美國專利延續案與布局策略之分析

Abstract

延續案是美國專利體系中最特別也最受爭議之程序，美國專利商標局曾於2007年8月21日公布專利法實行細則的修正條文，即是欲針對延續案的實務進行改造，然其結果卻被宣判違法而禁止實施。綜觀整個事件發展始末不難發現，延續案在美國專利制度上實扮演相當關鍵之角色。本文以半導體專利為中心，針對國際級半導體大廠：台積電(TSMC)、聯華電子(UMC)、德州儀器(TI)、英特爾(INTEL)等四家公司自1995年至2005年間之延續案申請狀況進行實證分析，結果顯示以CA、CIP案為主的策略性延續案有逐年上升之趨勢。此外，本文更進一步對延續案與母案之檔案歷史資料進行質性研究，將策略性延續案之申請態樣依據延續案提出之時機點分為五種類別：「母案收到第一次官方核駁前提出申請」、「母案收到核准通知後提出申請」、「延續案提出申請後，母案即放棄」、「延續案提出申請後，母案即獲權」、「延續案提出申請後，母案繼續審查狀態」。本研究發現在母案收到核准通知後所申請之策略性延續案的申請數量最多，其比例亦呈現逐年上升的趨勢。針對此一現象，本文以專利權人之角度並基於專利制度之精神加以探討，且根據近年來法院之見解，對於延續案之申請所潛藏之限制進行深入性之分析。此外在考量延續案之特性與限制後，本文擬對公司內部專利申請之管理策略提出建議，作為申請美國專利時作為佈局策略之參考。

Continuing application is the most special and also the most debatable prosecution in the U.S patent system. The U.S. Patent and Trademark Office once published the revising of the provisions of 37 C.F.R in 2007.8.21, which was deemed the reformation of the continuing application, but such controversial regulation was presently threw out by the U.S. court. Tracing the entire incident development is easy to find that the continuing application indeed plays a key role in the U.S patent system. The empirical analysis in the thesis, basing on the semiconductor patents comprising the patent applications of the 4 world-class semiconductor manufacturers TSMC, UMC, TI, and INTEL from 1995 to 2005, shows that the trend of the strategy continuing application mainly including CA and CIP is increasing year by year. In addition, the further qualitative research to these continuing applications and filing histories of their parent applications shows that the majority type of the timing for applying continuing application is “after parent application receiving the notice of allowance”, and the trend is increasing year by year, too; wherein, basing on the timing for filing, the strategy continuing applications are classified into 5 types of “before the parent application receiving first OA”, “after the parent application receiving notice of allowance”, “after the parent application receiving OA, then the parent application abandoned”, “after the parent application receiving OA, then the parent application issued”, “after the parent application receiving OA, then the parent application still pending”. Aiming at this phenomenon, the thesis makes a discussion at the point of the patentee and basing the spirit of the U.S patent system, and explores the potential restriction of continuing application as an in-depth analysis under the court’s opinion in recent years. Furthermore, considering the limitations and characteristics of the continuing applications, the thesis also provides some suggestions about the management strategies for applying U.S. patents.