Maatita案：聯(lián)邦巡回法院對(duì)檢測(cè)外觀設(shè)計(jì)專利增加新方法

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作者：Danielle Anne Phillip 律師 及Paul Lunsford律師

供稿：Brinks Gilson & Lione律師事務(wù)所

原標(biāo)題：Maatita案：聯(lián)邦巡回法院對(duì)檢測(cè)外觀設(shè)計(jì)專利增加新方

一項(xiàng)外觀設(shè)計(jì)專利可否基于一個(gè)2D插圖（Illustration）對(duì)多個(gè)3D實(shí)施例（Embodiments）提出權(quán)利要求申請(qǐng)？美國(guó)聯(lián)邦巡回上訴法院（聯(lián)邦巡回法院）近期撤銷了一項(xiàng)專利審判和上訴委員會(huì)（PTAB）的裁決，創(chuàng)造了一個(gè)“基于有限的、2D插圖”對(duì)裝飾性特征描述不明確（Indefiniteness）進(jìn)行判定的新測(cè)試。

本案專利申請(qǐng)人Ron Maatita，遞交了一份美國(guó)外觀設(shè)計(jì)專利申請(qǐng)（No. 29/404,677 ，未公開），其中對(duì)運(yùn)動(dòng)鞋底部的一系列特征提出權(quán)利要求保護(hù)。如下圖FIG 1所示，鞋底上半部分中間五個(gè)橫向圓形特征（實(shí)線）為請(qǐng)求的外觀設(shè)計(jì)保護(hù)，其余鞋底所有虛線部分為放棄保護(hù)的范圍。這一申請(qǐng)包含兩幅2D鞋底繪圖，兩幅繪圖只有鞋底放棄部分的虛線構(gòu)圖不同。

在專利審查階段，審查員最終根據(jù)35 U.S.C. § 112條以權(quán)利要求范圍不明確駁回申請(qǐng)，審查員的理由是2D平面圖對(duì)設(shè)計(jì)中所要求保護(hù)的特征無(wú)法全面呈現(xiàn)，因此可引起對(duì)設(shè)計(jì)特征深度和輪廓（Depth and contour）多種的詮釋。特別是，審查員認(rèn)為對(duì)具有3D本質(zhì)的特征，申請(qǐng)只披露了其2D平面圖。在最終駁回裁決書中，審查員對(duì)請(qǐng)求保護(hù)的特征羅列了四種可能的3D實(shí)施例（下圖所示）。因?yàn)檫@些實(shí)施例具有不同的可專利性差異，審查員認(rèn)為一項(xiàng)權(quán)利要求不可以覆蓋其所有范圍。審查員的觀點(diǎn)得到PTAB的支持。

本年8月，聯(lián)邦巡回法院撤銷了PTAB的裁決。巡回法院認(rèn)為“§ 112條所要求的權(quán)利要求范圍明確的目的在于……保證披露信息足以清晰，以提示潛在競(jìng)爭(zhēng)者（所屬領(lǐng)域?qū)I(yè)人員）請(qǐng)求保護(hù)的設(shè)計(jì)是什么 – 及因此會(huì)侵犯什么?！狈ㄔ簩ⅰ皺?quán)利要求不明確標(biāo)準(zhǔn)（standard for indefiniteness）”與“侵權(quán)標(biāo)準(zhǔn)”相結(jié)合，采用Egyptian Goddess, Inc. v. Swisa, Inc.案中的測(cè)試。在評(píng)估范圍不明確的設(shè)計(jì)專利申請(qǐng)時(shí)，法院陳述“如果一名所屬領(lǐng)域?qū)I(yè)人員像普通觀察者一樣來(lái)看設(shè)計(jì)專利，基于權(quán)利要求和視覺(jué)信息披露不能夠合理確定性地（Reasonable certainty）理解設(shè)計(jì)專利的范圍，則外觀設(shè)計(jì)專利根據(jù)§ 112條為權(quán)利要求范圍不明確（Indefinite）?！薄皩?duì)于普通觀察者來(lái)說(shuō)只要可以合理確定性地明確發(fā)明的范圍，一項(xiàng)外觀設(shè)計(jì)專利可以在一項(xiàng)權(quán)利要求內(nèi)披露多個(gè)實(shí)施例，并可以使用多個(gè)繪圖來(lái)完成。”

聯(lián)邦巡回法院駁回了PTAB以下觀點(diǎn)：所要求保護(hù)的設(shè)計(jì)專利權(quán)利要求不明確，因?yàn)?D平面圖可以不同方式應(yīng)用于3D特征中。法院認(rèn)為“所要求呈現(xiàn)的細(xì)節(jié)程度，應(yīng)該取決于所要求保護(hù)的設(shè)計(jì)物品是否能夠被2D、平面繪圖來(lái)定義?！盤TAB認(rèn)為鞋底部表面不同的深度會(huì)影響所要求保護(hù)特征的視覺(jué)印象，這一觀點(diǎn)并未說(shuō)服聯(lián)邦巡回法院?！笆聦?shí)上鞋底可以具有3D外觀面，但這并不改變其裝飾性設(shè)計(jì)能夠以2D、平面圖角度來(lái)披露和進(jìn)行判定這一事實(shí) – 并且本案申請(qǐng)人的2D繪圖清晰地展示了從鞋底部應(yīng)該看到的視角?！毕喾?，“決定不披露（鞋底）所有可能的深度，不會(huì)阻礙一名普通觀察者對(duì)本案設(shè)計(jì)的理解，因?yàn)樵O(shè)計(jì)可以通過(guò)繪圖中的2D視角被理解?！?br/>

聯(lián)邦巡回法院的這一裁決可能會(huì)對(duì)外觀設(shè)計(jì)專利申請(qǐng)的遞交策略帶來(lái)巨大影響。通常，外觀設(shè)計(jì)專利申請(qǐng)包含若干圖形，以多種平面圖和正交視圖來(lái)顯示所請(qǐng)求保護(hù)的裝飾性特征。對(duì)于大型的3D設(shè)計(jì)，這一遞交策略很可能保持不變。

但是，對(duì)僅就產(chǎn)品一個(gè)單面進(jìn)行裝飾的裝飾性特征而言，本案裁決可能會(huì)激勵(lì)申請(qǐng)人從較少的視角提供較少的圖示，來(lái)盡可能大的獲得權(quán)利要求范圍。

本案裁決還可能對(duì)嘗試避免侵權(quán)的商業(yè)實(shí)體造成困擾。更大的外觀設(shè)計(jì)專利權(quán)利要求范圍造成更高的侵權(quán)風(fēng)險(xiǎn)。在對(duì)類似于Maatita外觀設(shè)計(jì)專利進(jìn)行評(píng)估時(shí)，設(shè)計(jì)者和制造者將需仔細(xì)地從設(shè)計(jì)專利中所顯示的有限視角來(lái)檢測(cè)產(chǎn)品以決策侵權(quán)風(fēng)險(xiǎn)。一項(xiàng)設(shè)計(jì)的3D組件可能并不足以避免對(duì)一項(xiàng)只披露了2D視角設(shè)計(jì)的侵權(quán)。

現(xiàn)在還未知本案是否會(huì)被繼續(xù)上訴進(jìn)行全席審理（en banc）或?qū)＠謱⑸暾?qǐng)復(fù)審令（petition for certiorari）。包含外觀設(shè)計(jì)專利的爭(zhēng)議被最高法院受理的可能性罕見(jiàn)，但鑒于本案裁決的意義重大，有得到進(jìn)一步審查的可能。

附：英文全文

In re: Maatita: The Federal Circuit Adds a New Dimension to the Design Patent Indefiniteness Standard

Can a design patent claim multiple three-dimensional embodiments based on a two-dimensional illustration?  The U.S. Court of Appeals for the Federal Circuit (Federal Circuit) has reversed the Patent Trial and Appeal Board (PTAB), creating a new test for the indefiniteness of claimed ornamental features based on limited, two-dimensional illustrations.  In re: Maatita, No. 2017-2037 (Fed. Cir. August 20, 2018).

The applicant, Ron Maatita, filed U.S. Design Patent Application No. 29/404,677 (unpublished) claiming a series of features on an athletic shoe bottom.  The rest of the shoe bottom was disclaimed.  The applicant included two two-dimensional drawings of the shoe bottom which differed only in the unclaimed environment surrounding the claimed features.

Maatita's Claimed Design (dashed lines indicate disclaimed subject matter)

During prosecution, the examiner ultimately rejected the application under 35 U.S.C. § 112 as being indefinite since the two-dimensional plan views left the design open to multiple interpretations regarding depth and contour of the claimed features.  Specifically, the applicant disclosed only two-dimensional views for features which were three-dimensional in nature.  In a final rejection, the examiner included four different possible three-dimensional embodiments of the claimed features.  Because these embodiments were patentably distinct, the examiner argued that they could not be covered by a single claim.  The examiner's position was affirmed by the Patent Trial Board of Appeals (PTAB) on March 29, 2017.

Possible Embodiments Presented by the Examiner

On August 20, 2018, the Court of Appeals for the Federal Circuit unanimously reversed the PTAB.  The Federal Circuit explained that, "[t]he purpose of § 112's definiteness requirement … is to ensure that the disclosure is clear enough to give potential competitors (who are skilled in the art) notice of what design is claimed – and therefore what would infringe."  Maatita, slip op. at 9.  The Federal Circuit then linked the standard for indefiniteness to the standard for infringement, adapting a test created by Egyptian Goddess, Inc. v. Swisa, Inc. 543 F.3d 665, 672 (Fed. Cir. 2008) (en banc).  In assessing the indefiniteness of a design application of uncertain scope, the Federal Circuit stated that, "a design patent is indefinite under § 112 if one skilled in the art, viewing the design as would an ordinary observer, would not understand the scope of the design with reasonable certainty based on the claim and visual disclosure."  Maatita, slip op. at 10.  "So long as the scope of the invention is clear with reasonable certainty to an ordinary observer, a design patent can disclose multiple embodiments within its single claim and can use multiple drawings to do so."  Id.

Rejecting the PTAB's argument that the claimed design was indefinite because the two-dimensional plan views could be applied to the three-dimensional features in a number of different ways, the Federal Circuit stated that, "the level of detail required should be a function of whether the claimed design for the article is capable of being defined by a two-dimensional, plan- or planar-view illustration."  Id. at 12.  "The design for an entire shoe … is inherently three dimensional and could not be adequately disclosed with a single, plan-, or planar-view drawing."  Id. Comparatively, "[t]he design of a rug … is capable of being viewed and understood in two dimensions through a plan- or planar-view illustration."  Id.  "Such a claim, with a single drawing, would cover all similarly designed rugs or mats."  Id.  The Federal Circuit was not persuaded by the PTAB’s argument that the varying surface depths of a shoe bottom impact the visual impression of the claimed features.  "[T]he fact that shoe bottoms can have three-dimensional aspects does not change the fact that their ornamental design is capable of being disclosed and judged from a two-dimensional, plan- or planar-view perspective – and that [applicant’s] two-dimensional drawing clearly demonstrates the perspective from which the shoe bottom should be viewed."  Id. at 13.  Rather, the “decision not to disclose all possible depth choices would not preclude an ordinary observer from understanding the claimed design, since the design is capable from being understood” from the two-dimensional perspective in the drawing.  Id.

The Federal Circuit's decision may have a significant impact on the filing strategy for design patent applications.  Typically, design patent applications include several figures showing the claimed ornamental features from a variety of plan and orthogonal views.  For large, three-dimensional designs, this filing strategy will likely remain the same.

However, for ornamental features adorning only a single surface of a product, this ruling may provide an incentive to provide fewer drawings from fewer perspectives to capture as much scope as possible.

This ruling may also create some concern for commercial entities trying to avoid infringement.  Broader design patent claims create a higher risk of infringing a claimed design.  When assessing design patents similar to Maatita's, designers and manufacturers will have to carefully examine a product from the limited perspectives shown in the design patent to determine their risk for infringement.  A three-dimensional component to a design may not be sufficient to avoid infringement of a claimed design disclosed only from a two-dimensional perspective.

It is not yet clear if this case will be reheard en banc or if the U.S. Patent and Trademark Office will file a petition for certiorari.  Disputes involving design patents rarely reach the Supreme Court.  However, the significance of this decision may be significant enough to warrant further review.

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作者：Danielle Anne Phillip 律師 及Paul Lunsford律師

供稿：Brinks Gilson & Lione律師事務(wù)所

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