U.S. Legal Modification for the Universalized Patent System

Published in Nikkei
(Japan) on 16 September 2011
by (link to originallink to original)
Translated from by Taira Ishikura. Edited by Gillian Palmer .
The United States government has decided to significantly modify its patent law. The first-to-invent principle, which has lasted for more than 140 years, will be replaced by the first-to-file system, the principle used in Europe and Japan. If patent law is universalized, there will be fewer international conflicts over patents, rendering businesses’ overseas expansion easier. Therefore, we shall welcome this legal revision.

The first-to-invent principle is a patent system which grants the patent to the first person to achieve an invention; the United States has been the only developed country to implement it. On the other hand, the first-to-file principle awards a patent to whomever request it first and is a common rule among industrialized states.

In the U.S. system, because there are cases where inventors claim patent rights after patents have been granted and no public disclosure system for patents exists at the same time, conflicts have always occurred. Also, because the patent term is 17 years after the day of patent acquisition (not the day of filing), “submarine patents,” through which a large amount of royalties can be charged by prolonging the concealed reviewing process while waiting for the technology to spread, become a problem.

Japan and European countries pointed out such problems of the U.S. system and thus have requested a legal transition to the first-to-file principle since 1985. However, the U.S. government’s stance has shifted back and forth, facing opposition from small and medium-sized domestic companies with a worry over application costs and the pharmaceutical industry, which would prefer a longer patent protection.

This legal modification is based on the five-year-old agreement between the patent authorities of Japan and the United States, which aimed to standardize their patent systems. As seen in patent conflicts over smart phones, IT industries — which put emphasis on strategies over international intellectual properties — encouraged the government to make such a change.

Upon the revision, what becomes important now is how to frame a global patent system that mutually recognizes patents. Although a patent obtained domestically is recognized internationally through the Patent Cooperation Treaty, the reviewing process varies from one country to another. Further standardization is also required in areas like inventions’ novelty or patents’ coverage.

Developing countries call attention to their strategies over intellectual properties; for example, China is filing a patent application for railroads. It could well lead to new international flashpoints if emergent nations horrendously grant patents in a similar fashion. Therefore, standardization with the developing world is also necessary.

America’s transition to the first-to-file principle was Japan’s long-cherished wish. Now that it is realized, producing professionals excelling in building strategies about intellectual properties and patents shall be the next step for both the Japanese government and industries.


米政府が特許法を大幅に改正することを決めた。140年以上続いた特許の「先発明主義」を改め、日本や欧州と同じ「先願主義」に移行する。特許制度が統一されれば、様々な国際特許紛争が減り、企業も海外事業展開をしやすくなる。米国の法改正を歓迎したい。

 先発明主義は先に発明した人に特許を与える制度で、先進国では唯一、米国だけが採用してきた。一方、先願主義は先に特許を出願した人に権利を認める制度で、先進国では共通のルールとなっている。

 米国の制度では発明家などが後から権利を主張する場合があり、特許の公開制度もなかったので紛争が絶えなかった。特許期間も以前は出願日からでなく取得後17年としていたため、内容を伏せたまま審査を引き延ばし、技術が普及してから特許を取得して多額の費用を請求する「サブマリン特許」が問題となった。

 日本や欧州はこうした米国の制度の問題点を指摘し、1985年から先願主義への移行を求めてきた。だが、出願費用の負担を問題とする米国内の中小企業や、より長い保護期間を求める製薬業界などが反対し、政府の方針も二転三転してきた。

 今回の法改正は、制度統一に向けた5年前の日米欧特許当局の合意に基づく。最近のスマートフォン(高機能携帯電話)を巡る特許紛争に見られるように、国際的な知的財産戦略を重視するIT(情報技術)産業などが政府を後押しした形だ。

 米国の法改正を踏まえ、これから重要なことは、特許を国際的に相互承認する「世界特許」への流れをどう作っていくかだろう。特許協力条約(PCT)により、自国に出願すれば外国でも認められるようになったが、各国の審査業務にはばらつきがある。特許の新規性や範囲などの判断基準の統一も求められる。

 中国が鉄道の特許を出願するなど新興国も知財戦略を重視している。新興国が勝手に特許を認めれば、新たな国際紛争の火種になりかねず、新興国との制度統一も必要だ。

 米国の先願主義移行は日本の悲願だった。それが実現したことで、今度は日本の政府や企業も、国際的に通じる知財戦略の立案や特許人材の育成が問われている。
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