美國發(fā)明專利申請中無新穎性審查意見答復(fù)策略
專利代理 咨詢電話 18210958705 QQ 2101183472 發(fā)布時(shí)間：2021-03-31 23:12:49
2013年3月16日之后，美國結(jié)束了自1790年首次制定專利法以來所奉行的“先發(fā)明制”，而改為“發(fā)明人先申請制”，調(diào)整了現(xiàn)有技術(shù)、寬限期、先用權(quán)、最佳實(shí)施例等制度，重新設(shè)計(jì)了一些其他程序和制度，美國專利法第102條的修改也影響了對專利新穎性的評價(jià)。以下介紹影響因素及針對無新穎性審查意見通知書的答復(fù)策略。
一、影響因素
| 現(xiàn)有技術(shù) | |||||
| 法條 | 主題 | 時(shí)間 | 空間 | 情形 | 結(jié)論 |
| 35 U.S.C. 102 (a) (1) | 主張權(quán)利之發(fā)明創(chuàng)造（包括發(fā)明和外觀設(shè)計(jì)） | 在有效申請日之前 | 全世界 | 已獲得專利，或者 | 則不得授予專利權(quán) |
| 已在出版物種有描述，或者 | |||||
| 已公開使用，或者 | |||||
| 已銷售 | |||||
| 以其他方式，為公眾所知 | |||||
| 抵觸申請 | |||||
| 法條 | 主題 | 主體 | 時(shí)間 | 情形 | 結(jié)論 |
| 35 U.S.C. 102 (a) (2) | 主張權(quán)利之發(fā)明 | 由他人 | 在申請日之前 | 已有效提出了申請，且該申請?jiān)谝咽跈?quán)的專利中，或者在已公開或者被視為公開的專利申請中已有描述 | 則不得授予專利權(quán) |
| 寬限期 | |||||
| 法條 | 主題 | 主體 | 時(shí)間 | 情形 | 結(jié)論 |
| 35 U.S.C. 102 (b) (1) | 主張權(quán)利之發(fā)明 | 發(fā)明人自己，或者合作發(fā)明人，或者因發(fā)明人的披露而獲知了該發(fā)明的他人 | 在有效申請之日前1年或1年以內(nèi) | 做出的任何形式的披露 | 不屬于現(xiàn)有技術(shù) |
除法條中寬限期規(guī)定的情況外，任何屬于現(xiàn)有技術(shù)或者抵觸申請的內(nèi)容都會(huì)影響專利新穎性，沒有新穎性的專利不能獲得授權(quán)。
二、美國專利法新穎性要求
35 USC 102
(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; （在該發(fā)明的有效申請日之前已經(jīng)授權(quán)，被公開出版物公開，被公開使用、銷售或者以其他方式為公眾所知）
(2) the claimed invention was described in a patent issued under section 151, or in an application for patent published or deemed published under section122(b), in which the patent or application, as the case maybe, names another inventor and was effectively filed before the effective filing date of the claimed invention.（該發(fā)明已經(jīng)被依據(jù)151條授權(quán)的專利公開，或者被依據(jù)122（b）款公開或視為依據(jù)122（b）款公開的專利申請公開，其中，上述專利或者專利申請name another inventor并且其有效的申請日早于所聲明發(fā)明的有效申請日）
(b) EXCEPTIONS
(1) DISCLOSURES MADE 1 YEAR OR LESS BEFORE THE EFFECTIVE FILINGDATE 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—在有效申請日前一年之內(nèi)的公開，將不作為條款(a) (1)所稱的現(xiàn)有技術(shù)，如果——
(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; （這個(gè)公開是由其發(fā)明人或者共同發(fā)明人做出的；或者由他人做出，但是所公開的主題是直接或者間接從其發(fā)明人或者共同發(fā)明人處獲知的）
(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.（在本次公開之前，該公開的主題已經(jīng)被其發(fā)明人或共同發(fā)明人或直接或者間接從其發(fā)明人或者共同發(fā)明人處獲知該主題的他人公開）
(2) DISCLOSURES APPEARING IN APPLICATIONS AND PATENTS.—A disclosure shall not be prior art to a claimed invention under subsection (a)(2) if— 一種公開將不視為條款(a)(2)所稱的現(xiàn)有技術(shù)，如果
(A) the subject matter disclosed was obtained directly or indirectly from the inventor or a joint inventor;所公開的主題是直接或者間接從發(fā)明人或者共同發(fā)明人出得到的；
(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在該主題依照條款(a)(2)所稱的有效遞交之前，已經(jīng)被其發(fā)明人或共同發(fā)明人或直接或者間接從其發(fā)明人或者共同發(fā)明人處獲知該主題的他人公開
(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.在該發(fā)明的有效申請日之前，該發(fā)明與所公開的主題被同一個(gè)人擁有或者轉(zhuǎn)讓給同一個(gè)人。
(c) COMMON OWNERSHIP UNDER JOINT RESEARCH AGREEMENTS根據(jù)共同開發(fā)協(xié)議約定的共有權(quán)利
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—在應(yīng)用款(b)(2)(C)時(shí)被公開的主題與該發(fā)明應(yīng)該被視為被同一人擁有或者被轉(zhuǎn)讓給同一個(gè)人，如果……
(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;所公開的主題以及該發(fā)明是由（或者代表）共同開發(fā)協(xié)議中的一方或多方作出的，且該共同開發(fā)協(xié)議是在該發(fā)明的有效申請日當(dāng)天或者之前就生效的；
(2) the claimed invention was made as a result of activities undertaken within the scope of the joint research agreement; and該發(fā)明是執(zhí)行該共同開發(fā)協(xié)議范圍內(nèi)行為的產(chǎn)物；并且
(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.該發(fā)明的專利申請公開了或者修改為公開了共同開發(fā)協(xié)議的parties
(d) PATENTS AND PUBLISHED APPLICATIONS EFFECTIVE AS PRIOR ART可以作為現(xiàn)有技術(shù)的專利以及公開申請
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— 為了確定一個(gè)專利或?qū)＠暾埵欠衲軌虺蔀榭?a)(2)中所述的一個(gè)發(fā)明的現(xiàn)有技術(shù)，則該專利或者申請應(yīng)該被視為有效遞交
(1) if paragraph(2) does not apply, as of the actual filing date of the patent or the application for patent; or如果不應(yīng)用（2），在該專利或者申請的實(shí)際遞交日；
(2) if the patent or application for patent is entitled to claim a right of priority under section 119,365(a), or 365(b), or to claim the benefit of an earlier filing date under section 120, 121, or 365(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.如果該專利或者申請依據(jù)119，365（a）or 365（b）要求了在先一個(gè)或多個(gè)申請的優(yōu)先權(quán)，或者依據(jù)120，121 or 365（c）要求了在先一個(gè)或多個(gè)申請的申請日，在公開上述主題的專利申請的申請日。
三、答復(fù)策略
對于一篇文件公開了權(quán)利要求的所有技術(shù)特征，導(dǎo)致無新穎性的審查意見通知書，答復(fù)策略如下：
申請人可以通過特征對比分析，說明對比文件并沒有公開本申請權(quán)利要求的全部技術(shù)特征。
若審查意見中僅評述了權(quán)利要求的新穎性，則僅需要答復(fù)該權(quán)利要求具備新穎性即可，而不需要答復(fù)該權(quán)利要求還具備創(chuàng)造性（這點(diǎn)與國內(nèi)不同）。
因美國有嚴(yán)格的禁止反悔原則，這樣做可以避免對發(fā)明產(chǎn)生不必要的限制。
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