法規解析
USPTO公告新版顯而易見性審查指南(上)

整理/北美智權法規研究組 黃蘭閔

2010.10.18

北美智權專利法規研究組簡介
北美智權專利法規研究組,專門研究各國專利法規詳細規定與變動後的影響,並持續關注各國專利局最新動向。

北美智權專利法規研究組研究範圍涵蓋美國、中國、歐洲、台灣與其他重要國家的專利法規。

美國專利商標局(USPTO)於2010年9月1日公告新版顯而易見性審查指南2010 KSR Guidelines Update,其內容並自公告日起開始生效。

新版指南歸納KSR v. Teleflex案及3年來美國聯邦巡迴上訴法院(US Court of Appeals for the Federal Circuit,Fed. Cir.)相關判例,摘錄其法院詮釋,註記實務審查要點,並要求USPTO審查人員參照2007年編寫的舊有審查指南2007 KSR Guidelines,以於審查專利申請案顯而易見性問題時作成應有的判斷。

新版指南公告背景

討論美國專利制度的Obviousness Inquiry,即檢驗一美國專利或申請案的所請發明(claimed invention)是否顯而易見,2007年4月宣判的KSR案當屬關鍵指標。在美國最高法院宣布KSR案判決結果之後,USPTO的審查標準及申請人答辯方向都有相當幅度的調整。

簡言之,美國最高法院藉本案再度強調「葛蘭氏四要素」(Graham's factors)的檢驗原則,也就是說,判斷所請發明是否顯而易見時,需先確認先前技術的內容範圍、所請發明與先前技術的差異、該技術領域通常知識水準,並考慮其他輔助因素。「教導-建議-動機判斷標準」(Teaching-Suggestion-Motivation (TSM) test)只是其中一種可能的參考指標,且一發明是否顯而易見,應就個案各項事實綜合考量。

2007年版的舊有審查指南內容,現已併入MPEP第2143、2144兩節。當時USPTO即從KSR判決文整理出一發明可能屬顯而易見的7項參考指標,也可視作是論證一發明為顯而易見的7套論述邏輯,包括:

  1. 套用習知方式組合先前技術元件,並產生可預期的效果;
  2. 一習知元件簡單置換為另一習知元件,並產生可預期的效果;
  3. 套用習知技術,以同樣方法改善類似裝置、方式、產品;
  4. 改良一習知裝置、方式、產品的條件已臻成熟,在此一習知裝置、方式、產品套用習知技術,並產生可預期的效果;
  5. 顯而易見的嘗試 ─ 已經提示而可預期的解決方式有限(a finite number of identified, predictable solutions),只需從中選擇,且會有合理的成功預期;
  6. 一研究領域之習知成果(known work in one filed of endeavor),經過設計誘因或其他市場力量的刺激,本來就有可能催生出適用於相同或不同研究領域、但未超乎所請發明技術領域具通常知識者預期的變體(variation);
  7. TSM判斷標準。

而此次新版指南又整理出20件判例,分別用以說明前述第1、2、5項參考指標的運用方式。另外也篩選4件判例,說明相關證據的考慮原則。這一期的智權報會先介紹有關「先前技術元件的組合」和「習知元件的簡單置換」兩部分共13件判例之教示重點;餘下判例之教示重點會於下一期智權報繼續報導。

判例之教示重點

  • 先前技術元件的組合

判例

教示重點

英文原文

In re Omeprazole Patent Litigation

Even where a general method that could have been applied to make the claimed product was known and within the level of skill of the ordinary artisan, the claim may nevertheless be nonobvious if the problem which had suggested use of the method had been previously unknown.

Crocs, Inc. v. U.S. Int'l Trade Comm'n.

A claimed combination of prior art elements may be nonobvious where the prior art teaches away from the claimed combination and the combination yields more than predictable results.

Sundance, Inc. v. DeMonte Fabricating Ltd.

A claimed invention is likely to be obvious if it is a combination of known prior art elements that would reasonably have been expected to maintain their respective properties or functions after they have been combined.

Ecolab, Inc. v. FMC Corp.

A combination of known elements would have been prima facie obvious if an ordinarily skilled artisan would have recognized an apparent reason to combine those elements and would have known how to do so.

Wyers v. Master Lock Co.

The scope of analogous art is to be construed broadly and includes references that are reasonably pertinent to the problem that the inventor was trying to solve. Common sense may be used to support a legal conclusion of obviousness so long as it is explained with sufficient reasoning.

DePuy Spine, Inc. v. Medtronic Sofamor Danek, Inc.

Predictability as discussed in KSR encompasses the expectation that prior art elements are capable of being combined, as well as the expectation that the combination would have worked for its intended purpose. An inference that a claimed combination would not have been obvious is especially strong where the prior art's teachings undermine the very reason being proffered as to why a person of ordinary skill would have combined the known elements.

 

  • 習知元件的簡單置換

判例

教示重點

英文原文

In re ICON Health
& Fitness, Inc.

When determining whether a reference in a different field of endeavor may be used to support a case of obviousness (i.e., is analogous), it is necessary to consider the problem to be solved.

Agrizap, Inc. v. Woodstream Corp.

Analogous art is not limited to references in the field of endeavor of the invention, but also includes references that would have been recognized by those of ordinary skill in the art as useful for applicant's purpose.

Muniauction, Inc. v. Thomson Corp.

Because Internet and Web browser technologies had become commonplace for communicating and displaying information, it would have been obvious to adapt existing processes to incorporate them for those functions.

Aventis Pharma Deutschland v. Lupin, Ltd.

A chemical compound would have been obvious over a mixture containing that compound as well as other compounds where it was known or the skilled artisan had reason to believe that some desirable property of the mixture was derived in whole or in part from the claimed compound, and separating the claimed compound from the mixture was routine in the art.

Eisai Co. Ltd. v. Dr. Reddy's Labs., Ltd.

A claimed compound would not have been obvious where there was no reason to modify the closest prior art lead compound to obtain the claimed compound and the prior art taught that modifying the lead compound would destroy its advantageous property. Any known compound may serve as a lead compound when there is some reason for starting with that lead compound and modifying it to obtain the claimed compound.

Procter & Gamble Co. v. Teva Pharmaceuticals USA, Inc.

It is not necessary to select a single compound as a "lead compound" in order to support an obviousness rejection. However, where there was reason to select and modify the lead compound to obtain the claimed compound, but no reasonable expectation of success, the claimed compound would not have been obvious.

Altana Pharma AG v. Teva Pharms. USA, Inc.

Obviousness of a chemical compound in view of its structural similarity to a prior art compound may be shown by identifying some line of reasoning that would have led one of ordinary skill in the art to select and modify a prior art lead compound in a particular way to produce the claimed compound. It is not necessary for the reasoning to be explicitly found in the prior art of record, nor is it necessary for the prior art to point to only a single lead compound.

 


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