June 17, 2013 JPO / U.S. Bar Liaison Council Meeting 2013 Revision to Examination Guidelines concerning the Requirement of Unity of Invention and Amendment that Changes a Special Technical Feature of an Invention Tatsuya Tada Examination Standards Office The Japan Patent Office 1 1
Articles of Requirement of Unity of invention Article 37, Patent Act Two or more inventions may be the subject of a single patent application in the same application, provided that these inventions are of a group of inventions recognized as fulfilling the requirement of unity of invention based on their technical relationship designated in the Ordinance of the Ministry of Economy, Trade and Industry. Article 25octies, Regulations of the Patent Act The technical relationship specified by the Ordinance of the METI set forth in Article 37 of the Patent Act is the technical relationship of two or more inventions which have the same or corresponding special technical feature, and thus are associated with each other to form a single general inventive concept. 2. The special technical feature under the previous paragraph is a technical feature that clearly indicates contribution over the prior art of the invention. 3. (Omitted) 2
Requirement of Unity of invention Special Technical Feature (STF): An STF is a technical feature clearly indicating contribution over the prior art of the invention An STF is identified based on the content of the description, scope of claim, drawings, and common technical knowledge at the time of filing. However, a feature considered to be an STF will not be an STF when it becomes clear that it does not make any contribution over the prior art of the invention. A feature will not be identified as a STF if: - the feature is found in the prior art - the feature is an addition, conversion, or deletion of well-known or commonly used technology to a prior art and does not produce any new effect - the feature is merely a design variation of a prior art 3
Requirement of Unity of Invention (Current Examination Guidelines) When an STF is found in claim 1, the invention that has the same or corresponding STF will be the subject of examinations of novelty, inventive step, etc. Technical Feature A is an STF A A+B Claim 3 A+B+C Claim 4 A+B+C+D Claim 5 A+C Claim 6 A+C+E Claim 7 A+D Claim 8 A+D+F Claim 9 A+Z 4
Requirement of Unity of invention (Current Examination Guidelines) When the invention claimed in claim 1 does not have an STF, inventions in the same category that include all matters specifying the invention for which the STF was first found and inventions for which the existence of an STF has already been determined will be the subject of examinations of novelty, inventive step, etc. Technical Feature C is an STF A A+B Claim 3 A+B+C Claim 4 A+B+C+D Claim 5 A+C Claim 6 A+C+E Claim 7 A+D Claim 8 A+D+F Claim 9 A+Z 5
Requirement of Unity of Invention (Revised Examination Guidelines) Regardless of whether or not the invention claimed in claim 1 has an STF, (1) inventions that will be the subject of examinations based on STF and (2) inventions found to be efficient to examine together with inventions in (1) are the subject of examinations of patentability requirements other than the requirement of unity of invention. (1) Inventions that will be the subject of examinations based on STF a. inventions that have the same or corresponding STF, as the STF that has been first found b. Inventions for which the existence of STF has already been determined (2) Inventions found to be efficient to examine together with inventions in (1) above c. Inventions in the same category that include all matters specifying the invention in claim1 (excluding those with low relevance to inventions claimed in claim 1 in terms of problems to be solved or technical features) d. Inventions that can be substantially examined without conducting additional prior art searches or making additional judgments, etc. 6
Requirement of Unity of Invention (Revised Examination Guidelines) Technical Feature C is a STF A A+B Claim 3 A+B+C Claim 4 A+B+C+D Subject of examination before revision Claim 5 A+C Claim 6 A+C+E Inventions that have the same or corresponding STF as STF C Claim 7 A+D Claim 8 A+D+F Inventions in the same category that include all matters specifying the invention claimed in claim 1 Claim 9 A+Z Subject of examination after revision Inventions that have low relevance to problems or technical features 7
Shift Amendment Amendment that Changes the STF of an Invention (Shift Amendment) Article 17-2 (4), Patent Act when making amendments to patent claims, the invention for which a determination on its patentability was stated in the notice of reasons for refusal before the amendment and the invention defined by matters stated in the amended scope of claims shall be of a group of inventions recognized as fulfilling the requirement of unity of invention set forth in Article 37. Claims before amendment Claims after amendment must fulfill the requirement of unity of invention 8
Shift Amendment (Existing/Revised Examination Guidelines) Technical Feature C is a STF Orig. A Orig. A+B Orig. Claim 3 A+B+C Orig. Claim 4 A+B+C+D New A+C New A+C+E Inventions that have the same or corresponding STF as STF C New Claim 3 A+D New Claim 4 A+D+F Inventions in the same category that include all matters specifying the invention claimed in claim 1 New Claim 5 A+Z Inventions that have low relevance to problems or technical features 9