BasicsofPatentProtection

SueA.Purvis
InnovationandOutreachCoordinator
NewYorkCityRegion

Outline

OverviewofIntellectualProperty
WhatisaPatent?
WhygetaPatent?
WhocanfileforaPatent?
TypesofPatents
RequirementsforPatentability
HowisaPatentgranted?
HowlongdoesittaketogetaPatentintheUnitedStates?
PatentingConsiderations
TradeSecretvs.Patent

OverviewofIntellectualProperty
WhatsProtected?

Examples

Protection Lastsfor:

Utility
Patent

Inventions

iPod,chemical fertilizer,
processofmanipulating
genetictraitsinmice

20yearsfromthedateof
filingregularpatent
application

Design
Patent

Ornamental(nonfunctional)
designs

Uniqueshapeof electric
guitar,designfora lamp

14years

Copyright

Books,photos,music,fineart,
graphic images,videos,films,
architecture,computer
programs

MichaelJacksonsThriller
(music,artworkandvideo),
Windowsoperatingsystem

Thelifeoftheauthorplus70
years(orforsomeworks,95
yearsfromfirstpublication)

Trade
Secret

Formulas,methods,devices or
compilationsof information
whichisconfidentialandgives
abusinessanadvantage

CocaColaformula,survey
methodsusedbyapollster,
newinventionforwhich
patentapplicationhasnot
beenfiled

Aslongasinformation
remainsconfidentialand
functionsasatradesecret

Trademark

Words,symbols,logos,
designs,orslogansthat
identifyanddistinguish
productsorservices

CocaColanameand
distinctive logo,Pillsbury
doughboycharacter

Aslongasbusiness
continuouslyusestrademark
inconnectionwithgoodsor
services

SomeIPfoundinamobilephone
Trademarks:
Made by "Nokia"
Product "N95"
Software "Symbian", "Java"
Patents:
Data-processing methods
Semiconductor circuits
Chemical compounds
Battery/Power Control
Antenna
Copyrights:
Software code
Instruction manual
Ringtone

Nokia

Trade secrets:
???
Designs (some of them registered):
Form of overall phone
Arrangement of buttons in oval shape
Three-dimensional wave form of buttons
Sliding screen
4

WhatisaPatent?
APropertyRight
Righttoexcludeothers frommaking,using,
selling,offeringforsaleorimportingthe
claimedinvention
Limitedterm
Territorial:protectiononlyinterritorythat
grantedpatent;NOworldwidepatent

QuidProQuo
TimeLimited
Monopoly

DisclosesInvention

RoleofthePatentSystem
ProtectInventions

EncourageInventions

Promotecommercializationandapplicationof
invention
Acceleratethecommercializationofinventiontothe
wholesociety

FirstU.S.Patent

Patent No x-1
(July 31, 1790)

Signed by
George Washington

WhyGetaPatent?
Apatentcanbe
Usedtogainentrytoamarket
Usedtoexcludeothersfromamarket
Usedasamarketingtooltopromoteunique
aspectsofaproduct
Soldorlicensed,likeotherproperty

WhoCanFileforaPatent?
Anyonefromanywheremayapply,withonlyone
exception:
OfficersandemployeesoftheUSPTO
35U.S.C.4 Restrictionsonofficersandemployeesastointerestinpatents

OfficersandemployeesofthePatentandTrademarkOfficeshallbe
incapable,duringtheperiodoftheirappointmentsandforoneyear
thereafter,ofapplyingforapatentandofacquiring,directlyor
indirectly,exceptbyinheritanceorbequest,anypatentoranyrightor
interestinanypatent,issuedortobeissuedbytheOffice

Anassignee,apersontowhomtheinventorisunder
anobligationtoassign,orapersonwhootherwise
showssufficientproprietaryinterest
10

BasisforProtectionofPatentsand
CopyrightintheU.S.
US Constitution, Article 1, Section 8, Clause 8
Congress shall have the power ... to promote the
progress of science and useful arts, by securing for limited
times to authors and inventors the
exclusive right to their respective
writings and discoveries.

11

OverviewofPatentLaw
SourcesofLaw

Statutory
35U.S.C.(PatentCode)

Rules:37C.F.R.(PatentRegulations)
RulesgoverningtheoperationoftheUSPTO;may
bechangedbytheUSPTOfollowingtheproper
procedure

CaseLaw
TheUnitedStateshasacommonlawsystem
Courtcasesshapetheinterpretationoflaws
12

TypesofU.S.Patents
Utility Howaninventionworks
Inventions
Functionality
20yeartermfromfilingdate

Design Howitlooks
ornamentaldesigndescribed&shown
14yeartermfromgrantdate

Plant newvarietyofasexuallyreproducedplant.
20yeartermfromfilingdate

13

UtilityPatent

14

DesignPatent
Protectsthewayanarticlelooks,including
itsshapeandconfiguration,aswellas
surfaceornamentationappliedtothearticle

15

PlantPatentPP20,900

16

RequirementsforPatentability
35USC101 Utility,StatutorySubjectMatter
35USC112(a) Enablement,written
description,andbestmode
35USC112(b) Definiteness

35USC102 Anticipation

35USC103 Obviousness

17

35U.S.C.101
Whoeverinventsordiscoversanynewand
useful process,machine,manufacture,or
compositionofmatter,orany newanduseful
improvementthereof,mayobtainapatent
therefore,subjecttotheconditionsand
requirementsofthistitle.

18

UtilityPatents
Process/
method/
Use

Composition
ofMatter/
Product/
Manufacture

Typesof
Inventions

Machine/
apparatus

Improvement
thereof

19

35U.S.C.112(a)
Thespecificationshallcontain
awrittendescription oftheinvention,andof
themannerandprocessofmakingandusingit,
insuchfull,clear,concise,andexacttermsastoenable
anypersonskilledintheart
towhichitpertains,orwithwhichitismostnearlyconnected,
tomakeandusethesame,

andshallsetforththebestmode
contemplatedbytheinventorofcarryingouthisinvention

20

35U.S.C.112(b)
Thespecificationshallconcludewith
oneormoreclaims
particularlypointingoutand
distinctlyclaiming
thesubjectmatterwhichtheapplicantregardsashis
invention

21

35U.S.C.102
35U.S.C.102 aninventionmustbenew
Aninventionlacksnovelty(i.e.,isanticipated)onlyif
eachandeveryelementassetforthintheclaimisfound,
eitherexpresslyorinherently,
inasinglepriorartreference

Referencemustteacheveryaspectoftheclaimed
inventioneitherexplicitlyorimpliedly
Anyfeaturenotdirectlytaughtmustbeinherentlypresent

22

35U.S.C.103
35U.S.C.103 aninventionmustbenonobvious
Morethanamereobviousmodificationofthepriorart
Referenceteachingsmustsomehowbemodifiedtomeetthe
claims
Modificationmustbeonewhichwouldhavebeenobvioustooneof
ordinaryskillintheartatthetimetheinventionwasmade

Theteachingsofmultiplereferencesmaybecombinedunder
103

23

Itsallabouttheclaims!
Protectionislimitedtowhatisclaimed
Duringprosecution,claimsaresearched,mayberejected,
amended,andallowed
Specificationmayincludenumerousembodimentsand
elements
butonlysubjectmatterclaimedisaffordedprotection
ExaminerworkswiththeApplicanttofocustheclaimsonnovel
aspectsoftheinvention
Broadestreasonableinterpretationduringexamination
Searchofinventionmayextendtounrelatedareas
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37CFR1.77(a):ElementsofanApplication
1.Utilityapplicationtransmittalform.
2.Feetransmittalform.
3.Applicationdatasheet bibliographicinformation.
4. Specification.
Abstract,title,crossreferencestorelatedapplications,
backgroundofinvention,summaryofinvention,brief
descriptionofdrawings,detaileddescription,claims,etc.
5. Drawings(ifnecessary).
6.Executedoathordeclaration.

25

FlowchartofPatentExaminationandAppeal System
(I)PatentExamination
Classification determines
TC/AUforexamination

PatentExamination
First Action On the Merits
(FAOM)

NoticeofAllowance

Applicant(s)Response
Applicationundergoes
PreExam

Applicant(s)payissuefee
FinalRejection
Applicant(s)Response
AdvisoryAction
Applicant(s)Appeal

26

FlowchartofPatentExaminationandAppeal System,cont.
(II) AppealProcess
Examiner
Reversed

Applicant(s)
Appeal

NoticeofAllowance

USPTO
PTAB
Examiner
Affirmed

Applicant(s)
Appeal

Applicant(s)
Appeal

CourtofAppealsforthe
FederalCircuit(CAFC)

U.S.DistrictCourtforthe
EasternDistrictofVirginia
(E.D.Va)

SupremeCourt

27

PatentExamination
PatentExaminerreviewscontentsof
theapplicationforcompliancewithall
U.S.legalrequirements
Burdenisontheexaminer:An
applicantisentitledtoapatent
unless
RequirementsofU.S.Lawarenotmet
28

PriorArt 35U.S.C.102&
35U.S.C.103
PriorArt
Anyinformationavailableforconsideration
whendeterminingwhetheraninventionis
patentable
Publicinformation
Patents,publications,articles,products,
informationontheinternet,etc.
Printedpublications U.S.orforeign

Informationavailable/datedbeforethefiling
dateofapplicationbeingexamined

29

Examinerssearchthepriorart

30

OtherTypesofPriorArtintheU.S.
PriorsalesorpublicuseintheUnitedStates
IftheU.S./foreignpatent/publicationorpublic
use/saleintheU.S.ismorethanoneyearbefore
theeffectivefilingdate
Applicantisbarredfromobtainingapatent

AIAChangestoPriorArt(March16,2013)
Priorpublicuseorsaleanywhereintheworldqualifiesas
priorart

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GracePeriods
Timepriortofilingduringwhichpublicdisclosure
byaninventorwillnotbeconsideredpriorart
Differsindifferentjurisdictions.
U.S.:1yeargraceperiod(35U.S.C.102(b))
EU:Nograceperiod.
JPO:6monthgraceperiod,undercertain
circumstances

32

PublicSearchPage

33

PublicPAIR

34

Howlongdoestheprocesstake?
UtilityPatents
18.7monthsavg.forafirstofficeaction
30.6monthsavg.fortotalpendency

DesignPatents
13monthsavg.fortotalpendency

Timecanvarydependingonthetechnology
andamountofprosecution
597,318applicationbacklog

7,734PatentExaminers
(May2013statistics)

35

WheretoPatent?
Patentprotectioncanbeanimportantpartof
overallbusinessstrategyinglobalmarketplace
Patentrightsareterritorial
Protectionagainstinfringingactivities
Onlywithinthecountryorregioninwhichpatentwas
granted

NOworldwidepatent
Mustapplyforandbegrantedapatentineachcountryor
regionofinterest

36

PatentingConsiderations
Conductcost/benefitanalysis
Considertheshelflifeofaproduct,e.g.,changesintechnology,style
Considerhowthepatentwillbeused,e.g.licensing,toexclude
competitors
Considerwhethertheproductcanbeusedoutsideyourmarket

Determinepatentability
Searchingyourselfvs.engagingaprofessionalsearcher

Chooserightpatentattorney/agent
Preparationofathoroughandaccurateapplication
Arethereworkaroundsfortheinvention?
Costs Patentscanbeexpensive.
Backgroundworkcanhelptokeepattorneyfeeslower
Annuity&Maintenancefees

37

Howmuchdoesitcost?
Fees
Attorneyfees
Hourlyfees
USPTOUtilityapplication

Filingfee
Searchfee
Examinationfee
Discountforsmallentities
IssueFee
MaintenanceFees
dueat3,7&11
years

FlatRates

DesignPatents
Nomaintenancefees
~2,000$3,000

Cost varies based on amount of prosecution.

~$5,000-$25,000
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ProvisionalPatentApplication
Alowcostwaytoestablishanearlyeffectivefilingdate(priority
date)inanonprovisionalpatentapplicationwithfewerformalities
Specification&Drawings
Noclaimsrequired
12monthwindowtofileacorrespondingutilitypatentapplication
inordertobenefitfromtheprioritydateoftheprovisional
application

Caution willloseprioritydateforanynewmatterfiledintheutility
application

Provisionalapplicationisabandonedautomaticallyat12months
andisnotexamined

39

PatentInfringementintheU.S.
Occurswhen
Withoutauthorizationofpatentowner:
Makingorusingtheinvention
OffertosellorsellswithintheU.S.
ImporttheinventionintotheU.S.
Activelyinduceinfringementbyanother

40

EnforcementConsiderations
Enforceabilityofpatents
Effectivenessofenforcementlawsandproceduresinthe
country/regionofinterest
Somecountriesallowrecordationofpatentwith
customs

Enforcementrequirespatentowneraction
Competitorproductsshouldbemonitored
Instores
Attradeshows

Licensingmaybebeneficial
Limitastotime,geographicalarea,orfieldofuse

41

TradeSecretLaw
Protectsacommerciallyvaluableproprietaryinformation
Valuablebusinessinformationthatgivesacompetitive
advantage
TradeSecretsarenotgenerallyknownandmustbe
subjecttoreasonableeffortstopreserveconfidentiality
Examples

Formulas(e.g.CocaCola)
Manufacturingprocesses
Businessstrategies
Businessmanagementinformation
Customerlists
Designconcepts

42

TradeSecretvs.Patent
TradeSecret

Indefinite
Notregisteredordisclosed
Canbeseparatelydiscovered
Remedyonlyifthesecretis
illegallyappropriated

Patent

20yearterm
Publicdisclosure
Righttoexcludeothers
Remedyforinfringement

43

CommonWaystoLoseaTradeSecret
Ownerorownerauthorizeddisclosure
Reverseengineering
Independentdevelopment
Failuretotakeadequatestepstoprevent
disclosure
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www.Espacenet.com
EuropeanPatent
Office
Worldwide
search
80+countries
WIPOsearchfor
PCTapplications

45

Resources
http://www.uspto.gov/inventors/index.jsp
InventorsResourcesonPTOInternetsite
http://patft.uspto.gov/
SearchingUSpatents
http://www.uspto.gov/patents/init_events/pct/index.jsp
PCTLegalWebsite
http://www.StopFakes.gov
ProtectingIntellectualPropertyRights
http://www.ustr.gov/tradetopics/intellectualproperty
OfficeofUSTradeRepresentative
http://www.wipo.int
WorldIntellectualPropertyOrganization
http://www.espacenet.com/access/index.en.html
Europeanpatentdatabase
http://www.ipdl.ncipi.go.jp/homepg_e.ipdl
Japanesepatentdatabase

46

THANKYOU
sue.purvis@uspto.gov
www.uspto.gov/cornell