미국에서 이루어진 발명의 해외 출원 시 주의할 사항

미국은 자국의 전략 기술 및 안보를 보호하기 위해 미국에서 완성한 발명은 반드시 미국 USPTO에 먼저 출원하여야 하고(35 U.S.C. §184[i]), 미국출원이후 6개월이내에 ‘미국 이외 국가’(이하 “해외”라 합니다)에 출원하기 위해서는 해외출원허가(Foreign Filing Licenses)를 먼저 받아야 합니다(이하 “해외출원요건”이라 합니다) (C.F.R. §5.15[ii] 또는 35 U.S. Code § 181[iii] ).

MPEP 140 Foreign Filing Licenses [R-10.2019]

해외유출이 금지되어 Export Control 대상이 되는 기술은 주로 국방상 필요한 기술이거나 원자력과 관련된 기술입니다(22 C.F.R.§121-130, 10 C.F.R.§810). 

기술이 어떤 것이든 미국에서 이루어진 발명을 해외출원허가없이 해외에 출원하면 관련 미국 출원은 등록 받지 못할 뿐 아니라(35 U.S.C. §185), 설사 등록되었다고 하더라도 무효사유를 갖게 됩니다 (단, 해외출원허가를 받지 못한 것이 단순한 실수이었으며 속일 의사가 없었고 미국 안보에 나쁜 영향을 미칠 발명이 아니라는 것을 입증하면 무효는 면할 여지는 있습니다). 

만약 의도적으로 위반한 경우에는 벌금과 징역형에 처해질 수도 있습니다 (35 U.S. Code § 186 - Penalty [iv])).

나라마다 전략기술이나 국방상 필요한 발명의 해외유출을 방지하는 제도가 상이하고 특히 미국 규정은 복잡합니다. 사정이 이러하다 보니 미국 발명에 대한 Foreign Filing Licenses 제도가 다소 생소하여 무의식적으로 요건을 위반하여 무효되는 경우가 있으며 심지어 형사상 처벌대상이 되는 경우도 있습니다. 
마침 Karen Canaan가 작성한 Patent Application Foreign Filing Licenses (Export Control for Sensitive Technologies Described in Patent Applications)이란 제목으로 Patent Strategy & Management Volume 9, Number 3, August 2008에 실린 글이 있어서 몇가지 사안에 대하여 정리하였습니다.

<사안#1> 미국 발명을 해외에서 먼저 출원하는 행위

미국에서 이루어진 발명을 미국에 출원하지 않고 먼저 다른 국가 출원대리인에게 보내어 출원을 준비하게 하고 출원하는 행위는 미국의 해외출원요건을 위반한 것이므로, 해외에 출원하기 전에 미국 USPTO에 petition을 신청하여야 합니다. 미국에 대응하는 특허출원이 없다면 해외출원라이센스를 위한 출원인은 37 C.F.R. § 5.13 petition을 하여야 합니다.  이때 37 C.F.R. § 5.13 petition은 해외특허출원 전에 제출되어야만 합니다. 그러나 해외 특허출원이 이미 완료되었다면 출원인은 다소 까다로운 서류를 준비하여 37 C.F.R. § 5.25 retroactive foreign filing license petition을 하여야 합니다. 해외출원요건은 발명자의 국적과 무관하게 미국에서 발명의 완성에 기여되었다면 적용됩니다. 

미국 USPTO에 먼저 출원하면 해외유출을 엄격히 금지하는 기술이 아닌 이상 출원번호 통지와 함께 Foreign Filing Licenses 가 나오므로 미국부터 출원하는 편이 더 안전할 것입니다.

<사안#2> 미국 발명을 미국 및 해외 국가를 지정국으로 하여 해외 특허청을 수리관청으로 하여 PCT 출원하는 행위

이 역시 미국의 해외출원요건을 위반한 것입니다. PCT출원하고자 한다면 반드시 미국 USPTO를 수리관청으로 하여 출원하여야 합니다.

<사안#3> 미국 발명을 해외 국가의 전문가들에게 아웃소싱하여 미국특허출원을 준비하는 행위

이와 같이 아웃소싱을 위해 정보를 해외 전문가에게 제공하는 행위와 출원을 준비하는 행위는 출원이 아니고  미국 선출원 의무를 위반한 것이 아니므로 미국의 해외출원요건을 위반한 것은 아니라고 합니다[v]. 그러나 다루는 기술이 국방기술인지는 사전에 확인할 필요는 있습니다. 해외전문가에게 비밀유지의무 있더라도 국방기술은 Export Control 를 받아야 하기 때문입니다. 운이 나쁘면 미국 국방기술을 미국 이외 국가에 무단 반출하였다는 리스크가 발생할 수 있습니다. 미국 대리인의 의견을 구하는 것이 필요합니다

<사안#4> 미국 발명을 해외 소재 계열사 특허팀에 보내어 평가 및 검토하는 행위

해외 계열사나 모회사에 미국발명자료와 실험 데이터를 보내는 행위는 기술의 해외이전의 성격이 포함되었다고 볼 수 있습니다. 그러나 이러한 행위는 출원이 아니고 미국 선출원 의무를 위반한 것이 아니므로 미국의 해외출원요건을 위반한 것은 아니라고 합니다[vi]. 

그러나 미국 국가과제 기술을 소유한 기업인수를 실사한 경험에 따르면 미국 기업이나 연구기관, 대학 중에는 미국 국방상 필요한 발명을 개발하는 경우가 종종 있으며 이러한 기술을 해외 계열사나 모회사에 보내는 행위는 국방기술 등을 미국 이외 국가에 무단 반출하였다는 리스크가 발생할 수 있습니다. 특히 군수품을 취급하는 회사는 더 신중하게 살펴야 합니다. 

전략기술이나 국방기술을 무단 반출하면 미국대외무역법위반 (Export Control) 리스크가 발생할 수 있습니다. 특히 미국 국가과제 또는 정부지원과제에서 나온 발명은 더욱더 주의하여야 합니다. 

참고로 미국 U.S. Export Control System의 개요를 설명한 사이트를 소개합니다.

1) Export Control and Related Border Security (EXBS) Program

2) Export Control and Related Border Security Program

3) Overview of U.S. Export Control System

4) Red Flags and Watch Lists

미국 대리인의 의견을 구하는 것이 필요합니다. Export Control 과 관련된 법률자문은 제법 큰 돈이 들더군요.

<사안#5> 공동발명자 중 한명이 미국에서 참여한 발명을 해외에서 먼저 출원하는 행위

공동발명자들 중 한명이라도 미국에서 발명에 참여하였다면 해외출원요건을 위반한 것이 됩니다. 또한 발명이 완성 후 양도되었더라도 해외출원요건은 적용됩니다.

앞에서 살펴본 바와 같이 글로벌 해외계열사를 보유한 모기업이 해외 계열사의 특허출원전략을 구상한다면 어떤 나라에 어떤 선출원강제조항이 어떤 방식과 절차로 규정되어 있는 지와 그 위반시 제재 사항을 검토하여 어느 국가부터 선출원할 지에 대한 정책적 사안에 반영하여야 할 것입니다. 

글로벌 발명에 대한 전략적인 출원국 선택에는 주요국가의 법규와 제도에 대한 이해가 기초되어야 합니다. 

한편으로 우리나라는 대한민국에서 이루어진 발명에 대해 이러한 국내 선출원 강제원칙도 없고 해외출원허가제도도 없으며 위반시 실효성있는 제재도 없습니다.  국내발명의 국내출원 장려도 되고 국가안보기술의 유출을 예방하는 취지에서 국내 선출원 의무 도입의 필요성이 있습니다.

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[i] 5 U.S. Code § 184 - Filing of application in foreign country

(a)Filing in Foreign Country.—

Except when authorized by a license obtained from the Commissioner of Patents a person shall not file or cause or authorize to be filed in any foreign country prior to six months after filing in the United States an application for patent or for the registration of a utility model, industrial design, or model in respect of an invention made in this country. A license shall not be granted with respect to an invention subject to an order issued by the Commissioner of Patents pursuant to section 181 without the concurrence of the head of the departments and the chief officers of the agencies who caused the order to be issued. The license may be granted retroactively where an application has been filed abroad through error and the application does not disclose an invention within the scope of section 181.

(b)Application.—

The term “application” when used in this chapter includes applications and any modifications, amendments, or supplements thereto, or divisions thereof.

[ii] 37 CFR 5.15: SCOPE OF LICENSE

5.15    SCOPE OF LICENSE.

(a) Applications or other materials reviewed pursuant to §§ 5.12 through 5.14, which were not required to be made available for inspection by defense agencies under 35 U.S.C. 181, will be eligible for a license of the scope provided in this paragraph. This license permits subsequent modifications, amendments, and supplements containing additional subject matter to, or divisions of, a foreign application, if such changes to the application do not alter the general nature of the invention in a manner that would require the United States application to have been made available for inspection under 35 U.S.C. 181. Grant of this license authorizes the export and filing of an application in a foreign country or to any foreign patent agency or international patent agency when the subject matter of the foreign application corresponds to that of the domestic application. This license includes authority:

(1) To export and file all duplicate and formal application papers in foreign countries or with international agencies;

(2) To make amendments, modifications, and supplements, including divisions, changes or supporting matter consisting of the illustration, exemplification, comparison, or explanation of subject matter disclosed in the application; and

(3) To take any action in the prosecution of the foreign application provided that the adding of subject matter or taking of any action under paragraph (a)(1) or (2) of this section does not change the general nature of the invention disclosed in the application in a manner that would require such application to have been made available for inspection under 35 U.S.C. 181 by including technical data pertaining to:

(i) Defense services or articles designated in the United States Munitions List applicable at the time of foreign filing, the unlicensed exportation of which is prohibited pursuant to the Arms Export Control Act, as amended, and 22 CFR parts 120 through 130; or

(ii) Restricted Data, sensitive nuclear technology or technology useful in the production or utilization of special nuclear material or atomic energy, dissemination of which is subject to restrictions of the Atomic Energy Act of 1954, as amended, and the Nuclear Non- Proliferation Act of 1978, as implemented by the regulations for Assistance to Foreign Atomic Energy Activities, 10 CFR part 810, in effect at the time of foreign filing.

(b) Applications or other materials which were required to be made available for inspection under 35 U.S.C. 181 will be eligible for a license of the scope provided in this paragraph. Grant of this license authorizes the export and filing of an application in a foreign country or to any foreign patent agency or international patent agency. Further, this license includes authority to export and file all duplicate and formal papers in foreign countries or with foreign and international patent agencies and to make amendments, modifications, and supplements to, file divisions of, and take any action in the prosecution of the foreign application, provided subject matter additional to that covered by the license is not involved.

(c) A license granted under § 5.12(b) pursuant to § 5.13 or § 5.14 shall have the scope indicated in paragraph (a) of this section, if it is so specified in the license. A petition, accompanied by the required fee (§ 1.17(g) of this chapter), may also be filed to change a license having the scope indicated in paragraph (b) of this section to a license having the scope indicated in paragraph (a) of this section. No such petition will be granted if the copy of the material filed pursuant to § 5.13 or any corresponding United States application was required to be made available for inspection under 35 U.S.C. 181. The change in the scope of a license will be effective as of the date of the grant of the petition.

(d) In those cases in which no license is required to file or export the foreign application, no license is required to file papers in connection with the prosecution of the foreign application not involving the disclosure of additional subject matter.

(e) Any paper filed abroad or transmitted to an international patent agency following the filing of a foreign application that changes the general nature of the subject matter disclosed at the time of filing in a manner that would require such application to have been made available for inspection under 35 U.S.C. 181 or that involves the disclosure of subject matter listed in paragraph (a)(3)(i) or (ii) of this section must be separately licensed in the same manner as a foreign application. Further, if no license has been granted under § 5.12(a) on filing the corresponding United States application, any paper filed abroad or with an international patent agency that involves the disclosure of additional subject matter must be licensed in the same manner as a foreign application.

(f) Licenses separately granted in connection with two or more United States applications may be exercised by combining or dividing the disclosures, as desired, provided:

(1) Subject matter which changes the general nature of the subject matter disclosed at the time of filing or which involves subject matter listed in paragraphs (a)(3) (i) or (ii) of this section is not introduced and,

(2) In the case where at least one of the licenses was obtained under § 5.12(b), additional subject matter is not introduced.

(g) A license does not apply to acts done before the license was granted. See § 5.25 for petitions for retroactive licenses.

[iii] 35 U.S. Code § 181 - Secrecy of certain inventions and withholding of patent

Whenever publication or disclosure by the publication of an application or by the grant of a patent on an invention in which the Government has a property interest might, in the opinion of the head of the interested Government agency, be detrimental to the national security, the Commissioner of Patents upon being so notified shall order that the invention be kept secret and shall withhold the publication of the application or the grant of a patent therefor under the conditions set forth hereinafter.

Whenever the publication or disclosure of an invention by the publication of an application or by the granting of a patent, in which the Government does not have a property interest, might, in the opinion of the Commissioner of Patents, be detrimental to the national security, he shall make the application for patent in which such invention is disclosed available for inspection to the Atomic Energy Commission, the Secretary of Defense, and the chief officer of any other department or agency of the Government designated by the President as a defense agency of the United States.

Each individual to whom the application is disclosed shall sign a dated acknowledgment thereof, which acknowledgment shall be entered in the file of the application. If, in the opinion of the Atomic Energy Commission, the Secretary of a Defense Department, or the chief officer of another department or agency so designated, the publication or disclosure of the invention by the publication of an application or by the granting of a patent therefor would be detrimental to the national security, the Atomic Energy Commission, the Secretary of a Defense Department, or such other chief officer shall notify the Commissioner of Patents and the Commissioner of Patents shall order that the invention be kept secret and shall withhold the publication of the application or the grant of a patent for such period as the national interest requires, and notify the applicant thereof. Upon proper showing by the head of the department or agency who caused the secrecy order to be issued that the examination of the application might jeopardize the national interest, the Commissioner of Patents shall thereupon maintain the application in a sealed condition and notify the applicant thereof. The owner of an application which has been placed under a secrecy order shall have a right to appeal from the order to the Secretary of Commerce under rules prescribed by him.

An invention shall not be ordered kept secret and the publication of the application or the grant of a patent withheld for a period of more than one year. The Commissioner of Patents shall renew the order at the end thereof, or at the end of any renewal period, for additional periods of one year upon notification by the head of the department or the chief officer of the agency who caused the order to be issued that an affirmative determination has been made that the national interest continues so to require. An order in effect, or issued, during a time when the United States is at war, shall remain in effect for the duration of hostilities and one year following cessation of hostilities. An order in effect, or issued, during a national emergency declared by the President shall remain in effect for the duration of the national emergency and six months thereafter. The Commissioner of Patents may rescind any order upon notification by the heads of the departments and the chief officers of the agencies who caused the order to be issued that the publication or disclosure of the invention is no longer deemed detrimental to the national security.

[iv] 35 U.S. Code § 186 - Penalty

Whoever, during the period or periods of time an invention has been ordered to be kept secret and the grant of a patent thereon withheld pursuant to section 181, shall, with knowledge of such order and without due authorization, willfully publish or disclose or authorize or cause to be published or disclosed the invention, or material information with respect thereto, or whoever willfully, in violation of the provisions of section 184, shall file or cause or authorize to be filed in any foreign country an application for patent or for the registration of a utility model, industrial design, or model in respect of any invention made in the United States, shall, upon conviction, be fined not more than $10,000 or imprisoned for not more than two years, or both.

[v] Karen Canaan, Patent Application Foreign Filing Licenses(Export Control for Sensitive Technologies Described in Patent Applications), Patent Strategy & Management Volume 9, Number 3,  August 2008

[vi] Karen Canaan, Patent Application Foreign Filing Licenses(Export Control for Sensitive Technologies Described in Patent Applications), Patent Strategy & Management Volume 9, Number 3,  August 2008