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研究生: 王寶翔
BAO-HSIANG WANG
論文名稱: 美國法院對發明人認定之研究-以生物領域中專利衝突為例
The Study of the US Court Decisions of the Identification of the Inventor-- A Case Study of the Interference Claims in Biological Fields
指導教授: 耿筠
Yun Ken
袁建中
Jian-Jung Yuan
口試委員: 陳昭華
Jau-Hwa Chen
學位類別: 碩士
Master
系所名稱: 應用科技學院 - 專利研究所
Graduate Institute of Patent
論文出版年: 2019
畢業學年度: 107
語文別: 中文
論文頁數: 105
中文關鍵詞: 進步性非顯而易見性派生發明生物學發明人
外文關鍵詞: Interference proceeding, Non obviousness, Derivation proceeding, Derived invention, Biology
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  • 界定專利權的發明人(本研究中特指美國生技專利)有許多因素需要考量,除了發明人對於發明是否有實質貢獻外,是否為出資聘關係也是考量因素; 2012 年美國專利制度由先發明轉換到先申請,這樣轉變也造成判斷上有所更動,特別是專利權有所重疊時,判斷專利所屬權人的方式也從原先 的抵觸審查程序( Interference proceeding 轉變成派生程序( Derivation procedding )。在抵觸審查程序 中需要考量專利三要件;而在派生程序中,除了考量專利三要件,仍須 考量發明概念是否源自於他人構想。雖說美國現已是先申請制度,但仍有許多正在上訴的案件發生時間為先發明時期,其判斷專利三要件的標準仍適用於先申請時期,同時派生案件的判斷標準同樣在先申請不變。
    Westlaw是本研究主要的判決搜尋資料庫,藉由引證與相關性將前述的相關判決縮減至最具代表性的九項判決。本研究旨在找出過去判決中與「生物學中非顯而易見性」、「派生發明」有關的法律見解,並嘗試藉由整理其法官意見分析其判決上的差異及統整並提出建議。
    經整理相關判決與法規,本研究得到三個主要的結果:
    (1)在生物學上非顯而易見性的判斷標準;
    (2)派生發明的判斷標準。
    (3)未來在生物學中的非顯而易見判斷標準是否會有所轉變。
    而這三個主要結果則會是決定 專利所屬權人的判斷要素。


    Defining the inventor of the patent (a U.S. bio patent to be specific in the thesis) has to consider many factors, in addition to considering the contribution of the inventor for the invent, the employment relationship is also an important factor. In 2012, the America patent system switched the first-to-invent system to the first-to-file system, this change has also caused a change in judgment, especially in the patent owner of determination, Derivation proceedings are replacing Interference proceedings in the patent statutes.
    In Interference proceedings, it is necessary to consider the three factors(industrial applicable/novelty/non-obvious); in Derivation proceedings, in addition to considering the three factors, it is still necessary to consider whether the concept of invention originates from the concept of others. Although the United States is now the first-to-file system, there are still many cases being appealed. The occurrence time is the first invention period, and the criteria for judging the three requirements of the patent still apply to the first application period, and the judgment standard of the derivative case is also the same as the previous application.
    We use Westlaw as the main research database, and narrow down the pool with citations and relevancy to nine of the most representative cases. We analyzed the cases and organized the opinions and discussion of the judges. The purpose of this study is to find out the legal opinions related to "non-obviousness in biology" and "derived inventions" in past judgments and try to analyze the differences and consolidate the judgments and make recommendations by arranging their judges' opinions.
    We have organized the cases as well as the references and concluded as follow:
    1.The criteria about non-obvious for biological patent ;
    2.The criteria for deriving inventions; and
    3. whether the non-obvious criteria in biology will change in future.
    And, the three main outcomes will be the elements of judgment that determine the ownership of the patent.

    目錄 第一章 緒論 第一節、研究動機 第二節、研究目的 第三節 判例選擇 一、資料庫選擇 二、 判例選擇 第四節 文獻探討 一、英文期刊 二、中文期刊 第二章 專利衝突概說 第一節 何謂專利衝突 第二節 專利衝突可能涉及之問題 ㄧ、美國制度轉變所造成的衝突問題 二、派生發明 三、前同事間的發明爭議 四、同一發明實體的衝突案件,但由不同的當事人申請 第三節 專利衝突的相關規範 一、AIA前的規定 二、AIA後的規定 三、AIA前後規定差異 第四節、聯邦規則彙編解釋方式-單向測試或雙向測試 第五節、從發明構思到證明相同發明的差異 第六節、AIA前後制度所帶來的影響 第三章 法院見解 第一節 前言 第二節 事實上有衝突的案例 一、Tas v. Beachy (2015) 第三節 事實上沒有衝突的案例 一、Eli Lilly Co. v. Board of Regents of the University of Washington (2003) 二、Genetics institute,LLC, v. Novartis vaccines and Diagnostics, Inc (2011) 三、Regents of the University of California v. Broad Institute, Inc. (2018) 第四節 能證明為派生案例 一、Finch v. Dillenback (1941) 二、Mead v. McKIRNAN (1978) 第五節 不能證明為派生案例 一、Hedgewick v. Akers (1974) 二、Creative Compounds, LLC v. Starmak Labortories (2011) 三、Cumberland Pharmaceuticals Inc. v. Mylan Institutional LLC (2017) 第四章 問題與討論 第一節-前言 第二節-Interference的判斷原則 一、生物學領域中的判斷-合理地成功期望與動機結合的判斷 二、同系物、類似物、異構體如何界定非顯而易見性 三、固有與完全揭露原則的界線 第三節-Derivation的判斷原則 一、發明構思的確立與轉變 二、科學交流是否為傳達的態樣 第五章結論與建議 第一節 結論 第二節 研究限制 第三節 未來展望 參考文獻 相關判決

    參考文獻
    中文
    期刊文章
    董安丹(2002),美國專利法上非顯著性之判斷(上)化學發明非顯著性之研究,智慧財產月刊,第39期,頁36-72。
    董安丹(2002),美國專利法上非顯著性之判斷(下) 化學發明非顯著性之研究,智慧財產月刊,第40期,頁33-54。

    網路資料
    吳育弘,不要輕忽皮膚上的腫塊 - 認識皮膚癌,馬偕紀念醫院皮膚科網站:
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    http://terms.naer.edu.tw/detail/1320708/(最後瀏覽日期:2019/07/11 )。

    英文
    期刊文章
    Jacob S. Sherkow, Inventive Steps: The CRISPR Patent Dispute and Scientific Progress, EMBO Reports, Vol. 18, pp. 1047-1050 (2017).

    Josh Lerner, Andrew Speen, and Ann Leamon, The Leahy-Smith America Invents Act: A Preliminary Examination of Its Impact on Small Businesses, Small Business Research Summary, No. 429 (June 2015).

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    Aghababian, Richard V. , Essentials of emergency medicine. Jones & Bartlett Publishers. 22 October 2010: 814. ISBN 978-1-4496-1846-9.(Oct 2010).

    Mangus, Brent C.; Miller, Michael G., Pharmacology application in athletic training. Philadelphia, Pennsylvania: F.A. Davis. (2005).

    Sunita Tripathy, Interference proceedings and innovation goals of the CRISPR-Cas9 patent,  Journal of Intellectual Property Law & Practice, Volume 14, Issue 1,, Pages 25–32,( Jan 2019)

    專書
    Robert A. Matthews, Jr., Derivation proven by two-part test, in ANNOTATED PATENT DIGEST

    Burk, Dan L. and Lemley, Mark A., Biotechnology's Uncertainty Principle (2004). Case Western Reserve Law Review, Vol. 54, p. 691, 2004 .

    網路資料
    Dennis Crouch, Patent Board Codifies Two-Way Test for Interference, Streamlines Process, PATENTLYO:
    https://patentlyo.com/patent/2005/01/in_september_20.html (last visited July 11, 2019)

    Legal Information Institute, Cornell law school :
    https://www.law.cornell.edu/cfr/text/37/part-41/subpart-E(last visited July 11, 2019)

    SMITH&HOPEN- U.S.REGISTERED PATENT ATTORNEYS, Reduction to practice:
    https://www.smithhopen.com/glossary_term/38/Reduction-to-practice(last visited July 11, 2019)

    USPTO:
    https://www.uspto.gov/patent/laws-and-regulations/leahy-smith-america-invents-act-implementation(last visited Sep 24, 2018).

    Emily Mullin, CRISPR 2.0 Is Here, and It’s Way More Precise, MIT Technology Review:
    https://www.technologyreview.com/s/609203/crispr-20-is-here-and-its-way-more-
    precise/ (last visited March 20, 2019) 

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