美国专利简介(一)
众律国际法律事务所 专利工程师 刘淑贞
2014-09-12

一、前言：
浅谈美国专利法关于可授予专利的新颖性的条件之判断标准及边境管制措施。
二、美国专利法102条规定新颖性：
美国专利法102条规定了可授予专利的条件之一的新颖性之判断准则：「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), 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.」
三、美国专利法102条规定解析：
美国专利法第102条a款规定：「新颖性先前的技术—一个人应当被授予专利，除非—
(1) 提出的发明已经被他人取得专利，发表在印刷的出版物，或已供公众使用，被贩卖、销售，或者除此之外，在提出发明的有效申请日之前，已为公众所知悉或可取得或者
(2) 所提出的发明已经被公开授予专利，根据第151条规定  或者已公开或被视为公开的该专利正在申请中，根据第122(b)条规定，此专利或专利申请的申请人可能是其他的发明者在提出发明的有效申请日之前已然有效地申请了。」已经公开或已有先前技术的专利，丧失新颖性，不得取得专利权。
美国专利法第102条b款规定：「例外—
(1) 发明的公开揭露之事实发生在提出发明的有效申请日之前之一年以内的时间—根据第a项第1款，所公开揭露的发明在提出发明的有效申请日前一年内不应当是提出发明的先前技术，如果—
(A) 发明人或共同发明人公开揭露，或他人直接或间接从发明人或共同发明人那里揭露而获得发明目标或者
(B) 在此揭露之前，发明目标已经被发明人或共同发明人所公开揭露，或他人直接或间接从发明人或共同发明人那里揭露而获得发明目标。
(2) 揭露出现在申请书和专利中—根据第a项第2款，提出发明的揭露不应当为先前的技术，如果—
(A) 发明目标之揭露是直接或间接从发明人或共同发明人那里取得
(B) 根据第a项第2款，在此发明目标有效申请之前，发明目标已经被发明人或共同发明人所公开揭露，或他人直接或间接从发明人或共同发明人那里揭露而获得发明目标发明人  或者
(C) 发明目标之揭露和所提出之发明申请，不迟于提出的发明有效申请日，是同一个人所拥有者或义务受让于同一个人。」丧失新颖性的例外：发明人公开揭露的发明在提出发明的有效申请日前一年内，或者于专利申请日之前公开揭露与提出发明的发明人或受让人是同一个人。

参考数据:
1. 专利实务论(第四版)，冷耀世编着，全华出版社出版(2011)。
2. 美国专利法(Patent Laws)。
3. 专利诉讼的管理基础系列 I ─ 浅谈ITC专利诉讼(http://www.naipo.com/Portals/1/web_tw/Knowledge_Center/Expert_Column/Expert-5.htm)