Background
of the Invention
This
section should include a statement of the field of endeavor to which
the invention pertains. This section may also include a paraphrasing
of the applicable US patent Classification Definitions or the subject
matter of the claimed invention. In the past, this part of this section
may have been titled "Field of Invention" or "Technical
Field."
This
section should also contain a description of information known to you,
including references to specific documents, which are related to your
invention. It should contain, if applicable, references to specific
problems involved in the prior art (or state of technology) which your
invention is drawn toward. In the past, this section may have been titled
"Description of the Related Art" or "Description of Prior
Art."
Brief
Summary of the Invention
This
section should present the substance or general idea of the claimed
invention in summarized form. The summary may point out the advantages
of the invention and how it solves previously existing problems, preferably
those problems identified in the BACKGROUND OF THE INVENTION. A statement
of the object of the invention may also be included.
Brief
Description of the Several Views of the Drawing
Where
there are drawings, you must include a listing of all figures by number
(e.g., Figure 1A) and with corresponding statements explaining what
each figure depicts.
Detailed
Description of the Invention
In
this section, the invention must be explained along with the process
of making and using the invention in full, clear, concise, and exact
terms. This section should distinguish the invention from other inventions
and from what is old and describe completely the process, machine, manufacture,
composition of matter, or improvement invented. In the case of an improvement,
the description should be confined to the specific improvement and to
the parts that necessarily cooperate with it or which are necessary
to completely understand the invention.
It
is required that the description be sufficient so that any person of
ordinary skill in the pertinent art, science, or area could make and
use the invention without extensive experimentation. The best mode contemplated
by you of carrying out your invention must be set forth in the description.
Each element in the drawings should be mentioned in the description.
This section has often, in the past, been titled "Description of
the Preferred Embodiment."
Claim
or Claims
The
claim or claims must particularly point out and distinctly claim the
subject matter which you regard as the invention. The claims define
the scope of the protection of the patent. Whether a patent will be
granted is determined, in large measure, by the choice of wording of
the claims.
A
nonprovisional application for a utility patent must contain at least
one claim. The claim or claims section must begin on a separate sheet.
If there are several claims, they shall be numbered consecutively in
Arabic numerals, with the least restrictive claim presented as claim
number 1.
The
claims section must begin with a statement such as "What I claim
as my invention is: . . ." or "I (We) claim: . . ." followed
by the recitation of the particular matter which you regard as your
invention.
One
or more claims may be presented in dependent form, referring back to
and further limiting another claim or claims in the same application.
All dependent claims should be grouped together with the claim or claims
to which they refer to the extent practicable. Any dependent claim that
refers to more than one other claim ("a multiple dependent claim")
shall refer to such other claims in the alternative only. Each claim
should be a single sentence, and where a claim sets forth a number of
elements or steps, each element or step of the claim should be separated
by a line indentation.
The
fee required to be submitted with a nonprovisional utility patent application
is, in part, determined by the number of claims, independent claims,
and dependent claims.
Each
element in an independent claim (i.e., a claim that does not refer to
another claim) does not have to be novel, but at least one claim element
(i.e., clause or limitation), must be novel. Generally, claim limitations
that are not novel should be included if it is technically accurate
and necessary to carry out the required function/structure of at least
the most basic application of the invention. Novelty is evaluated by
considering all limitations within a given claim together. It is common
to name elements/functions in a claim that are not novel, but are necessary
to describe how the novel aspects of your invention cooperate with the
known elements.
Each
element in a dependent claim (i.e., a claim that does refer to another
claim) does not have to be novel, and should be included if it is technically
accurate and a commercially viable function/structure/instance that
is either novel or, if not novel, that a competitor might carry out
in combination with the root claims. Novelty is evaluated by evaluation
of the independent claim limitations together with the dependent claim
limitations.
Abstract
of the Disclosure
The
purpose of the abstract is to enable the USPTO and the public to determine
quickly the nature of the technical disclosures of your invention. The
abstract points out what is new in the art to which your invention pertains.
It should be in narrative form and generally limited to a single paragraph,
and it must begin on a separate page. An abstract should not be longer
than 150 words.
Information
Disclosure Statement
The
USPTO requires the filing of an Information Disclosure Statement (IDS)
with copies of all relevant publications (patents or otherwise) known
to the inventor. The IDS is usually filed after receiving the official
filing receipt from the USPTO, about three months after filing the application.
Attorneys generally charge an IDS preparation fee, and there might
be additional fees from document suppliers, if you cannot supply a copy
of a reference and your practitioner needs to procure it elsewhere.
It is usually recommended that you provide your practitioner with copies
of all publications you know about before they file your application
(ideally, before the first draft is prepared). Note that if you become
aware of any references which are relevant to patentability during the
pendency of the patent, for example if a foreign patent office cites
patents against a foreign counterpart of the US application, a Supplemental IDS should be filed with the
references.
Prosecution
Related Issues
There
are many actions that occur during the prosecution of a patent application
that can significantly affect the resulting patent after being granted.
Many of these issues show up during patent infringement litigation in
the courts. What follows, is a highlight of some of these pertinent
issues.
A
skilled patent drafter should attempt to foresee the limiting potential
of a claim limitation. Sometimes subtlety of language or complexity
of the technology, or any subsequent change in the state of the art,
such as later-developed technology, may, however, obfuscated the significance
of this limitation at the time of its incorporation into the claim.
There is an opportunity to broaden patent protection by seeking claims
with fewer structural encumbrances or method steps. If the claims are
drawn too narrow, then patent scope may not be recovered by what is
known as the doctrine of equivalents. The patentee has an opportunity
to negotiate broader claims up to two years after patent issuance, where
afterwards, it is the patentee who must bear the cost of its failure
to seek protection for any foreseeable alteration of its claimed structures
or steps.
The
claims define the scope of protection for a patent afforded to the actual
inventor. Patent law requires the applicant to swear, or affirm, that
he believes himself to be the true inventor of the art, machine, or
improvement, for which he asks for a patent; and further that he shall
deliver a written description of his invention, in such full, clear,
and exact terms, that any person, acquainted with the art, may know
how to construct and use the same. The reason for this is to guard the
public against unintentional infringements of the patent, and to enable
the public to make an improvement that does not infringe your patent.
When an accused device possess every limitation of a claim in your patent,
then that device or process has comitted literal infringement of your
patent. However, the language in the patent claims may not capture every
nuance of the invention or describe with complete precision the range
of its novelty. If patents were always interpreted by their literal
terms, their value would be greatly diminished. Unimportant and insubstantial
substitutes for certain elements could defeat the patent, and its value
to inventors could be destroyed by simple acts of copying. For this
reason, the clearest rule of patent interpretation, literalism, may
conserve judicial resources but is not necessarily the most efficient
rule. The scope of a patent is not limited to its literal terms but
instead embraces all equivalents
to the claims described. In this way, a balance between the two competing
policies behind the enforcement of patent rights: (1) to protect the
inventors right to exclude others who might steal the product
of his work by making equivalent modifications, and (2) to provide clear
notice to the public of the inventions boundaries.
In
generic terms: in determining the patentably of your your invention,
the Patent Office must consider utility,
novelty,
obviousness,
and so called "secondary considerations." Generally, if your
product or process does something useful that a "close" one
does not, then your product would logically be novel. You must then
question if the additional features or functions that you are claiming
as novel would have been obvious to do for an average person skilled
in the field of your invention. If the novelty is clearly not obvious
to an average skilled artisan, then your invention would very likely
be patentable, all other things being equal. If your invention's novelty
is questionably obvious, then the fallback argument, although some what
weaker, is to set forth any secondary consideration that relate to the
commercial viability of your product over the others in question. For
the more complicated case where your invention is questionably obvious,
read on...
Patent
law is designed to serve the small inventor as well as the giant research
organization. One fact to keep in mind is that most, if not all, inventions
are combinations and mostly of old elements. Therefore an examiner may
often find every element of a claimed invention in the prior art. If
identification of each claimed element in the prior art were sufficient
to reject patentability of your invention, then very few patents would
ever issue. Patent examiners are not allowed to reject patents solely
by finding your claimed elements in the prior art. If that were allowed
it would permit an examiner to use the claimed invention itself as a
blueprint for piecing together elements in the prior art to defeat the
patentability of patents. The courts have said such an approach would
be an illogical and inappropriate process by which to determine patentability.
You
should also be aware that it is not a requirement of patentability that
an inventor correctly set forth, or even know, how or why the invention
works.
Generally,
the claimed invention must be considered as a whole, and the question
is whether there is something in the prior art as a whole to suggest
the desirability, and thus the obviousness, of making the combination.
When determining the patentability of a claimed invention which combines
two known elements, the question is whether there is something in the
prior art as a whole to suggest the desirability, and thus the obviousness,
of making the combination.
To
prevent the use of hindsight based on the invention (i.e., viewing the
prior-art in terms of what your invention or the art after your filing
date teaches) to defeat patentability of the invention, courts require
the examiner to show a motivation to combine the references that create
the case of obviousness. In other words, the examiner must show reasons
that the skilled artisan, confronted with the same problems as the inventor
and with no knowledge of the claimed invention, would select the elements
from the cited prior art references for combination in the manner claimed.
Courts
have identified three possible sources for a motivation to combine references:
the nature of the problem to be solved, the teachings of the prior art,
and the knowledge of persons of ordinary skill in the art. It is not
allowed for the examiner to just rely on the high level of skill in
the art to overcome the differences between the claimed invention and
the selected elements in the references, and provide the necessary motivation.
Instead,
the examiner, if rejecting your claim based on obviousness, must explain
what specific understanding or technological principle within the knowledge
of one of ordinary skill in the art would have suggested the combination.
Otherwise, if a rote piecing together of prior-art elements could suffice
to supply a motivation to combine, the more sophisticated scientific
fields would rarely, if ever, experience a patentable technical advance.
That is, for example, in complex scientific fields, the examiner could
routinely identify the prior art elements in an application, invoke
the lofty level of skill, and rest its case for rejection. To counter
this potential weakness in the obviousness construct, the suggestion
to combine requirement stands as a critical safeguard against hindsight
analysis and rote application of the legal test for obviousness.
Obviousness
is ultimately a question of law that rests on underlying factual inquiries
including: (1) the scope and content of the prior art; (2) the level
of ordinary skill in the art; (3) the differences between the claimed
invention and the prior art; and (4) objective considerations of nonobviousness.
Objective considerations such as failure by others to solve the problem
and copying may often be the strongest evidence of nonobviousness.
This
objective evidence of nonobviousness includes so-called "secondary
considerations" such as copying, long felt but unsolved need, failure
of others, commercial success, unexpected results created by the claimed
invention, unexpected properties of the claimed invention, licenses
showing industry respect for the invention, and skepticism of skilled
artisans before the invention
The
so-called "secondary considerations" provide evidence of how
the patented device is viewed by the interested public: not the inventor,
but persons concerned with the product in the objective arena of the
marketplace.
Prosecution
History Estoppels
Traditionally,
the doctrine of prosecution history estoppels has been defined as an equitable tool
for determining the scope of patent claims. The doctrine bars the patentee from construing
its claims in a way that would resurrect subject matter previously surrendered
during prosecution of the patent application, and thus prevents a patentee
from enforcing its claims against otherwise legally equivalent structures
if those structures were excluded by claim limitations added to avoid
prior art. The traditional view that depending
upon the nature and purpose of an amendment, the doctrine may have a
limiting effect within a spectrum ranging from great to small to zero
was recently changed by the federal circuit. Accordingly, all amendments
made for the purpose of patentability are now deemed to have the effect
of depriving the inventor of a claim interpretation that includes equivalent
structures.
Generally,
an amendment that narrows the scope of a claim for any reason related
to the statutory requirements of a patent will give rise to prosecution
history estoppel with respect to the amended claim element. That is,
while the patentee has the right to appeal, his decision to forgo an
appeal and submit an amended claim is taken as a concession that the
invention as patented does not reach as far as the original claim. That
is, where the original application once embraced the purported equivalent
but the patentee narrowed his claims to obtain the patent or to protect
its validity, the patentee cannot assert that he lacked the words to
describe the subject matter in question. The doctrine of equivalents
is premised on language's inability to capture the innovation, but a
prior application describing the precise element at issue undercuts
that premise. In that instance the prosecution history has established
that the inventor turned his attention to the subject matter in question,
knew the words for both the broader and narrower claim, and affirmatively
chose the latter.
Estoppel
general arises when an amendment is made to secure the patent and the
amendment narrows the patent's scope. If a §112
amendment is truly cosmetic, then it would not narrow the patent's scope
or raise an estoppel. On the other hand, if a §112
amendment is necessary and narrows the patent's scope -- even if only
for the purpose of better description - estoppel may apply. A patentee
who narrows a claim as a condition for obtaining a patent disavows his
claim to the broader subject matter, whether the amendment was made
to avoid the prior art or to comply with §112.
The courts regard the patentee as having conceded an inability to claim
the broader subject matter or at least as having abandoned his right
to appeal a rejection. In either case estoppel may apply, especially
when the patentee is unable to explain the reason for amendment, estoppel
not only applies but also bars the application of the doctrine of equivalents
as to that element. Case law makes clear that the patentee should bear
the burden of showing that the amendment does not surrender the particular
equivalent in question, and that the patentee, as the author of the
claim language, may be expected to draft claims encompassing readily
known equivalents. Hence, a patentee's decision to narrow his claims
through amendment may be presumed to be a general disclaimer of the
territory between the original claim and the amended claim.
By
amending the application, the inventor is deemed to concede that the
patent does not extend as far as the original claim. It does not follow,
however, that the amended claim becomes so perfect in its description
that no one could devise an equivalent. After amendment, as before,
language remains an imperfect fit for invention. The narrowing amendment
may demonstrate what the claim is not; but it may still fail to capture
precisely what the claim is. Case law makes clear, however, that there
is no reason why a narrowing amendment should be deemed to relinquish
equivalents unforeseeable at the time of the amendment and beyond a
fair interpretation of what was surrendered. Nor is there any call to
foreclose claims of equivalence for aspects of the invention that have
only a peripheral relation to the reason the amendment was submitted,
or if there was some other reason suggesting that the patentee could
not reasonably be expected to have described the insubstantial substitute
in question. In such cases the patentee can overcome the presumption
that prosecution history estoppel bars a finding of equivalence.
Canceling
claims and replacing with narrower versions may create estoppel as well.
For example, consider the case where certain rejected claims were never
amended, but instead canceled and replaced with claims containing a
more narrow scope, which are later issued with a patent. In this example,
the courts will not discern any legally significant difference between
canceling a claim having a broad limitation and replacing it with a
claim having a narrower limitation, and amending a claim to narrow a
limitation, since to do so "would place form over substance and
would undermine the rules governing prosecution history estoppel laid
out in Festo by allowing patent applicants simply
to cancel and replace claims for reasons of patentability rather than
to amend them". Thus, canceling and replacing claims is considered
analogous to amending them.
The
presumption prosecution history estoppel is not just a complete bar by another
name. Rather, it reflects the fact that the interpretation of the patent
must begin with its literal claims, and the prosecution history is relevant
to construing those claims. When the patentee has chosen to narrow a
claim, courts may presume the amended text was composed with awareness
of this rule and that the territory surrendered is not an equivalent
of the territory claimed. In those instances, however, the patentee
still might rebut the presumption that estoppel bars a claim of equivalence.
The patentee must show that at the time of the amendment one skilled
in the art could not reasonably be expected to have drafted a claim
that would have literally encompassed the alleged equivalent.
The
courts reason that explicit arguments made during prosecution to overcome
prior art can lead to narrow claim interpretations makes sense, because
the public has a right to rely on such definitive statements made during
prosecution as public notice, which is regarded as an important function
of the patent prosecution process. By distinguishing the claimed invention
over the prior art, an applicant is explicitly indicating what the claims
do not cover. Therefore, a patentee, after relinquishing subject matter
to distinguish a prior art reference asserted by the PTO during prosecution,
cannot during subsequent litigation escape reliance by the defendant
upon this unambiguous surrender of subject matter. Accordingly, claims
may not be construed one way in order to obtain their allowance and
in a different way against accused infringers.
For
information on infringement
of a patent, click on one of the following topics: