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Threshold of notice requirement for “A-delay” in PTA determination
| February 3, 2016
Pfizer Inc. v. Lee
January 22, 2016
Before: Newman, DYK and O’Malley. Opinion by O’Malley. Dissenting opinion by Newman.
Summary
Appellants (Pfizer) challenged the district court’s decision that denied their motion for acquiring additional part of A-delay by excluding a withdrawn office action as non-event for the A-delay. CAFC affirmed the district court’s decision.
35 U.S.C. § 154(b)は出願後14カ月以内に「at least one of the notifications under section 132」（いわゆるオフィスアクション）が出願人に通知されない場合は、その遅れた分の特許期間延長を認める（PTAのA-delayと呼ばれる）。本件では、最初のオフィスアクションとしてリストリクション要求（クレームに複数の発明が記載されていると認定すると審査官は特定の発明を出願人に選択させる要求）が審査官から出された。ところが、発明分類から漏れた従属クレームがあったため、審査官は最初のリストリクション要求を取り下げて、訂正したリストリクション要求を出し直した。特許庁は、初回と訂正の2つのリストリクション要求の間の197日をPTAのA-delayとして加えることなく、最初のリストリクション要求の送達日に基づいてPTAの計算を行った。連坊地裁において、特許権者は訂正リストリクション要求の日を基準にPTAを計算するべきであり、197日の追加を主張した。連邦地裁は197日を認めない判決を出した。
CAFCは地裁の判断を支持した。CAFCの多数意見は、35 U.S.C. § 154(b)の要件を緩く解釈し、「at least one of the notifications under section 132」の内容が広い意味での拒絶原因（“the broad statutory basis for the rejection”）と、出願人が応答可能な程度の情報量（sufficient information）を提示している場合に該当するので、本件の最初のリストリクション要求は、35 U.S.C. § 154(b)が要求する「通知」であると判断した。従属クレームの欠落程度は、出願人が応答できないほどの不備ではなく、審査官とのやり取りの結果リストリクション要求が出し直されたが、これは審査での通常のやり取りの範囲内であり、最初のリストリクションが取り下げられたという事実だけをもってして、特許期間の延長を認めないという判断である。これに対して、Newman判事はオフィスアクションの不備は出願人の責任ではなく、あきらかに特許庁の責任であり、特許期間の延長を認めるべきとの反対意見を述べた。
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