AIA前的35 U.S.C. 102 (b) 規定 「A person shall be entitled to a patent unless — … (b) the invention was patented or described in a printed publication in this or a foreign country or in public use or on sale in this country, more than one year prior to the date of application for patent in the United States.」 此一條文列舉出足令發明喪失新穎性之四種先前技術的狀況,包括該發明於國內外 (1) 已取得專利;或 (2) 見於印刷刊物[1];或於國內 (3) 公開使用 、(4) 銷售。單就文義解釋,只要銷售即足以破壞發明之新穎性,而毋論其是否處於秘密狀態或處於公眾不可得而知之狀態,不僅MPEP如是解釋[2],CAFC也一貫採取相同見解[3]。
然而,AIA後之相關規定改為 35 U.S.C. 102 (a) A person shall be entitled to a patent unless— (1) the claimed invention was patented, described in a printed publication, or in public use, on sale, or otherwise available to the public before the effective filing date of the claimed invention; or… 除將上述四種狀況改為絕對新穎性外,另概括性規定了「或以其他方式可為公眾取得」。然而,USPTO對新法規卻驚人地自行限縮解釋[4],我們可以從MPEP的相應章節看出USPTO認為:由於「或以其他方式可為公眾取得」此一舊法所沒有的規定,隱含了「新法中的on sale並不涵蓋秘密銷售」之意。換言之USPTO認為「on sale」與「otherwise available to the public」應合併解讀,使得「雙方互負保密義務之秘密銷售」不屬於35 U.S.C. 102 (a) (1) 所規定之「on sale」不予專利事由。
即便USPTO採取了這樣的立場,MPEP對美國司法系統並無拘束力。美國最高法院於2019年1月22日,正式地在Helsinn v. Teva一案中表明司法系統對35 U.S.C. 102 (a) (1) 的見解:即使銷售予對發明負有保密義務的買方,仍處於「on sale bar」的射程之內。
最高法院指出三大理由,首先,所謂的「on sale bar」就立法理由而言,立法者意在避免發明人透過獲取涵蓋某一技術之專利而將該技術由公共使用的領域中移除,因為這與專利制度促進創新的目的不符[5],亦即專利制度的設計在於發明人貢獻其發明給社會換取一定期間的排他權保護做為對價,發明人未申請專利就銷售其發明而獲取利益,該發明就為公眾所知,進而可為公眾所使用,構成了先前技術,但利用保密協議使其不成為先前技術,嗣後再申請專利獲得保護,實質上延長了發明人壟斷能力的期間。再者,最高法院雖從未準確地對秘密銷售是否破壞新穎性一事發表過見解,但眾多判決先例中表明:此間所謂銷售或其要約,不必以公眾為對象,該銷售之要約不需要揭露所有技術細節,即足以破壞新穎性;另有部分判決先例表明:一旦發明被銷售,不論其細節是否為公眾得知,亦不論該銷售行為本身是否公開,該發明即不具新穎性[6]。最後,最高法院指出,在修法過程中「on sale」一詞並未被改變,因此應該適用與舊法相同的司法見解[7]。
針對Helsinn類似於MPEP限縮解釋的爭執,最高法院也提出具體回應:「otherwise available to the public」之用意在於涵蓋未直接落入條文列舉的四種態樣之公開行為,構成較為抽象的第五種公開態樣,換句話說,此一概括性之規定作用在於防堵前述四種態樣以外的公開行為,並非前述四種態樣還必須要滿足「otherwise available to the public」之要件。
MPEP 2128 II. A.: An electronic publication, including an online database or Internet publication (e.g. discussion group, forum, digital video, and social media post), is considered to be a “printed publication” within the meaning of 35 U.S.C. 102(a)(1) and pre-AIA 35 U.S.C. 102(a) and (b) …
MPEP 2133.03: Likewise, there may be a nonpublic, e.g., “secret,” sale or offer to sell an invention which nevertheless constitutes a statutory bar.
Special Devices, Inc. v. OEA, Inc., 270 F. 3d 1353, 1357 (2001) (invalidating patent claims based on “sales for the purpose of the commercial stockpiling of an invention” that “took place in secret”); Woodland Trust v. Flowertree Nursery, Inc., 148 F. 3d 1368, 1370 (1998) (“Thus an inventor’s own prior commercial use, albeit kept secret, may constitute a public use or sale under §102(b), barring him from obtaining a patent”).
MPEP 2152.02 (d): The “or otherwise available to the public” residual clause of AIA 35 U.S.C. 102(a)(1), however, indicates that AIA 35 U.S.C. 102(a)(1) does not cover secret sales or offers for sale. For example, an activity (such as a sale, offer for sale, or other commercial activity) is secret (non-public) if it is among individuals having an obligation of confidentiality to the inventor.
Helsinn Healthcare S.A. v. Teva Pharmaceuticals USA, Inc., 139 S.Ct. 628 (2019), at 632.