PATENT LAW
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PATENT LAW
A Practitioner’s Guide
Fourth Edition
Ronald B. HildrethDavid Aker
Incorporating Release #5November 2017
#208898
Practising Law InstituteNew York City
#38092
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This work is designed to provide practical and usefulinformation on the subject matter covered. However, it issold with the understanding that neither the publisher northe author is engaged in rendering legal, accounting, orother professional services. If legal advice or other expertassistance is required, the services of a competent profes-sional should be sought.
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For any other questions or suggestions about this book,contact PLI’s editorial department at: [email protected].
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Legal Editor: Keith Voelker
Copyright © 1988, 1993, 1998, 1999, 2000, 2001, 2002, 2003, 2004, 2005,2006, 2007, 2008, 2009, 2010, 2011, 2012, 2013, 2014, 2015, 2016, 2017by Practising Law Institute. All rights reserved. Printed in the United Statesof America. No part of this publication may be reproduced, stored in aretrieval system, or transmitted in any form by any means, electronic,mechanical, photocopying, recording, or otherwise, without prior writtenpermission of Practising Law Institute.
LCCN: 2013217903
ISBN: 978-1-4024-1894-5
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To my grandchildren,
TYLER STEVEN HILDRETHGREGORY PIERCE HILDRETH
KATHLEEN CASHMAN O’KEEFFELUCAS BRADLEY HILDRETHANNE ELIZABETH SCULLY
MEGAN ELIZABETH HILDRETHKELLY ULLAND O’KEEFFE
ALEXANDRA MARGARET HILDRETHMARY JANE SCULLY
JOSEPH PERCIVAL SCULLY, JR.IAN BRICE VADIM O’KEEFFEDEVENY MARIA HILDRETH
KIERAN JEFFREY HILDRETHBARON RICHARD HILDRETH
AUDREY JOAN HILDRETHand, hopefully, many more progenies:
Always remember thatthe family is omnipotent for your happiness!
So love and honoryour parents and grandparents
and love your own children and grandchildren.
—Ronald B. Hildreth
My efforts in collaboration on the fourth edition ofthis work are dedicated to my wife, Susan,who has always been there for me, and to
our children, Michael and Jessica.
—David Aker
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In Memoriam: Ronald B. Hildreth
Ronald B. Hildreth died at his home in Montauk, New York, on June21, 2016, at the age of 82. He was the author of Patent Law:A Practitioner’s Guide since its first publication in 1988.
Ron retired as a partner in the law firm of Baker Botts in New YorkCity. He received his B.Ch.E. from Rensselaer Polytechnic Institutein 1954, his M.B.A. from Rutgers University in 1957, and his J.D.from Georgetown University in 1961. He was an adjunct professor ofpatent law at Long Island University from 1968 through 1977, andan adjunct professor of patent, trademark, and copyright law at St.John’s University School of Law from 1972 through 2010.
He was formerly a member of the Association of the Bar of the Cityof New York; the New York Industrial Property Law Association;Association Internationale pour la Protection de la PropriétéIndustrielle; Fédération Internationale des Conseils en PropriétéIndustrielle; the New York State Bar Association; and the VirginiaBar Association.
In addition to his work over several decades on this book, Ron wasa lecturer for Practising Law Institute. We remember him as acolleague and a friend, and we will miss him.
PRACTISING LAW INSTITUTE
NOVEMBER 2016
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About the Author
DAVID AKER is Of Counsel to the law firm of Ohlandt GreeleyRuggiero & Perle LLP in Stamford, Connecticut. He has beenengaged in the practice of all aspects of intellectual property law forclients ranging from Fortune 500 companies, to startups, toindividual inventors, including litigation in federal courts, licensing,preparation of right-to-use studies and patent infringement opinions,due diligence investigations, preparation and prosecution of U.S. andforeign patent applications, trademark applications, and advice andcounsel on trademark and copyright matters. He has particularexpertise in electrical, computer, mechanical, and process-relatedinventions, and in the fields of analytical instruments and medicaldevices. Mr. Aker has been retained as a patent expert in patentlitigation.
Since 1983, Mr. Aker has served as an Adjunct Professor of Law atthe Touro College Jacob D. Fuchsberg Law Center, where he teachespatent law, a patent practice seminar, patent litigation, and computerlaw. He received the law center ’s first annual Adjunct Professor of theYear award for dedicated and distinguished service to students.Mr. Aker is also on the faculty of Practising Law Institute’s livePatent Bar Review course, when it is offered in New York. He hasmade presentations on various intellectual property law topics to theEastern New York Intellectual Property Law Association, the NassauCounty Bar Association, the Suffolk County Bar Association, and theCorporate Bar Association of Westchester and Fairfield.
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(Patent Law, Rel. #5, 11/17)
Table of Chapters
Chapter 1 General Information
Chapter 2 Patent Office Prosecution
Chapter 3 Patentability in General
Chapter 4 Effective Filing Dates
Chapter 5 Statutory Bars Under Section 102
Chapter 6 Comparative Patent Law
Chapter 7 Unobviousness
Chapter 8 Derivation Proceedings and Derived Patents
Chapter 9 Infringement in General
Chapter 10 Literal Infringement
Chapter 11 Doctrine of Equivalents
Chapter 12 Prosecution History Estoppel
Chapter 13 Third-Party Liability
Chapter 14 Preparation of an Opinion Letter
Chapter 15 Preparation of a Specification for a PatentApplication
Chapter 16 Preparation of Patent Claims for a Patent Application
Chapter 17 Preparation of an Amendment
Chapter 18 Preparation of Affidavits
Chapter 19 Preparation of an Appeal Brief
Chapter 20 Preparation of an Information Disclosure Statement
Chapter 21 Preparation of Other Papers
Chapter 22 Patent Litigation
Chapter 23 Antitrust
Chapter 24 Post-Grant Procedures
Chapter 25 Other Intellectual Property
Chapter 26 Patent Licensing
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Table of Contents
In Memoriam: Ronald B. Hildreth .................................................ix
About the Author..............................................................................xi
Table of Chapters ...........................................................................xiii
Preface and Acknowledgments................................................. xxxi
Preface to the Third Edition ...................................................... xxxv
Chapter 1 General Information
§ 1:1 Introduction.................................................................... 1-1§ 1:2 Definition of a Patent ..................................................... 1-2§ 1:3 Constitutional Basis for a Patent.................................... 1-2§ 1:4 Patents Promote the Progress of Science ........................ 1-3§ 1:5 Laws and Rules Governing Patents................................. 1-3§ 1:6 Applying for a Patent ...................................................... 1-4
§ 1:6.1 Who May Apply...................................................... 1-4§ 1:6.2 How to Apply.......................................................... 1-4§ 1:6.3 When to Apply........................................................ 1-4
§ 1:7 Categories of Patents ...................................................... 1-5§ 1:7.1 Utility Patent—Eligible Subject Matter ................... 1-5
Flow Chart 1-1 Subject Matter Eligibility Test forProducts and Processes.................................... 1-25
§ 1:7.2 Design Patent........................................................ 1-35§ 1:7.3 Plant Patent .......................................................... 1-35
§ 1:8 Rights of the Inventor, Applicant, and Patentee ........... 1-36§ 1:8.1 Inventor ’s Right to Exclude .................................. 1-36§ 1:8.2 Applicant’s Rights................................................. 1-36§ 1:8.3 Right to Assign ..................................................... 1-37§ 1:8.4 Right to License .................................................... 1-37§ 1:8.5 Employer-Employee Obligations ........................... 1-37
§ 1:9 Publication of a Patent Application .............................. 1-38
Chapter 2 Patent Office Prosecution
§ 2:1 Introduction.................................................................... 2-1§ 2:2 Parts of a Patent Application .......................................... 2-1§ 2:3 Parts of a Patent.............................................................. 2-2
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Exhibit 2-1 Patent for Bumper Arrangement ............................. 2-5Exhibit 2-2 Patent for Detergent............................................... 2-14§ 2:4 Examination of a Patent Application............................ 2-19Flow Chart 2-1 Prosecution of a Patent Application................ 2-20
Chapter 3 Patentability in General
§ 3:1 Introduction.................................................................... 3-1§ 3:2 Issue of Patentability....................................................... 3-1§ 3:3 Test for Patentability ....................................................... 3-2§ 3:4 The Transition from First to Invent to First to File ....... 3-2§ 3:5 Flow Chart for Patentability—First to Invent ................. 3-3Flow Chart 3-1 Flow Chart for Patentability
(Validity)—First to Invent.................................. 3-5§ 3:6 Flow Chart for Patentability—First to File ..................... 3-6Flow Chart 3-2 For Patentability (Validity)—First to File........... 3-8
Chapter 4 Effective Filing Dates
§ 4:1 Introduction.................................................................... 4-2§ 4:2 Step 1 of the Flow Chart for Patentability ...................... 4-2§ 4:3 Effective Filing Dates Earlier Than Actual Filing Dates .... 4-2
§ 4:3.1 Convention Application.......................................... 4-3[A] In General............................................................... 4-3[B] Statutory Basis ........................................................ 4-3[C] Requirements .......................................................... 4-4[D] Illustration .............................................................. 4-4
Diagram 4-1 Convention Application........................................... 4-5§ 4:3.2 Provisional Application........................................... 4-6
[A] In General............................................................... 4-6[B] Statutory Basis ........................................................ 4-6[C] Requirements .......................................................... 4-7[D] Illustration .............................................................. 4-7
Diagram 4-2 Provisional Application............................................ 4-8§ 4:3.3 International Application........................................ 4-8
[A] In General............................................................... 4-8[B] Statutory Basis ........................................................ 4-9[C] Requirements .......................................................... 4-9[D] Illustrations........................................................... 4-10
Diagram 4-3 International Application ...................................... 4-10Diagram 4-4 International Application ...................................... 4-11
§ 4:3.4 Continuation Application ..................................... 4-12[A] In General............................................................. 4-12[B] Statutory Basis ...................................................... 4-12
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[C] Requirements ........................................................ 4-13[D] Illustration ............................................................ 4-13
Diagram 4-5 Continuation Application...................................... 4-13§ 4:3.5 Continuation-in-Part Application ......................... 4-14
[A] In General............................................................. 4-14[B] Statutory Basis ...................................................... 4-14[C] Requirements ........................................................ 4-14[D] Illustration ............................................................ 4-14
Diagram 4-6 Continuation-in-Part Application.......................... 4-15§ 4:3.6 Divisional Application .......................................... 4-15
[A] In General............................................................. 4-15[B] Statutory Basis ...................................................... 4-15[C] Requirements ........................................................ 4-16[D] Illustration ............................................................ 4-16
Diagram 4-7 Divisional Application ........................................... 4-17§ 4:4 Double Patenting .......................................................... 4-17§ 4:5 Problem on Effective Filing Date and Double
Patenting....................................................................... 4-20§ 4:6 Answers to Problem on Effective Filing Date and
Double Patenting .......................................................... 4-21§ 4:7 Problem on Section 119 ............................................... 4-23§ 4:8 Answers to Problem on Section 119............................. 4-23
Chapter 5 Statutory Bars Under Section 102
§ 5:1 Introduction.................................................................... 5-1§ 5:2 Step 2 of the Flow Chart for Patentability ...................... 5-2§ 5:3 Statutory Bars Under Sections 102(a)(1)
and 102(a)(2)................................................................... 5-2§ 5:3.1 “Patented” As a Statutory Bar................................. 5-3§ 5:3.2 “Publication” As a Statutory Bar............................. 5-4§ 5:3.3 “Use” As a Statutory Bar ........................................ 5-4§ 5:3.4 “Sale” As a Statutory Bar ........................................ 5-5§ 5:3.5 “Otherwise Available to the Public” As a
Statutory Bar......................................................... 5-14§ 5:3.6 Disclosure in a U.S. Patent or a U.S. Patent
Publication As a Statutory Bar.............................. 5-14§ 5:4 Exceptions to Statutory Bars Under Sections
102(a)(1) and 102(a)(2)...................................................... 5-15§ 5:5 Effective Dates of Patents and Publications As
References ..................................................................... 5-18§ 5:6 Problem on Statutory Bars Under Sections 102(a)(1)
and 102(a)(2)................................................................. 5-19
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§ 5:7 Answers to Problem on Statutory Bars UnderSections 102(a)(1) and 102(a)(2) ................................... 5-20
§ 5:8 Steps in the Flow Chart for Patentability ..................... 5-21
Chapter 6 Comparative Patent Law
§ 6:1 Introduction.................................................................... 6-1§ 6:2 Applicant ........................................................................ 6-1§ 6:3 Term ............................................................................... 6-2§ 6:4 Statutory Bars ................................................................. 6-2§ 6:5 Obviousness.................................................................... 6-2§ 6:6 National Security Considerations................................... 6-2§ 6:7 Examination ................................................................... 6-3§ 6:8 Delayed Prosecution ....................................................... 6-3§ 6:9 Opposition ...................................................................... 6-3§ 6:10 European Patent Convention.......................................... 6-4§ 6:11 Patent Cooperation Treaty .............................................. 6-6§ 6:12 International Design Applications.................................. 6-8
Chapter 7 Unobviousness
§ 7:1 Introduction.................................................................... 7-1§ 7:2 Step 4 of the Flow Chart for Patentability ...................... 7-1§ 7:3 Background ..................................................................... 7-2
§ 7:3.1 Hotchkiss Decision ................................................. 7-2§ 7:3.2 Cuno Decision ........................................................ 7-2
§ 7:4 Section 103..................................................................... 7-3§ 7:5 Application of Section 103 ............................................. 7-3
§ 7:5.1 Negative Rules ........................................................ 7-3§ 7:5.2 Positive Rules .......................................................... 7-4
Table 7-1 Superiority ............................................................... 7-5Table 7-2 Criticality................................................................. 7-5Table 7-3 Synergism ................................................................ 7-6
§ 7:5.3 Basic Factual Inquiries .......................................... 7-12§ 7:5.4 Secondary Considerations..................................... 7-12§ 7:5.5 Rule 132 Affidavit ................................................. 7-16§ 7:5.6 How an Invention Is Made................................... 7-16§ 7:5.7 Hindsight .............................................................. 7-17
Chart 7-1 Prior Art Chart....................................................... 7-17§ 7:6 Prior Art Chart ............................................................. 7-18§ 7:7 Problem on Unobviousness .......................................... 7-18§ 7:8 Answers to Problem on Unobviousness ....................... 7-19Chart 7-2 Prior Art Chart....................................................... 7-19
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Chapter 8 Derivation Proceedings and Derived Patents
§ 8:1 Introduction.................................................................... 8-1§ 8:2 Effective Date.................................................................. 8-2§ 8:3 Statutory Provisions........................................................ 8-2§ 8:4 Petition for Derivation Proceeding.................................. 8-4§ 8:5 Decision in a Derivation Proceeding .............................. 8-4
§ 8:5.1 Timing .................................................................... 8-5§ 8:5.2 Rules ....................................................................... 8-5
§ 8:6 Effect of PTAB Decision.................................................. 8-5§ 8:7 Alternatives to Decision by the PTAB ............................ 8-5§ 8:8 Civil Action in Case of Derived Patent .......................... 8-6
Chapter 9 Infringement in General
§ 9:1 Introduction.................................................................... 9-1§ 9:2 Infringement of Patent.................................................... 9-1§ 9:3 Direct Infringement ........................................................ 9-3Flow Chart 9-1 Flow Chart for Infringement............................. 9-4§ 9:4 Articles Made Abroad by Process Claimed in
U.S. Patent...................................................................... 9-5§ 9:5 Medical Practitioner ’s Performance of
a Medical Activity........................................................... 9-6§ 9:6 Third-Party Liability ....................................................... 9-7§ 9:7 Joint or Divided Infringement ........................................ 9-7§ 9:8 Inducement of Divided Infringement and
Divided Infringement Reconsidered................................ 9-8§ 9:9 Patented Seeds and the Patent Exhaustion Doctrine .... 9-15
Chapter 10 Literal Infringement
§ 10:1 Introduction.................................................................. 10-1§ 10:2 Three Rules................................................................... 10-1
§ 10:2.1 Rule of Exactness .................................................. 10-2§ 10:2.2 Rule of Addition.................................................... 10-2§ 10:2.3 Rule of Omission .................................................. 10-2
§ 10:3 Chair-Rocking Chair Illustration .................................. 10-2Diagram 10-1 Scope of Patents in Chair-Rocking Chair
Illustration ............................................................. 10-3§ 10:4 Chair-Rocking Chair-Converting Chair ........................ 10-3Diagram 10-2 Scope of Patents in Chair-Rocking Chair-
Converting Chair Illustration................................ 10-4§ 10:5 Chair-Rocking Chair-Convertible Rocking Chair ......... 10-5
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Diagram 10-3 Scope of Patents in Chair-Rocking Chair-Convertible Rocking Chair Illustration ................. 10-6
§ 10:6 Claim Construction...................................................... 10-6§ 10:7 Problem on Literal Infringement ................................ 10-12§ 10:8 Answers to Problem on Literal Infringement ............. 10-13
Chapter 11 Doctrine of Equivalents
§ 11:1 Introduction.................................................................. 11-1Table 11-1 Issues in Graver Tank Decision .......................... 11-2§ 11:2 Test for the Doctrine of Equivalents ............................. 11-3§ 11:3 Illustration of the Doctrine of Equivalents ................... 11-3
§ 11:3.1 Columns 1 Through 5 in Table 11-1.................... 11-4§ 11:3.2 Column 6 in Table 11-1 ....................................... 11-5
[A] First Situation ....................................................... 11-5[B] Second Situation ................................................... 11-5[C] Third Situation ..................................................... 11-5[D] Fourth Situation.................................................... 11-5
§ 11:4 How to Interpret the Findings in Table 11-1................ 11-6§ 11:5 Decisions Subsequent to Graver Tank.......................... 11-6
Chapter 12 Prosecution History Estoppel
§ 12:1 Introduction.................................................................. 12-1§ 12:2 Judicial Application of Prosecution History Estoppel..... 12-1§ 12:3 Exhibit Supply Decision................................................ 12-2Table 12-1 Issues in Exhibit Supply Decision......................... 12-3§ 12:4 Warner-Jenkinson Decision........................................... 12-4§ 12:5 Litton Decision ............................................................. 12-5§ 12:6 Festo Decision—Court of Appeals (Festo I) .................. 12-5§ 12:7 Festo Decision—Supreme Court (Festo II).................... 12-7§ 12:8 Festo Decision—Court of Appeals on Remand
(Festo III)....................................................................... 12-9
Chapter 13 Third-Party Liability
§ 13:1 Introduction.................................................................. 13-1§ 13:2 Inducement Under Section 271(b)................................ 13-1§ 13:3 Contributory Infringement Under Section 271(c) ........ 13-5§ 13:4 Repair and Reconstruction............................................ 13-6§ 13:5 Assembly of Components Outside the
United States ................................................................ 13-7§ 13:6 Safe Harbor Provision Under Section 271(e)(1) .......... 13-11
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§ 13:7 Problem on Direct Infringement and Third-PartyLiability....................................................................... 13-13
§ 13:8 Answers to Problem on Direct Infringement andThird-Party Liability ................................................... 13-14
Table 13-1 Summary of Answers to Problem on DirectInfringement and Third-Party Liability............... 13-15
Chapter 14 Preparation of an Opinion Letter
§ 14:1 Introduction.................................................................. 14-1§ 14:2 Types of Opinions......................................................... 14-2§ 14:3 Contents of an Opinion ............................................... 14-2
§ 14:3.1 Heading................................................................. 14-2§ 14:3.2 Introduction.......................................................... 14-2§ 14:3.3 Facts or Background.............................................. 14-3§ 14:3.4 Issues or Questions............................................... 14-3§ 14:3.5 Conclusions .......................................................... 14-3§ 14:3.6 Discussion ............................................................ 14-4§ 14:3.7 Summary .............................................................. 14-4
§ 14:4 Problem on Preparation of Opinion Letter ................... 14-4§ 14:4.1 Information Received from Client ........................ 14-4§ 14:4.2 Request from Client.............................................. 14-5
§ 14:5 Proposed Opinion Letter............................................... 14-5Sample 14-1 Opinion Letter ....................................................... 14-6§ 14:6 Additional Considerations Before Drafting
Infringement or Validity Opinions.............................. 14-10§ 14:6.1 Maintenance Fees ............................................... 14-10§ 14:6.2 Holdings of Invalidity and Disclaimer................ 14-10
Chapter 15 Preparation of a Specification fora Patent Application
§ 15:1 Introduction.................................................................. 15-1§ 15:2 Headings for a Patent Application ................................ 15-2
§ 15:2.1 Title of the Invention............................................ 15-2§ 15:2.2 Cross-References to Related Applications ............. 15-3§ 15:2.3 Statement Regarding Federally Sponsored
Research or Development ..................................... 15-3§ 15:2.4 Names of the Parties to a Joint Research
Agreement............................................................. 15-3§ 15:2.5 Reference to a Sequence Listing ............................ 15-3§ 15:2.6 Background of the Invention ................................ 15-4§ 15:2.7 Brief Summary of the Invention ........................... 15-4
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§ 15:2.8 Brief Description of the Drawing(s) ...................... 15-4§ 15:2.9 Description of the Preferred Embodiment(s)......... 15-4§ 15:2.10 Abstract of the Disclosure..................................... 15-8§ 15:2.11 Claim(s) ................................................................ 15-9
§ 15:3 Provisional Application................................................. 15-9§ 15:4 Problem on Preparation of a Patent Specification....... 15-10
§ 15:4.1 Disclosure from Client ....................................... 15-10§ 15:4.2 Analysis by Patent Attorney................................ 15-10§ 15:4.3 Questions to Client ............................................ 15-11§ 15:4.4 Answers from Client........................................... 15-11§ 15:4.5 Form for Preparation of a Patent Specification..... 15-12§ 15:4.6 Proposed Patent Specification ............................. 15-12
Form 15-1 Patent Specification.............................................. 15-13Sample 15-1 Patent Specification.............................................. 15-15
Chapter 16 Preparation of Patent Claims for a PatentApplication
§ 16:1 Introduction.................................................................. 16-2§ 16:2 In General..................................................................... 16-2§ 16:3 Form ............................................................................. 16-2§ 16:4 Parts of a Claim............................................................ 16-3
§ 16:4.1 Preamble ............................................................... 16-3§ 16:4.2 Transition.............................................................. 16-4§ 16:4.3 Body ...................................................................... 16-5§ 16:4.4 Name .................................................................... 16-5§ 16:4.5 Distinctive Features .............................................. 16-6§ 16:4.6 Cooperation .......................................................... 16-6
§ 16:5 Dependent Claim ......................................................... 16-7Table 16-1 Calculation of Filing Fees...................................... 16-8§ 16:6 Calculation of Filing Fee............................................... 16-9§ 16:7 Antecedent.................................................................... 16-9§ 16:8 “Means” Clause ............................................................ 16-9§ 16:9 Functional Limitation................................................. 16-13§ 16:10 Negative Limitation.................................................... 16-13§ 16:11 Double Inclusion ........................................................ 16-13§ 16:12 Alternative Expression ................................................ 16-13§ 16:13 Markush Group .......................................................... 16-14§ 16:14 Problem on Preparation of Patent Claims .................. 16-14§ 16:15 Proposed Patent Claims.............................................. 16-14Sample 16-1 Patent Claims ...................................................... 16-15
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Chapter 17 Preparation of an Amendment
§ 17:1 Introduction.................................................................. 17-1§ 17:2 In General..................................................................... 17-2§ 17:3 Requirements of an Amendment.................................. 17-2§ 17:4 Procedures for Amending Claims Prior to
March 1, 2001.............................................................. 17-3§ 17:4.1 First Procedure ...................................................... 17-3§ 17:4.2 Second Procedure .................................................. 17-3§ 17:4.3 Third Procedure .................................................... 17-4§ 17:4.4 Fourth Procedure................................................... 17-4§ 17:4.5 Fifth Procedure...................................................... 17-4
§ 17:5 Procedures for Amending Claims EffectiveMarch 1, 2001.............................................................. 17-5
§ 17:6 Procedures for Amending Claims and Other Partsof a Patent Application Effective July 30, 2003 ............ 17-5
§ 17:7 Preliminary Amendment .............................................. 17-7§ 17:8 Amendment in Response to an Office Action
Which Is Not a Final Rejection .................................... 17-7§ 17:9 Amendment in Response to a Final Rejection.............. 17-8§ 17:10 Proposed Prior Art Charts ............................................ 17-8Exhibit 17-1 Office Action on Goda Patent ............................... 17-9
§ 17:10.1 Prior Art Chart 17-1 ........................................... 17-16Chart 17-1 Chart Comparing Claim 1 with Goda
Patent ................................................................... 17-16§ 17:10.2 Prior Art Chart 17-2 ........................................... 17-17
Chart 17-2 Chart Comparing Claim 9 with GodaPatent ................................................................... 17-17
§ 17:10.3 Prior Art Chart 17-3 ........................................... 17-18Chart 17-3 Chart Comparing Brooks Invention and
Goda Patent ......................................................... 17-18§ 17:11 Form for Preparation of an Amendment .................... 17-18§ 17:12 Proposed Amendment ................................................ 17-18Form 17-1 Sample Format Revised Amendment Practice .... 17-19Sample 17-1 In the United States Patent and
Trademark Office ................................................. 17-24
Chapter 18 Preparation of Affidavits
§ 18:1 Introduction.................................................................. 18-1§ 18:2 Rule 131 Affidavit......................................................... 18-1§ 18:3 Form and Sample ......................................................... 18-5Form 18-1 Rule 131 Affidavit .................................................. 18-6Sample 18-1 Rule 131 Affidavit .................................................. 18-7
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§ 18:4 Rule 132 Affidavit..........................................................18-8§ 18:5 Form and Sample ..........................................................18-9Form 18-2 Rule 132 Affidavit .................................................18-10Sample 18-2 Rule 132 Affidavit .................................................18-12§ 18:6 Rule 130 Affidavit—Form and Sample ........................18-13Form 18-3 Rule 130 Declaration ............................................18-14Sample 18-3 Rule 130 Declaration ............................................18-16
Chapter 19 Preparation of an Appeal Brief
§ 19:1 Introduction...................................................................19-1§ 19:2 Contents of an Appeal Brief ..........................................19-2
§ 19:2.1 Identification Page..................................................19-2§ 19:2.2 Table of Contents Page...........................................19-2§ 19:2.3 Real Party in Interest .............................................19-2§ 19:2.4 Related Appeals, Interferences, and Trials .............19-2§ 19:2.5 Summary of Claimed Subject Matter ....................19-3§ 19:2.6 Argument...............................................................19-3§ 19:2.7 Claims Appendix ...................................................19-4
§ 19:3 Sample ...........................................................................19-4Sample 19-1 Appeal Brief.............................................................19-5
Chapter 20 Preparation of an Information DisclosureStatement
§ 20:1 Introduction...................................................................20-1§ 20:2 Duty to Disclose............................................................20-1§ 20:3 Types of Information .....................................................20-2§ 20:4 Information Material to Patentability............................20-7§ 20:5 Associated Individuals ...................................................20-7§ 20:6 Time Periods for Filing ..................................................20-7§ 20:7 Content..........................................................................20-9§ 20:8 Forms.............................................................................20-9Form 20-1 Information Disclosure Statement .......................20-11Form 20-2 PTO/SB/08 ............................................................20-12Form 20-3 Information Disclosure Statement .......................20-14Form 20-4 Letter to Client on Filed Information
Disclosure Statement............................................20-15Form 20-5 Additional Page for a Specific Information
Disclosure Statement............................................20-16Form 20-6 Petition for Information Disclosure
Statement..............................................................20-17Form 20-7 Letter Enclosing a Copy for Each Cited
Deposit..................................................................20-19Form 20-8 Citation of Documents.........................................20-20
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Chapter 21 Preparation of Other Papers
§ 21:1 Introduction.................................................................. 21-1§ 21:2 Patent Application Transmittals ................................... 21-2§ 21:3 Fee Transmittal ............................................................. 21-2§ 21:4 Assignment................................................................... 21-2§ 21:5 Declarations and Related Documents for
Applications Filed on or After September 16, 2012 ..... 21-3§ 21:6 Response to a Notice to File Missing Parts of
an Application .............................................................. 21-5§ 21:7 Claim for Priority from or Benefit of an
Earlier Application ........................................................ 21-6§ 21:8 Terminal Disclaimer ..................................................... 21-7§ 21:9 Correction of an Issued Patent ..................................... 21-7§ 21:10 Payment of Patent Maintenance Fee............................. 21-8§ 21:11 Provisional Application................................................. 21-8§ 21:12 Notice of Appeal ........................................................... 21-8§ 21:13 Request for Oral Hearing.............................................. 21-8§ 21:14 Design Application ....................................................... 21-8§ 21:15 Continued Prosecution Application.............................. 21-9§ 21:16 Status Letter ................................................................. 21-9§ 21:17 Letter to Client on Serial Number and Filing Date...... 21-9§ 21:18 Letter to Client on Office Action.................................. 21-9§ 21:19 Letter to Client Regarding Notice of Allowance ......... 21-10§ 21:20 Letter to Client Acknowledging Instructions.............. 21-10§ 21:21 Letter to Client Reminding of Due Date for
Filing a Document...................................................... 21-10§ 21:22 Claiming Small Entity Status and Micro
Entity Status ............................................................... 21-11Form 21-1 Utility Patent Application Transmittal................ 21-14Form 21-2 Design Patent Application Transmittal ............... 21-15Form 21-3 Plant Patent Application Transmittal .................. 21-16Form 21-4 Provisional Application For Patent
Cover Sheet .......................................................... 21-17Form 21-5 Fee Transmittal .................................................... 21-19Form 21-6 Assignment .......................................................... 21-20Form 21-7 Assignment .......................................................... 21-22Form 21-8 Recordation Form Cover Sheet............................ 21-24Form 21-9 Declaration for Utility or Design Patent
Application (37 C.F.R. § 1.63) ............................. 21-28Form 21-10 Plant Patent Application (35 U.S.C. § 161)
Declaration (37 C.F.R. § 1.162)........................... 21-30Form 21-11 Supplemental Sheet for Declaration.................... 21-32
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Form 21-12 Declaration (37 C.F.R. § 1.63) for Utility orDesign Application Using an ApplicationData Sheet (37 C.F.R. § 1.76)............................. 21-33
Form 21-13 Declaration (37 C.F.R. § 1.63) for PlantApplication Using an Application Data Sheet(37 C.F.R. § 1.76)................................................. 21-34
Form 21-14 Substitute Statement in Lieu of an Oath orDeclaration for Utility or Design PatentApplication (35 U.S.C. § 115(d) and37 C.F.R. § 1.64).................................................. 21-35
Form 21-15 Substitute Statement Supplemental Sheet .......... 21-37Form 21-16 Application Data Sheet 37 C.F.R. § 1.76 ............ 21-38Form 21-17 Power of Attorney to Prosecute Applications
Before the USPTO ............................................. 21-44Form 21-18 Transmittal for Power of Attorney to One
or More Registered Practitioners ......................... 21-45Form 21-19 Statement Under 37 C.F.R. § 3.73(c) .................. 21-47Form 21-20 Response to Notice to File Missing Parts............ 21-49Form 21-21A Certification of Micro Entity Status
(Gross Income Basis) ........................................... 21-51Form 21-21B Certification of Micro Entity Status
(Institution of Higher Education Basis)............... 21-52Form 21-22 Terminal Disclaimer ............................................ 21-53Form 21-23 Request for Certificate of Correction
Under 37 C.F.R. § 1.322 ..................................... 21-54Form 21-24 Certificate of Correction ...................................... 21-55Form 21-25 Request for Certificate of Correction
Under 37 C.F.R. § 1.323 ..................................... 21-56Form 21-26 Letter on Errors.................................................... 21-57Form 21-27 Transmittal Letter for Maintenance Fee.............. 21-58Form 21-28 Transmittal Letter for Provisional Application.... 21-60Form 21-29 Notice of Appeal .................................................. 21-62Form 21-30 Request for Oral Hearing..................................... 21-65Form 21-31 Transmittal Letter for Design Application .......... 21-67Form 21-32 Transmittal Letter for Continued
Prosecution Application—Design ........................ 21-69Form 21-33 Status Letter......................................................... 21-72Form 21-34 Letter to Client on Serial Number and
Filing Date ........................................................... 21-73Form 21-35 Letter to Client on Office Action ........................ 21-75Form 21-36 Letter to Client Regarding Notice of
Allowance............................................................. 21-77Form 21-37 Letter to Client Acknowledging Instructions ...... 21-78Form 21-38 Letter to Client Reminding of Due Date for
Filing a Document ............................................... 21-79
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Chapter 22 Patent Litigation
§ 22:1 Introduction.................................................................. 22-1§ 22:2 Parties ........................................................................... 22-1§ 22:3 Jurisdiction ................................................................... 22-2§ 22:4 Venue ............................................................................ 22-2§ 22:5 Causes of Action........................................................... 22-5
§ 22:5.1 Injunction Under Section 283 .............................. 22-6§ 22:5.2 Damages Under Section 284 ................................ 22-8
§ 22:6 Presumption of Validity ................................................ 22-9§ 22:7 Defenses ....................................................................... 22-9§ 22:8 Declaratory Judgments ............................................... 22-12§ 22:9 Prosecution Laches and When Laches Is
Not Available .............................................................. 22-15§ 22:10 False Marking and Virtual Marking............................ 22-16§ 22:11 Joinder of Parties......................................................... 22-18§ 22:12 Practice and Procedure................................................ 22-19§ 22:13 Attorney Fees .............................................................. 22-20
Chapter 23 Antitrust
§ 23:1 Introduction.................................................................. 23-1§ 23:2 Acquisition.................................................................... 23-1§ 23:3 Litigation ...................................................................... 23-2§ 23:4 Fraud............................................................................. 23-2§ 23:5 Licensing....................................................................... 23-2§ 23:6 Price Fixing ................................................................... 23-2§ 23:7 Tie-in Restrictions ........................................................ 23-2§ 23:8 Patent Package .............................................................. 23-3§ 23:9 Patent Pooling............................................................... 23-3§ 23:10 Grant-Back.................................................................... 23-3§ 23:11 Restrictions ................................................................... 23-4§ 23:12 Pharmaceutical Settlement Agreements Under the
Hatch-Waxman Amendments....................................... 23-4
Chapter 24 Post-Grant Procedures
§ 24:1 Introduction.................................................................. 24-1§ 24:2 Certificate of Correction ............................................... 24-1§ 24:3 Disclaimer .................................................................... 24-1§ 24:4 Reissue Patent............................................................... 24-2§ 24:5 Ex Parte Reexamination of a Patent.............................. 24-2§ 24:6 Inter Partes Reexamination of a Patent ........................ 24-3
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§ 24:7 New Post-Grant Procedures Under theAmerica Invents Act ..................................................... 24-3
§ 24:7.1 Inter Partes Review ............................................... 24-4§ 24:7.2 Supplemental Examination................................. 24-11§ 24:7.3 Post-Grant Review .............................................. 24-12§ 24:7.4 Transitional Program for Review of Validity of
Covered Business Method Patents ...................... 24-14
Chapter 25 Other Intellectual Property
§ 25:1 Introduction.................................................................. 25-1§ 25:2 Trademark..................................................................... 25-1§ 25:3 Copyright...................................................................... 25-2§ 25:4 Trade Secret .................................................................. 25-2
Chapter 26 Patent Licensing
§ 26:1 Introduction.................................................................. 26-1§ 26:2 The Need for Patent Licensing ..................................... 26-2§ 26:3 General Considerations ................................................ 26-3§ 26:4 Types of Patent Licenses ............................................... 26-5§ 26:5 Parts of a Patent License Agreement............................. 26-6§ 26:6 The License Grant........................................................ 26-6
§ 26:6.1 Field(s) of Use ....................................................... 26-6§ 26:6.2 Permitted Activities .............................................. 26-6§ 26:6.3 Geographic Region ................................................ 26-7§ 26:6.4 Limited List of Customers .................................... 26-7§ 26:6.5 Reservation of Rights ............................................ 26-7
§ 26:7 Consideration for the Grant ......................................... 26-7§ 26:7.1 The Royalty Base .................................................. 26-7§ 26:7.2 Up-Front Payments............................................... 26-8§ 26:7.3 Running Royalty ................................................... 26-8§ 26:7.4 Minimum Royalty ................................................ 26-9§ 26:7.5 Maximum Royalty ................................................ 26-9
§ 26:8 Deliverables .................................................................. 26-9§ 26:9 Auditing ........................................................................ 26-9§ 26:10 Duration and Renewal................................................ 26-10§ 26:11 Hart-Scott-Rodino Antitrust Improvements Act......... 26-10§ 26:12 Sample Form Patent License Agreement .................... 26-10Form 26-1 Patent License Agreement.................................... 26-12
Appendix A
Legacy Chapters from the Third Edition................................ App. A-1
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Appendix B
United States Code Title 35 ................................................... App. B-1
Appendix C
Rules of Practice: 37 C.F.R. Parts 1, 3, 4, and 5 ....................App. C-1
Glossary ......................................................................................... G-1
Table of Authorities.......................................................................T-1
Index ................................................................................................. I-1
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Preface and Acknowledgments
This preface provides comments on how to use this work. It alsoprovides some perspective on how decisions were made for itsorganization. Finally, some acknowledgments are due.
Background
In a sense, my collaboration with Professor Ronald B. Hildrethstarted in September of 1978, when I took his first course in PatentLaw at the St. John’s Univercity School of Law. Four years aftercompleting the second course, Patent Practice, I received the honorand privilege of becoming an adjunct faculty member, teachingpatent law, at the Touro College Jacob D. Fuchsberg Law Center.
From the beginning of my teaching, I used many of the tech-niques and materials that Professor Hildreth had used in his class.When he published the first and later editions of this work, mystudents found it to be of great benefit in understanding the materialthat we covered in patent law courses.
In the fall of 2011, I faced some unique challenges in teaching thebasic patent law course. The America Invents Act was signed intolaw on September 16, 2011. Anticipating the event, I had alreadymade substantial changes to the syllabus of that course. I began tounderstand the broad scope of the changes, and that extensiverevisions to Professor Hildreth’s work would be necessary.
I telephoned Professor Hildreth and offered to assist in therevisions. He realized that my teaching efforts were running inparallel to the changes that would be required in his work, andagreed that we should collaborate on a fourth edition of this book.
Organization
While it would have been preferable to start with a clean slate,and to write about and to teach only the new law, there were severalreasons for why this is not a good option. First, the provisions of theAmerica Invents Act were and are being phased in based on threedates: the date of enactment, one year after enactment, and eighteenmonths after enactment. Second, students and practitioners will bereviewing file histories of patents issued before various provisions ofthe America Invents Act went into effect for at least the next twodecades. Third, some practitioners will probably agree that manycourt decisions and principles under the law in effect prior to the
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America Invents Act will in all probability always inform the natureof patent practice.
This edition deals with the points raised above by preservingthree chapters from the third edition. These chapters, so beautifullywritten by Professor Hildreth, provide concise explanations andpractice problems dealing with statutory bars, antedating, andinterference law, and are reprinted in Appendix A. New chapter 5deals with statutory bars under the new law. The chapter oninterference law has been replaced with a new chapter on derivationproceedings. The closest equivalent to antedating is new Rule 130,which is mentioned in chapter 3.
Chapters such as chapter 3 have been revised to show aspects ofboth the old and new law. For example, the original flow chart onpatentability, created by Professor Hildreth, directed to the first-to-invent system, and so useful to students and practitioners, isretained in chapter 3. However, a new flow chart, representative ofthe new first-inventor-to-file system, is added to chapter 3.
It is noted that not every development under evolving case lawand under the new statute has been covered due to time and spacelimitations. The book will continue to be updated.
Suggestions for Using This Book
For someone learning patent law for the first time, it is suggestedthat the legacy chapters in Appendix A be avoided until a soundunderstanding of the new law has been established. The legacychapters can be reviewed later so that there will be no surprises ifissues under the old law come up in teaching or in practice. Asteachers, we do not wish to have our former students surprised bydoctrines they have not heard of when they begin to practice law.
For the more experienced practitioner, we hope that this work willserve as a reference and study guide for developments under the newlaw, and as a reminder of what the law was.
Acknowledgments
It is only fitting that I thank the many people who providedsupport to me during the preparation of this fourth edition. Theseinclude my wife, who has always been supportive of my professionalendeavors, and put up with me being less than present on manyoccasions. My students occasionally heard about my collaborationwith Professor Hildreth, and over the years have been an inspiration.Thanks are due to the attorneys at Ohlandt Greeley Ruggiero &Perle LLP, including Senior Partners Charles N.J. Ruggiero andPaul D. Greeley, and Edward L. McMahon, John Yankovich, andothers, who after many years of practice, I still learn from every day,and who have had to deal with my being a bit distracted at times,as this edition was completed.
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Special thanks are also due to Keith Voelker, our Legal Editor atthe Practising Law Institute, and to others on the editorial staff.Keith worked patiently and tirelessly in the face of my being late onsubmissions due to commitments to clients, students, and family.
I close again mentioning Professor Ronald B. Hildreth, who firstconceived of this work and developed and nurtured it for the firstthree editions. My relationship with him reminds me of the storyabout the student who comes home from college after four years torealize just how smart his parents have become. When I tookProfessor Hildreth’s course, I thought he was a pretty good professor.Four years later, I realized that he was a great professor. My specialthanks go to Professor Ronald B. Hildreth—teacher, mentor, scholar,and friend.
David AkerNovember 15, 2012
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Preface to the Third Edition
Patent Law: A Practitioner’s Guide provides a comprehensive, step-by-step overview of the fundamentals of patent law in a succinct,readable, one-volume format. The unique qualities of this book inthis field of law are its simplicity and clarity. Sample forms forpreparing frequently used patent documents are included, as well ashypotheticals presented in a problem/answer format to illustratecomplex substantive issues. Special emphasis is accorded patent-ability and infringement—the two major issues considered eitherduring the prosecution of a pending patent application before theUnited States Patent and Trademark Office or during the litigation ofan issued patent before the courts.
The work is a handy reference not only for patent and non-patentattorneys, judges, and law professors who require a structuredintroduction to patent law, but also for scientists, engineers, corpo-rate managers and executives, and foreign patent attorneys who needto understand the basics of United States patent law.
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