New Ideas, Methods and Products Series      
Volume VII      

 

Volume II cover image
The Formal Procedure For Obtaining Protection


THE PROCEDURE

Mysterious. That's what most people think of the process of patenting an invention or registering a trademark or copyright. There is no mystery. The preparation, filing, and prosecution follow a regular pattern.


PATENTS

The path to a patent begins with an invention. Strictly speaking, an invention requires a conceptualization of the invention and a reduction to practice of it. The conceptualization is not merely an idea but a concrete realization of how the invention can be effected: an existing problem solved, a new task that can be achieved. A reduction to practice is the actual building of a device or the execution of the steps of a method which implements the invention. A reduction to practice is not necessary prefatory to filing an application for a patent: conception is.

While you may file a patent application immediately at this point, there are two other actions you should consider: record keeping and a preliminary patentability search.

Record keeping properly done establishes evidence of the earliest provable date of the conception of the invention. It also establishes evidence of the fact of and the date of the reduction to practice and of diligence of the inventor in bringing the invention from the conceptual stage to the reduction to practice. Those two dates and the level of diligence between them is what the U.S. Patent and Trademark Office considers when it is determining which one of two different inventors is going to receive the patent for the invention.

The best proof for this purpose is documentary evidence corroborated by an unbiased witness or two. A bound, page-numbered notebook which cannot have pages added or removed surreptitiously is a good recording medium. The concept and all thoughts on improvements, variations, and applications should be written in the notebook and each page dated and signed by the inventor identified as such. Each page should also be signed and dated by one or more witnesses who have read and understood the inventor's descriptions. The witnesses should sign under a legend such as: "Explained to and understood by me." For this witnessing is not, as in the case of a will or trust, merely that the signing party is not subject to duress or coercion, and is who he says he is and appears sane and sober. In this case the witness is testifying that concepts on this page were made known to him on that date. A notarized document is not nearly so probative.

A self-addressed postmarked envelope containing the inventor's own letter describing the invention is of little worth. For it can only be entered into evidence on the inventor's sworn statement that he did not open or tamper with the letter. If the inventor's word as to the letter was acceptable proof, then so would his word concerning the date of conception. That is not likely and should not be counted on.

Take care to have the inventor(s) and witness(es) clearly identified and distinguished. Serious problems have arisen when a party assumed to have signed as a witness later claims to have signed as inventor or co-inventor!

A preliminary patentability search is generally advisable, but not mandatory. The basic purpose of such a search is to determine the general state of the art in the area of the invention. This helps the inventor understand whether there is something patentable about his invention and the scope of the protection that may be available.

Don't be misled. A preliminary patentability search is a single purpose search with a narrow goal. It covers only issued U.S. patents, whether expired or not, not U.S. patent applications. They are secret unless and until they actually are issued. It does not cover any patents or patent applications of any other countries and does not cover the scientific and technical literature at all. Such a comprehensive search would be quite expensive. The preliminary patentability search is by no means exhaustive. It is a limited search done on a limited budget in a limited period of time. Pertinent references could be overlooked, temporarily missing or misclassified. A favorable outcome of a preliminary patentability search in no way guarantees the patentability of the invention. The U.S. Patent and Trademark Office Examiner will do his own search and make up his own mind as to whether the invention is patentable.

In a preliminary patentability search, the searcher in the U.S. Patent and Trademark Office files attempts to cover the most likely areas where relevant art should be found in accordance with his own experience, the recommendations of patent examiners, the studies of the classification manuals and definitions therein, and of the original and cross-reference classifications of relevant patents uncovered during the course of the search. Even so, relevant art may not be discovered. For example, the issuing patent Examiner may not have properly classified and/or cross-referenced the patent. The Patent Office search files, even at their best, are never wholly complete. Finally, there is the consideration that this is merely a preliminary patentability search and must be done within acceptable price limits.

Also be aware that consciously or subconsciously an inventor often shifts the focus of his invention after a search is done, either as a result of: a sharpened focus after seeing the search results, a subconscious refusal to accept that his invention is already known, or a further understanding of his invention. Whatever the reason, such a shift may make the original search inapplicable since there is now a different invention being emphasized.

Finally, don't mistake a preliminary patentability search for an infringement search. A preliminary patentability search attempts to bring to your attention the general prior art in the area of the invention so you can get a feel of whether and to what extent your invention may be patentable. In contrast, an infringement search attempts to uncover not just patents which may contain disclosures of your invention. Rather, this search seeks to find unexpired patents which are of the same scope, a more dominant coverage, or even a more narrow coverage which would prevent or interfere with your right to freely practice or license your invention. These searches are much more time consuming and expensive than simple preliminary patentability searches.

Preparing a patent application is a unique and rewarding experience and one in which the inventor must fully participate if he wishes to have a patent that protects his invention to the fullest extent possible. The cost of preparing a patent application by a patent attorney is strictly a matter of time. The more time it takes, the more it will cost. And the time it takes depends upon the sophistication of the technology, the articulateness of the inventor, and the closeness of the prior art.

The impact of the sophistication of the technology can be seen by a simple example. If the invention is a non-slip doorknob it will take less effort and time to understand and write a background that explains the problems that existed before the invention and quickly and sharply focuses on the invention which is the solution to those problems. Compare this with an invention involving a new method of injecting a dopant in integrated circuit transistor fabrications which enables much higher packing density and greater computing power which permits an operating system that supports a truly adaptive learning system. This requires the clear understanding and explanation of half a dozen different disciplines just to understand the context of the improvement. Only after that can the work begin on attempting to define just what is the invention.

The articulateness of the inventor is a critical factor, not only in the cost but the breadth of the patent protection sought. A patent is not a scientific paper, nor is it a simple statement of an idea. It is a complete disclosure of one embodiment of the invention. It must describe the best mode of carrying out the invention presently known to the inventor; the inventor may not disclose his second best implementation of the invention and keep the best a secret. And the disclosure must be sufficient for others skilled in the art to make and use the invention without undue experimentation. But it is not a how-to manual, nor does it require proofs and citations as does a doctoral thesis. The inventor may not even understand why the invention works, only that it does. Most importantly, the inventor should strive at some point to rise above the specific embodiment, above the mathematical or scientific proof that the invention is sound, and above all the other details, and attempt to see the broader concept which can be extracted from the details: the underlying notion, the generic nature or philosophy of the invention. Only then can the patent be properly drafted with claims broad enough to fully protect the broad scope of the invention, not just the embodiment presently contemplated.

Finally, the closeness of the prior art must be considered. An anti-gravity machine or room temperature fusion energy source are easy to see against the background of prior art, like a full moon against the night sky. But consider trying to patentably distinguish a new nail. There are dozens of different types of nails: wood, concrete, horseshoe, in many types and sizes and shapes, with many different surfaces and textures. A patent claim to a new nail would have to be expressed very, very carefully to avoid all those prior art nails and yet gain for this new nail the fullest scope of protection to which it is entitled.

In addition to spending anywhere from half an hour to a number of hours with a patent attorney, an inventor should provide background material. This does not mean piles and piles of documents. Remember, as a professional the patent attorney has a duty to read and understand anything you supply so he can determine what is truly prior art to be patentably distinguished and what is not. This takes time, and time means cost. So provide the attorney only with those things that are material to the invention so he can properly define your invention and patentably distinguish it. He must also bring all prior art to the attention of the U.S. Patent and Trademark Office Examiner. If that is not done a patent may later be invalidated for failure to bring pertinent art to the attention of the Office during prosecution of the patent application.

The most effective information that an inventor can supply to his attorney includes, first, a background of no more than two or three pages explaining the problems that gave rise to the need for the invention. This background should start out with a general description of the field to which the invention relates and gradually get more specific until all the problems confronting the inventor and solved by the invention are spelled out. Second, a list should be compiled of all the advantages of the invention. These advantages are the solutions to the problems raised in the background and should be in functional terms, e.g., faster, less expensive, more compact, uses less toxic chemicals, has more and faster memory. Third, a set of drawings is required, which may be as simple as hand sketches or may be CAD/CAM or draftsman drawn. These drawings should start with a broad view of the environment of the invention and gradually get more detailed until the details of the invention itself are revealed. Finally, the inventor should attempt to express in one sentence the basic inventive concept. Preparing and submitting this to the attorney in advance can considerably shorten the actual meeting time.

At the meeting with the attorney the background and advantages will be discussed in detail and the attorney will obtain a complete description and understanding of one specific embodiment of the invention as disclosed in the drawings. At this point a solid estimate of cost could be obtained provided nothing changes. Ultimately, the attorney will explore the scope and breadth of the invention to get a good idea of just how broad the invention is. Prior art will be analyzed and distinguished and claims will be discussed against the background of the market and product the inventor wishes to protect and the likely attempts of competitors to design around the invention.

The inventor must be fully involved in this process to insure that the patent application seeks the level of coverage necessary to protect the inventor. This lays the groundwork for drafting the claims, to which the attorney devotes substantial time and effort. It is not uncommon for an attorney to spend half the time required to write an application just drafting the claims. Claims are the most important part of the patent. It is the claims which define the protection afforded by a patent. It is the claims which must read on an infringing device if the patent is truly infringed and it is the claims which the Examiner examines, usually rejects, and finally agrees are allowable, often after amendment, if the patent ultimately is granted.

Once the first draft of the patent application is completed it is sent along with drawings created by the inventor and attorney to the inventor, who reads it and makes comments, changes and corrections on the draft itself and returns it to the attorney for preparation in final form. If the changes are understandable the attorney prepares the final draft, but if they are not or the attorney is not comfortable with them because they change the focus of the invention, for example, then another meeting with the inventor may be required.

Often the opportunity to read the presentation of the invention in the draft application inspires other, deeper reflections by the inventor which may result in a fundamental change in his perception of the invention. This certainly would require another meeting and perhaps a second draft of the patent application. Eventually, after the first or subsequent draft is approved by the inventor, the patent application is prepared in final form and submitted to the inventor for reading and execution. This draft will be accompanied by a Declaration, Petition and Power of Attorney, and perhaps an Assignment from the inventor to his company and a small business verification form which entitles the inventor to a 50% reduction in the U.S. Patent and Trademark Office fees.

The application at this time may be accompanied by formal drawings, or the original sketches and drawings may be used if they are clear and understandable and are acceptable to the Office. Subsequently, formal drawings will have to be submitted before the case is allowed to issue as a patent. After the inventor has read and signed all the necessary papers he typically returns it to the attorney who submits it to the U.S. Patent and Trademark Office by mail, Express Mail, courier (such as Federal Express) or by hand delivery.

A cover letter accompanying the application to the Office encloses the filing fee and a list of all pertinent prior art then known to the attorney and inventor. If at any time in the future during prosecution of the application additional prior art is discovered, it must immediately be brought to the attention of the Office. This letter will also enclose a stamped, self-addressed postcard identifying the application and the papers filed with it which will be stamped by the Office with the serial number and filing date and returned to the attorney within a few weeks so that all can be assured that the application was safely received by the Office. An official filing receipt will not arrive for three months or so. If the application is properly mailed by Express Mail then the filing date accorded the case will be the date it was deposited with the U.S. Postal Service. Otherwise the filing date will only be accorded on the day the case was physically received in the Office.

Once received in the Office the application will be classified as to its technical art and assigned to the Examiner who handles that particular area of technology. Examiners have at least an undergraduate scientific or engineering degree. The application is placed on that Examiner's docket and taken up in order by him. He will read the application, make a search of the relevant art such as U.S. and foreign patents, scientific papers and journals and books, to determine whether and to what extent the invention may be patentable.

Almost universally the first communication from the Examiner, called an Office Action, will refuse all or nearly all of the claims. A first class of comment known as a rejection may be based on a number of different substantive grounds. This first Office Action may occur any time after filing. The average time is 12-14 months, but some can take longer and some can occur in six months. The Examiner may have found a complete anticipation of the invention in a single document or patent, or he may have found no such total anticipation but one or more references which he may feel make the invention obvious to one skilled in the art, even though there is nowhere to be found the total idea of the invention. The Examiner may also reject the claims as not being drawn to proper patentable subject matter or as being vague and indefinite and not distinctly setting forth the invention. These two types of rejection were quite common, for example, in the early days of seeking patent protection for software.

The Examiner can also make a second class of criticisms, known as objections, based not on substantive but on technical grounds: grammar, spelling, diction, insufficient explanation, too much explanation, non-sequiturs or the like.

The Office generally allows just three months to reply to the Office Action. Replies made after the third month during each of the fourth, fifth and sixth months must be accompanied by an escalating late fee and a request for an extension for the appropriate time. After six months if no reply is filed the application becomes abandoned and can only be revived by a timely petition accompanied by a much larger fee.

The reply to the Office Action, normally titled a Response, may include amendments to the description and drawings and to the claims as deemed necessary to meet the Examiner's rejections/objections. It may also include arguments made by the attorney. For example, the attorney will normally make whatever amendments to the application are needed to meet the technical objections provided such amendments do not change the sense of the claims or invention.

With respect to the reply to the substantive rejections the attorney will be a bit more conservative. First the attorney will read all the references relied on by the Examiner and study the Examiner's remarks to thoroughly understand how the Examiner is applying those references to refuse patentability of the claims. The attorney will explain to the Examiner why each of the references is not applicable to the claims, or why the combination of references is not applicable. The attorney may also, in lieu of or in addition to arguing the references, amend the claims so that they more clearly define and distinguish the invention from the references. The description, drawings and claims may be freely amended at this time, but bear in mind that no new matter may ever be introduced into the application. The application disclosure was frozen on the date it was filed in the Office.

The original disclosure and its normal understanding by those skilled in the art is the focus of the examination procedure; no extraneous matter can be argued or added. If the inventor suddenly realizes another feature of his invention which he failed to include but which would now serve to easily distinguish his invention from the prior art, it's too late. The only option is to file a new application, a continuation-in-part application, to add the new matter, and begin the examination process anew. This happens in a relatively small number of cases. More normally, good arguments and amendments can be made to persuade the Examiner. Often the next Office Action, which will occur in about three to six months, will allow at least some of the claims, and the applicant must determine whether to accept those and give up the rest or make a second Response and attempt to obtain more claims.

The second Office Action may also reaffirm the rejection of all the claims. Normally this second Office Action is made FINAL, meaning the applicant must comply with all requirements made by the Examiner or the case will be abandoned and no further Office Actions will be forthcoming. All of this correspondence is done in writing. But at any time during this process the attorney may feel it productive or necessary to have a conference either by telephone or in person with the Examiner at the Patent Office to present arguments and point out distinctions that may be difficult to communicate on paper. At this point the applicant has four choices: completely comply if such compliance would get the case allowed; file a continuation case, which is simply a substitute of the original, and start prosecution again; file a continuation-in-part and try to add a new twist; or file an appeal to the Patent Office Board of Patent Appeals and Interferences in an attempt to persuade the Board to reverse the Examiner's decision.

Fortunately in most cases the application is allowed and the patent is issued with at least some of the claims which may have been amended and have a different scope of coverage than as originally filed. During the entire examination process, also known as the prosecution of the patent application, the inventor may be involved with the attorney in preparing the Responses, if the attorney needs help or if the inventor requests participation.

Once the claims have been allowed by the Examiner, a formal Notice of Allowance is sent and the issue fee must be paid within three months or the application will be abandoned. After the issue fee is paid, the application will issue as a patent within approximately three months. Just prior to the issuance an issue receipt is provided which indicates the future date on which the patent is to issue and the number which it will be assigned. The patent will issue on a Tuesday, and a representative drawing and claim will be published in the Patent Office Gazette on that same Tuesday. Maintenance fees must be paid 31/2, 71/2 and 111/2 years from the issue date or the patent will lapse and be unenforceable. Patents are not renewable.


TRADEMARKS

Federal trademark and service mark registrations are applied for with an application that sets forth the name of the owner of the mark and the owner's address and state of incorporation, if it is a corporation. The application must describe the goods to which the mark is applied or the services in connection with which the mark is advertised. The application must also state the date when the mark was first used on the goods or in connection with the services in interstate or foreign commerce. Finally, the application must state the manner in which the mark will be used on the goods -- on labels applied to the goods; on tags attached to the goods, or in newspaper advertisements, store signage, promotional letters, cards, or brochures advertising the services. The application also includes a drawing of the mark and a number of specimens of the mark as it is actually used. The application signed by the owner of the mark is forwarded to the U.S. Patent and Trademark Office with a transmittal letter and self-addressed postcard similar to those that accompany a patent application.

If the mark is not yet in use an "intent-to-use" application can be filed. This allows an applicant to begin the registration process before actually using the mark in commerce and can actually confer greater rights on the applicant as against a party who actually used the mark first but after the applicant filed the intent-to-use application.

The intent-to-use application is examined and processed just as is a normal application. That is, the Trademark Examiner reviews the case to determine whether the description of goods or services, specimens, classification, drawings of the mark and other formalities are met. The Examiner also determines whether the mark is arbitrary and fanciful or is suggestive and so is registerable, or is descriptive of the goods or services or is generic, in which case it is not registerable. Finally the Trademark Examiner does a search to see if there are any other existing similar marks for similar goods which would bar registration of the applied-for mark.

The Examiner issues a letter or Office Action to the applicant relating any rejections of the mark and giving the reasons for the rejection. The applicant is required to file a Response, usually within six months, which attempts to overcome the Examiner's problems with the application either by amendment of the various parts of the application or by legal argument. This cycle of rejection and response may occur a second time, after which registration of the mark will either be allowed or finally refused. (Note the fact that the U.S. Patent and Trademark Office refuses to register your mark does not mean you cannot continue to use your mark or that you cannot sue infringers who copy your mark and use it in connection with similar goods or services.)

Assuming the application is allowed then the next step is the publication for opposition of the mark in the weekly edition of the Official Trademark Gazette. For thirty (30) days from the date the mark is published for opposition in the Gazette, which issues on Tuesday of every week of the year, any interested party who will be harmed by the registration of your published mark can oppose its registration by filing a Notice of Opposition similar to a Complaint in a court of law. The opposition proceeds as an administrative "trial" to determine whether or not the opposer or the applicant is correct and as a result the mark is either refused registration or is registered.

During the fifth year after registration an affidavit stating that the mark is still in use must be filed. If the mark was registered on the Principal Register a separate affidavit can be filed to make the mark incontestable. The registration may be renewed every ten years as long as the mark is in use.

It is wise to have a search done before adopting a new mark. For if a mark is adopted and later someone else is found to have greater rights to the mark due to earlier use, there is a grave loss to you, the latecomer. First, you will not be able to register your mark. But even worse perhaps is the realization that all the printing, catalogs, advertising, spec sheets, brochures and other promotional materials and efforts and expense in promoting your business under that mark have all been wasted when it becomes necessary to change the name or symbol. To help avoid this a preliminary registrability search can be performed at some level depending upon budget constraints and the applicant's familiarity with the industry. One search scans the marks in the U.S. Patent and Trademark Office and the trademark registers of the fifty states. Another includes those areas but adds the one million+ Dun & Bradstreet company name index, telephone books of the forty (40) largest U.S. cities, and industry reports, journals, indexes and the like.

You should be aware that another party having registered or having used a particular mark does not absolutely preclude your company from using and registering the same or a similar mark, unless such use or registration is "likely to cause confusion." The determination of whether a likelihood of confusion exists depends upon an analysis of various factors, including the similarity or dissimilarity in sound, appearance and meaning of the marks themselves, the relationship of the goods or services in connection with which the marks are used, the sophistication of potential purchasers for such goods and services and the strength of the prior mark (resulting from years of use, uniqueness of the mark, extent of advertising, etc.)

You should be aware of the possibility that prior trademark rights may have been acquired by users who are not disclosed by the trademark search report. While a search offers fairly extensive coverage, it is not capable of picking up every use of a given trademark.

In a preliminary trademark search, the search is still only a preliminary screening tool for finding a clear trademark. Certain registrations, as well as marks that are not registered but are rightfully in common law use, may not be covered in this search. Finally, there is the consideration that this is merely a preliminary trademark search and must be done within acceptable price limits.


COPYRIGHT

A copyright application is filed with the Copyright Office and requires certain specific information.

Every application requires the title of the work, the name of the author or authors, and if the author or authors is a person, the date of birth and death of the person(s). If the person who actually created the work is a bona fide employee then the employer is listed as the author. The date that the work was created must be given, as well as the date when the work was first published if it is a published work. If the applicant for the registration is not the author but acquired ownership through a transfer or assignment, that must be noted. If the work sought to be registered by this application is derived from or is a compilation of one or more prior works this must be revealed and the underlying works identified. The application may be signed by the applicant or its attorney or agent. Copies of the work generally are submitted with the application to the U.S. Copyright Office.

In copyright applications, unlike in the case of patent and trademark applications, there is no examination with respect to prior existing works. For in the Copyright Office all registrations are categorized by title, not subject: one could not do a search for all poems relating to trees. Of course, if the Examiner recognizes the work as one already credited to another author or in the public domain, e.g., an applicant seeks to register the poem "Twinkle, Twinkle, Little Star", the Examiner will reject it over the well-known work. The Copyright Office Examiner does, however, review the application for formalities to be sure all the required information has been submitted and that it is correct. Further, the Examiner does consider whether the work as represented by the information in the application and the accompanying copies is a copyrightable work, and whether the work demonstrates at least a fundamental authorship, i.e., originality and creativity.

If the Examiner has any problems with the application he will send a letter to the applicant explaining the shortcoming or asking for more information. Within a few months after such a letter is responded to by the applicant or if there is no such a letter, then within a few months of the filing of the application the copyright registration will issue. The duration of a copyright for an author who is a person is the life of that person plus fifty years; for an author who is a legal entity the duration is one hundred years from creation or seventy-five from publication, whichever period expires earlier. Copyrights are not renewable.


 
 
 
 
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Iandiorio & Teska  260 Bear Hill Road  Waltham, MA 02451
Telephone: 781.890.5678   Fax: 781.890.1150    Email: admin@iandiorio.com
Copyright © 1996 - 2002 Iandiorio & Teska.  All rights reserved.
This web site may be considered an advertisement in some jurisdictions.