미국 특허법 특허법 101조 Post Alice Patent Eligibility

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1 미국특허법 101 조 Post Alice Patent Eligibility 특허법인가산특허 6 팀김민석변리사

2 목차 I. 소프트웨어발명의성립성 II. 미국판례의변천 III. ALICE Corp v. CLS Bank 판례 IV. 미국특허청심사기준 V. ALICE 판결이후최근판례소개 VI. 미국 101 조 OA 극복방안연구 (1) 명세서작성단계 (2) OA단계 & Case study

3 I. 소프트웨어발명의성립성

4 I. 소프트웨어발명의성립성

5 I. 소프트웨어발명의성립성 한국특허법제 2 조제 1 호 " 발명 " 이란자연법칙을이용한기술적사상의창작으로서고도 ( 高度 ) 한것을말한다. 발명의정의규정을만족하지못하는발명은산업상이용가능성을근거로거절된다 ( 특허법제 29조제 1항 ) 한국특허법제 29 조제 1 항 산업상이용할수있는발명으로서다음각호의어느하나에해당하는것을제외하고는그발명에 대하여특허를받을수있다

6 I. 소프트웨어발명의성립성 컴퓨터관련발명심사기준 소프트웨어에의한정보처리가하드웨어를이용해구체적으로실현되고있는경우, 해당소프트웨어와협동해동작하는정보처리장치, 그동작방법및해당소프트웨어를기록한컴퓨터로읽을수있는매체는자연법칙을이용한기술적사상의창작으로인정 다만컴퓨터프로그램그 자체 의경우에는성립성을부정한다 판례 (97후2507) 출원발명이기본워드에서브워드를부가하여명령어를이루는제어입력포맷을다양하게하고워드의개수에따라조합되는제어명령어의수를증가시켜하드웨어인수치제어장치를제어하는방법에관한발명 수치제어입력포맷을사용하여소프트웨어인서브워드부가가공프로그램을구동시켜하드웨어인수치제어장치를제어할뿐아니라하드웨어외부에서의물리적변환을야기시켜그물리적변환으로인하여실제적이용가능성이명시되어있으니발명의성립성을인정할수있다고판시하였다.

7 I. 소프트웨어발명의성립성 35 USC 101 조 : invenntions patentable Whoever invents or discovers any new and useful process, machine, manufacture, or composition of matter, or any new and useful improvement thereof, may obtain a patent therefor, subject to conditions and requirements of this title 누구라도새롭고유용한방법, 기계, 제조물또는합성물, 또는이들의새롭고유용한개량을 발명하거나발견한자는본법률의조건과요건을만족할경우그에관한특허를받을수있다 추상적아이디어 (Abstract IDEA) 기술적사상의지나친선점

8 II. 미국판례의변천

9 II. 미국판례의변천 Gottschalk v. Benson(1972) 십진수 (decimal fomat) 데이터를이진수 (binary format으로변환하는알고리즘에대한방법발명 BCD를이진수로변환하는알고리즘은 추상적아이디어 (abstract idea) 에해당하여특허를받을수없음. 클레임발명이선행기술과다른차이점은 alarm limt 를계산하는알고리즘에있었는데, 클레임에추가적인단계들이부가되어있다고하더라도특허를받을수없다. 청구항은수학공식에대한선점적효과 (preemptive effect) 를줄이지못함 부수의견으로서 Machine of transformation(mot) 를방법청구항의성립성판단의단서라판시함

10 II. 미국판례의변천 Diamond v. Diehr (1981) Arrhenius 공식을이용하여고무를경화시키는프로그램 고무에대한가열시간을계산하고제어하는데컴퓨터를이용하고있지만컴퓨터프로그램뿐만 아니라고무를가열하고이를제어하는단계를포함하고있는바이클레임은단순한수학적 알고리즘이아니라고무를몰딩하는방법이므로특허를받을수있다 (5:4) 물리적공정이나물건에응용될것 자체적으로계산만하는프로그램에대해서는언급하지않음

11 II. 미국판례의변천 State Street Bank v. Signature Financial Group(1998) 유용하고, 구체적이고, 가시적인 (Useful, Concrete, Tangible) 효과를낳는소프트웨어및기타방법은특허를받을수있다고판시하여, 굉장히포괄적으로소프트웨어발명을수용함. 컴퓨터소프트웨어와데이터구조가미국에서특허를받을수있는대상 (patentable subject) 으로인정된다는의문이없으며, SSB 판례는미국내 BM발명출원이폭발적으로증가하는계기가됨 소프트웨어나데이터구조가컴퓨터에의하여동작되거나기록매체에저장되는것으로클레임을작성하면특허대상으로인정함

12 II. 미국판례의변천 Bilski v. Kappos (2010) 에너지시장에서에너지의가격변동에따라소비자가부담해야할사용료가고액이될수있는위험부담을완화 (hedging) 하기위해, 특정에너지재화를고정가격에계속소비자측에공급할때당해재화의시장가격변동에따른공급자의거래상위험비용을흡수하는방법 SSB 판례가제시한성립성판단기준인 유용하고, 구체적이고, 가시적인 (Useful, Concrete, Tangible) 효과 를폐기함 CAFC의 Machine of transformation (MOT) 테스트는방법발명의성립성판단에유용하고중요한단서이나유일한기준은아니라고판시 경제법칙도수학적알고리즘과마찬가지로추상적아이디어에불과

13 II. 미국판례의변천 Bilski v. Kappos (2010) 청구항 [ 구성요소1] Initiating a series of sales or options transactions between a broker and purchaser-users by which the purchaser-users buy the commodity at a first fixed rate based on historical price levels. 구매자-사용자들이종전가격수준에기초한제 1 고정율에현물을매입함에의해브로커와구매자- 사용자들간일련의매매또는옵션거래를제시하는단계 [ 구성요소 2] Identifying producer-sellers of the commodity; and 상기현물의생산자 - 판매자들을확인하는단계 ; 및 [ 구성요소3] Initiating a series of sales or options transactions between the broker and produver-sellers, at a second fixed rate, such that the purchaser and sellers respective risk posiitions balance out 구매자들과판매자들의각각의위험이균형을잡도록하는제 2 고정율에브로커와생산자-판매자들간의일련의매매또는옵션거래를개시하는단계로구성된방법 경제법칙도수학적알고리즘과마찬가지로추상적아이디어 (Abstract idea) 에불과함

14 III. ALICE Corp v. CLS Bank 판례 (2014.6)

15 III. Alice Corp v. CLS Bank 판례 (2014) 버락오바마미국대통령행정명령 2013년 5월 13일하원에서는법원ㆍ지적재산권ㆍ인터넷소위원회주관으로 `특허소송남용이미국의혁신, 일자리등에미치는영향`에대한청문회를개최하였다. 청문회의견으로특허괴물의악의적ㆍ남용적특허소송제기는결국미국의혁신과경쟁력에방해, 특허소송으로인하여발생하는수억달러의비용은기업의부담이되어혁신의저하ㆍ고용의저하로이어진다는증언이이루어졌다. 특허괴물은스스로아무것도만들지않으면서남의아이디어를지렛대삼거나가로채돈을뜯어낼궁리만한다 이에 2013 년 6 월 4 일버락오바마대통령은 USPTO 행정명령 5 건을발동하였다 특허기능청구범위강화 ( 모호하거나지나치게포괄적인특허청구제한 ) 특허소유자에대한투명성강화 ( 특허괴물소유특허권명시 ) 개인및영세 벤처기업등최종사용자에대한특허소송남용금지 특허제도개선방향연구 미국특허침해수입품에대한처리간소화

16 III. Alice Corp v. CLS Bank 판례 (2014) Alice 청구항 (US ) 시스템청구항 A data processing system to enable the exchange of an obligation between parties, the system comprising: a data storage unit having stored therein information about a shadow credit record and shadow debit record for a party, independent from a credit record and debit record maintained by an exchange institution; and [a] a computer, coupled to said data storage unit, that is configured to receive a transaction; [b] electronically adjust said shadow credit record and/or said shadow debit record in order to effect an exchange obligation arising from said transaction, allowing only those transactions that do not result in a value of said shadow debit record being less than a value of said shadow credit record; and [c] generate an instruction to said exchange institution at the end of a period of time to adjust said credit record and/or said debit record in accordance with the adjustment of said shadow credit record and/or said shadow debit record, wherein said instruction being an irrevocable, time invariant obligation placed on said exchange institution.

17 III. Alice Corp v. CLS Bank 판례 (2014) Alice 발명의요지 사기나미지급위험을방지하기위하여두거래당사자가안전하게현금이나금융증서를교환할수있도록하는에스크로 (Escrow) 시스템에관한것으로서중재하는제3자로서컴퓨터시스템을활용하여두거래당사자의금융거래의위험성을줄이는방향으로합의에도달하게하는것 Alice 청구항은방법청구항, 시스템청구항, 기록매체청구항으로구성되었으며, 판례를통해모든카테고리의 발명이 101 조에의하여거절됨. 시스템과기록매체청구항이 101 조거절된첫번째사례 사건의경과 년특허등록 2 미국 CLS 은행 ( 외환결제전문민간기업 ) 은호주계 Alice( 금융분야 NPE) 와라이센싱협의중법원에특허무효확인소송제기 3 CAFC는 Alice 특허를인정 (2:1) 4 CAFC 전원합의체는 Alice 특허는보호대상이아니므로 ( 발명 ) 무효로판결 (5:5) 5 연방대법원은만장일치로 Alice 특허에대하여무효확정

18 III. Alice Corp v. CLS Bank 판례 (2014) Mayo v. Prometheus(2012) 환자의혈액대사물질의수치를통해환자에대한치료효율을증진하는방법 면역매개성위장관질환의치료를위해치료효과를극대화하는발명에있어서, a) 특정약을면역매개성위장관질환환자에게투약하는단계 b) 약이투여된환자의대사물질수치를판단하는단계 c) 투약량의조절이필요하다는주의를주는단계 판례분석 자연법칙은발명적개념 (inventive concept) 에의해자연법칙의응용이된다. 발명적개념 (iventive concept) : 청구항의타요소또는요소들의결합으로자연법칙보다훨씬더많은것 (significantly more) 을요구 자연법칙을제외하는경우, 나머지단계들에충분한발명적개념이존재하는지 환자에게약을투약하는단계와대사수치물질의수치를판단하는단계란인간이만든약을환자에게주고피를뽑는행위. 이는발명적개념이될수없다 자연법칙자체보다훨씬더많은 (significantly more) 것이아닌해당기술분야에서널리잘알려져있거나통상적한정을추가하는경우에는자연법칙자체와마찬가지로불특허대상 (Mayo Test의제시 )

19 III. Alice Corp v. CLS Bank 판례 (2014) Mayo TEST 청구항발명이 101 조법정카테고리에해당하는가 청구항발명이자연법칙, 자연현상, 추상적아이디어에해당하는가 청구항발명이자연법칙, 자연현상추상적아이디어보다 상당히더많은 것을포함하는가

20 III. Alice Corp v. CLS Bank 판례 (2014) Abstract( 추상적인 ) 의미 1 어떤사물이직접경험하거나지각할수있는일정한형태와성질을갖추고있지않은. 또는그런것. 의미 2 구체성이없이사실이나현실에서멀어져막연하고일반적인. 또는그런것. 칸딘스키 광고디자인 광고디자인

21 III. Alice Corp v. CLS Bank 판례 (2014) Mayo Test 의대입 STEP 2A 추상적아이디어인지 (YES) 위험을줄이기위해제3자가거래를중재하는것은금융실무에널리사용되는통상적인개념에불과하기에청구항발명은비특허대상인추상적아이디어에해당함 STEP 2B 상당히더많은 추가구성요소를포함하는가 (NO) 특정단계나기능이범용컴퓨터 (Generic computer) 에의해실행된다는이유로추상적아이디어에자동적으로 특허적격성이부여되지않음. 각단계의실행에의해의미있는제한이나개선된특성이부여되어야함 Alice 특허의컴퓨터가가상계좌를개설하고, 리스크를분석하는기능은컴퓨터의범용적 (Generic) 기능에 불과하고, 데이터저장장치, 컨트롤러는범용컴퓨터일반적으로포함되어있는구성에불과하기에발명적 특징 ( 상당히더많은 (significantly more) ) 이없음

22 III. Alice Corp v. CLS Bank 판례 (2014) Alice 판례의결론 모든소프트웨어발명에대하여특허적격성을부정하는것은아니지만, 범용 (Generic) 컴퓨터에의하여추상적아이디어가수행되는경우 US 특허법 101조대상이될수없다. 이러한태도는기존의 Bilski, Mayo 사건과크게다르지않다. Alice판례는소프트웨어특허에의한무분별한소송남발의문제점을개선하기위한정책적판단이해당판결에영향을미친것으로판단 특허괴물에피소당한미국기업중 82% 가 SW 특허로인해피소 月기준미국내에서 750여개의 NPE가활동하고있으며, 그중 45개의 NPE정도가 100개이상의특허를보유 저품질의소프트웨어발명에대해별도의선행문헌없이해당발명에대한특허적격성을부정할수있는근거를마련하고, 특허괴물에의한침해소송을무력화할수있는수단을제공 청구항의 type 은특허적격성판단에영향을미치지않음 방법, 기록매체, 시스템 특허발명은발명적개념 (inventive concept) 를가져야함. 추상적아이디어보다상당히더많은 (significantly more) 추가구성요소가포함되는지여부는성립요건판단기준이된다.. 그러나명확한기준을제시하고있지않음

23 III. Alice Corp v. CLS Bank 판례 (2014)?

24 IV. 미국특허청심사기준

25 IV. 미국특허청심사기준 ALICE 판결이후 101 조에따른거절률 90% 이상의 Electionice commerce art units ART Unit 3620, 3680, % 이하의 Computer Arichitecture, Networks & Communications art units ART Unit 2100, 2400, 2600 특히 ART Unit % 이상 Data Processing: Financial, Business Practice, Management, or Cost/Price Determination. OsmanBilalAhme ART Unit 3622 Scott D. Gartland ART Unit 3622 Nathan C. Uber ART Unit 3622 출처 : examiner.ninja

26 IV. 미국특허청심사기준 청구항발명이 101 조법정카테고리에해당하는가 청구항발명이자연법칙, 자연현상, 추상적아이디어에해당하는가 청구항발명이자연법칙, 자연현상추상적아이디어보다 상당히더많은 것을포함하는가

27 IV. 미국특허청심사기준 법정카테고리에해당하지않는것 Law of nature( 자연법칙 ) Natural phenomena( 자연현상 ) Abstract ideas( 추상적아이디어 ) Mayo test 2A의추상적아이디어 (Abstract idea) Fundamental economic practices( 일반적인경제활동 ) An idea of Itself( 아이디어그자체 ) Certain Methods of organizing human activity( 인간의활동에의한특정활동 ) Mathematical relationships/formulas( 수학적관계, 공식 )

28 IV. 미국특허청심사기준 Mayo test 의추상적아이디어 (Abstract idea)

29 IV. 미국특허청심사기준 Mayo test 2B의 Significantly more에해당하지않는것 추상적인아이디어에해당하는작업을컴퓨터상에서수행하기위해 apply it 으로표현한경우, 또는해당작업을컴퓨터를통하여실시한것에불과한경우 해당기술분야에서널리잘알려져있는통상적한정 (limitation) 을추가한경우 사소한추가해법 (insignificant extra solution) 을제시한것에불과한경우 추상적인아이디어를특정기술분야나환경에일반적으로연관시키는경우 Mayo test 2B의 Significantly more에해당되는것 다른기술이나기술분야의개선 / 개량이인정되는경우 컴퓨터자체의성능향상이인정되는경우 해당기술분야에서널리잘알려져있거나통상적한정이아니라청구항을특정하여유용한 application으로제한하는독특한단계를추가하는경우 범용컴퓨터이외의특정기계를이용하거나사용하여추상적아이디어를응용하는경우

30 V. ALICE 판결이후최근판례소개

31 V. ALICE 판결이후최근판례소개 Ultramercial v. Hulu(US7,346,545)( CAFC) Method and system for payment of intellectual property royalties by interposed sponsor on behalf of consumer over a telecommunications network( 통신망위의소비자을대신하는삽입된스폰서에의한지적재산로열티의지불을위한방법과시스템 ) 인터넷을통해저작물을무료로배포하는대신광고를시청하게하는방법에대한발명 분석 성립성부정 STEP2A(YES) 광고를시청한대가를시청자에게현금처럼사용할수있게하는개념에관한것으로이는기본적경제법칙혹은종래상업정비즈니스관행에불과하여추상적아이디어에불과 STEP 2B(NO) 광고시청을저작물구매를위한현금처럼사용할수있도록하는절차이외에는추가구성요소를더포함하지않음

32 V. ALICE 판결이후최근판례소개 Buysafe v. Google(US )( CAFC) Safe transaction guaranty( 안전한전자거래담보 ) 제 3 자의온라인판매를보증하여인터넷상에서이루어지는거래안전성을확보하기위한방법 분석 - 성립성부정 STEP2A(YES) 거래실적보증이라는계약관계의성립에관한것으로이는기본적경제법칙또는종래상업적거래관행에불과함 STEP 2B(NO) 거래실적보증요청을받고거래실적보증을해소해주는방법을컴퓨터를이용하여수행한다는것이외의추가요소를더포함하지않는다.

33 V. ALICE 판결이후최근판례소개 Planet Bingo v. VKGS(US6,398,646)( CAFC) Method and system for storing preselected numbers for use in games of bingo( 빙고의게임에사용하기위한미리선택된갯수를저장하기위한방법과시스템 ) 빙고게임을컴퓨터를이용하여구현하는방법및시스템에대한발명 분석 성립성부정 STEP2A(YES) 오래전부터알려진게임에대한상거래관행으로추상적아이디어에해당 STEP 2B(NO) 빙고게임을단순히컴퓨터를이용하여관리하는일반적인절차수행외에추가적인구성요소가없으며, 컴퓨터를이용하여수행하는것자체로는특허성립을인정할수없음

34 V. ALICE 판결이후최근판례소개 Digital image technology v. Electronics imaging(us6,128,415)( cafc) Device profiles for use in a digital image processing system( 디지털화상처리시스템에사용하기위한장치프로파일 ) 소스장치 ( 카메라등 ) 에의해입력된이미지를출력하는출력장치 ( 프린터등 ) 이출력할수있도록수행하는이미지변환처리를위해소스장치와출력장치의공간및생상특성을포함하는이미지프로파일에대한발명 분석 성립성부정 Step1(NO) Device profile 청구항발명은 101 조 4 가지법정카테고리에해당하지않음 Step2A(YES) 방법청구항의경우장치와상관없이 device profile 을 생성하는방법에불과하여수학적알고리듬에해당함 Step2B(NO) 이미지프로세서와의결합에관련된추가구성요소가없음

35 V. ALICE 판결이후최근판례소개 기타성립성부정판결들 Accenture v. Guidewire Software(US ) Dietgoal Innovation, LLC v. Bravo Media Loyalty Conversion Systems v. American Airlines

36 V. ALICE 판결이후최근판례소개 DDR Hordings v. Hotels.com(2014)(US 6,993,572, 7,818,399)( CAFC) System and method for facilitating internet commerce with outsourced websites( 아웃소싱된웹사이트를가진인터넷상거래를용이하게하기위한시스템과방법 ) 온라인판매품을제공하는호스트사이트의웹페이지디자인요소를제3의판매웹사이트의웹페이지와합성하여사용자에게디스플레이하는방법 분석-성립성인정 Step2A(NO) 2개의전자상거래웹페이지를같게보이도록수요자에게제공하는것은수학적알고리즘, 경제관습, 상거래관습어디에도해당하지않는다. Step2B(NO) 판단하지않음

37 V. ALICE 판결이후최근판례소개 청구항분석 성립성인정 An e-commerce outsourcing process comprising: a) capturing a look and feel description associated with a host website and storing HTML code corresponding to the look and feel description at a second website; b) providing the host website with a link for inclusion within a page on the host website for serving to a visitor computer, wherein the provided link correlates the host website with a selected commerce object; and c) upon receiving an activation of the provided link from the visitor computer, serving to the visitor computer from the second website page with a look and feel corresponding to the captured look and feel description of the host website associated with the provided link and with content based on the commerce object associated with the provided link; whereby the visitor receiving the served page at the visitor computer perceives the page as associated with the host website even though it is served from the second website.

38 V. ALICE 판결이후최근판례소개 Enfish LLC v. Microsoft Corps(2016.5) (US6,151,604) Method and apparatus for improved information storage and retrieval system( 개선된정보스토리지와검색시스템을위한방법과장치 ) 행과열에따라데이터에주소를부여하고열번호와행번호를이용하여빠르게데이터를검색하는방법및장치에대한발명 CAFC 는본발명에대해서성립성을인정하였으며이에별도로 USPTO Memorandum 을발송 memorandom/ 판시내용내용분석 청구항이추상적인아이디어에해당하는지를판단할때는기존에추상적아이디어로결정된청구항과비교함이타당. 청구항이추상적인아이디어에해당하는지여부는등록이불가능한특허를미리걸러주는역할 (filter) 을하기에중요. 발명의요지를밝힐때청구항을본문의표현과달리과하게추상적으로기술해서는안됨. 발명의기능이공용목적컴퓨터에서실행되는경우, 이로인해자동적으로청구항이거절되는것은아님.

39 V. ALICE 판결이후최근판례소개 청구항분석 성립성인정 청구항12. A data storage and retrieval system for a computer memory, comprising: means for configuring said memory according to a logical table, said logical table including: a plurality of logical rows, each said logical row including an object identification number (OID) to identify each said logical row, each said logical row corresponding to a record of information; a plurality of logical columns intersecting said plurality of logical rows to define a plurality of logical cells, each said logical column including an OID to identify each said logical column; and wherein at least one of said logical rows contains a logical cell that contains a pointer to a different logical row and at least one of said logical rows includes logical column information defining each of said logical columns; and means for searching said table for said pointer.:

40 V. ALICE 판결이후최근판례소개 기타성립성인정판결들 SiRF Technology v. ITC 46 (U.S.Patent No. 6,417,801) Research Corp. Tech. v. Microsoft Corp.47 (U.S. Patent No. 5,111,310) Dealertrack Inc. v. Huber (U.S. Patent No. 7,181,427) SmartGene, Inc. v. AdvancedBiological Laboratories, SA(U.S. Patent No. 6,081,786) Cyberfone Systems v. CNN Interactive Group(U.S. Patent No. 8,019,060) 최근 PTAB의 CBM review에 Enfish 판결이영향을미친사례 애플이 CBM을청구한 Mirror World 특허에대해심판부는계쟁특허가컴퓨터기술발전에관한것으로 " 모호한아이디어 " 가아니기때문에애플의무효심판을각하 (not instituted) 함 Apple, Inc. et al v. Mirror World Technologies, LLC(2013.ED TEX)

41 V. ALICE 판결이후최근판례소개 소결 소프트웨어특허성립성을인정한 Diehr과 DDR Hordings 판시에따른소프트웨어가 US101조를극복하기위한요건 소프트웨어가다른기계나구성요소를컨트롤하며, 산업적인과정의발전을가져오는경우 소프트웨어가컴퓨터자체의성능을향상시키는경우 ( 예 : 적법하게작성된청구항이 image processing, compression, encryption, graphical user interfaces 등에대해특허를요구하는경우 ) Enfish LLC v. Microsoft Corps(2016.5) 판시는상기예시에 database를추가하였다는점에서의미를가진다. DDR Hordings와 Enfish 판례는 Post Alice에서그동안모호했던소프트웨어특허의성립성을인정한판시로서의미를가진다고할것이다 발명의기능이공용목적컴퓨터에서실행되는경우, 이로인해자동적으로청구항이거절되는것은아님을다시한번확인함. 주류판례에따르면 CAFC 와 USPTO 는 Post Alice 로인한 101 조적용을완화하려는태도를보이는것으로 보임. 이는최근 Apple, Inc. et al v. Mirror World Technologies 판시에서도나타남

42 VI. 미국 101 조 OA 극복방안연구 (1) 명세서작성단계 (Draft) 출처 : Knobbe Martens IP

43 VI. 미국 101 조 OA 극복방안연구 Mayo TEST 청구항발명이 101 조법정카테고리에해당하는가 청구항발명이자연법칙, 자연현상, 추상적아이디어에해당하는가 청구항발명이자연법칙, 자연현상추상적아이디어보다 상당히더많은 것을포함하는가

44 VI. 미국 101 조 OA 극복방안연구 Abstract 에서 non-abstract 로 이많은신발을효율적으로담을수있는신발장이있으면좋겠어 신발이총 153 켤레에해당하는군! 우리회사의 A 신발장은 160 켤레의신발을보관할수있지 추장적아이디어의구체화

45 VI. 미국 101 조 OA 극복방안연구 101 조에반하는기술의예 Invention ivnvolves automation of tasks that can be performed by human ( 인간에의해이루어지는일이자동적으로이루어지는발명 ) Calculating a risk score, generating a user profile, matching job candidates with employers The Claim involves the processing of payments, financial data, or data representing contractual obligations ( 지불단계, 재무적데이터, 계약의무를나타내는데이터와관련된청구항 ) The Claim include business lingo ( 비즈니스용어를포함하는청구항 ) advertisement, customer, product, monetary amount, purchase, payment, recommendation, obligation Application is assigned to a 36xx(business methods) art unit at USPTO (36xx(BM) 부서로인가되는명세서 )

46 VI. 미국 101 조 OA 극복방안연구 Non business method classification Keep business teminology to a minimum, especially in title, abstract, and claims ( 전문용어사용의최소화, 특히제목, 요약, 청구항등에서 ) Describe technical problems, and not business problems in the background ( 배경기술에서비즈니스문제를다루는것이아니라기술적문제를다룰것 ) BAD : Customers of online merchants often have difficulty locating product of interest using merchant s search engine ( 온라인상의고객들은종종관심상품을찾는데어려움을느낀다 ) GOOD : Existing search algorithms often fail to adequately take into consideration the preferences and past behaviors of the searcher ( 종래존재하는검색알고리즘은종종검색자의선호도와과거행동을충분히고려하지못한다 )

47 VI. 미국 101 조 OA 극복방안연구 Non business method classification Draft aplication to a target specific(non business methods) art unit and classification ( 명세서작성시구체적인담당부서타겟을잡고작성할것 ) Target art unit 2121 & 2129 : Artificial Intelligence Artificial Intelligence( 인공지능 ) 이라는단어를제목어딘가에사용할것 Initially present claims focusing on thechnical features; wait to add business method claims until after application is assigned to art unit ( 기술적용어를클레임에사용 ; 비즈니스방법청구항삽입은담당부서로명세서가인가되기까지기다릴것 )

48 VI. 미국 101 조 OA 극복방안연구 101 조에반하지않는기술의예 Problem solved in technical in nature ( 기술영역에서문제를해결하는것 ) Network security, data entry valdation, reduction in processing time Problem solved exists only in a computer or network ing environment ( 문제가오로지컴퓨터및네트워크환경에서만해결될수있을것 ) Preventing user from being diverted away from a web page that hosts an ad to the adveriser s site(ddr Hordings) Claim recites novel user interface elements or machine-human interactions ( 새로운유저인터페이스, 기계 - 인간상호작용을열거한청구항 ) Generation of composite landing page in DDR hordings

49 VI. 미국 101 조 OA 극복방안연구 101 조에반하지않는기술의예 Invention involves processing of data representing something physical ( 물리적데이터를표현하는과정에대한발명 ) CT or MRI scan data of a patient or data collected by sensors The Processing is part of a low level process that would not ordinarily be performed by human ( 인간에의해종래이루어지지않던 low-level 프로세스 ) conversion of gray scale image into halftoned image( 하프톤이미지의흑백변환 ) Removing malicious code from electronic messages( 전자메세지에서비속어제거 ) Tie to process that occurs outside of a computer ( 컴퓨터외에서발생하는단계를묶은것 ) controlling rubber molding process; controlling entry of users in a venue; controlling filling of a syringe.

50 VI. 미국 101 조 OA 극복방안연구 101 조에반하지않는기술의예 Software runs on something other than a general purpose computing device ( 범용컴퓨팅디바이스외에서구동되는소프트웨어 ) on a medical electronics device or gaming machine

51 VI. 미국 101 조 OA 극복방안연구 (2) Official Action 단계 & Case Study

52 VI. 미국 101 조 OA 극복방안연구 CASE Study1 july2015 update example21 Example 21: Transmission of Stock Quote Data The invention is directed to a stock quote alert subscription service where subscribers receive customizable stock quotes on their local computers from a remote data source. 주식시세알림구독방법에대한것으로유저의컴퓨터가 offline 상태인경우유저의단말에관련정보를저장한뒤유저컴퓨터가 online이되는경우유저단말이컴퓨터의 application을실행하도록하는발명

53 VI. 미국 101 조 OA 극복방안연구 CASE Study july2015 update example21 A method of distributing stock quotes over a network to a remote subscriber computer, the method comprising: receiving stock quotes at a transmission server sent from a data source over the Internet, the transmission server comprising a microprocessor and a memory that stores the remote subscriber s preferences for information format, destination address, specified stock price values, and transmission schedule, wherein the microprocessor filters the received stock quotes by comparing the received stock quotes to the specified stock price values; generates a stock quote alert from the filtered stock quotes that contains a stock name, stock price and a universal resource locator (URL), which specifies the location of the data source; formats the stock quote alert into data blocks according to said information format; and transmits the formatted stock quote alert to a computer of the remote subscriber based upon the destination address and transmission schedule.

54 VI. 미국 101 조 OA 극복방안연구 STEP 1 (YES) The claim recites a series of acts for distributing stock quotes to selected remote devices. Thus, the claim is directed to a process, which is one of the statutory categories of invention. ( 클레임은주식시세를기설정된무선디바이스로전송하는방법에대한것으로, 해당클레임은법정클레임의 1 예에해당하는방법클레임에해당한다 )

55 VI. 미국 101 조 OA 극복방안연구 STEP 2A (YES) 청구항의발명은 stock quotes 를 receiving, filtering, generating, formatting, transmitting 하는 방법에대한것 이러한행위들은정신적으로이루어질수있는행위에불과함이는심사기준아래내용에해당 Using categories to organize, store and transmit information (Cyberfone) Comparing new and stored information and using rules to identify options (SmartGene) 앞선표참고 A method of distributing stock quotes over a network to a remote subscriber computer, the method comprising: receiving stock quotes at a transmission server sent from a data source over the Internet, the transmission server comprising a microprocessor and a memory that stores the remote subscriber s preferences for information format, destination address, specified stock price values, and transmission schedule, wherein the microprocessor filters the received stock quotes by comparing the received stock quotes to the specified stock price values; generates a stock quote alert from the filtered stock quotes that contains a stock name, stock price and a universal resource locator (URL), which specifies the location of the data source; formats the stock quote alert into data blocks according to said information format; and transmits the formatted stock quote alert to a computer of the remote subscriber based upon the destination address and transmission schedule.

56 VI. 미국 101 조 OA 극복방안연구 STEP 2B (No) 각각의추상적데이터에는추가적인한정이나구성요소가포함되어있으나 (transmission server) 이는범용컴퓨터 (generic computer) 에불과하여 significantly more 을인정할수없다. 또한인터넷환경에한정하는구성도일반적인활용에불과하여의미있는한정이될수없어여전히청구항은추상적아이디어불과하다 소결 101조를만족하지못하여청구항은등록받을수없다 A method of distributing stock quotes over a network to a remote subscriber computer, the method comprising: receiving stock quotes at a transmission server sent from a data source over the Internet, the transmission server comprising a microprocessor and a memory that stores the remote subscriber s preferences for information format, destination address, specified stock price values, and transmission schedule, wherein the microprocessor filters the received stock quotes by comparing the received stock quotes to the specified stock price values; generates a stock quote alert from the filtered stock quotes that contains a stock name, stock price and a universal resource locator (URL), which specifies the location of the data source; formats the stock quote alert into data blocks according to said information format; and transmits the formatted stock quote alert to a computer of the remote subscriber based upon the destination address and transmission schedule. The Claim is not patent eligible

57 VI. 미국 101 조 OA 극복방안연구 청구항보정방안 comprising: A method of distributing stock quotes over a network to a remote subscriber computer, the method providing a stock viewer application to a subscriber for installation on the remote subscriber computer; ( 주식시세확인어플리케이션을구독자컴퓨터에제공하는단계 ) receiving stock quotes at a transmission server sent from a data source over the Internet, the transmission server comprising a microprocessor and a memory that stores the remote subscriber s preferences for information format, destination address, specified stock price values, and transmission schedule, wherein the microprocessor filters the received stock quotes by comparing the received stock quotes to the specified stock price values; generates a stock quote alert from the filtered stock quotes that contains a stock name, stock price and a universal resource locator (URL), which specifies the location of the data source; formats the stock quote alert into data blocks according to said information format; and transmits the formatted stock quote alert over a wireless communication channel to a wireless device associated with a subscriber( 구독자의무선디바이스로전송 )to a computer of the remote subscriber based upon the destination address and transmission schedule, wherein the alert activates the stock viewer application to cause the stock quote alert to display on the remote subscriber computer and to enable connection via the URL to the data source over the Internet when the wireless device is locally connected to the remote subscriber computer and the remote subscriber computer comes online. ( 상기무선디바이스가구독자의컴퓨터가 online 으로인식됨에따라, 상기 alert 가상기주식시세확인어플리케이션을실행함 )

58 VI. 미국 101 조 OA 극복방안연구 STEP 1 (YES) The claim recites a series of acts for distributing stock quotes to selected remote devices. Thus, the claim is directed to a process, which is one of the statutory categories of invention. ( 클레임은주식시세를기설정된무선디바이스로전송하는방법에대한것으로, 해당클레임은법정클레임의 1 예에해당하는방법클레임에해당한다 )

59 VI. 미국 101 조 OA 극복방안연구 STEP 2A (YES) 청구항의발명은여전히 stock quotes를 receiving, filtering, generating, formatting, transmitting하는방법에대한것 앞서논의한바와같음 A method of distributing stock quotes over a network to a remote subscriber computer, the method comprising: providing a stock viewer application to a subscriber for installation on the remote subscriber computer; receiving stock quotes at a transmission server sent from a data source over the Internet, the transmission server comprising a microprocessor and a memory that stores the remote subscriber s preferences for information format, destination address, specified stock price values, and transmission schedule, wherein the microprocessor filters the received stock quotes by comparing the received stock quotes to the specified stock price values; generates a stock quote alert from the filtered stock quotes that contains a stock name, stock price and a universal resource locator (URL), which specifies the location of the data source; formats the stock quote alert into data blocks according to said information format; and transmits the formatted stock quote alert over a wireless communication channel to a wireless device associated with a subscriber to a computer of the remote subscriber based upon the destination address and transmission schedule, wherein the alert activates the stock viewer application to cause the stock quote alert to display on the remote subscriber computer and to enable connection via the URL to the data source over the Internet when the wireless device is locally connected to the remote subscriber computer and the remote subscriber computer comes online.

60 VI. 미국 101 조 OA 극복방안연구 STEP 2B (No) 전술한바와같이청구항에는추상적데이터외에추가적인구성요소가포함되어있다. 보정전청구항과다르게추가된구성요소는구독자의컴퓨터가 offline 상태에서 online상태로변경되는경우무선디바이스의접속에응답하여 stock viewer application을구동하는내용이추가되어있다. 이러한한정 (limitation) 은단순히추상적아이디어를넘는 significantly more 에해당한다. A method of distributing stock quotes over a network to a remote subscriber computer, the method comprising: providing a stock viewer application to a subscriber for installation on the remote subscriber computer; receiving stock quotes at a transmission server sent from a data source over the Internet, the transmission server comprising a microprocessor and a memory that stores the remote subscriber s preferences for information format, destination address, specified stock price values, and transmission schedule, wherein the microprocessor filters the received stock quotes by comparing the received stock quotes to the specified stock price values; generates a stock quote alert from the filtered stock quotes that contains a stock name, stock price and a universal resource locator (URL), which specifies the location of the data source; formats the stock quote alert into data blocks according to said information format; and transmits the formatted stock quote alert over a wireless communication channel to a wireless device associated with a subscriber destination address and transmission schedule, wherein the alert activates the stock viewer application to cause the stock quote alert to display on the remote subscriber computer and to enable connection via the URL to the data source over the Internet when the wireless device is locally connected to the remote subscriber computer and the remote subscriber computer comes online.

61 VI. 미국 101 조 OA 극복방안연구 CASE Study2 보정을통한극복 An method object recognition for mapping method data in in a transmitter, electronic the device, method the comprising: object recognition method comprising: dividing recognizing, modulated a first object data into first groups, image; wherein each group comprises M data, M being a number of the receiving modulated a second data in object a group; related to the first object from a second storage unit; storing mapping the one first datum object of and the the M second data onto object an in Orthogonal a first storage Frequency unit; and Division Multiplexing (OFDM) subcarrier using, one at or the more center of of the 2M-1 first adjacent and second OFDM objects subcarriers; stored in the first storage unit to recognize an object respectively in second mapping image each data. datum except for the one datum into two centrosymmetric OFD

62 VI. 미국 101 조 OA 극복방안연구 CASE Study2 - 보정안 주체한정!! An object recognition method in an electronic device including a processor, the object recognition method comprising: recognizing, by the processor, a first object in first image data using reference image data; receiving a second object related to the first object from a second storage unit; storing the first object and the second object in a first storage unit; and using, by the processor, one or more of the first and second objects stored in the first storage unit to recognize an object in second image data, wherein the first storage unit is loaded with the reference image data based on a load condition of the first storage unit. 발명구체화!

63 VI. 미국 101 조 OA 극복방안연구 CASE Study2 - Remark 주체한정 By this Amendment, claims 11, 18, and 19 are amended to specifically recite acts performed by a processor for object recognition. As the processor relates to computational hardware, Applicants thus submit that claims are directed to statutory subject matter. Therefore, the rejections to claims are obviated.

64 VI. 미국 101 조 OA 극복방안연구 CASE Study3-> 보정을통한등록 A method of operating a nonvolatile memory device, comprising: A method for mapping data in a transmitter, the method comprising: generating, a first reference value randomly or pseudo-randomly according to a first program dividing modulated data into groups, wherein each group comprises M data, M being a number of request to program data in a memory cell; the modulated data in a group; selecting, at least one of a plurality of seeds using the first reference value; mapping one datum of the M data onto an Orthogonal Frequency Division Multiplexing (OFDM) generating, randomized data by using the selected seed; subcarrier at the center of 2M-1 adjacent OFDM subcarriers; generating, a second reference value different from the first reference value when a second respectively mapping each datum except for the one datum into two centrosymmetric OFD program request is made; and selecting, another seed using the second reference value,

65 VI. 미국 101 조 OA 극복방안연구 CASE Study3 - 보정안주체한정 A method of operating a nonvolatile memory device, comprising: generating, using a memory controller coupled to the nonvolatile memory device, a first reference value randomly or pseudo-randomly according to a first program request to program data in a memory cell of the nonvolatile memory device; selecting, using the memory controller, at least one of a plurality of seeds using the first reference value; generating, using the memory controller, randomized data by using the selected seed; generating, using the memory controller, a second reference value different from the first reference value when a second program request is made; and selecting, using the memory controller, another seed using the second reference value, wherein the nonvolatile memory device includes a vertical NAND memory including a plurality of memory blocks, each of the memory blocks including a plurality of memory cells, wherein the memory blocks have a three-dimensional (3D) structure in which the memory cells are stacked on a substrate in a vertical direction. 주체구체화

66 VI. 미국 101 조 OA 극복방안연구 CASE Study3 - Remark 주체구체화! 주체한정!!

67 VI. 미국 101 조 OA 극복방안연구 CASE Study4-> 의견제시를통한극복 < A 청구항 method 12> for 나머지 mapping 청구항은 data 보정 in a 없이 transmitter, 극복 the method comprising: dividing A non-transitory modulated computer-readable data into groups, wherein recording each medium group comprising comprises program M data, M code being for a modeling number of a the semiconductor modulated data device, in a the group; program code, when executed by a processor, configures the processor to: mapping one datum of the M data onto an Orthogonal Frequency Division Multiplexing (OFDM) subcarrier generate at a capacitor the center model of 2M-1 based adjacent on a received OFDM subcarriers; circuit configuration( 추가내용 ); extract respectively parasitic mapping capacitors each from datum a received except for circuit the one configuration; datum into two centrosymmetric OFD classify the extracted parasitic capacitors into a group of coupled capacitors and a group of grounded capacitors; classify the group of coupled capacitors into first coupled capacitors and second coupled capacitors according to a corresponding influence on the performance of a circuit; set the first coupled capacitors to a maintenance state; and convert at least one of the second coupled into a grounded capacitor, the at least one of the second coupled capacitors being a second coupled capacitor having a capacitance that is below a desired reference value.

68 VI. 미국 101 조 OA 극복방안연구 CASE Study4 거절이유통지

69 VI. 미국 101 조 OA 극복방안연구 CASE Study4 - Remark 인터뷰결과보고중에서. 현지인터뷰에따른결론 청구항 1-11 및 의경우, 심사관은 101 조거절을철회할의사를나타내었습니다. 청구항 의경우, 심사관은청구항 12 가 "generate a capacitor model based on a received circuit configuration" 을기재하도록보정하는경우, 101 조거절을철회할의사를나타내었습니다.

70 VI. 미국 101 조 OA 극복방안연구 CASE Study5-> 의견제시를통한극복 < A 청구항 method 1> 나머지 for mapping 청구항 data 역시 in 보정 a transmitter, 없이극복 the 103method 조는보정을 comprising: 통해극복 A dividing data management modulated data method into of groups, a computing wherein system each group comprising: comprises M data, M being a number of the dividing modulated a storage data device in a group; into a first area and a second area; storing mapping a plurality one datum of data of the and M a plurality data onto of nodes an Orthogonal related to Frequency the plurality Division of data Multiplexing in the second (OFDM) area, subcarrier the plurality at the of data center including of 2M-1 first adjacent data OFDM stored subcarriers; in a first block corresponding to a first physical address, respectively and the mapping plurality each of datum nodes except including for a the first one node, datum indicating into two the centrosymmetric first data, stored OFD in a second block corresponding to a second physical address; and storing a node address table in the first area, wherein the node address table includes a plurality of node identifiers corresponding to the plurality of nodes, including a first node identifier corresponding to the first node, and a plurality of physical addresses corresponding to the plurality of node identifiers, including the second physical address corresponding to the first node identifier; correcting the first data to provide second data, and storing the second data in a vacant third block corresponding to a third physical address; correcting the first node to indicate the second data, and storing the first node in a vacant fourth block corresponding to a fourth physical address; and overwriting the second physical address, associated with the first node identifier in the node address table, with the fourth physical address.

71 VI. 미국 101 조 OA 극복방안연구 STEP1 거절이유대응방법 방법이나기록매체청구항을사용하는경우일반적으로문제되지않음 기록매체청구항의경우 non-transitory 라는용어가포함되도록보정 ( 예 : A non-transitory computer-readable recording medium) 드레프터가직접생성한용어사용지양. 청구항에하드웨어적구성요소를추가보정함 반박의견제시 참고판례 (Digital image technology v. Electronics imaging(us )

72 VI. 미국 101 조 OA 극복방안연구 STEP 2 거절이유대응방법 발명이 Abstract idea 에해당하는지여부는기본적으로심사관에게입증책임이있으나 significantly more 에대한입증책임은출원인에게주어짐. OA 통지서분석 : 단순히 abstract data 라고결론내림에그쳤는지, 추가적인정보를제공하였는지 여부를판단 Mental activity, generic computer structure 등의표현이기재되어있는경우하드웨어구성요소를추가하는보정 no meaningful limitation 등의표현이기재되어있는경우는청구항의구성요소를보다구체적으로한정 additional elements beyond the abstract idea 등의표현이기재되어있는경우, 구성요소를추가 ( 단계추가 ) 하면서구체적으로한정 심사관이제시한보정안이있는경우적극적으로반영 Abstract idea 에불과한발명과, 자명성이없는발명은그판단에있어서모호함이존재함. 따라서 자명성거절이유를동시에통지받은경우에는자명성극복을위한보정을하게되면 ( 인용발명들과 차별화되는본발명의기술적구성을구체적으로한정시 ), 청구항이구체적인발명으로인정될수있음.

73 VI. 미국 101 조 OA 극복방안연구 STEP 2 거절이유대응방법 Remark 를통해추상적아이디어가아니라고반박하며, 이경우성립성이인정된 DDR hordings 와 Enfish 판시를인용하는것이바람직하다. 또한상기보정을통해발명이더이상추상적아이디어에 머무르지않음을주장. Remark 에서컴퓨터그자체의기능을개선 ( 예 : 적은메모리사용, 빠른데이터처리, 전력소모감소등 ) 하거나해당기술로인해다른기술분야를발전 ( 예 : GPS 기술개선, 디지털데이터압축방법개선, 인터넷네트워크자체문제해결, 통신수단제공등 ) 하는것이라고주장. 발명이인간에의해 (pen and paper) 수행될수없다는점을강조. Remark 에서처음부터 significantly more 에해당함을주장하기보다는상기내용등으로인해 abstract idea 가아님을주장하는것이바람직. significantly more 을주장하는것은 mayo test 의 2A 가 YES 로결론 나는것을전제하기때문.

74 Discussion & Questions 특허법인가산특허 6 팀김민석변리사

75 감사합니다 특허법인가산특허 6 팀김민석변리사

76 Reference 참조문헌 지식재산캠퍼스 2015년지식재산일반교육미국특허실무 - 컴퓨터프로그램발명성립성판단 Knobbe Martens IP - Software Patent Eligibility Post Alice, Landscape Discussion USPTO( 심사기준및예제 ) - 미국특허법 - 이해영저한빛지적소유권센터