018/06/westerngeco-llc-v-ion-geophysical-corp-2018.html

Ron

2018年7月5日 星期四

AIA 35 U.S.C. 102(b)(1)(B)筆記

新穎性,一直有新的「看見」這回看到ipwatchdog.com在2012年AIA才出爐時的文章。
http://www.ipwatchdog.com/2012/09/09/defending-the-uspto-interpretation-of-the-new-grace-period/id=27903/

在AIA一般新穎性規定下(102(a)(1)),給了專利發明人/申請人1年新穎性優惠期(grace period,102(b)(1)),特別的是,在當中的102(b)(1)(B)。當美國專利制度從"first to invent"轉為"first to file",但是仍與傳統的的"first to file"系統有差別。

傳統的"first to file"系統很單純,就用「申請日或優先權日」作為絕對新穎性的基準日,適格的先前技術為不限國內國外的任何形式的在前公開。

美國AIA後的"first to file"正確來說是,"first inventor to file",提供「發明人」較為個人性的「新穎性優惠期」,可參看35 U.S.C. 102(b)(1):


35 U.S.C. 102 CONDITIONS FOR PATENTABILITY; NOVELTY.

(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.

摘錄美國聯邦記事(Federal Register /Vol. 77, No. 144 /Thursday, July 26, 2012 / Proposed Rules):



AIA後的35 U.S.C. 102(b)(1)(A)提供的「新穎性先前技術的例外」包括「專利有效申請日」前一年內發明人或提供給別人的公開揭露;102(b)(1)(B)更包括「專利有效申請日」前一年內的揭露(包括他人的揭露)之前,若有發明人或提供別人的公開揭露,這個揭露也為無效先前技術。

然而,這裡仍值得一提,符合35 U.S.C. 102(b)(1)(B)的新穎性例外的條件是,在先前揭露中的"專利標的(subject matter)"要與發明人在更早之前的揭露中的"專利標的"相同。因此,即便有此「方便之門」,但仍有門檻,想要適用102(b)(1)(B)的新穎性先前技術排除,在前的揭露要與審查委員引用的先前技術的揭露(比對到系爭專利的專利範圍/專利標的)有「相同的專利標的」。如果兩者有差異,即使是些微差異或變動,102(b)(1)(B)將不適用

"Thus, the exception in 35 U.S.C. 102(b)(1)(B) requires that the subject matter in the prior disclosure being relied upon under 35 U.S.C. 102(a) be the same ‘‘subject matter’’ as the subject matter publicly disclosed by the inventor before such prior art disclosure for the exception in 35 U.S.C. 102(b)(1)(B) to apply. Even if the only differences between the subject matter in the prior art disclosure that is relied upon under 35 U.S.C. 102(a) and the subject matter publicly disclosed by the inventor before such prior art disclosure are mere insubstantial changes, or only trivial or obvious variations, the exception under 35 U.S.C. 102(b)(1)(B) does not apply."

然而,ipwatchdog.com表示一些反對意見。

102(b)(1)可參考前篇報導:
http://enpan.blogspot.com/2018/07/mpep-717.html

---------------------------------------------------------------------------
上段為2012年針對AIA即將施行的文章,再看另一篇2016年文章,十分豐富:
http://www.ipwatchdog.com/2016/09/14/intervening-disclosures-aia/id=72636/

相關USPTO聯邦記事:
http://www.gpo.gov/fdsys/pkg/FR-2012-07-26/pdf/2012-17898.pdf

Ron

2018年7月4日 星期三

新穎性先前技術的例外 - MPEP 717

102筆記(雖然這個議題常見,但還是會根據一些問題做一些筆記,法條內的用語翻譯有時會有誤差,不容易讓每篇的用語一致,在此抱歉)

MPEP 717 Prior Art Exceptions under AIA 35 U.S.C. 102(b)(1) and (2)
https://www.uspto.gov/web/offices/pac/mpep/s717.html

一些重點整理:
  • 35 U.S.C. 102(a)(1)規定在專利有效申請日,若其中主張權利的發明(claimed invention)已經獲得專利、印刷品公開、公開使用、販售與讓公眾知悉,不予專利。(比公開日
  • 35 U.S.C. 102(b)(1)讓專利「有效申請日(effective filing date)」前一年內的「揭露(disclosure)」為「35 U.S.C. 102(a)(1)法定例外」而不為核駁專利的前案,條件是這個「disclosure」為(1)同一發明人、共同發明人,或是他人直接或間接從發明人取得的揭露;或是(2)在此揭露之前,相關專利標的已經被發明人、共同發明人,或是他人直接或間接從發明人取得的公開揭露(也就是發明人自己在前公開的揭露內容可以迴避他人在有效申請日前一年內他人直接或間接自發明人取得的揭露updated on Nov. 20, 2019

    ---------------------------------------------------------------
  • 35 U.S.C. 102(a)(2)規定當主張權利的發明(claimed invention)已經被他人在有效申請日之前提出申請,且根據35 U.S.C. 151領證(指美國專利),或是根據35 U.S.C. 122(b)提出專利申請而早期公開或視為公開(指美國專利公開、WIPO公開案),不予專利。(比申請日,且僅限定在US、WIPO案
  • 35 U.S.C. 102(b)(2)(A) and (B)讓有效申請日之前的「揭露(disclosure)」不會成為35 U.S.C. 102(a)(2)規定的先前技術,條件是:(1)所揭露的專利標的(subject matter)為直接或間接從發明人、共同發明人得到;或是(2)在相關專利標的有效申請之前,若所揭露的專利標的已經(had been publicly disclosed, updated on July 5, 2018)為發明人、共同發明人或他人直接或間接從發明人或共同發明人的公開揭露。(這沒有一年的期限)
  • 35 U.S.C. 102(b)(2)(C)規定讓相同申請人(owned by the same person or subject to an obligation of assignment to the same person)在前的美國專利、專利申請案、WIPO申請案不會成為35 U.S.C. 102(a)(2)規定的先前技術。這沒有期限。
  • 如此可知,AIA讓相同申請人等自己之前的美國專利與US, WIPO公開案不會成為後申請案的先前技術。---------------------------------------------------------------
  • (重要)所述「揭露(disclosure)」,MPEP 717提到,AIA並未定義「disclosure」,甚至102(a)也沒有使用這個字,而USPTO對此「disclosure」認為是在102規範中的文件與活動的一般用語,如專利、印刷品、公開使用、販售與其他讓公眾知悉的活動、描述在美國專利、公開案、WIPO公開案等。

    "The AIA does not define the term "disclosure," and 35 U.S.C. 102(a) does not use the term "disclosure." 35 U.S.C. 102(b)(1) and 102(b)(2), however, each state conditions under which a "disclosure" that otherwise falls within 35 U.S.C. 102(a)(1) or 102(a)(2) is not prior art under 35 U.S.C. 102(a)(1) or 102(a)(2). Thus, the Office is treating the term "disclosure" as a generic expression intended to encompass the documents and activities enumerated in 35 U.S.C. 102(a) (i.e., being patented, described in a printed publication, in public use, on sale, or otherwise available to the public, or being described in a U.S. patent, U.S. patent application publication, or WIPO published application)."
    ---------------------------------------------------------------
  • 37 CFR 1.130讓申請人提出宣誓書或聲明(affidavit or declaration)說明在有效申請日前一年內的揭露為發明人等自己人的揭露,排除自己的在前揭露。
  • 宣誓書或聲明用在:
    (1)核駁意見使用了非美國專利、申請案時,如非專利文件、國外專利文件;
    (2)核駁意見使用了美國專利或專利申請案,以及專利或是懸宕的申請案,但並未主張與申請人發明相同的發明;
    (3)用於排除在自己在前公開揭露之後的揭露。

    "The provisions of 37 CFR 1.130, however, would be available if:
    (1) The rejection is based upon a disclosure other than a U.S. patent or U.S. patent application publication (such as non-patent literature or a foreign patent document);(2) the rejection is based upon a U.S. patent or U.S. patent application and the patent or pending application did not claim an invention that is the same or substantially the same as the applicant’s claimed invention; or(3) the rejection is based upon a U.S. patent or U.S. patent application and while the patent or pending application does claim an invention that is the same or substantially the same as the applicant’s claimed invention, the affidavit or declaration under 37 CFR 1.130 does not contend that an inventor named in the U.S. patent or U.S. patent application publication derived the claimed invention from the inventor or a joint inventor named in the application or patent under examination (e.g., an affidavit or declaration under 37 CFR 1.130 would be available if instead of alleging derivation, the affidavit or declaration under 37 CFR 1.130 contends that the subject matter disclosed had, before such disclosure was made or before such subject matter was effectively filed, been publicly disclosed by the inventor or a joint inventor or by another who obtained the subject matter disclosed directly or indirectly from the inventor or a joint inventor)."


完整102法條:
https://www.bitlaw.com/source/35usc/102.html

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
      • (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.
    • (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.
  • (c) COMMON OWNERSHIP UNDER JOINT RESEARCH AGREEMENTS.—Subject matter disclosed and a claimed invention shall be deemed to have been owned by the same person or subject to an obligation of assignment to the same person in applying the provisions of subsection (b)(2)(C) if—
    • (1) the subject matter disclosed was developed and the claimed invention was made by, or on behalf of, 1 or more parties to a joint research agreement that was in effect on or before the effective filing date of the claimed invention;
    • (2) the claimed invention was made as a result of activities undertaken within the scope of the joint research agreement; and
    • (3) the application for patent for the claimed invention discloses or is amended to disclose the names of the parties to the joint research agreement.
  • (d) PATENTS AND PUBLISHED APPLICATIONS EFFECTIVE AS PRIOR ART.—For purposes of determining whether a patent or application for patent is prior art to a claimed invention under subsection (a)(2), such patent or application shall be considered to have been effectively filed, with respect to any subject matter described in the patent or application—
    • (1) if paragraph (2) does not apply, as of the actual filing date of the patent or the application for patent; or
    • (2) if the patent or application for patent is entitled to claim a right of priority under section 119, 365(a), 365(b), 386(a), or 386(b), or to claim the benefit of an earlier filing date under section 120, 121, 365(c), or 386(c) based upon 1 or more prior filed applications for patent, as of the filing date of the earliest such application that describes the subject matter.

(待續)

各種資訊連結:
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


2152 Detailed Discussion of AIA 35 U.S.C. 102(a) and (b)
https://www.uspto.gov/web/offices/pac/mpep/s2152.html

其他部落格報導:

- 判斷核駁理由是102(a)(1)或102(a)(2) - MPEP 706.02(a)(1)(http://enpan.blogspot.com/2016/12/102a1102a2-mpep-70602a1.html

- 美國102與歐洲專利實務筆記(http://enpan.blogspot.com/2018/01/102.html

判斷核駁理由是102(a)(1)或102(a)(2) - MPEP 706.02(a)(1)(http://enpan.blogspot.com/2016/12/102a1102a2-mpep-70602a1.html


適格的先前技術(102(a)(1)):在審查中專利有效申請日(effective filing date)之前的專利、公開文獻、公開使用、販售與其他提供給公眾的事由。(所述販售或公開使用不一定要發生在美國本土)

- 例外不適用先前技術(102(b)(1)(A)):不為先前技術的條件是:(1)有效申請日前一年內的揭露內容;以及(2)這些揭露是由發明人自己、共同發明人,或其他直接或間接自發明人或共同發明人取得的發明的揭露內容。
102(b)(1)(A)
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.

例外不適用先前技術(102(b)(1)(B)):不為先前技術的條件是:(1)有效申請日前一年內的揭露內容;以及(2)在早先已經由發明人自己、共同發明人,或其他直接或間接自發明人或共同發明人取得的發明的公開揭示("previously publicly disclosed")。
102(b)(1)(B)
may be disqualified 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.

--------------------------------------------------------------------------------------------------------------

適格的先前技術(102(a)(2)):在專利申請案有效申請日前提出申請的美國專利、美國專利公開案以及國際專利公開案。即便先前技術並未在專利申請案之前公開或公告,但是只要前案「有效申請日」在專利申請案早,仍為適格的先前技術(也就是沒有所謂的擬制新穎性不適用或是不得為進步性引用前案的事情)。

例外不適用先前技術(102(b)(2)(A)):他人直接或間接從發明人或共同發明人取得發明而取得的專利、申請案或WIPO申請案。
35 U.S.C. 102(b)(2)(A) limits the use of an inventor’s own work as prior art, when the inventor’s own work is disclosed in a U.S. patent, U.S. patent application publication, or WIPO published application by another who obtained the subject matter directly or indirectly from the inventor or joint inventor

例外不適用先前技術(102(b)(2)(B)):在發明人、共同發明人,或其他直接或間接自發明人或共同發明人的公開揭露之後的他人的申請案。
35 U.S.C. 102(b)(2)(B) disqualifies subject matter that was effectively filed by another 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.

例外不適用先前技術(102(b)(2)(C)):在有效申請日前同人或是被授權人擁有的美國專利、申請案或WIPO申請案。
35 U.S.C. 102(b)(2)(C) disqualifies subject matter disclosed in a U.S. patent, U.S. patent application publication, or WIPO published application from constituting prior art under 35 U.S.C. 102(a)(2) if 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.” 35 U.S.C. 102(b)(2)(C) resembles pre-AIA 35 U.S.C. 103(c) in that both concern common ownership, and both offer an avenue by which an applicant may avoid certain prior art. However, there are significant differences between 35 U.S.C. 102(b)(2)(C) and pre-AIA 35 U.S.C. 103(c). See MPEP § 2154.02(b).

Ron

2018年7月3日 星期二

優先權鏈要完整交待 - Droplets, Inc. v. E*Trade Bank (Fed. Cir. 2018)

這件案例說明「優先權」的資訊揭露相對的重要性,特別是關於專利性與公眾利益,而不是將負擔加在公眾上,或是訴訟中。

Droplets, Inc. v. E*Trade Bank (Fed. Cir. 2018)案件資訊:
上訴人:DROPLETS, INC.
交叉上訴人:E*TRADE BANK, E*TRADE FINANCIAL CORPORATION, ...etc.
參加人:ANDREI IANCU等
系爭專利:US8,402,115
判決日:April 19, 2018

本案緣起E*TRADE在侵權告訴(2011年)下對系爭專利提出IPR(IPR2015-00470),PTAB作出專利無效的終判。PTAB的終判理由是:1) 專利權人未能列舉足以讓先前技術阻礙失效的優先權主張(優先權鏈不夠完整); 2) 專利權人不符35 U.S.C. § 120規定提出優先權的舉證責任,導致「優先權主張失效」,使得系爭專利發明被「申請人自己的國際申請案」揭露,使得系爭專利被判無效。專利權人Droplets上訴CAFC。

[35 U.S.C. § 120]
35 U.S.C. 120 BENEFIT OF EARLIER FILING DATE IN THE UNITED STATES.


An application for patent for an invention disclosed in the manner provided by section 112(a) (other than the requirement to disclose the best mode) in an application previously filed in the United States, or as provided by section 363 or 385 which names an inventor or joint inventor in the previously filed application shall have the same effect, as to such invention, as though filed on the date of the prior application, if filed before the patenting or abandonment of or termination of proceedings on the first application or on an application similarly entitled to the benefit of the filing date of the first application and if it contains or is amended to contain a specific reference to the earlier filed application. No application shall be entitled to the benefit of an earlier filed application under this section unless an amendment containing the specific reference to the earlier filed application is submitted at such time during the pendency of the application as required by the Director. The Director may consider the failure to submit such an amendment within that time period as a waiver of any benefit under this section. The Director may establish procedures, including the requirement for payment of the fee specified in section 41(a)(7), to accept an unintentionally delayed submission of an amendment under this section. (AIA後僅些微修正)

系爭專利115'的公告本有兩部分,首頁僅揭示主張一件先前申請案的優先權,文中"cross reference"揭露溯及1999年前案的關聯,系爭專利115'申請日是2009年1月,主張US7,502,838(申請日:2003年11月)優先權,而此案又通過另一家族案'745(申請日:2000年6月)間接主張1999年臨時申請案的申請日優先權。不過,中間缺少細節。



前案838'也僅揭示了部分:


其實整個「優先權鏈」僅一點點複雜,當系爭專利在PTAB被自己的前案「弄到」,專利權人理應完整交待整個「優先權鏈」就可以克服,CAFC判決中有張關係圖:


本案例主要的議題是系爭專利的專利性依賴它的優先權是否可以溯及1999年的臨時申請案(provisional application),在PTAB階段,訴願委員會認為系爭專利的優先權主張失效,因此裁定系爭專利因為申請人自己的PCT申請案(有相同揭露內容)的阻礙而無效。

以這樣家族關係的優先權確實要小心一點,其實也沒有多特別,就是"斷鏈",系爭專利申請時並未揭示關聯到1999年的最早臨時申請案的「中間細節」。然而,似乎35 U.S.C. 120沒有那麼多規定,是否只要在訴訟有爭議時,就再交待中間的細節即可?


根據判決書內容,專利權人其實"疏失",因為在USPTO審理階段,當中的文件反映出系爭專利的優先權主張應包括'838與'745兩件,在專利獲准前,USPTO發函要求補足'745這件優先權,專利權人後來並沒有加入這件資訊,但專利仍公告領證了。

這個瑕疵不動則已,一動(提出侵權告訴)就被拿來做為IPR無效理由,因為「優先權斷鏈」,所以當中PCT案(揭露內容相同)就不在「優先權鏈」上,也就無法主張最早1999年臨時申請案的優先權,PTAB以此作出專利無效的決定。


A “Specific Reference” is Required to Claim Priority
在上訴審理中,針對35 U.S.C. § 120玩了一點點文字遊戲,這裡標示了4個號碼,分別規定4個符合主張先前申請案"優先權"的條件:
(1) 標註前申請案資訊是為了符合112(a)的規定。
(2) 若前申請案有相同發明人,即符合可以主張120好處的條件。
(3) 後申請案申請時,應在前申請案(或是另一主張前申請案好處的前申請案)懸宕時(程序終止前)。
(4) 應包括特定參考資料(如申請號)。

An application for patent for an invention 
[1] disclosed in the manner provided by the first paragraph of section 112 of this title in an application previously filed in the United States, . . . 
[2] which is filed by an inventor or inventors named in the previously filed application shall
have the same effect, as to such invention, as though filed on the date of the prior application, 
[3] if filed before the patenting or abandonment of or termination of proceedings on the first application or on an application similarly entitled to the benefit of the filing date of the first application and 
[4] if it contains or is amended to contain a specific reference to the earlier filed application.

USPTO搬出37 C.F.R. § 1.78規定,認為專利申請人應揭示所有「優先權鏈」上的每一個申請案資訊,如申請號、家族關係等。


CAFC法官同意PTAB認為'115缺少揭露完整的優先權鏈。


CAFC法官,對此意見,本次CAFC並非第一次作出決定,而是重複了2014年另一判決,這次也引用出來:Medtronic CoreValve, LLC v. Edwards Lifesciences Corp., 741 F.3d 1359, (Fed. Cir. 2014)的決定,可以參考本部落格報導:優先權日的認定成為侵權訴訟的爭點(http://enpan.blogspot.com/2014/04/medtronic-corevalve-llc-v-edwards.html)。

編者在當時有個小結論:

"CAFC法官同意被告Edwards與地院判斷在此優先權鏈中有兩件申請案的揭露內容無法符合整個281案的優先權鏈,因此判定281案錯誤引用優先權,又因為這個錯誤,表示281案"斷線",接連使得281案可能失去專利性,因為其前案可能造成281案「新穎性不足」。

 功課:
引用複數優先權,或是有複雜的優先權鏈,要小心是否有CIP隱含其中;被告侵權者可以朝這方面著手,質疑這類的專利權。"

(重要)使得解釋「35 U.S.C. § 120」時,申請人「強制」要揭示優先權鏈上的每一件專利申請資訊,不能說一個合理之人可以判斷這些前後案的關聯,重點是,專利申請人/專利權人/發明人有義務要揭示這些前後關聯,而不是將「負擔」加到閱讀這件專利的公眾,申請人給這資訊是再也簡單不過了。



如此,本案中系爭專利'115並未列出足以讓專利無效的中間案,這對申請人來說並不難,且35 U.S.C. § 120更要求申請人/專利權人要揭露整個「優先權鏈」。這點上,CAFC同意PTAB決定。

B. Incorporation by Reference Cannot Satisfy the “Specific Reference” Requirement of § 120
依照37 C.F.R. 1.57(d),(e)規定,將專利揭露資訊分為「essential material與nonessential material(重要與非重要資訊)」,「重要的資訊」如112規定的說明書必要內容與申請專利範圍,而專利相關編號資訊,如申請號、國外專利號等則歸類為「非重要的資訊」。但「優先權相關前案資訊」是否為「重要資訊」?

CFR中並未明確定義何謂「非重要資訊」,有關「優先權鏈」的相關資訊有關112的規定?

[37 C.F.R. 1.57 INCORPORATION BY REFERENCE]
...
  • (d) "Essential material" may be incorporated by reference, but only by way of an incorporation by reference to a U.S. patent or U.S. patent application publication, which patent or patent application publication does not itself incorporate such essential material by reference. "Essential material" is material that is necessary to:
    • (1) Provide a written description of the claimed invention, and of the manner and process of making and using it, in such full, clear, concise, and exact terms as to enable any person skilled in the art to which it pertains, or with which it is most nearly connected, to make and use the same, and set forth the best mode contemplated by the inventor of carrying out the invention as required by 35 U.S.C. 112(a);
    • (2) Describe the claimed invention in terms that particularly point out and distinctly claim the invention as required by 35 U.S.C. 112(b); or
    • (3) Describe the structure, material, or acts that correspond to a claimed means or step for performing a specified function as required by 35 U.S.C. 112(f).
  • (e) Other material ("Nonessential material") may be incorporated by reference to U.S. patents, U.S. patent application publications, foreign patents, foreign published applications, prior and concurrently filed commonly owned U.S. applications, or non-patent publications. An incorporation by reference by hyperlink or other form of browser executable code is not permitted.

這裡提到,在37 CFR 1.57等相關規定中,甚至允許後申請案通過列舉出優先權案來符合37 CFR 1.78規定,以此能夠補足後申請案有些忽略的內容,應該在說明書明確交待相關專利與申請案的編號,前案編號的引用(incorporation by reference)提供了發明的背景與先前技術的資料,重要與非重要資訊都是幫助專利申請案可以符合112規定。

這些資訊都該是專利申請時提出,寫在專利說明書中,而不是單單通過引用編號就可以符合120規定的"specific reference",而通過引用了編號讓公眾找未揭示的優先權主張將造成專利權不確定性,因此,不允許專利權人Droplets現在引入專利編號重寫優先權主張

"We conclude that § 120’s “specific reference” requirement does not contemplate incorporation by reference."

"Accordingly, Droplets cannot invoke incorporation by reference to rewrite the priority claim statement in the ’115 Patent."

CAFC判決:



my two cents:
再複雜的優先權關聯最好都在後申請案中清楚交待中個的「鏈」(cross reference)。其實要小心的是CIP,如果優先權鏈中有「中間案」是CIP案,後案可能要小心是否有繼承到「新增的內容」而造成「斷鏈」。

其實,(1) 如果要提交CIP,而且CIP後也不會有別的後申請案(佈局先想好),現在的實務還不如直接申請新案,自己主動斷鏈好了! (2) 如果提交CIP時,有想到後續佈局的申請案,CIP可能還是必要,但要注意後續優先權是否繼承了CIP案中「新增的技術」,如果是,這樣優先權鏈可能僅到CIP。

判決文:
http://www.cafc.uscourts.gov/sites/default/files/opinions-orders/16-2504.Opinion.4-18-2018.1.PDF(備份:https://app.box.com/s/wgp4n6tzf1hlab64nx2pfjw87z67qqbz

資料參考:
https://patentlyo.com/patent/2018/04/priority-specifically-include.html

Ron