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研究生: 蔡佳穎
Tsai, Chia-Ying
論文名稱: 論美國先發明人申請主義
The Review of the New US First-Inventor-to-File Patent System
指導教授: 許忠信
Hsu, Chu-hsin
學位類別: 碩士
Master
系所名稱: 社會科學院 - 法律學系
Department of Law
論文出版年: 2015
畢業學年度: 103
語文別: 中文
論文頁數: 173
中文關鍵詞: 專利取得制度先發明人主義先申請人主義先發明人申請主義(FITF)美國專利改革法案
外文關鍵詞: patent application system, first inventor to file (FITF), first to invent, first to file, America Invents Act (AIA).
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  • 專利由於採屬地主義,發明人(申請人)須分別向各個國家請求專利保護,惟國際貿易漸形興盛,因此多國專利之取得即有必要。雖然有認為維持法制的多樣性可以互相比較促進法學進步,但是基於時間及金錢成本之考量,目前國際間對專利制度同異的態度仍以調和統一為方向。
    在加拿大及菲律賓在2000年以前已改採先申請主義,此後只剩下美國維持其獨特的專利取得法制。美國舊法所採並非「純粹的先發明主義」。其允許以「先為公開實施」取得優先權,可分為「擬制的公開實施(亦即專利申請)」與「實際的公開實施」,亦即發明後須揭露,揭露方式可為擬制的付諸實施(亦即申請專利)或實際的公開實施,可見其鼓勵先為揭露,故以「先揭露的先發明主義」稱之。
    先申請主義的優惠期間規定以及美國舊法的失權條款規定使得兩者之專利取得制度距離縮小,美國舊法毋寧是先申請主義與純粹先發明主義之折衷,惟仍有不同之處:其一,美國舊法的優惠期間是12個月,其他先申請主義國家多為6個月;其二,美國得主張優惠期間的事由較廣,且不區分是由發明人或是第三人所為的揭露,而其他先申請主義國家得主張優惠期間的範圍較挾,並且通常是由發明人所為之揭露,才能主張優惠期間;其三,理論基礎不同,美國舊法認為此乃對發明人專利申請權的限制,其他先申請主義則認為此屬新穎性喪失之問題。

    Abstract
    The Review of the New US First-Inventor-to-File Patent System

    Author: Chia-Ying Tsai
    Advising Professor: Chu-hsin Hsu
    Department of Law, National Cheng Kung University

    SUMMARY
    Leahy-Smith America Invents Act of 2011(AIA) changes the U.S. patent application system from a first to invent to first inventor to file (FITF) patent application system. This is a huge revision of the America patent statute in nearly 60 years. Before AIA, they had their own patent application system that differed from other countries. This paper focuses on the content of AIA, comparing the patent application system of AIA with patent application system of the other countries. To
    Find out if AIA truely adopted the first to file patent system, or remained the same first to invent patent system. The research methods used in this paper include the legal-interpretation method, the case study method, and the comparative-study method.
    This paper first examines the priority and novelty provision of first to file patent system (mostly are the provisions of Taiwan, European and Japan), and then compared them with the AIA to identify major differences and to determine which patent application system the American patent application system really is, and give some advices to the foreign applicant.

    INTRODUCTION
    There are two major patent application systems in the world. One is first to invent patent system, and the other one is first to file patent system. In a first to file system, the priority of patent right will be grant to the inventor who has the early filing date, regardless of the actual date of invention. In contrast, first to invent patent system will grant the patent right to the inventor who has early invention date. Before 2011, there were few countries that adopted the first to invent system: Canada, United States and Philippines. Since Canada changed their patent statute and adopted the first to file system in 1989, United States has become the only first-to-invent country and criticized by its trading partners. on September 16, 2011, President Obama signed the America Invents Act of 2011.The law switched U.S. right to the patent from the previous "first-to-invent" system to a "first-inventor-to-file" system. Congress replaced old §102 entirely, remaining only a few phrases, such as: disclosure, publicly use, etc. The defunct §102 has subsections (a)-(g) that defeat patent right on various bases, some of which are loss of right provisions. Other subsections are prior art-oriebted. The effective date of the provisions of AIA section 3, the first-inventor-to-file provisions, are 18 months after enactment. Under the first-inventor-to-file system, when two people claim the same invention, the USPTO wouldn’t institute an interference proceeding between them to review evidence of conception, reduction to practice and diligence anymore.
    To know whether the AIA adopted the true first-to-file system or not, and to know its differences between the old novelty provisions, we should compared them with the true first-to-invent system and true first-to-file system.

    MATERIALS AND METHODS
    The methodologies employed in this paper include the literature analysis method, the case study method and the comparative research method. The research materials include the old patent statute of Canada, old and new patent statute of America, the patent statute of European, Japan, and Taiwan. This paper firstly research the content of first to invent system as well as first to file system, and then compare these two patent system with the provisions of the United States, using this way to identify the essentials of AIA patent application.
    RESULT AND DISCUSSION
    The U.S. Patent Act prior to the AIA (Pre-AIA) wasn’t the true first-to-invent system, because it’s loss of right provisions: the old §102 (b), §102(c), §102(d). The old Canada patent law followed the true type of first-to-invent system, Christiana v. Rice (1931) interpreting the Canada Patent Act of 1923 to hold that the right to Canada patent will be grant to the first inventor, it hold the date of discovery of the invention is meant the date at which the inventor can prove he has first formulated, a description which affords the means of making that which is invented. Under such system, the subject mater’s condition on the date of filing has nothing to do with its patentability.
    The Pre-AIA’s first-to-invent system is not as the same as the old Canada Patent Act’s novelty provisions, and we called it “first-to-disclose system to distinguish it from the true first-to-invent system. Under the Pre-AIA, an inventor who diligently worked on reducing his or her invention to practice by building a prototype and/or filing a patent application is entitled to the date of conception as the "priority date," so long as that inventor did not abandon, suppress or conceal the invention. Under these circumstances, the first inventor to conceive of the invention is entitled to a patent. But it has an exception to the true first-to-invent: statutory bars which require inventor filing the patent in a specific time (graced period) if inventors engaged in one of the activities listed in §102(b), (c), and (d).
    AIA defines prior art in §102(a)(1), and it is as same as the first-to-file system. But AIA §102(b)(1)(B) give priority and grant a patent to inventor who independently invented the same invention and publicly disclose first, as long as the first-to-disclose inventor files a patent within one year from the disclosure.
    In other words, an inventor can eliminate a §102(a)(1) prior art reference and §102(a)(2) prior art reference by showing an early date of disclosure during the one year graced period from his/or her effective filing date. If we interpret §102(b)(1)(B) in this way, AIA is a revised type of first-to-invent in fact. Not like other first-to-file system, second filing applicant may get the priority by publicly disclosing invention first.
    Though AIA eliminated interference proceeding, because under the new patent law, reduce to practice, conception, diligent is no long important to priority of patent, USPTO still conduct derivation proceeding. If an first- to-file inventor derived the invention from a second-to-file inventor, the Board may conduct the proceeding to determine the issue. In addition, if a second-to-file inventor has publicly disclosed the inventor during the graced period, and his/or her date of disclosure is earlier than first-to-file inventor’s filing date, then the Board must need a administrative proceeding to deal the problem regarding who will be grant the patent. It seems this administrative proceeding is similar to the interference proceeding, and it’s not like the other first-to-file patent system that need no specific proceeding to determined the priority of granting a patent.

    摘要 i Abstract ii 致謝 v 目錄 vi 第壹章 緒論 1 第一節 研究動機 1 第二節 研究方法 2 第三節 論文架構 2 第貳章 專利取得要件與程序之概述 5 第一節 專利權的性質 5 第一項 無體財產權 5 第二項 實用性 6 第三項 獨占性 7 第四項 與其他智慧財產(權)之比較 9 第二節 專利要件 12 第一項 權利主體 13 第二項 權利客體 14 第三項 法定不許專利者 15 第三節 專利調和與相關的國際條約 16 第一項 巴黎公約 16 第二項 專利合作條約(Patent Cooperation Treaty) 18 第三項 歐洲專利公約(European Patent Convention,EPC) 18 第四項 與貿易有關智慧財產權協定(TRIPs) 19 第五項 專利法條約(Patent Law Treaty,PLT) 20 第六項 實質專利法條約草案 (Substantive Patent Law Treaty,SPLT) 20 第四節 美國專利法因應國際合約所做的改變 24 第一項 優先權制度 25 第二項 Hilmer規則(前AIA) 25 第三項 由先發明主義轉往先申請主義 27 第五節 結論 29 第參章 先申請主義 31 第一節 專利申請程序 31 第一項 先申請制度 32 第二項 專利申請人 32 第三項 冒充申請 34 第四項 專利申請之手續 36 第五項 專利申請日 37 第二節 專利審查制度 39 第一項 實體審查與形式審查 39 第二項 早期公開與請求審查 40 第三項 舉發制度 42 第三節 新穎性與進步性 44 第一項 新穎性 45 第二項 擬制喪失新穎性 48 第三項 新穎性喪失的例外 50 第四項 進步性(非顯而易見性) 53 第五項 新穎性與進步性之判斷 53 第四節 結論 54 第肆章 先發明主義 56 第一節 加拿大1989年專利之修法 57 第一項 1989年的修法概述 57 第二項 由先發明主義到先申請主義 58 第三項 絕對新穎性(Absolutely Novelty)與優惠期間(Grace Period) 59 第四項 小結 59 第二節 美國先發明主義之形成 60 第一項 美國採行先發明主義的理由 60 第二項 美國第一部專利法(Patent Act of 1790) 62 第三項 1836年前美國處理專利衝突的情形 64 第四項 1836年修正後之美國專利法 65 第五項 小結 66 第三節 美國前AIA之先揭露的先發明主義 67 第一項 原創性(originality, §102(f)) 67 第二項 新穎性阻卻事由—可預見性(anticipation, 35 U.S.C.§102(a)(e) (g)) 68 第三項 法定阻卻事由(statutory bar, 35 U.S.C. §102(b) (c)(d)) 74 第四項 進步性(nonobviousness,35 U.S.C. §103) 77 第四節 專利申請與審查程序 78 第一項 專利審查 78 第二項 專利申請之種類 80 第三項 衝突程序 83 第四項 再發證程序(Reissued) 83 第五項 再審查程序(Reexamination) 84 第五節 結論 85 第伍章 美國專利改革法案(AIA)之介紹及先申請與先發明主義之爭議 87 第一節 先申請主義之移行 88 第二節 新穎性與進步性條文的修正(USC 35§§102、103) 89 第一項 定義(§100) 90 第二項 新穎性相關規定之修正(§102) 91 第三項 進步性 101 第三節 先使用者權 101 第四節 派生程序 102 第五節 爭執專利有效性之行政程序 103 第一項 單方與多方再審查程序 104 第二項 專利核准後的異議程序 105 第三項 多方複審程序 108 第四項 補充審查 111 第五項 單方再審查、多方複審、專利核准後的異議制度以及補充審查之比較 112 第六節 新舊法之適用 114 第一項 新法之生效日(effective date) 114 第二項 專利申請之適用 115 第七節 修法後的影響 118 第一項 新法施行的短期影響 118 第二項 移行先申請主義之影響 119 第三項 對於發明人及律師之影響 120 第四項 爭執專利有效性程序修正及先發明者權擴大之影響 121 第五項 小結 122 第八節 AIA採取者為先申請亦或先發明主義之爭議 123 第一項 純粹之先發明主義 124 第二項 先揭露的先發明主義 125 第三項 先申請主義 126 第四項 先發明人申請主義 127 第九節 結論 129 第陸章 AIA施行前後與先申請主義之比較分析 132 第一節 先申請主義之新穎性與優先權之規定 132 第一項 新穎性 132 第二項 擬制喪失新穎性 134 第三項 喪失新穎性之例外 134 第四項 優先權 135 第二節 先揭露的先發明主義之新穎性與優先權之規定 136 第一項 AIA修正前後新穎性條文之對照與翻譯 136 第二項 新穎性喪失事由 141 第三項 秘密的先前技術 142 第四項 失權條款 142 第五項 優先權 145 第三節 先發明人申請主義之新穎性與優先權之規定 146 第一項 新穎性 146 第二項 擬制喪失新穎性 148 第三項 喪失新穎性之例外 148 第四節 決定優先權之程序 154 第一項 先申請主義國家 154 第二項 衝突程序與派生程序 155 第三項 AIA之決定優先權之程序 156 第五節 美國AIA之定位 157 第一項 美國舊法之定位 157 第二項 美國AIA之定位 160 第六節 AIA對外國申請人之影響 164 第七節 結論 165 第柒章 結論 169 參考文獻

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    http://www.metzlewis.com/media/24688/changes_in_patent_law
    2011.pdf
    14.Jason Rantanen & Lee Petherbridge, The America Invents Act Jeopardizes American Innovation, 160 U. Pa. L. Rev. PENNumbra 229,229-239(2012).
    15.Jay P. Kesan, The Potential to Make Progress, 160 U. Pa. L. Rev. PENNumbra 234,234-239(2012).
    16.Stefan Blum, Ex Parte Reexamination: A Wolf in Sheep’s Clothing, 73:2 Ohio St.L.J.396, 396-435(2012).
    17.Patrick M. Boucher, Recent Developments in US Patent Law, 65(1) Physics Today 27, 27-32(2012).
    18.Robert P. Merges, Priority and Novelty Under the AIA, 27 Berkeley Tech.L.J.1023, 1023-1046(2012).

    四、網路資料
    1.Robert Merges, America Invents Act of 2011: First to File Overview(10.21.2011),available at: https://www.law.berkeley.edu/files/bclt_New_Patent_Law_Explained_Panel_3- First_Inventor_to_File.pdf
    2.WIPO 網站,網址:http://www.wipo.int/treaties/en/text.jsp?file_id=288514
    3.IPO 經濟部智慧財產局網站,網址:
    http://www.tipo.gov.tw/ct.asp?xItem=422910&ctNode=6680&mp=1
    4.專利審查基準 2003 年版,資料來源:經濟部智慧財產局網站,網址:
    http://ppt.cc/8tdi
    5.章忠信,著作權筆記,網址:
    http://www.copyrightnote.org/crnote/bbs.php?board=1&act=read&id=39

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