美国商业方法专利的十年扩张与轮回：从道富案到Bilski案的历史考察

[13]See USPTO, Automated Financial or Management Data Processing Methods（Business Methods），White Paper Ver. 1. 43，issued in 2000（以下称“USPTO White Paper”），at 6-7. Available at http://.uspto. gov/patents/resources/methods/whitepaper. pdf（本文引用的所有电子文献的最后访问时间都是2010年9月6日，以下不再一一注明）．《国际专利分类表》第八版（International Patent Classification, 8th edition, 2006年初生效）为商业方法专利创设的分类类别为“G06F17/60”。
[14]See Edmund Burke Commisioner of Patents, List of Patents for Inventions and Designs, issued by the United States from 1790 to 1847。转引自USPTO White Paper, at 2-3.
[15]See Hotel Security Checking Co v.Lorraine Co.，160 F.467 （2d Cir. 1908）．
[16]Joseph E. Seagram ＆ Sons v. Marzell, 180 F. 2d 26, at 28（D. C. Cir. 1950）．
[17]See Giles S. Rich, The Principles of Patentability, 14 Fed. Cir. B. J. 135 （reprinted from 28 Geo. Wash. L. Rev. 393，1960），at 135-136.
[18]See In re Chakrabarty, 571 F. 2d 40（CCPA 1978）；In re Diehr, 602 F. 2d 982（CCPA 1979）
[19]See In re Bilski, 545 F. 3d 943，at 959-960（Fed. Cir. 2008）．
[20]See Arrhythmia Research Technology Inc.vCorazonix Corp.，958 F. 2d 1053（Fed. Cir. 1992）．
[21]See In re Alappat, 33 F. 3d 1526（Fed. Cir. 1994）
[22]See State Stree Bank ＆ Trust Co.v．Signature Financial Group, Inc.，149 F. 3d 1368，at 1373（Fed. Cir. 1998）．
[23]State Stree Bank＆Trust Co. v. Signature Financial Group, Inc.，149 F. 3d 1368，at 1375（Fed. Cir. 1998）．
[24]See Stree Bank＆Trust Co. v. Signature Financial Group, Inc.，525 U. S. 1093（1999）．
[25]See AT＆T Corporation v. Excel Communications, Inc.，172 F. 3d 1352（Fed. Cir. 1999）．
[26]John R. Thomas, The Patenting of the Liberal Professions, 40 B.C.L.Rev.1139,1160（1999）．转引自In re Bilski, 545 F. 3d 943（Mayer, J.，dissenting）．
[27]William Krause, Sweeping the E-Commerce Patent Minefield: The Need for a Workable Business Method Exception, 24 Seattle U. L. Rev. 79, 101 （2000）．转引自In re Bilski, 545 F. 3d 943 （ Mayer, J. , dissenting）.
[28]See Bilski v. Kappos, 130 S. Ct. 3218，at 3248 （2010）（Stevens, J.，concurring）．
[29]In re Bilski, 545 F. 3d 943，at 1004（2008）（Mayer, J.， dissenting）．
[30]See 35 U. S. C. 273 （a） （3）．
[31]See USPTO, Patenting In Technology Classes-Count of 1963-2008 Utility Patent Grants（Class 705），at http://www.uspto. gov/web/offices/ac/ido/oeip/taf/tecstca/705clstc_ gd. htm.
[32]See USPTO White Paper-Automated Business Methods-Section III Class 705. At http: //www. uspto. gov/patents/resources/methods/afmdpm/class705. jsp
[33]See MPEP§706. 03（a）（1994）．
[34]See Ex Parte Lundgren, Appeal No. 2003-2088 (BPAI 2005)．
[35]See European Patent Convention, Article 52（1）．
[36]需要说明，本文以下主要分析的数据是USPTO专门对于第705类专利进行检索得到的结果。如果运用“交互参照” （cross－inference）方法加以补充，相应的专利还会大幅增加。See USPTO-Patent Technology Monitoring Team (PTMT) , Patent Counts By Class By Year, Table Al-1 and Table Al-2, at http: //www. uspto. gov/web/offices/ac/ido/oeip/taf/cbcby. htm.
[37]在1997年第705类创立之前，相关专利基本处于第395类和第364类（这两个分类早期分别是从第235类分离出来）。See USPTO White Paper-Automated Business Methods-Section III Class 705.
[38]See USPTO, Patenting In Technology Classes, Count of 1963-2008 Utility Patent Grants（Class 705），at http: //www. uspto. gov/web/offices/ac/ido/oeip/taf/tecstea/705clstc_gd.htm;Count of 2005-2009 Utility Patent Grants（Class 705），at http://www.uspto. gov/web/offices/ac/ido/oeip/taf/teeste/705clstc-gd.htm.
[39]See USPTO, Patenting In Technology Classes-Count of 1963-2008 Utility Patent Grants（Class 705）．
[40]USPTO White Paper, at 9.
[41]Douglas L. Price, Assessing the Patentability of Financial Services and Products, 3 J. High Tech. L. 141 , at 153, 155．转引自In re Bilski, 545 F. 3d 943，at 1004-1005 （Mayer, J.，dissenting）
[42]See, e. g.，In re Bilski, 545 F. 3d 943，at 1004-1005 （Mayer, J.，dissenting）
[43]In re Bilski, 545 F. 3d 943，at 1004（Mayer, J.，dissenting）
[44]See USPTO White Paper, at 12-22.
[45]See USPTO, FY 2009 USPTO Performance and Accountability Report, 3. 2. 2，at http://www．uspto. gov/web/offices/com/annual/2009/mda 02 02. html.
[46]See Robert M. Hunt, Business Method Patents and U. S. Financial Services, Federal Reserve Bank of Philadelphia Working Paper No. 08-10/R, February 2009，at 3，available at http: //www. philadelphiafed. org/research-and-data/publications/workingpapers/; USPTO,FY 2007 USPTO Performance and Accountability Report, 3. 2. 2, at http: //www. uspto. gov/web/offices/com/annual/2007/30202_sglperfrm. html.
[47]USPTO, Class 705 Application Filing and Patents Issued Data, at http: //www. uspto. gov/patents/resources/methods/applicationtil-ing. jsp．注意此处USPTO的统计数据与上述表1中的一些统计数据不符，但相差较小，并不影响相关结论。
[48]See Robert M. Hunt, supra note 46, at 5.
[49]See Robert M. Hunt, supra note 46，at 6-9.
[50]See Josh Lerner,“ The Litigation of Financial Innovations” , NBER Working Paper No. 14324, 2008．转引自Robert M. Hunt, supra note 46，at 15-16.
[51]See Robert M. Hunt, supra note 46, at 17-18.
[52]See Brenner v.Manson, 383 U. S. 519, at 529（1966）．
[53]ee James Bessen and Michael J. Meurer, Patent Failure : How Judges, Bureaucrats, and Lawyers Put Innovators at Risk, 2008，Prin-ceton: Princeton University Press转引自Robert M. Hunt, supra note 46 , at 28.
[54]See Robert M. Hunt, supra note 46, at 28-29.
[55]See Amazon. com v. Barnesandnoble. com, 239 F. 3d 1343（Fed. Cir. 2001）．
[56]GNU, Why we boycott Amazon, at http: //www. gnu. org/philosophy/amazon. html.
[57]See Jeff Bezos, Bezos and O’Reilly Spearhead Call for Patent Reform-An open letter from Jeff Bezos on the subject of patents, published on March 9, 2000, at http: //oreilly. com/news/amazon_ patents. html.
[58]See Larry Downes, Supreme Court hedges on business method patents, at http: //news. cnet. com/8301-13578_3-20009046-38. html.
[59]See In re Bilski, 545 F. 3d 943，at 949-950 （Fed. Cir. 2008）．
[60]See In re Freeman, 573 F. 2d 1237（CCPA 1978）；In re Walter, 618 F. 2d 758（CCPA 1980）；In re Abele, 684 F. 2d 902（CCPA1982）．
[61]See In re Bilski, 545 F. 3d 943，at 961- 962 （Fed. Cir. 2008）．
[62]See In re Bilski, 545 F. 3d 943，at 963-964 （Fed. Cir. 2008）．
[63]See In re Bilski, 545 F. 3d 943，at 960 （Fed. Cir. 2008）．
[64]In re Bilski, 545 F. 3d 943，at 998 （Mayer, J.，dissenting）．
[65]See USPTO, Guidance for Examining Process Claims in view of In re Bilski, signed on January 7，2009, at http://www.uspto. gov/web/offices/pac/dapp/opla/documents/bilski_ guidance_ memo. pdf.
[66]See eBay v.MercExchange, 547 U. S. 388, at 397 （2006） （Kennedy, J.，dissenting）．
[67]See Lab. Corp. of Am. Holdings v.Metabolite Labs.，Inc.，548 U. S. 124, at 136-137（Breyer, J.， dissenting）．
[68]See Diamond v. Diehr, 450 U. S. 175，at 182 （1981）；BilskivKappos, 130 S. Ct. 3218，at 3225-3226 （2010）．
[69]依据该规则，对于含义模糊的概念，可从与之联系的相邻词语中寻求更为准确的解释。See United States v.Stevens, 130S. Ct. 1577，at 1588 （2010）；BilskivKappos, 130 S. Ct. 3218，at 3226 （2010）．
[70]35 U. S. C. § 100 （b）．
[71]See BilskivKappos, 130 S. Ct. 3219, at 3225-3226 （2010）．
[72]See Corleyv·United States, 129 S. Ct. 1558，at 1566-1567（2009）；BilskivKappos, 130 S. Ct. 3218，at 3228-3229 （2010）．
[73]Bilskiv．Kappos, 130 S. Ct. 3218，at 3231 （2010）．
[74]BilskivKappos, 130 S. Ct. 3218，at 3257 （2010）（Stevens, J.，concurring）．
[75]See Peter Whoriskey, “High court relaxes limits on patents; But it rejects a claim for a business method”，The Washington Post, June29, 2010, at A07.
[76]John Schwartz, “Broad View Of Patents On Methods”，The New York Times, June 29, 2010, at 1.
[77]Steve Lohr, “Ruling leaves patent law unclear”，The International Herald Tribune, June 30, 2010, at 19.
[78]ibid.
[79]See John Schwartz, supra note 76; Steve Lohr, supra note 77.
[80]See Bilski v. Kappos，130 S. Ct. 3218, at 3227-3228 （2010）．
[81]See Bilski v.Kappos, 130 S. Ct. 3218, at 3228（2010）．
[82]Bilskiv．Kappos, 130 S. Ct. 3218，at 3249-3250, 3257 （2010）（Stevens, J.，concurring）.
[83]European Patent Convention, Articles 52 （1），52 （2）-（3）．
[84]See, e. g.，EPO 0931/95 （2000）；Guidelines for Examination in the European Patent Office （2010），Part C，Chapter IV-I，1.2（ii）；Chapter IV-4, 2.3.5.
[85]See UK Patent Act （19T7, amended 2007），Section 1 （2）（c）．
[86]参见我国《专利法》（2008年修订）第二条第二款、第二十五条第一款第（二）项；《专利审查指南》（2010）第二部分第一章第4.2节、第二部分第九章第2节。