슬라이드 1

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1 KASAN IP & Law Firm 미국특허법기본 신규성 / 진보성 July 11st, 2016 특허법인가산안제현변리사 jhahn@kspat.com

2 Contents U.S.C. 102/103 개요 2. pre-aia 35 U.S.C. 102/103의 prior art 3. AIA 35 U.S.C. 102/103의 prior art 4. Novelty의판단 5. Obviousness의판단

3 35 U.S.C. 102/103 개요 35 U.S.C U.S.C. 103 신규성 (Novelty) 비자명성 (Non-obviousness) Prior Art 를규정 : 알려졌거나출원된것 알려졌거나이미출원된것과 동일한발명은등록을허여하지않음 알려졌거나이미출원된것으로부터 자명한발명은등록을허여하지않음

4 35 U.S.C. 102 America Invents Act pre-aia AIA (a) 공지 / 공용 (b) grace period (a)(1) 공지 / 공용 (a)(2) 선출원 (c) 포기 (d) 해외등록후미국에출원 (e) 확대된선원 (b)(1) 공지 / 공용의예외 (grace period) (a)(2) 선출원의예외 (f) 무권리자 (g) 선원 ( 선발명 )

5 pre-aia 35 U.S.C. 102 Conditions for patentability; novelty and loss of right to patent. A person shall be entitled to a patent unless (a), or (b), or (c), or (d), or (e), or (f), or (g)

6 pre-aia 35 U.S.C. 102(a) (a) the invention was known or used by others in this country, 그발명이공지또는공용됨타인에의해미국에서 or patented or described in a printed publication 또는특허되었거나, 간행물에기재됨 in this or a foreign country, 미국또는외국에서 before the invention thereof by the applicant for patent 특허출원인에의한그발명전에 (a) 출원인의발명 ( 일 ) 전에, 그발명이미국에서타인에의해공지또는공용되었거나, 국내외에서특허되었거나, 간행물에기재된경우

7 pre-aia 35 U.S.C. 102(a) (a) 출원인의발명 ( 일 ) 전에, 그발명이미국에서타인에의해공지또는공용되었거나, 국내외에서특허되었거나, 간행물에기재된경우 (a) the invention was known or used by others in this country, or patented or described in a printed publication in this or a foreign country, before the invention thereof by the applicant for patent 1. 규정의의의신규한발명에대해특허를주겠다 2. 요건 (1) 인적요건 1 공지, 공용 : 타인 2 특허, 간행물기재 : 타인 + 본인?(X) (2) 지역적요건 1 공지, 공용 : 미국내 2 특허, 간행물기재 : 국내외 (3) 시기적요건 : 발명일전 1 출원일 2 출원일소급 : 조약우선권, 가출원, CA (CIP X), DIV, PCT 등 3 발명일소급 : 직무발명서, 연구노트등

8 pre-aia 35 U.S.C. 102(b) (b) the invention was patented or described in a printed publication 그발명이특허되었거나, 반포된간행물에기재되었음 in this or a foreign country, 미국또는외국에서 or in public use or on sale 공연히사용되거나판매됨 in this country, 미국에서 more than one year prior to the date of the application for patent in the United States 미국특허출원일로부터 1 년이상전에 (b) 미국특허출원일로부터 1 년이상전에, 그발명이국내외에서특허또는간행물에기재되었거나, 미국에서공연사용또는판매된경우

9 pre-aia 35 U.S.C. 102(b) (b) 출원인의발명전에, 그발명이미국에서타인에의해공지또는공용되었거나, 국내외에서특허되었거나, 간행물에기재된경우 (b) the invention was patented or described in a printed publication in this or a foreign country or in public use or on sale in this country, more than one year prior to the date of the application for patent in the United States, 1. 규정의의의 발명을공지하면, 1 년내에빨리출원하라 (grace period) 2. 요건 (1) 인적요건본인 + 타인 (everyone) (2) 지역적요건 1 공용, 판매 : 미국내 2 특허, 간행물기재 : 국내외 (3) 시기적요건 : 출원일로부터 1년전 1 출원일기준 2 출원일소급 : 가출원, CA, DIV, PCT 등 3 출원일불소급 : 조약우선권, CIP

10 pre-aia 35 U.S.C. 102(b) (b) 출원인의발명전에, 그발명이미국에서타인에의해공지또는공용되었거나, 국내외에서특허되었거나, 간행물에기재된경우 (b) the invention was patented or described in a printed publication in this or a foreign country or in public use or on sale in this country, more than one year prior to the date of the application for patent in the United States, U.S.C 102 (a) 와의적용문제 (1) 출원일전 1 년이내의선행기술 : (a) 만적용 (2) 출원일전 1 년초과의선행기술 : (a), (b) 모두적용가능 단, (a) 는발명일소급으로극복가능한반면, (b) 는출원일기준이므로심사관은 (b) 를선호함 4. 유의사항 (1) 한국공지예외주장시 (30 조 ) 공지일을기준으로 1 년내에미국출원되어야함 (2) 공지예외주장이없는경우 국내공개일로부터 1 년내 ( 국내출원일로부터 2 년 6 월내 ) 출원가능 ( 국내출원일로부터 1 년초과시우선이익은상실 )

11 pre-aia 35 U.S.C. 102(c) (c) he has abandoned the invention 출원인이발명을포기한경우 1. 규정의의의 일반적인권리상실사유인포기를조문화함 2. 유의사항 (1) 출원의포기가아닌, 발명의포기임 출원의포기시, 재출원에의한특허가가능하지만, 발명의포기는그자체로특허성상실사유임 (2) 발명이일정기간경과후에도출원되지않았거나, 출원시청구하지않은발명은포기한것으로추정됨

12 pre-aia 35 U.S.C. 102(d) (d) the invention was first patented or caused to be patented, or was the subject of an inventor s certificate, 그발명이먼저특허되었거나, 특허되도록유발되었거나발명자증의주제였음 by the applicant or his legal representatives or assigns 출원인또는그의법적대리인또는양수인에의해 in a foreign country 외국에서 prior to the date of the application for patent in this country 미국의특허출원일이전에 on an application for patent or inventor s certificate filed more than twelve months before the filing of the application in the United States 미국출원일로부터 12 개월이전에출원된특허또는발명자층의출원에대하여 (d) 미국출원일로부터 12 개월이전에출원된특허또는발명자증의출원에대해 미국출원일전에 외국에서 출원인, 대리인또는양수인에의해먼저특허되거나또는특허상태에이르거나발명자증이허여된경우

13 pre-aia 35 U.S.C. 102(d) (d) 미국출원일로부터 12 개월이전에출원된특허또는발명자증의출원에대해 미국출원일전에외국에서 출원인, 대리인또는양수인에의해먼저특허되거나또는특허상태에이르거나발명자증이허여된경우 (d) the invention was first patented or caused to be patented, or was the subject of an inventor s certificate, by the applicant or his legal representatives or assigns in a foreign country prior to the date of the application for patent in this country on an application for patent or inventor s certificate filed more than twelve months before the filing of the application in the United States, 1. 규정의의의 외국에서먼저특허까지받고뒤늦게미국에출원하는것은받아들일수없다 2. 요건 (1) 인적요건외국출원의출원인, 그의대표자또는양수인이미국에출원한경우 (2) 동일발명외국특허의명세서개시내용 vs 미국출원의클레임 (3) 시기적요건 1 미국출원일로부터 12개월이전에외국에서출원 2 미국출원일전에외국에서특허허여 ( 특허공개X) (4) 출원일판단 1 미국출원일기준 2 출원일소급 : 가출원, CA, DIV, PCT 등 3 출원일불소급 : 조약우선권, CIP

14 pre-aia 35 U.S.C. 102(e) (e) the invention was described in (1) or (2) 그발명이 (1) 또는 (2) 에기재되었음 (1) an application for patent, published under section 122(b), 공개된특허출원 by another filed in the United States before the invention by the applicant for patent or 타인에의해출원됨 미국에서 특허출원인의발명전에 (2) a patent granted on an application for patent 등록된특허 by another filed in the United States before the invention by the applicant for patent or 타인에의해출원됨미국에서특허출원인의발명전에 except that an international application filed under the treaty defined in section 351(a) shall have the effects for the purposes of this subsection of an application filed in the United States only if the international application designated the United States and was published under Article 21(2) of such treaty in the English language PCT 출원의경우미국을지정하고, 영어로국제공개된경우에한함 (e) 특허출원인의발명전에타인에의하여미국에출원되어, (1)122(b) 규정하에공개된특허출원 ( 단, PCT 출원의경우미국을지정하고, 영어로국제공개된경우에한함 ) 또는 (2) 허여된특허에기재된발명인경우

15 pre-aia 35 U.S.C. 102(e) (e) 특허출원인의발명전에타인에의하여미국에출원되어, (1)122(b) 규정하에공개된특허출원 ( 단, PCT 출원의경우미국을지정하고, 영어로국제공개된경우에한함 ) 또는 (2) 허여된특허에기재된발명인경우 1. 규정의의의 (1) 확대된선원 (e) the invention was described in (1) an application for patent, published under section 122(b), by another filed in the United States before the invention by the applicant for patent or (2) a patent granted on an application for patent by another filed in the United States before the invention by the applicant for patent, except that an international application filed under the treaty defined in section 351(a) shall have the effects for the purposes of this subsection of an application filed in the United States only if the international application designated the United (2) 특허를받고자한다면발명을할때이미미국출원된발명과는다른발명을하라! 2. 요건 (1) 인적요건 - 인용특허는타인에의한것일것 (2) 비교대상 발명 ( 본원 ) vs 출원서또는특허 ( 인용 ) = 청구항 ( 본원 ) vs 명세서 / 도면 ( 인용 )

16 pre-aia 35 U.S.C. 102(e) (e) 특허출원인의발명전에타인에의하여미국에출원되어, (1)122(b) 규정하에공개된특허출원 ( 단, PCT 출원의경우미국을지정하고, 영어로국제공개된경우에한함 ) 또는 (2) 허여된특허에기재된발명인경우 2. 요건 (e) the invention was described in (1) an application for patent, published under section 122(b), by another filed in the United States before the invention by the applicant for patent or (2) a patent granted on an application for patent by another filed in the United States before the invention by the applicant for patent, except that an international application filed under the treaty defined in section 351(a) shall have the effects for the purposes of this subsection of an application filed in the United States only if the international application designated the United (4) 시기적요건 1 원칙 : 인용발명의출원일이본발명의발명일보다빠를것본발명의발명일후인용발명이공개또는특허허여될것 Prior art Present invention filed Published or granted 2 본발명의발명일 invented 출원일 -> 유효출원일 -> 발명일소급 examining 3 인용발명의출원일 i) 미국출원일기준 ii) 출원일소급 : 가출원, CA, DIV, PCT 등 iii) PCT 출원 : 미국지정 & 영어국제공개 iv) 출원일불소급 : 조약우선권, CIP

17 pre-aia 35 U.S.C. 102(f) (f) he did not himself invent the subject matter sought to be patented 출원인이특허받고자하는주제를발명하지않은경우 1. 규정의의의 발명자주의를선언함 2. 유의사항 (1) 발명자명의로특허출원할것 ( 선언서 ) (2) 모인출원시본조항을인용하여거절함 ( 출원선후무관 ) (3) 국내제34조, 제35조와같은정당권리자의출원특례규정은없음

18 pre-aia 35 U.S.C. 102(g) (g) (1)during the course of an interference conducted under section 135 or section 291, another inventor involved therein establishes, to the extent permitted in section 104, that before such person s invention thereof the invention was made by such other inventor and not abandoned, suppressed, or concealed, or (2) before such person s invention thereof, the invention was made in this country by another inventor who had not abandoned, suppressed, or concealed it. In determining priority of invention under this subsection, there shall be considered not only the respective dates of conception and reduction to practice of the invention, but also the reasonable diligence of one who was first to conceive and last to reduce to practice, from a time prior to conception by the other. (g) (1) 135 조또는 291 조의저촉절차동안출원인의발명전에절차에속한타발명자가본인이먼저발명을하였고, 그발명이포기되거나, 숨기거나, 은폐되지않음을입증한경우 (2) 출원인의발명전에그발명이미국내의타인에의해발명되고, 타인이그발명을포기, 숨기거나, 은폐하지않은경우 단, 본규정하에발명의우선을결정할때, 발명의착상일및실체화일뿐만아니라, 타인의착상일이전부터먼저착상하고나중에실체화한사람의합리적인노력을고려하여야함

19 pre-aia 35 U.S.C. 102(g) (g) (1) 135 조또는 291 조의저촉절차에서타인이먼저발명한것이입증되거나 (2) 출원인의발명전에그발명이미국내의타인에의해발명된경우 단, 타인은그발명을포기, 숨기거나, 은폐하지않았어야함 단, 본규정하에발명의우선을결정할때, 발명의착상일및실체화일뿐만아니라, 타인의착상일이전부터먼저착상하고나중에실체화한사람의합리적인노력을고려하여야함 (g) (1) during the course of an interference conducted under section 135 or section 291, another inventor involved therein establishes, to the extent permitted in section 104, that before such person s invention thereof the invention was made by such other inventor and not abandoned, suppressed, or concealed, or (2) before such person s invention thereof, the invention was made in this country by another inventor who had not abandoned, suppressed, or concealed it. In determining priority of invention under this subsection, there shall be considered not only the respective dates of conception and reduction to practice of the invention, but also the reasonable diligence of one who was first to conceive and last to reduce to practice, from a time prior to conception by the other. 1. 규정의의의 (1) 선발명주의 ( 동일발명경합시선발명자에게권리부여 ) (2) 발명을하였으면서둘러공표하라 2. 요건 (1) 제1 항의특유요건 1 135조의저촉절차동안 : interferences ( 심판원절차 ) 2 291조의저촉절차동안 : interfering patents ( 법원절차 ) 3 104조에서허용된범위 : NAFTA 가입국및 WTO 가입국으로확대 (2) 제2 항의특유요건타인의발명이미국내에서이루어짐

20 pre-aia 35 U.S.C. 102(g) (g) (1) 135 조또는 291 조의저촉절차에서타인이먼저발명한것이입증되거나 (2) 출원인의발명전에그발명이미국내의타인에의해발명된경우 단, 타인은그발명을포기, 숨기거나, 은폐하지않았어야함 단, 본규정하에발명의우선을결정할때, 발명의착상일및실체화일뿐만아니라, 타인의착상일이전부터먼저착상하고나중에실체화한사람의합리적인노력을고려하여야함 (g) (1) during the course of an interference conducted under section 135 or section 291, another inventor involved therein establishes, to the extent permitted in section 104, that before such person s invention thereof the invention was made by such other inventor and not abandoned, suppressed, or concealed, or (2) before such person s invention thereof, the invention was made in this country by another inventor who had not abandoned, suppressed, or concealed it. In determining priority of invention under this subsection, there shall be considered not only the respective dates of conception and reduction to practice of the invention, but also the reasonable diligence of one who was first to conceive and last to reduce to practice, from a time prior to conception by the other. 2. 요건 (3) 제1, 2항공통요건타인의발명이포기, 은닉, 은폐되지않았을것 (4) 발명의비교대상 : 발명 ( 본원 ) vs 발명 ( 선원 ) (5) 발명의선후결정기준 1 원칙 : 발명의실체화일을기준으로결정 2 예외 : 발명의착상일이빠르고발명의실체화일이늦은경우, 합리적인노력이인정되면선발명인정 3 발명의실체화일에대한증명이없으면, 102조 (g) 를적용하지않고, 102조 (e) 를적용 (MPEP 2138)

21 pre-aia 35 U.S.C. 102(e) vs 102(g) Case 1 102(e) Robert (A) invented filed Published Smith (A) invented filed examining Case 2 102(g) Robert (A) Smith (A) invented invented filed filed examining Case 3 102(g) Robert (A) Smith (A) invented invented filed filed examining

22 pre-aia 35 U.S.C. 102 Summary 기준일조문행위장소행위의주체 Before the Invention Date 102 (a) 102 (e) Known or used in the US others Patented or described in a printed publication in the world 무관 filed and published filed and patent granted International application designated the US and published in English language 102 (g) made and did not abandon, suppress, conceal in the US in the world (in English) in the US NAFTA & WTO another 무관 another One year prior to the application date Prior to the application date ETC. 102 (b) 102 (d) patented or described in a printed publication in public use or on sale first patented or caused to be patented, or the subject of an inventor's certificate by the application filed more than 12 months bef ore in the world in the US in a foreign country 무관 himself 102 (c) abandoned in the US himself 102 (f) he did not himself invent in the US himself

23 35 U.S.C. 103 America Invents Act pre-aia AIA (a) 비자명성 (b) 생물공학적방법발명의특례 비자명성 삭제 (c) 발명자동일에관한특례 102(b)(2)(C) and 102(c)

24 pre-aia 35 U.S.C. 103(a) (a) A patent may not be obtained though the invention is not identically disclosed or described as set forth in section 102, 102 조의 prior art 와동일하지않더라도아래의경우에는특허를받을수없음 if the differences between the subject matter sought to be patented and the prior art are such that the subject matter as a whole would have been obvious at the time the invention was made to a person having ordinary skill in the art to which said subject matter pertains. 발명의주제와 prior art 의차이가전체적으로볼때발명시에해당기술분야의당업자에게자명하다면 Patentability shall not be negatived by the manner in which the invention was made. 특허성은발명이이루어진방식에의해부정되지않음 (a) 발명과 102조에따른선행기술에차이점이있더라도, 발명과 102조에따른선행기술과의차이점이발명시점에서당업자에게자명하지않을것

25 pre-aia 35 U.S.C. 103(c)(1) (c)(1) Subject matter developed by another person, which qualifies as prior art only under one or more of subsections (e), (f), and (g) of section 102, shall not preclude patentability under this section where the subject matter and the claimed invention were, at the time the claimed invention was made, owned by the same person or subject to an obligation of assignment to the same person. 1. 조문의내용 35 U.S.C 102(e)(f)(g) 규정에의해서만선행기술로서자격이있는타인에의한발명내용은클레임발명이이루어진당시에타인의발명내용과클레임발명이동일인에게소유되었거나또는동일인에게양도의무가있었던경우, 35 U.S.C 103(a) 규정에의하여클레임발명의특허성을부정하는데사용될수없다 U.S.C 102(e)(f)(g) 규정 (1) 102(e): 확대된선원 (1999/11/29 이후의출원에대해서만적용 ) (2)102(f): 무권리자 (3) 102(g): 선발명 3. 동일인 (1) 소유주체에대한의미. 따라서, 동일인은사람, 조직, 회사를모두포함함 (2) 각발명의소유주체가복수일경우모두가동일하여야함

26 pre-aia 35 U.S.C. 103(c)(1) 4. 클레임발명이이루어진당시에동일인소유또는양도의무가있을것 (1) 발명의시점에서소유자가동일하여야함 (2) 직무발명예약승계는양도의무가있는것으로봄 5. 동일인소유또는양도의무의예 (103(c)(2), (3)) 클레임발명이완성되기전에유효한공동연구계약의당사자들에의하여또는그를위하여클레임발명이이루어지고, 클레임발명이공동연구계약의범위내에서수행된활동의결과로서이루어졌으며, 클레임발명에대한특허출원이공동연구계약의당사자들의이름으로되어있는경우동일인에의해소유되었거나동일인에게양도의무가있었던것으로봄 6. 유의사항 (1) 본조항은 102(e),(f),(g) 자체에대해예외규정을둔것이아닌, 103(a) 의선행기술에대한예외규정임 (2) 따라서, 102(e),(f),(g) 가직접적용되는사안 ( 동일성범주 ) 의경우 103(c)(1) 을적용할수없고, 다른방법을고려해야함

27 AIA 35 U.S.C. 102 Conditions for patentability; novelty. (a) NOVELTY; PRIOR ART. A person shall be entitled to a patent unless (1) or (2) (b) EXCEPTIONS (1)(A), (1)(B): 102(a)(1) 의예외 (2)(A), (2)(B), (2)(C): 102(a)(2) 의예외 (c) COMMON OWNERSHIP UNDER JOINT RESEARCH AGREEMENTS 102(b)(2)(C) 의판단기준 (d) PATENTS AND PUBLISHED APPLICATIONS EFFECTIVE AS PRIOR ART 102(a)(2) 의선행기술유효출원일

28 AIA 35 U.S.C. 102

29 AIA 35 U.S.C. 102(a)(1) (a)(1) the claimed invention was patented, 발명이특허됨 described in a printed publication, 간행물에기재 or in public use, on sale, or otherwise available to the public 공용판매공중이이용가능 before the effective filing date of the claimed invention; 발명의유효출원일 (EFD) 전에 (a)(1) 발명의유효출원일전에, 그발명이특허되었거나, 간행물에기재되었거나, 공용, 판매되었거나, 공중이이용가능하게된경우

30 AIA 35 U.S.C. 102(a)(1) (a)(1) 발명의유효출원일전에, 그발명이특허되었거나, 간행물에기재되었거나, 공용, 판매되었거나, 공중이이용가능하게된경우 (a)(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; 1. 규정의의의 신규한발명에대해특허를주겠다 2. 요건 (1) 인적요건 Everyone (2) 지역적요건 1 공지, 공용 : 국내외 2 특허, 간행물기재 : 국내외 pre-aia 102(a) vs AIA 102(a)(1) pre-aia 102(a) AIA 102(a)(1) 의의 신규성 신규성 인적요건 타인 Everyone 지역 공지, 공용국내국내외특허, 간행물국내외국내외 시기적요건 발명일 유효출원일 (3) 시기적요건 : 유효출원일 1 미국출원일 2 출원일소급 : 조약우선권, 가출원, CA (CIP X), DIV, PCT 등 3 Perfecting priority i) 우선권증명서류 ii) 우선권증명서류의번역문

31 AIA 35 U.S.C. 102(b)(1)(A) (b)(1)a disclosure made 1 year or less before the effective filing date of a claimed invention 유효출원일로부터 1 년내에이루어진개시는 shall not be prior art to the claimed invention under subsection (a)(1) if- 102(a)(1) 의선행기술이되지않는다 (A) the disclosure was made by the inventor or joint inventor 그개시가발명자또는공동발명자에의해이루어짐 or by another who obtained the subject matter disclosed directly or indirectly from the inventor or a joint inventor 그개시가발명자또는공동발명자로부터직접또는간접적으로개시된주제를획득한제 3 자에의해이루어짐 (b)(1)(a) 발명의유효출원일 1 년이내에, 발명자, 공동발명자또는그들로부터획득한제 3 자가발명을개시한경우 102(a)(1) 을적용하지않음 ( 신규성인정 )

32 AIA 35 U.S.C. 102(b)(1)(A) (b)(1)(a) 발명의유효출원일 1 년이내에, 발명자, 공동발명자또는그들로부터획득한제 3 자가발명을개시한경우 102(b)(1) 을적용하지않음 (b)(1) 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 1. 규정의의의 본인공지의 Grace period (1년) 2. 요건 (1) 공지인적요건 Inventor originated (2) 지역적요건 1 공지, 공용 : 국내외 2 특허, 간행물기재 : 국내외 pre-aia 102(b) vs AIA 102(b)(1)(A) pre-aia 102(b) AIA 102(b)(1)(A) 의의 Grace period Grace period 공지인적요건 Everyone Inventor originated 지역 공지, 공용국내국내외특허, 간행물국내외국내외 시기적요건 발명일전 1년내 유효출원일전 1년내 (3) 시기적요건 : 유효출원일로부터 1 년이내 1 미국출원일 2 출원일소급 : 조약우선권, 가출원, CA (CIP X), DIV, PCT 등

33 AIA 35 U.S.C. 102(b)(1)(B) (b)(1)a disclosure made 1 year or less before the effective filing date of a claimed invention 유효출원일로부터 1 년내에이루어진개시는 shall not be prior art to the claimed invention under subsection (a)(1) if- 102(a)(1) 의선행기술이되지않는다 (B) the subject matter disclosed had, before such disclosure, 그러한개시전에 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. 발명이발명자, 공동발명자또는그들로부터직접또는간접적으로개시된주제를획득한제 3 자에의해이루어짐 (b)(1)(b) 발명의유효출원일 1 년이내에발명이개시되었고, 그발명의개시전에발명자, 공동발명자또는그들로부터획득한제 3 자가발명을개시한경우 102(a)(1) 을적용하지않음 ( 신규성인정 )

34 AIA 35 U.S.C. 102(b)(1)(B) (b)(1)(b) 발명의유효출원일 1 년이내에발명이개시되었고, 그발명의개시전에발명자, 공동발명자또는그들로부터획득한제 3 자가발명을개시한경우 102(a)(1) 을적용하지않음 (b)(1) 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 (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. 1. 규정의의의타인공지의 Grace period (Shielding the invention) 2. 요건 (1) Third party disclosure 유효출원일로부터 1년이내일것 (2) Inventor originated disclosure Third party disclosure보다빨리이루어졌을것 AIA 102(b)(1)(A) vs AIA 102(b)(1)(B) 공지인적요건 공지시기적요건 AIA 102(b)(1)(A) Inventor originated 유효출원일전 1 년내 AIA 102(b)(1)(B) Inventor originated Third Party Third Party disclosure: 유효출원일전 1 년내 Inventor originated disclosure: Third Party disclosure 이전

35 AIA 35 U.S.C. 102(a)(1) vs 102(b)(1)(A) vs 102(b)(1)(B) Case 1 신규성 X Robert (A) Smith (A) disclosure July 11, 2015 July 11, 2016 EFD 102(a)(1) Case 2 신규성 X Robert (A) disclosure 102(a)(1) Smith (A) July 11, 2015 July 11, 2016 EFD Case 3 신규성 O Robert (A) Smith (A) July 11, 2015 disclosure July 11, 2016 EFD 102(b)(1)(A)

36 AIA 35 U.S.C. 102(a)(1) vs 102(b)(1)(A) vs 102(b)(1)(B) Case 4 신규성 O Robert (A) disclosure 102(b)(1)(B) Smith (A) July 11, 2015 disclosure July 11, 2016 EFD 102(b)(1)(A) Case 5 신규성 X Robert (A) Smith (A) July 11, 2015 disclosure disclosure 102(b)(1)(B) X 102(a)(1) July 11, 2016 EFD 102(a)(1)(A) Case 6 신규성 X Robert (A) disclosure 102(b)(1)(B) Smith (A) disclosure July 11, 2015 July 11, 2016 EFD 102(b)(1)(A) X 102(a)(1)

37 AIA 35 U.S.C. 102(a)(2) (a)(2) the claimed invention was described in a patent issued under section 151 발명이등록된특허에기재됨 or in an application for patent published or deemed published under section 122(b), 발명이공개특허에기재됨 in which the patent or application, as the case may be, names another inventor 특허의발명자가서로다름 and was effectively filed before the effective filing date of the claimed invention. 발명의유효출원일전에유효하게출원됨 (a)(2) 발명의유효출원일전에, 유효하게출원된등록특허또는특허공개에기재된경우

38 AIA 35 U.S.C. 102(a)(2) (a)(2) 발명의유효출원일전에, 유효하게출원된등록특허또는특허공개에기재된경우 (a)(1) 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. 1. 규정의의의 먼저출원한발명에대해특허를주겠다 ( 선출원, 확대된선원 ) 2. 요건 (1) 인적요건인용특허는타인에의한것일것 (2) 비교대상발명 ( 본원 ) vs 출원서또는특허 ( 인용 ) = 청구항 ( 본원 ) vs 명세서 / 도면 ( 인용 ) pre-aia 102(e) vs AIA 102(a)(2) pre-aia 102(e) AIA 102(a)(2) 의의 확대된선원 선출원 / 확대된선원 인적요건 타인 타인 비교대상 청구항 vs 명서세 / 도면청구항 vs 명서세 / 도면 본발명 발명일 유효출원일 시기 인용발명 미국출원일 유효출원일 PCT인용 미국지정 / 영어공개 미국지정 (3) 시기적요건 : 유효출원일 1 본발명 : Effective Filing Date Perfecting priority 필요 2 인용발명 : effectively filed date. (AIA 102(d) 참고 ) Perfecting priority는불필요

39 AIA 35 U.S.C. 102(b)(2)(A) and 102(b)(2)(B) (b)(2) A disclosure shall not be prior art to a claimed invention under subsection (a)(2) if- 다음의개시는 102(a)(1) 의선행기술이되지않는다 (A) the subject matter disclosed was obtained directly or indirectly from the inventor or a joint inventor; or 개시된주제가발명자또는공동발명자로부터직접또는간접적으로획득되었음 (b)(1)(a) 발명자나공동발명자로부터획득한제 3 자가선발명을출원한경우 102(a)(2) 을적용하지않음 ( 신규성인정 ) (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; 개시된주제가유효출원되기전에, 발명자, 공동발명자또는그들로부터직접또는간접적으로획득한제 3 자가해당주제를개시함 (b)(1)(b) 선출원전에발명자, 공동발명자또는그들로부터획득한제 3 자가 발명을개시한경우 102(a)(2) 을적용하지않음 ( 신규성인정 )

40 AIA 35 U.S.C. 102(b)(2)(A) and 102(b)(2)(B) Case 1 신규성 X Robert (A) Smith (A) EFD 102(a)(2) July 10, 2016 EFD July 11, 2016 published Case 2 신규성 O Robert (A) obtained from Smith EFD 102(b)(2)(A) July 11, 2016 published Smith (A) July 10, 2016 EFD Case 3 신규성 O Robert (A) Smith (A) July 10, 2015 Disclosure EFD 102(b)(2)(B) July 11, 2016 published 102(b)(1)(A) July 10, 2016 EFD Case 4 신규성 X Robert (A) EFD 102(b)(2)(B) July 11, 2016 published Smith (A) Disclosure July 10, (b)(1)(A) X 102(a)(1) July 10, 2016 EFD

41 AIA 35 U.S.C. 102(b)(2)(C) and 102(c) (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) 본원의유효출원일이전에동일인소유또는양도의무가있는경우 102(a)(2) 을적용하지않음 ( 신규성인정 ) c.f. pre-aia 103(c) 는신규성에는적용하지않고진보성에만적용 AIA 35 U.S.C. 102(c) : 동일인소유또는양도의무의간주 (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; (1) 본원의유효출원일이전에발효된공동연구계약의당사자가발명 (2) the claimed invention was made as a result of activities undertaken within the scope of the joint research agreement; and (2) 발명이공동연구계약의범위내의활동의결과로만들어짐 (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. (3) 본원에서공동연구계약당사자의이름을개시 ( 보정을통한개시포함 )

42 AIA 35 U.S.C. 103 pre-aia pre-aia (a) A patent may not be obtained though the invention is not identically disclosed or described as set forth in section 102, A patent for a claimed invention may not be obtained, notwithstanding that the claimed invention is not identically disclosed as set forth in section 102, if the differences between the subject matter sought to be patented and the prior art are such that the subject matter as a whole would have been obvious at the time the invention was made if the differences between the claimed invention and the prior art are such that the claimed invention as a whole would have been obvious before the effective filing date of the claimed invention to a person having ordinary skill in the art to which said subject matter pertains. Patentability shall not be negatived by the manner in which the invention was made. to a person having ordinary skill in the art to which the claimed invention pertains. Patentability shall not be negated by the manner in which the invention was made. pre-aia 103(b) 생명공학적방법의특례 => 삭제 pre-aia 103(c) 발명자동일의특례 => AIA 102(b)(2)(C) and 102(c)

43 Novelty 의판단 (35 U.S.C. 102) 1. Novelty 란? Prior art 대비신규한지여부 개시 (disclosure) 또는예견가능성 (anticipation) 으로판단 ( 한국은동일성으로판단 ) 2. Novelty 의취지 (1) 새로운발명에대해서만권리를부여함 (2) 특허가종래 ( 공지 ) 기술에권리를행사하는것을방지 3. 비교대상 본원청구항의구성요소 vs Prior art 의문헌전체 ( 특허문헌인경우명세서 + 도면 ) 4. 판단시유의사항 구성으로만판단. Obviousness 와판단기준이다름 기술분야, 목적, 효과등은원칙적으로고려되지않음

44 Novelty 의판단 (35 U.S.C. 102) 5. 구체적적용 (1) 복수의인용자료 원칙적으로불가 ( 단일인용자료사용 ). 예외적으로내재성증명을위해사용가능 (2) 상위개념 (genus)-하위개념(species) 관계 1) 본원이상위개념이고인용이하위개념이면원칙적으로 Novelty 부정 2) 본원이하위개념이고인용이상위개념이면원칙적으로 Novelty 긍정 ex) 금속 vs 니켈 (3) 이차적고려사항 ( 예기치못한결과, 상업적성공 ) 고려대상이아님 (4) 비유사기술, 비난하는선행기술 (negative teaching) 고려대상이아님

45 Novelty 의판단 (35 U.S.C. 102) 5. 구체적적용 (5) 수치한정발명의판단 원칙적으로기술적의의, 임계적의의따지지않음 본원수치 선행수치 <Ex. 1> <Ex. 3> <Ex. 2> <Ex. 4> <Ex. 5> <Ex. 6> 선행 : 범위제한없음 <Ex. 7> <Ex. 8>

46 Obviousness 의판단 (35 U.S.C. 103) 1. Obviousness 란? Prior art 대비본원의차이점이자명한지여부 2. Graham test (1) 선행기술의범위와내용을결정 (2) 선행기술과청구항의차이를확인 (3) 발명시당업자기술수준의분석 (4) 2차적고려사항 i) 예기치못한결과 (unexpected results) ii) 상업적성공 (commercial success) iii) 오랜동안의필요및타인의실패 (long felt need & failure of others) iv) 전문가의인정 (professional approval) v) 라이센싱 (licensing) vi) 타인의모방 (copying by others) vii) 비슷한시기의발명 (near-simultaneous invention): negative 요소임

47 Obviousness 의판단 (35 U.S.C. 103) 3. TSM test 선행기술의결합시 Teaching, Suggestion, Motivation 이있어야함 4. KSR 판례 TSM 의엄격한기준을완화함 TSM 테스트외에자명성을판단할수있는근거로아래의 6 가지를제시 (1) 공지의방법에따라선행기술요소들을조합하여예견가능한결과를낳는경우 (2) 공지의한구성요소를다른것으로단순히대체하여예견가능한결과를낳는경우 (3) 공지의기술을사용하여그와동일한방식으로유사한장치 ( 방법또는제품 ) 를개량한경우 (4) 개량하려는공지의장치 ( 방법또는제품 ) 에공지의기술을적용하여예견가능한결과를낳는경우 (5) 성공에관한합리적인가능성으로유한한수의예견가능한해결책중에하나를선택한경우 (6) 디자인인센티브나시장의요구에의해서한기술분야에서알려져있는사항의변형이같은분야또는 다른분야에적용될수있으며, 그러한변형이당업자가보기에예측가능한것일경우

48 Obviousness 의판단 (35 U.S.C. 103) 5. Obviousness 판단 (1) 선행기술 1 유사분야 (Analogous art) 도포함 2 발명분야는아니나, 당업자라면발명이해결하고자하는문제를풀기위해찾아보고, 적용해볼것으로추정이되는분야 3 Hindsight 는허용되지않음 : 당해발명을염두에두고선행기술을끌어모으는것은불가 4 바람직하지못한실시예도선행기술이됨 5 출원인이스스로선행기술로인정하면선행기술임 6 Teaches away 하는선행기술은불가 : 당업자가선행기술이서술하는내용을따라할생각이없어지거나, 혹은따라할경우발명자가취한방향과틀리게나갈경우

49 Obviousness 의판단 (35 U.S.C. 103) 5. Obviousness 판단 (2) 2 이상의선행기술의결합 : TSM test & KSR 판례 (3) 발명전체로서판단 1 발명의핵심또는발명의특징부만을추출하여비교하여서는안됨 2 combination of old elements 거절은발명전체가아닌부분적인접근이므로불가 (4) 당업자의선정 1 당해분야에서돌출되는문제점의성격 2 상기문제점에대한종전의해결수단 3 당해분야기술발전의속도 4 기술의복잡성 5 당해분야종사자의교육수준 (5) 2차적고려사항

50 감사합니다.