知財コラム

15) Derivation手続

今回の改正では、先願主義の採用に伴い、従来のInterference手続が廃止され、新たにDerivationという手続が設けられました。

このDerivation手続は、2つの出願のクレームが同一である場合に後願の出願人(特許権者)が申し立てるもので、先願の発明者が後願の発明者から発明を知得し、後願の発明者の承諾なしに出願したことを理由に先願の拒絶・取消を求めるものです。
この手続の実体的審理はPatent Trial and Appeal Board (PTAB)でなされます。

このDerivation手続は、対象となるクレームが最初に公開されてから1年以内に申し立てることができ、先願が特許になった場合はその特許発行日から1年以内に申し立てることができます。

この改正事項は、2013年3月16日以降の有効出願日を有する出願に適用されます。

§135. Derivation proceedings
(a) INSTITUTION OF PROCEEDING. An applicant for patent may file a petition to institute a derivation proceeding in the Office. The petition shall set forth with particularity the basis for finding that an inventor named in an earlier application derived the claimed invention from an inventor named in the petitioner’s application and, without authorization, the earlier application claiming such invention was filed. Any such petition may be filed only within the 1-year period beginning on the date of the first publication of a claim to an invention that is the same or substantially the same as the earlier application’s claim to the invention, shall be made under oath, and shall be supported by substantial evidence. Whenever the Director determines that a petition filed under this subsection demonstrates that the standards for instituting a derivation proceeding are met, the Director may institute a derivation proceeding. The determination by the Director whether to institute a derivation proceeding shall be final and nonappealable.
(b) DETERMINATION BY PATENT TRIAL AND APPEAL BOARD. In a derivation proceeding instituted under subsection (a), the Patent Trial and Appeal Board shall determine whether an inventor named in the earlier application derived the claimed invention from an inventor named in the petitioner’s application and, without authorization, the earlier application claiming such invention was filed. In appropriate circumstances, the Patent Trial and Appeal Board may correct the naming of the inventor in any application or patent at issue. The Director shall prescribe regulations setting forth standards for the conduct of derivation proceedings, including requiring parties to provide sufficient evidence to prove and rebut
a claim of derivation.

(d) EFFECT OF FINAL DECISION. The final decision of the Patent Trial and Appeal Board, if adverse to claims in an application for patent, shall constitute the final refusal by the Office on those claims. The final decision of the Patent Trial and Appeal Board, if adverse to claims in a patent, shall, if no appeal or other review of the decision has been or can be taken or had, constitute cancellation of those claims, and notice of such cancellation shall be endorsed on copies of the patent distributed after such cancellation.
§291. Derived Patents
(a) IN GENERAL. The owner of a patent may have relief by civil action against the owner of another patent that claims the same invention and has an earlier effective filing date, if the invention claimed in such other patent was derived from the inventor of the invention claimed in the patent owned by the person seeking relief under this section.
(b) FILING LIMITATION. An action under this section may be filed only before the end of the 1-year period beginning on the date of the issuance of the first patent containing a claim
to the allegedly derived invention and naming an individual alleged to have derived such invention as the inventor or joint inventor.

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