5. OVERVIEW 概览
• PRIOR 2007 KSR GUIDELINES
旧的 2007 年显而易见性审查指南
• PURPOSE OF THE 2010 GUIDELINES
2010 年审查指南的用意
• CATEGORIES UNDER THE 2010 GUIDELINES
2010 年审查指南规定的分类
• USING THE GUIDELINES TO YOUR ADVANTAGE
善用指南
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7. PRIOR 2007 KSR GUIDELINES
旧的 2007 年显而易见性审查指南
• Confirmed controlling inquiries under Graham v.
Deere
肯定在 Graham v. Deere 案中确立的主要审查事项
Scope and content of prior art
先前技术的范围和內容
Differences between claimed invention and prior art
有专利权利的发明和先前技术的分別
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8. PRIOR 2007 KSR GUIDELINES
旧的 2007 年显而易见性审查指南
• Confirmed controlling inquiries under Graham v.
Deere
肯定在 Graham v. Deere 案中确立的主要审查事项
Level of ordinary skill in the art
在技术中的普通技巧的等级
Secondary indicia of non-obviousness
非显而易见性的次要标记
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9. PRIOR 2007 KSR GUIDELINES
旧的 2007 年显而易见性审查指南
• Teaching-suggestion-motivation (TSM) was one
possible approach
教导-启示-动机是一种可能的方式
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10. PRIOR 2007 KSR GUIDELINES
旧的 2007 年显而易见性审查指南
• Six other approaches
其它 6 种方式
One – combining prior art elements according to known
methods to yield predictable results
1 – 根据已知的方法结合现有技术因素从而产生可以预测
的结果
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11. PRIOR 2007 KSR GUIDELINES
旧的 2007 年显而易见性审查指南
• Six other approaches
其它 6 种 方式
Two – simple substitution of one known element for
another to obtain predictable results
2 - 简单用一已知因素替代另一个来获得可预测的结果
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12. PRIOR 2007 KSR GUIDELINES
旧的 2007 年显而易见性审查指南
• Six other approaches
其它 6 种方式
Three – use of a known technique to improve similar
devices, methods, or products
3 - 使用一种已知技术来改进类似设备,方法或者产品
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13. PRIOR 2007 KSR GUIDELINES
旧的 2007 年显而易见性审查指南
• Six other approaches
其它 6 种方式
Four – applying a known technique to a known device,
method, or product to yield predictable results
4 -把一种已知的技术应用到一个已知的设备,或者应用
到一个方式中,或者应用到一个产品上,从而得到可预测
的结果
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14. PRIOR 2007 KSR GUIDELINES
旧的 2007 年显而易见性审查指南
• Six other approaches
其它 6 种方式
Five – obvious to try – choosing from a finite number of
identified, predictable solutions, with a reasonable
expectation of success
5 - 显而易见的尝试-怀着合理的成功期望,从一定数目
的已被确认的,可预测的措施中选择一项措施
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15. PRIOR 2007 KSR GUIDELINES
旧的 2007 年显而易见性审查指南
• Six other approaches
其它 6 种方式
Six – known work in one field of endeavor may prompt
variations of it for use in either the same or different field
based on design incentives or other market forces if the
variations are predictable
6 - 在某一领域的已知成绩可能促使该成绩的多样化,如
果这种多样化是可预测的,将作用在同样或者不同的领域
,这是根据设计动机或其它市场因素而产生。
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16. PRIOR 2007 KSR GUIDELINES
旧的 2007 年显而易见性审查指南
• KSR did not place a limit on the particular approach
to be taken
易见性审查沒有对方法进行限制
No single test for obviousness
沒有单一的显而易见的标准
A flexible approach is to be used
方法可以灵活多样
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17. PURPOSE OF THE 2010
GUIDELINES
2010 年审查指南的用意
• To be used by USPTO examiners in conjunction with
MPEP when applying law of obviousness
根据美国专利审查程序手冊,在应用显而易见性法律
的時候,为美国商标专利局审查员所应用
Highlight of case law since 2007 KSR decision by US
Supreme Court
自美国最高法院针对 2007 年 KSR 案件做出的決定,判例
法得到强调
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18. PURPOSE OF THE 2010
GUIDELINES
2010 年审查指南的用意
• To be used by USPTO examiners in conjunction with
MPEP when applying law of obviousness
根据美国专利审查程序手冊,在应用显而易见性法律
的時候,为美国专利商标局审查员所应用
Case law provides examples useful to examiners and
practitioners during examination
判例法为审查过程中的审查员和律师提供有用的参考例子
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19. PURPOSE OF THE 2010
GUIDELINES
2010 年审查指南的用意
• Outside of the purpose:
用意之外:
Not substantive rule making or effect of law
并非实体法律或者法律的效力
Not right of procedure enforceable against USPTO
并非可以对美国专利商标局表示异议的程序权利
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20. PURPOSE OF THE 2010
GUIDELINES
2010 年审查指南的用意
• Illustrative cases in the Guidelines:
审查指南中的案例
Confirm idea that there may be more than one line of
reasoning that can be properly applied to particular facts
确定对特定事实可能存在多种论证
Show that lines of reasoning may overlap to establish
obviousness
表明多种论证可能交叠,而建立显而易见性
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21. 2010 GUIDELINE CATEGORIES
2010 年审查指南規定的分类
• Illustrative cases grouped by categories:
说明性案件种类划分:
First – combining prior art elements – corresponds to
2007 Guidelines
第一: 结合先前技术因素 - 符合 2007 年指南
Second – substituting one known element for another –
corresponds to 2007 Guidelines
第二: 用一已知因素取代另一个 - 符合 2007 年指南
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22. 2010 GUIDELINE CATEGORIES
2010 年审查指南規定的分类
• Illustrative cases grouped by categories:
说明性案件种类划分:
Third – obvious to try – corresponds to 2007 Guidelines
第三: 显而易见的尝试 - 符合 2007 年指南
Fourth – consideration of evidence
第四: 对证据的考虑
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23. 2010 GUIDELINE CATEGORIES
2010 年审查指南規定的分类
• First category – combining prior art elements
第一类 - 结合现有技术因素
Even when components are known, the combining step is
technically feasible, and the result is predictable, it may be
nonobvious when the combining step involves such additional
effort that no one of ordinary skill would have undertaken it
即使当成份已经为人所知,结合的步骤严格来说还是可行的,并
且结果也是可预测的。当结合步骤涉及这样的额外工作而沒有其
它一般的技术可以做到时,非显而易见性可能成立
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24. 2010 GUIDELINE CATEGORIES
2010 年审查指南規定的分类
• First category – combining prior art elements
第一类 - 结合先前技术因素
A claimed combination of prior art elements may be nonobvious
where the prior art teaches away from the combination and the
combination yields more than predictable results
有专利权利的先前技术要素的组合也許是非显而易见的,如果先
前技术和这种组合是反向教示,并且该组合产生比可预见结果更
多的內容。
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25. 2010 GUIDELINE CATEGORIES
2010 年审查指南規定的分类
• First category – combining prior art elements
第一类 - 结合先前技术因素
An inference that a claimed combination would not have been
obvious is especially strong where the prior art’s teachings
undermine the very reason being proferred as to why a person of
ordinary skill would have combined the known elements
有一个推论认为有专利权利的组合不会是显而易见的,这在先前
技术的教示低估了为什么一个有普通技巧的人可以结合已知的要
素的情況下尤其明显。
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26. 2010 GUIDELINE CATEGORIES
2010 年审查指南規定的分类
• Third category – obvious to try
第三类 - 显而易见的尝试
A claimed compound would not have been obvious where there
was no reason to modify the closest prior art compound to obtain
the claimed compound and the prior art taught that modifying the
compound would destroy its advantageous property
一个权利组成成份在沒有理由改变最接近的先前技术的成份从而
或得专利权利的成份的情況下不会是显而易见的,并且先前技术
有一旦改变成份就会破坏其优势的特点。
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27. 2010 GUIDELINE CATEGORIES
2010 年审查指南規定的分类
• Third category – obvious to try
第三类 - 显而易见的尝试
According to the Federal Circuit, not obvious if one must vary all
parameters or try each of numerous possible choices until one
possibly arrived at a successful result, where the prior art gave
either no indication of which parameters were critical or no
direction as to which of many possible choices is likely to be
successful
根据联邦巡迴法院的意见,如果一项发明所有的参数都必须不同
或者必须尝试每个发明的众多可能选择直到其中一个可能达到成
果的结果,并且在这结果中,先前技术沒給出关于众多选择中哪
个可能成功的必不可缺的参数或方向,那就不具有显而易见性。
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28. 2010 GUIDELINE CATEGORIES
2010 年审查指南規定的分类
• Third category – obvious to try
第三类 - 显而易见的尝试
According to the Federal Circuit, not obvious if one must explore
a new technology or general approach that seemed to be a
promising field of experimentation, where the prior art gave only
general guidance as to the particular form of the claimed
invention or how to achieve it
根据联邦巡迴法院的意见,如果一个发明必须探寻一项新技术或
者一般方法看上去是重要的实验领域而先前技术仅对特定形态的
有专利权利的发明提供概括的指导或者如何达到有专利权利发明
的,则认为是非显而易见性。
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29. 2010 GUIDELINE CATEGORIES
2010 年审查指南規定的分类
• Third category – obvious to try
第三类 - 显而易见的尝试
Not obvious to try to obtain a claimed compound where the prior
art did not present a finite and easily traversed number of
potential starting compounds, and there was no apparent reason
for selecting a particular starting compound from among a
number of unpredictable alternatives
在先前技术沒有表明一个确定且容易来回研究的潜在开始成份,
并且沒有明显原因在许多不可预测的选项中选择一个特定的开始
成份的情況下,尝试去获得一个有专利权利的成份是非显而易见
的。
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30. 2010 GUIDELINE CATEGORIES
[2010 年审查指南規定的分类 ]
• Third category – obvious to try
第三类 - 显而易见的尝试
Mere existence of a large number of options does not in
and of itself lead to a conclusion of nonobviousness
仅有众多选择的存在本身不会导致其非显而易见性的结论
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31. 2010 GUIDELINE CATEGORIES
2010 年审查指南規定的分类
• Third category – obvious to try
第三类 - 显而易见的尝试
Even when only a small number of possible choices exist, the
obvious to try approach is not appropriate when, upon
consideration of all of the evidence, the outcome would not have
been reasonably predictable and the inventor would not have a
reasonable expectation of success
即使只有小部份可能的选择存在,考虑到所有证据的情況下,结
果不能被合理的预测,以及发明者不会有合理的成功的期望,显
而易见的尝试的方法还是不合适。
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32. USING THE GUIDELINES TO YOUR
ADVANTAGE
善用指南
• Arguments to the Examiner
对审查员的辩驳
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33. USING THE GUIDELINES TO YOUR
ADVANTAGE
善用指南
• Graham v. Deere
Graham 對 Deere
Argument – rejection omits required factual findings
论点 - 驳回忽略了必须的事实根据
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34. USING THE GUIDELINES TO YOUR
ADVANTAGE
善用指南
• Examiner line of reasoning
审查员方面的说理
Argument – any one line of reasoning is not a per se rule
– must be flexible approach
论点 - 任何一方面的说理都不是本质规则 – 必须为灵活的
方式
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35. USING THE GUIDELINES TO YOUR
ADVANTAGE
善用指南
• Examiner line of reasoning
审查员方面的说理
Argument – prior art teaches away from the claimed
invention
论点 - 先前技术有別于有专利权利发明的反向教示
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36. USING THE GUIDELINES TO YOUR
ADVANTAGE
善用指南
• Examiner line of reasoning
审查员方面的说理
Argument – prior art lacks a reasonable expectation of
success
论点 -先前技术缺少一个对成功的合理期望
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37. USING THE GUIDELINES TO YOUR
ADVANTAGE
善用指南
• Examiner line of reasoning
审查员方面的说理
Argument – claimed invention provides unexpected
results
论点 - 有专利权利的发明提供出人意料的结果
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38. USING THE GUIDELINES TO YOUR
ADVANTAGE
善用指南
• Combination of elements
元素的结合
Argument – combining step involves additional effort that
one of ordinary skill would not have undertaken
论点 - 结合涉及一般技巧不能取代的额外努力的步骤
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39. USING THE GUIDELINES TO YOUR
ADVANTAGE
善用指南
• Combination of elements
元素的结合
Argument – merely pointing to the presence of all claim
elements in the prior art is not a complete statement of
rejection
论点 - 仅仅指出先前技术所有专利权利要素的存在,并不
是一个完整的反驳论点
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40. USING THE GUIDELINES TO YOUR
ADVANTAGE
善用指南
• Combination of elements
元素的结合
Argument – conclusory statements are insufficient
论点 - 总结性的言论是不充分的
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41. USING THE GUIDELINES TO YOUR
ADVANTAGE
善用指南
• Combination of elements
元素的结合
Argument – there must be some reason for starting with a
component other than the mere fact that the component
exists
论点 - 必须有关于某种成份的理由,而不仅仅是关于这个
组合成份存在的事实
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42. USING THE GUIDELINES TO YOUR
ADVANTAGE
善用指南
• Obvious to try
显而易见的尝试
Argument – there was no finite number of identified,
predictable solutions to the recognized need, and no
reasonable expectation of success
论点 - 沒有确定数目的被承认的、可预测的解決措施来确
认需要,也沒有合理的对成功的期望
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43. USING THE GUIDELINES TO YOUR
ADVANTAGE
[ 善用指南 ]
• Obvious to try
显而易见的尝试
Argument – finite number of identified, predictable
solutions means small or easily traversed in the context of
the art in question
论点 - 确定数目的可确认的,可预测的方法意味着轻易的
在正被怀疑的技术中来回的研究。
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