Which should take precedence, a research paper or a patent? Researchers, here's why you should prioritize patents first. If you don't file for a patent before publishing your research in a paper, your work may no longer be considered "novel," making it difficult to obtain a patent. This article will explore the relationship between papers and patents, particularly the impact of publishing on patent applications. We’ll also review the exceptions to public disclosure under various national patent laws and why patents should come before papers.

Risks of Publishing Research

Publishing research results in a paper means making that information public. Once public, the information is no longer considered "new," which can be a significant issue for patent applications. This is because "novelty" is a fundamental requirement for patentability.

However, many researchers in Korea believe there’s no problem because of the "grace period" for public disclosures. Korea's patent law operates under Article 30, which allows inventors to file a patent application within 12 months of publicly disclosing their invention without losing its novelty. But this applies only within Korea, and foreign filings are subject to the laws of each country.

Issues with International Patent Filings

When considering international patent filings, this issue becomes more critical. Let’s look at how different countries handle this matter:

1. United States
   The U.S. is highly flexible regarding grace periods. Under U.S. patent law, even if an invention is disclosed outside the U.S., as long as a patent is filed within 12 months under the Paris Convention, the U.S. will still recognize the grace period. This means that after a paper is published, there is relatively more time to file a patent in the U.S.
2. Japan
   In Japan, the grace period has been extended from 6 months to 12 months, but this is still limiting. If you don’t file in Japan within 12 months of publication, patent protection is no longer available. Furthermore, if you filed a patent in Korea after disclosing the invention in a paper, it may render the Paris Convention or international patent applications ineffective in Japan.
3. Europe
   In Europe, the grace period is only six months, and the conditions for claiming it are highly restrictive. Only public disclosures due to evident abuse or those made at officially recognized international exhibitions are exempt. Papers do not qualify for this exception, so you must file a patent before publishing in Europe.
4. China
   China’s grace period is also just six months, and its conditions are very strict. The exceptions apply only to inventions disclosed at international exhibitions or conferences recognized by the Chinese government. General academic publications are not covered. Therefore, if you wish to secure a patent in China, you must file before any paper is published.

Case Study of Publication Risk

One striking example of the danger of publishing before filing a patent is the case decided by the European Patent Office (EPO) on November 30, 2021 (T 0582/18). In this case, the patent holder, "Wide Automation S.r.l.," filed a patent for an invention titled "Monitoring system and method." The key issue was whether a master’s thesis related to the invention had been publicly disclosed before the patent application. Peter Anderson-Sprecher, a researcher at Carnegie Mellon University, had written a thesis titled "Intelligent Monitoring of Assembly Operations." The thesis was made public before the patent was filed, ultimately leading to the patent being invalidated.

Conclusion

Due to these differences in national patent laws, researchers must be particularly cautious when developing patent strategies. This is especially important in international collaborative research or for those working in multinational companies, where such legal differences can have significant implications.

The safest approach is to always file a patent before disclosing your research in any form. By doing so, you protect your valuable intellectual property and prevent future legal complications.

The principle of "Patents before Papers" is an essential guideline for researchers in today’s technological world. While sharing academic achievements is crucial, protecting your invention legally must come first. By prioritizing patent applications, you safeguard your rights and help bring your research to the industrial market and society.

Make sure you are well-versed in the patent laws and grace periods of each country, and if necessary, seek expert advice to protect your research effectively.

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[Reference]

Here are the relevant legal provisions comparing Korea, the U.S., Japan, Europe, and China:

1. Korean Patent Act Article 30

제30조(공지 등이 되지 아니한 발명으로 보는 경우)
① 특허를 받을 수 있는 권리를 가진 자의 발명이 다음 각 호의 어느 하나에 해당하게 된 경우 그 날부터 12개월 이내에 특허출원을 하면 그 특허출원된 발명에 대하여 제29조제1항 또는 제2항을 적용할 때에는 그 발명은 같은 조 제1항 각 호의 어느 하나에 해당하지 아니한 것으로 본다.

1. 특허를 받을 수 있는 권리를 가진 자에 의하여 그 발명이 제29조제1항 각 호의 어느 하나에 해당하게 된 경우. 다만, 조약 또는 법률에 따라 국내 또는 국외에서 출원공개되거나 등록공고된 경우는 제외한다.
2. 특허를 받을 수 있는 권리를 가진 자의 의사에 반하여 그 발명이 제29조제1항 각 호의 어느 하나에 해당하게 된 경우.

② 제1항제1호를 적용받으려는 자는 특허출원서에 그 취지를 적어 출원하여야 하고, 이를 증명할 수 있는 서류를 산업통상자원부령으로 정하는 방법에 따라 특허출원일부터 30일 이내에 특허청장에게 제출하여야 한다.

③ 제2항에도 불구하고 산업통상자원부령으로 정하는 보완수수료를 납부한 경우에는 다음 각 호의 어느 하나에 해당하는 기간에 제1항제1호를 적용받으려는 취지를 적은 서류 또는 이를 증명할 수 있는 서류를 제출할 수 있다.

1. 제47조제1항에 따라 보정할 수 있는 기간.
2. 제66조에 따른 특허결정 또는 제176조제1항에 따른 특허거절결정 취소심결(특허등록을 결정한 심결에 한정하되, 재심심결을 포함한다)의 등본을 송달받은 날부터 3개월 이내의 기간. 다만, 제79조에 따른 설정등록을 받으려는 날이 3개월보다 짧은 경우에는 그 날까지의 기간.

2. 35 U.S. Code § 102 (b) Exceptions

35 U.S. Code § 102 - Conditions for patentability; novelty (b)Exceptions.
(1) Disclosures made 1 year or less before the effective filing date of the claimed invention.
A disclosure made 1 year or less before the effective filing date of a claimed invention shall not be prior art to the claimed invention under subsection (a)(1) if—

(A) the disclosure was made by the inventor or joint inventor or by another who obtained the subject matter disclosed directly or indirectly from the inventor or a joint inventor; or

(B) the subject matter disclosed had, before such disclosure, been publicly disclosed by the inventor or a joint inventor or another who obtained the subject matter disclosed directly or indirectly from the inventor or a joint inventor.

3. Japanese Patent Law Article 30

（発明の新規性の喪失の例外）

第三十条特許を受ける権利を有する者の意に反して第二十九条第一項各号のいずれかに該当するに至つた発明は、その該当するに至つた日から一年以内にその者がした特許出願に係る発明についての同項及び同条第二項の規定の適用については、同条第一項各号のいずれかに該当するに至らなかつたものとみなす。

２特許を受ける権利を有する者の行為に起因して第二十九条第一項各号のいずれかに該当するに至つた発明（発明、実用新案、意匠又は商標に関する公報に掲載されたことにより同項各号のいずれかに該当するに至つたものを除く。）も、その該当するに至つた日から一年以内にその者がした特許出願に係る発明についての同項及び同条第二項の規定の適用については、前項と同様とする。

３前項の規定の適用を受けようとする者は、その旨を記載した書面を特許出願と同時に特許庁長官に提出し、かつ、第二十九条第一項各号のいずれかに該当するに至つた発明が前項の規定の適用を受けることができる発明であることを証明する書面（次項において「証明書」という。）を特許出願の日から三十日以内に特許庁長官に提出しなければならない。

４証明書を提出する者がその責めに帰することができない理由により前項に規定する期間内に証明書を提出することができないときは、同項の規定にかかわらず、その理由がなくなつた日から十四日（在外者にあつては、二月）以内でその期間の経過後六月以内にその証明書を特許庁長官に提出することができる。

4. European Patent Convention Article 55

Article 55 - Non-prejudicial disclosures
(1) For the application of Article 54, a disclosure of the invention shall not be taken into consideration if it occurred no earlier than six months preceding the filing of the European patent application and if it was due to, or in consequence of:

(a) an evident abuse in relation to the applicant or his legal predecessor, or

(b) the fact that the applicant or his legal predecessor has displayed the invention at an official, or officially recognised, international exhibition falling within the terms of the Convention on international exhibitions signed at Paris on 22 November 1928 and last revised on 30 November 1972.

(2) In the case of paragraph 1(b), paragraph 1 shall apply only if the applicant states, when filing the European patent application, that the invention has been so displayed and files a supporting certificate within the time limit and under the conditions laid down in the Implementing Regulations.

5. Chinese Patent Law Article 24
第二十四条 申请专利的发明创造在申请日以前六个月内，有下列情形之一的，不丧失新颖性：

（一）在国家出现紧急状态或者非常情况时，为公共利益目的首次公开的；

（二）在中国政府主办或者承认的国际展览会上首次展出的；

（三）在规定的学术会议或者技术会议上首次发表的；

（四）他人未经申请人同意而泄露其内容的。

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