Patent Laws for Scientists and Engineers

by Goldstein; Avery N.

• ISBN13: 9780824723835
• ISBN10: 082472383X
• Edition: 1st
• Format: Hardcover
• Copyright: 2005-03-21
• Publisher: CRC Press

Summary

Offering expert guidance on the myriad issues surrounding intellectual property, Patent Law for Scientists and Engineers provides researchers and students with an understanding of the aspects of patent law necessary to work with patent professionals and enhance patent coverage. The editor has structured the text so it can be easily integrated into a reader's research routine. Each chapter supports the issues discussed with fact patterns that emphasize the steps necessary to protect patent rights. The book describes actual scenarios encountered by scientists and engineers, highlighting the protection of latent patent rights that may exist within an invention or technical solution.

Table of Contents

Part I: Introduction
Chapter 1 Anatomy of a patent	3	(28)
Roberta J. Morris
1.1 Introduction	4	(12)
1.1.1 What patents are, and are not	4	(1)
1.1.1.1 The right to exclude, not to do	12	(1)
1.1.1.2 Patents have nationality	12	(1)
1.1.1.3 Patents v. copyrights, patents v. trademarks	13	(1)
1.1.1.4 Patenting v. trade secrets	13	(3)
1.2 Parts of a patent, and how to read one	16	(3)
1.2.1 Specification, figures, and claims	16	(1)
1.2.2 Patent as instrument of legal rights v. patent as "prior art"	16	(1)
1.2.2.1 "Read on"	17	(1)
1.2.2.2 Claim charts	17	(1)
1.2.2.3 A useful table about specification and claims	18	(1)
1.3 The application for a patent: what kind of patent? What kind of application?	19	(2)
1.3.1 Kinds of patents	19	(1)
1.3.2 Kinds of applications, and a non-application	20	(1)
1.3.2.1 Provisional	20	(1)
1.3.2.2 Regular application	21	(1)
1.3.2.3 Statutory invention registration	21	(1)
1.4 Requirements of a utility patent	21	(4)
1.4.1 The invention - especially as claimed	22	(1)
1.4.1.1 Utility	22	(1)
1.4.1.2 Novelty	22	(1)
1.4.1.3 Nonobviousness	23	(1)
1.4.2 The invention, especially what is in the specification	23	(1)
1.4.2.1 Written description	24	(1)
1.4.2.2 Enablement	24	(1)
1.4.2.3 Best mode	25	(1)
1.5 Case studies	25	(1)
1.5.1 A sample patent: 6,055,695, Lint Roller Assembly (Figure 1, pages 6 through 11)	25	(1)
1.5.2 Should I patent my invention or hold it as a trade secret?	25	(1)
Appendix	26	(5)
Part II: Inventive activities
Chapter 2 Research records in the patent process	31	(18)
Avery N. Goldstein
2.1 Introduction	32	(3)
2.2 Legal situations where laboratory records are reviewed	33	(1)
2.2.1 Predating prior art	33	(1)
2.2.2 Interference	33	(1)
2.2.3 Defense to a charge of patent infringement	34	(1)
2.2.4 Determination of inventorship	34	(1)
2.2.5 Nondisclosure agreement prior knowledge	34	(1)
2.2.6 Trade secret issues	35	(1)
2.3 Types of research records and their usage	35	(6)
2.3.1 Primary notebook usage	36	(1)
2.3.1.1 Notebook assignment	36	(1)
2.3.1.2 Entry mechanics	37	(1)
2.3.1.3 Alterations	37	(1)
2.3.1.4 Chronology	37	(1)
2.3.1.5 Page completion	38	(1)
2.3.1.6 Attestation	38	(1)
2.3.1.7 Guest entries	38	(1)
2.3.2 Supplemental records	38	(1)
2.3.3 Alternate media references	39	(1)
2.3.4 Electronic record-keeping variations	40	(1)
2.4 Record archiving	41	(3)
2.4.1 Technologist-custodian interface	41	(1)
2.4.2 Audit committee	42	(1)
2.4.3 Storage and security	42	(1)
2.4.4 Accessing stored information	43	(1)
2.4.4.1 Evidentiary inquiry	43	(1)
2.4.4.2 Technical inquiry	44	(1)
2.5 Trade secret maintenance	44	(2)
2.5.1 Compartmentalized information	45	(1)
2.5.2 Daily handling	46	(1)
2.6 Concluding remarks	46	(1)
Additional Reading	47	(2)
Chapter 3 Inventor actions that can jeopardize patent rights	49	(12)
Roberta J. Morris
3.1 Introduction	49	(1)
3.2 The concept of the "critical date"	50	(2)
3.3 The "invention" in 102(b)	52	(1)
3.4 Sales and offers for sale	53	(1)
3.5 Sales: the special case of method patents	54	(1)
3.6 Licensing the patent or the invention	54	(1)
3.7 Public use	54	(1)
3.8 Negating public use: experimental use	55	(1)
3.9 Publications	55	(1)
3.10 Reminder: other countries' patent laws are different	56	(1)
3.10.1 Strategies for selling and using before applying for a patent	56	(1)
3.10.1.1 Watching the clock	56	(1)
3.10.1.2 The provisional application	56	(1)
3.10.1.3 Confidentiality agreements	56	(1)
3.11 Case studies	57	(1)
3.11.1 The "on sale" bar and co-inventors	57	(1)
3.11.2 "Public use"	57	(1)
Appendix	58	(3)
Chapter 4 The invention disclosure document: recording the essential facts of your invention	61	(22)
Judith M. Riley
4.1 Introduction - the necessity for complete and accurate information	62	(1)
4.2 What an invention disclosure document is...and is not	63	(3)
4.3 Preparing an invention disclosure document	66	(8)
4.3.1 Preparing a standard form	66	(1)
4.3.2 Background of the invention	67	(1)
4.3.2.1 What is the problem?	67	(1)
4.3.2.2 How have others solved it in the past?	68	(1)
4.3.3 Description of the invention	69	(1)
4.3.3.1 Why is your invention a better solution?	70	(1)
4.3.3.2 How is the invention made?	70	(1)
4.3.3.3 How does the invention work?	72	(1)
4.3.3.4 What is the kernel of the invention?	72	(2)
4.4 Who is likely to use the invention?	74	(1)
4.5 Publications, sales, offers to sell, and other public disclosures	74	(2)
4.6 A few examples	76	(1)
Appendix. Exemplary invention disclosure document forms	77	(7)
Example 1	77	(1)
Example 2	78	(1)
Example 3	79	(4)
Part III: Relationships
Chapter 5 Ownership of intellectual property: employer rights to intellectual property	83	(16)
Ernest I. Gifford and Avery N. Goldstein
5.1 Introduction	84	(1)
5.2 Employment agreements	84	(3)
5.2.1 Basic employment agreement elements relating to intellectual property	85	(1)
5.2.2 Common employment agreement issues	86	(1)
5.2.2.1 Employment agreement breach	86	(1)
5.2.2.2 Posthiring obligation to assign intellectual property	86	(1)
5.3 Ownership of intellectual property	87	(7)
5.3.1 Patents	87	(1)
5.3.1.1 Employment agreement scope	87	(1)
5.3.1.2 Obligation to assign absent an agreement	87	(4)
5.3.2 Trade secrets	91	(1)
5.3.3 Copyrights	92	(1)
5.3.4 Trademarks	93	(1)
5.4 Shop rights and assignments	94	(1)
5.4.1 Employer time and facilities	94	(1)
5.4.2 Shop right limits	95	(1)
5.4.3 Functions outside traditional employment relationship	95	(1)
5.5 Summary	95	(1)
5.6 Exercises	96	(2)
5.6.1 Exercise 1	96	(1)
5.6.2 Exercise 2	97	(1)
Additional Reading	98	(1)
Chapter 6 Inventorship	99	(22)
Angela M. Davison
6.1 Introduction	99	(1)
6.2 Why it is important to determine proper inventorship	100	(1)
6.3 Determination of inventorship	100	(2)
6.3.1 Conception of the subject matter at issue	101	(1)
6.3.2 Recitation of the subject matter in a patent claim	101	(1)
6.4 Inventorship and ownership	102	(8)
6.4.1 Employer-employee contract	102	(1)
6.4.2 Employed to invent doctrine	103	(3)
6.4.3 An employer's shop rights	106	(4)
6.5 Inventorship entity	110	(2)
6.6 Joint inventorship	112	(3)
6.6.1 Definition of joint inventorship	112	(1)
6.6.1.1 Conception	112	(1)
6.6.1.2 Collaboration	115	(1)
6.7 Correcting inventorship errors	115	(3)
6.7.1 Correcting inventorship errors in a patent application	117	(1)
6.7.2 Correcting inventorship errors in an issued patent	117	(1)
6.7.3 Correcting inventorship errors in an issued patent during litigation	118	(1)
6.8 Concluding remarks	118	(1)
References	119	(2)
Chapter 7 Internet patent document searching and interactions with an information specialist	121	(26)
Avery N. Goldstein
7.1 Introduction	122	(1)
7.2 Information available through a patent search	123	(6)
7.2.1 Patent authority	123	(1)
7.2.2 Patent/application/publication number	124	(1)
7.2.3 Date of patent/publication	124	(1)
7.2.4 Title	124	(3)
7.2.5 Inventors	127	(1)
7.2.6 Inventor address	127	(1)
7.2.7 Assignee /applicant	127	(1)
7.2.8 Assignee /applicant address	128	(1)
7.2.9 Application number	128	(1)
7.2.10 Filing date	128	(1)
7.2.11 Priority number	128	(1)
7.2.12 International patent class	128	(1)
7.2.13 NationaVregional patent classification	129	(1)
7.2.14 Text fields	129	(1)
7.3 Overview of patent databases available over the Internet	129	(3)
7.3.1 European Patent Office (ep.espacenet.com)	129	(1)
7.3.2 Japan (wwwl9.ipol.jpo.go.jp/pal/cgi-bin/palinit)	130	(1)
7.3.3 United States Patent and Trademark Office (www.uspto.gov/patft/index.html)	130	(1)
7.3.4 Germany (www.depatisnet.dpma.de)	130	(1)
7.3.5 Canada (patentsl.ic.gc.ca/intro-e.html)	131	(1)
7.3.6 Russia (www.fips.ru/ensite)	131	(1)
7.3.7 World Intellectual Property Organization (http://ipol.wipo.int/)	131	(1)
7.3.8 Commercial databases	131	(1)
7.4 Performing various types of searches	132	(11)
7.4.1 Informational searches	132	(1)
7.4.1.1 Identifier searches	132	(1)
7.4.1.2 State-of-the-art searches	132	(1)
7.4.1.3 Novelty search	134	(5)
7.4.2 Legal searches	139	(1)
7.4.2.1 Validity search	139	(1)
7.4.2.2 Infringement search	141	(2)
7.5 Tips on preparing search inputs	143	(2)
7.5.1 Keywords	143	(2)
7.5.2 Determining relevant classification	145	(1)
7.5.2.1 International patent classification	145	(1)
7.5.2.2 United States patent classification	145	(1)
7.6 Exercises	145	(2)
Chapter 8 Interactions with a patent agent or attorney	147	(56)
Tom Brody
8.1 Introduction	149	(1)
8.2 Consultation	149	(17)
8.2.1 Regarding activities	150	(1)
8.2.1.1 Activities in the laboratory	151	(1)
8.2.1.2 Activities involving multiple inventors or collaborators	152	(1)
8.2.1.3 Activities involving sales	153	(1)
8.2.1.4 Activities involving public use	154	(1)
8.2.2 Exploring invention patentability	155	(1)
8.2.2.1 An invention may be patented even if a working prototype has not been made	155	(1)
8.2.2.2 Avoiding 102-rejections and achieving patentability	156	(1)
8.2.2.3 Avoiding 103-rejections and achieving patentability	158	(1)
8.2.2.4 Infringment analysis may be conducted at the same time as patentability analysis	160	(1)
8.2.2.5 Avoiding 101-rejections and achieving patentablity	161	(5)
8.3 Information needed to draft a patent application	166	(4)
8.3.1 Examples where not enough information was provided	167	(2)
8.3.2 The inventor needs to provide information on the best way (best mode) of making and using the invention	169	(1)
8.3.3 The inventor should provide the attorney with information regarding the level of skill of one of ordinary skill in the field	170	(1)
8.4 Reviewing a patent application draft	170	(3)
8.4.1 Example of a patent where the specification succeeded in supporting an invention described in a claim	171	(1)
8.4.2 Example of a patent where the specification failed to support an invention described in a claim	171	(1)
8.4.3 Writing style in a patent application necessarily differs from the writing style in a scientific publication	172	(1)
8.5 Commenting on Office Actions	173	(14)
8.5.1 Prosecution history estoppel	173	(1)
8.5.1.1 Amendment to a claim to avoid a prior art rejection	179	(1)
8.5.1.2 Amendment to a claim made for no reason	180	(1)
8.5.1.3 Amendment to a claim made in order to avoid a 112-rejection	180	(1)
8.5.1.4 Repeated assertions regarding a claim	181	(1)
8.5.1.5 Details of types of prosecution history that can later prevent the application of the doctrine of equivalents	181	(1)
8.5.1.6 Strategies	183	(1)
8.5.2 Use of declarations	184	(1)
8.5.2.1 Declarations to establish the earlier date of making or building the invention	185	(1)
8.5.2.2 Declarations to establish the skill level of "one of ordinary skill in the art"	186	(1)
8.5.2.3 Declarations to persuade the examiner that a prior art patent is invalid and should not be used in a prior art rejection	186	(1)
8.6 Case studies	187	(10)
8.6.1 Amgen v. Hoechst and Transkaryotic Therapies (D. Mass. 2001)	187	(1)
8.6.2 Bayer AG v. Elan (N.D. Ga 1999) and Bayer AG v. Elan (Fed. Cir. 2000)	188	(1)
8.6.3 Eli Lilly Corp. v. Barr Laboratories (Fed. Cir. 2000)	188	(1)
8.6.4 Hess v. Advanced Cardiovascular Systems Inc. (Fed. Cir. 1997)	189	(1)
8.6.5 Kimberly-Clark Corp. v. Proctor & Gamble (Fed. Cir. 1992)	189	(1)
8.6.6 In re Mahurkar patent litigation (N.D. Ill. 1993); Mahurkar v. Impra (Fed. Cir. 1995)	190	(1)
8.6.7 Microchemical, Inc. v. Great Plains Chemical Co, Inc. (Fed. Cir. 1997)	191	(1)
8.6.8 Monsanto Co. v. Mycogen Plant Science, Inc. (D. Del. 1999)	192	(2)
8.6.9 In re Oetiker (Fed. Cir. 1992)	194	(1)
8.6.10 Promega v. Novagen (D. W. Wisc. 1997)	194	(1)
8.6.11 Refac v. Lotus (D.S.N.Y. 1995)	195	(1)
8.6.12 Schendel v. Curtis, Park, and Cosman (Fed. Cir. 1996)	196	(1)
8.6.13 In re Strahilevitz (C.C.P.A. 1982)	196	(1)
Acknowledgments	197	(1)
References	197	(6)
Part IV: Ancillary patent activities
Chapter 9 How to read a patent	203	(38)
Judith M. Riley
9.1 Quick tips on reading a patent	204	(1)
9.2 What? me read a patent?	204	(1)
9.3 Dissecting a U.S. patent	205	(1)
9.4 The cover page	206	(3)
9.5 The specification	209	(18)
9.5.1 The drawings	209	(7)
9.5.2 Field of the invention	216	(1)
9.5.3 Background of the invention	216	(1)
9.5.4 Summary of the invention	217	(2)
9.5.5 Brief description of the drawings	219	(1)
9.5.6 Detailed description of the preferred embodiments	219	(2)
9.5.7 The claims	221	(5)
9.5.8 Corrections	226	(1)
9.6 Understanding patent claims	227	(6)
9.6.1 The preamble	228	(1)
9.6.2 The transitory phrase	229	(2)
9.6.3 The body	231	(1)
9.6.4 Dependent claims	232	(1)
9.7 Claim formats	233	(9)
9.7.1 Article claims	234	(1)
9.7.2 Process claims	235	(2)
9.7.3 Method of use claims	237	(1)
9.7.4 Product by process claims	238	(2)
9.8 A final caveat	240	(1)
Chapter 10 Technology transfer: patent licensing and related Strategies	241	(28)
Peter J. Newman
10.1 Introduction	242	(1)
10.2 Purpose of technology transfer	243	(1)
10.3 Finding potential licensees	244	(3)
10.4 Contacting potential licensees	247	(1)
10.5 Technology brokers	248	(1)
10.6. Confidentiality agreements	249	(1)
10.7 Start-up companies	250	(2)
10.8 Types of commercialization agreements	252	(3)
10.9 Valuation	255	(3)
10.10 Negotiating terms	258	(1)
10.11 Heads of agreement	259	(2)
10.12 Drafting licensing agreements	261	(1)
10.13 Conclusion	262	(4)
Example 1	263	(1)
Example 2	264	(1)
Example 3	265	(1)
References	266	(3)
Index	269