Patent It Yourself

456 Pages·1999·6.447 MB·English

by  David Pressman, Stephen Elias

7 T H E D I T I O N
PATENT IT
YOURSELF
by Patent Attorney David Pressman
Edited by Attorneys Stephen Elias
Illustrations by Linda Allison
N O L O P R E S S B E R K E L E Y
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SEVENTH EDITION JANUARY 1999
Editor STEPHEN ELIAS
Illustrations LINDA ALLISON
Production STEPHANIE HAROLDE
Book Design TERRI HEARSH
Cover Design TONI IHARA
Index DAVID PRESSMAN
Proofreading ROBERT WELLS
Printing CONSOLIDATED PRINTERS, INC.
Pressman, David, 1937–
Patent it yourself / by David Pressman. -- 7th ed.
p. cm.
Includes index.
ISBN 0-87337-469-X
1. Patent practice--United States--Popular works. 2. Patent laws
and legislation--United States--Popular works. I. Title.
KF3114.6.P74 1998
346.7304'86--dc21
98-6526
CIP
Copyright © 1985, 1995, 1996, 1997 and 1998 by David Pressman. ALL RIGHTS RESERVED. PRINTED IN THE USA.
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Acknowledgments
My deep thanks go to my clients, and other inventors whose creativity and genius I so
greatly admire and envy. My readers have given me much valuable feedback and
suggestions, and I am grateful to them as well.
Thanks also to librarians par excellence, Mrs. Margreta J. Nisbett and Dr. Mary-Jo Di
Muccio of the Patent Information Clearinghouse in Sunnyvale, California, and Primary
Patent Examiner John S. Heyman, for their generous help.
I also wish to thank the staff at Nolo Press, including Steve Elias, Patti Gima, Stephanie
Harolde, and Ralph Warner for their ideas, contributions, and support, Linda Allison
for her clever drawings, Toni Ihara for her wonderful cover, and, especially, Terri Hearsh
for substantially improving the look and feel of the Sixth and Seventh Editions.
Finally, I wish to thank my wife Roberta for her unflagging support and contributions.
About the Author
David Pressman is a member of the Pennsylvania (inactive), California, and Patent and
Trademark Office bars. He’s had over 38 years’ experience in the patent profession, as a
patent examiner for the U.S. Patent Office, a patent attorney for Philco-Ford Corp., Elco
Corp., and Varian Associates, as a columnist for EDN Magazine, and as an instructor at
San Francisco State University. He contributed the Patent, Trademark and Copyright
entries to the World Book Encyclopedia. He’s also an inventor, with two patents issued.
When not writing, dabbling in electronics, programming, inventing, or playing his
trumpet, he practices as a patent lawyer in San Francisco. Originally from Philadelphia,
he has a BS in Electrical Engineering from Pennsylvania State University. He spent his first
year in law school at the University of Pennsylvania and completed his second and third
years at George Washington University, where he served on the Law Review and received
a Juris Doctor degree. He is also active in the general semantics and vegetarian movements.
Table of Contents
I Introduction
1 Introduction to Patents and Other Intellectual Property
A. What Is a Patent and Who Can Apply for It?.....................................................................................................................1/2
B. The Three Types of Patents..............................................................................................................................................1/2
C. The Novelty and UnobviousnessRequirement.................................................................................................................1/4
D. How Long Do Patent Rights Last?....................................................................................................................................1/4
E. Patent Filing Deadlines....................................................................................................................................................1/5
F. Patent Fees......................................................................................................................................................................1/5
G. The Scope of the Patent...................................................................................................................................................1/5
H. How Patent Rights Can Be Lost.......................................................................................................................................1/5
I. What Rights a Patent Grants and the Prior-Art Reference Value of a Patent......................................................................1/6
J. What Can’t Be Patented....................................................................................................................................................1/6
K. Some Common PatentMisconceptions...........................................................................................................................1/8
L. How Intellectual Property Law Provides “Offensive Rights” (and Not Protection) to Inventors.........................................1/8
M. Alternative and Supplementary OffensiveRights..............................................................................................................1/8
N. Intellectual Property—TheBigPicture............................................................................................................................1/8
O. Trademarks......................................................................................................................................................................1/9
P. Copyright.......................................................................................................................................................................1/13
Q. Trade Secrets.................................................................................................................................................................1/17
R. Unfair Competition........................................................................................................................................................1/20
S. Acquisition of Offensive Rights in Intellectual Property—Summary Chart.....................................................................1/22
T. Selection Guide to Which Type of Intellectual Property Is Best for YourCreation..........................................................1/24
U. Invention Exploitation Flowchart....................................................................................................................................1/24
2 The Science and Magic of Inventing
A. What I Mean by “Invention”.............................................................................................................................................2/2
B. Inventing by Problem Recognition andSolution..............................................................................................................2/2
C. Inventing by Magic (Accident and FlashofGenius).........................................................................................................2/5
D. Making Ramifications of YourInvention..........................................................................................................................2/6
E. Solving Creativity Problems............................................................................................................................................2/6
F. Contact Other Inventors...................................................................................................................................................2/8
G. Beware of the Novice Inventor’s “PGLSyndrome”...........................................................................................................2/9
H. Don’t Bury Your Invention................................................................................................................................................2/9
3 Documentation, the DDP, and the PPA
A. Introduction.....................................................................................................................................................................3/2
B. Documents Are Vital to the InventionProcess.................................................................................................................3/2
C. Documentation Is Vital to ProveInvention.......................................................................................................................3/3
D. Trade Secret Considerations............................................................................................................................................3/4
E. Record the Building and Testing ofYourInvention..........................................................................................................3/4
F. How to Record Your Invention.........................................................................................................................................3/6
G. Another Way to Record Conception orBuilding and Testing—TheInventionDisclosure..............................................3/11
H. The Disclosure Document Program (DDP)—Or How to Make the PTO Your Witness toConception............................3/12
I. The Provisional Patent Application—ASubstitute for Building and Testing, WithSome Disadvantages.......................3/14
J. Don’t Use the So-Called “Post Office Patent” to Document Your Invention....................................................................3/18
4 Will Your Invention Sell?
A. Why Evaluate Your Invention forSalability?.....................................................................................................................4/2
B. Start Small but Ultimately DoItCompletely.....................................................................................................................4/2
C. You Can’t Be 100% Sure ofAnyInvention’s CommercialProspects................................................................................4/3
D. Take Time to Do a Commercial FeasibilityEvaluation......................................................................................................4/3
E. Check Your Marketability Conclusions Usingthe Techniques of Consultation andResearch..........................................4/8
F. Now’s the Time to Build and Test It (IfPossible)............................................................................................................4/10
G. Summary.......................................................................................................................................................................4/11
5 What Is Patentable?
A. Patentability Compared to CommercialViability..............................................................................................................5/2
B. Legal Requirements for aUtilityPatent............................................................................................................................5/2
C. Requirement #1: TheStatutoryClasses...........................................................................................................................5/4
D. Requirement #2: Utility....................................................................................................................................................5/7
E. Requirement #3: Novelty..................................................................................................................................................5/8
F. Requirement #4: Unobviousness...................................................................................................................................5/13
G. The Patentability Flowchart............................................................................................................................................5/20
6 Search and You May Find
A. Why Make a PatentabilitySearch?...................................................................................................................................6/2
B. When Not to Search.........................................................................................................................................................6/4
C. The Two Ways to Make a PatentabilitySearch.................................................................................................................6/4
D. How to Make a PreliminarySearch..................................................................................................................................6/5
E. The Quality of a Patent Search CanVary..........................................................................................................................6/5
F. How to Hire a PatentProfessional....................................................................................................................................6/6
G. How to Prepare Your Searcher.........................................................................................................................................6/7
H. Analyzing the Search Report..........................................................................................................................................6/12
I. Do-It-Yourself Searching in thePTO.............................................................................................................................6/19
J. The Scope of Patent Coverage.......................................................................................................................................6/29
K. Searching It Yourself in a Patent and Trademark Depository Library..............................................................................6/30
L. Computer Searching......................................................................................................................................................6/36
M. Searching Software Inventions in the Software Patent Institute’s Database....................................................................6/40
N. The IBM Patent Searching System ontheInternet.........................................................................................................6/40
7 Consider Your Options
A. Drop It If You Don’t See Commercial Potential................................................................................................................7/2
B. Try to Sell Invention to Manufacturer Without “Regular” Patent Application....................................................................7/2
C. File an Application and Sell It to or Licensea Manufacturer If You See
Commercial Potential and Patentability...........................................................................................................................7/4
D. If You Have Commercial Potential Without Patentability, License or Sell
Your Invention to a Manufacturer Without Filing............................................................................................................7/5
E. Make and Sell Your Invention Yourself Without a Utility Patent Application....................................................................7/6
F. Manufacture and Distribute Your Invention Yourself, Keeping It As a Trade Secret..........................................................7/7
G. File Patent Application and Manufacture and Distribute Your Invention Yourself
(Trade-Secretable Invention)............................................................................................................................................7/7
H. File Patent Application and Manufacture and Distribute Invention Yourself
(Non-Trade-Secretable Invention)....................................................................................................................................7/8
I. Test Market Before Filing.................................................................................................................................................7/8
8 How to Draft the Specification and Initial Drawings
A. Lay Inventors Can Do It!..................................................................................................................................................8/2
B. What’s Contained in a PatentApplication........................................................................................................................8/2
C. What Happens When Your Application Is Received bythePTO?.....................................................................................8/4
D. Do Preliminary Work Before Preparing Your Patent Application......................................................................................8/4
E. Flowchart.........................................................................................................................................................................8/6
F. Writing Your Patent Specification to Comply With the Full Disclosure Rules..................................................................8/6
G. Software and Other Computer-RelatedInventions............................................................................................................8/8
H. First Prepare Sketches.....................................................................................................................................................8/9
I. Drafting the Specification...............................................................................................................................................8/14
J. Drafting the Abstract......................................................................................................................................................8/21
K. Review Your Specification and AbstractCarefully..........................................................................................................8/21
L. Checklist for Your Patent Application Draft....................................................................................................................8/21
M. Specification of Sample Patent Application....................................................................................................................8/24
9 Now for the Legalese—The Claims
A. What Are Claims?............................................................................................................................................................9/2
B. The Law Regarding Claims..............................................................................................................................................9/2
C. Some Sample Claims......................................................................................................................................................9/4
D. Common Misconceptions Regarding Claims...................................................................................................................9/7
E. One Claim Should Be As Broad AsPossible....................................................................................................................9/8
F. The Effect of Prior Art on YourClaim...............................................................................................................................9/9
G. Technical Requirements ofClaims.................................................................................................................................9/10
H. Drafting Your Main (Independent) Claim.......................................................................................................................9/15
I. Other Techniques in ClaimWriting................................................................................................................................9/18
J. Drafting Dependent Claims............................................................................................................................................9/20
K. Drafting Additional Sets ofClaims.................................................................................................................................9/24
L. Checklist for Draft Claims..............................................................................................................................................9/24
10 Finaling and Mailing Your Application
A. The Drawing Choices.....................................................................................................................................................10/2
B. PTO Rules for Drawings.................................................................................................................................................10/3
C. Doing Your Own Drawings............................................................................................................................................10/8
D. Consider Using a Professional PatentDraftsperson.....................................................................................................10/14
E. Finaling Your Specification, Claims, andAbstract.......................................................................................................10/15
F. Name All True Inventors and Only TrueInventors........................................................................................................10/16
G. Completing the Patent ApplicationDeclaration............................................................................................................10/16
H. Fill Out the Small Entity Declaration IfAppropriate......................................................................................................10/17
I. Complete the Transmittal Letter and Fee Transmittal, Check, andPostcard.................................................................10/17
J. Maintain an Orderly File..............................................................................................................................................10/21
K. Assembly and Mailing of Your Application—Final Checklist......................................................................................10/21
L. Using Express Mail to Get an Instant FilingDate.........................................................................................................10/22
M. Receipt That Application Was ReceivedinPTO............................................................................................................10/23
N. File the Information Disclosure Statement Within Three Months.................................................................................10/23
O. Assignments................................................................................................................................................................10/26
P. Petitions to Make Special............................................................................................................................................10/27
Q. Filing a Design PatentApplication...............................................................................................................................10/30
11 How to Market Your Invention
A. Perseverance and Patience AreEssential.......................................................................................................................11/3
B. Overview of Alternative Ways to Profit From Your Invention..........................................................................................11/3
C. Be Ready to Demonstrate a Working Model of Your Invention to Potential Customers..................................................11/6
D. Finding Prospective Manufacturers/Distributors............................................................................................................11/6
E. The “NIH” Syndrome.....................................................................................................................................................11/7
F. The Waiver and Precautions inSigning It......................................................................................................................11/8
G. The Best Way to Present Your Invention to aManufacturer............................................................................................11/9
H. Presenting Your Invention byCorrespondence............................................................................................................11/10
I. Making an Agreement to Sell YourInvention...............................................................................................................11/11
J. Manufacturing and/or Distributing the Invention Yourself...........................................................................................11/11
12 Going Abroad
A. Introduction...................................................................................................................................................................12/2
B. The Paris Convention and the One-Year Foreign Filing Rule.........................................................................................12/2
C. Other Priority Treaties Similar to the ParisConvention..................................................................................................12/3
D. European Patent Office/Europäisches Patentamt/Office européen des brevets (EPO).....................................................12/4
E. The Patent Cooperation Treaty(PCT).............................................................................................................................12/4
F. Non-Convention Countries............................................................................................................................................12/4
G. Never Wait Until the End of Any FilingPeriod................................................................................................................12/7
H. The Early Foreign Filing License or Mandatory Six-Month Delay..................................................................................12/7
I. Don’t File Abroad Unless Your Invention Has Very Good Prospects in Another Country...............................................12/7
J. The Patent Laws of Other Countries AreDifferent..........................................................................................................12/8
K. The Ways to File Abroad................................................................................................................................................12/9
L. Resources to Assist in ForeignFiling..........................................................................................................................12/13
13 Getting the PTO to Deliver
A. What Happens After Your Patent ApplicationIs Filed?...................................................................................................13/2
B. General Considerations During PatentProsecution.......................................................................................................13/5
C. A Sample Office Action................................................................................................................................................13/10
D. What to Do When You Receive an OfficeAction...........................................................................................................13/16
E. Format for Amending the Specification andClaims.....................................................................................................13/33
F. Drafting the Remarks...................................................................................................................................................13/34
G. Drawing Amendments..................................................................................................................................................13/38
H. Typing and Mailing theAmendment............................................................................................................................13/39
I. If Your Application Is Allowable...................................................................................................................................13/40
J. If Your First Amendment Doesn’t Result inAllowance.................................................................................................13/41
K. Interferences................................................................................................................................................................13/45
L. Statutory Invention Registration(SIR)..........................................................................................................................13/46
M. If Your Application Claims More Than OneInvention..................................................................................................13/46
N. Protests Against Allowance of Your PatentApplication................................................................................................13/46
O. NASA Declarations......................................................................................................................................................13/47
P. Design Patent ApplicationProsecution........................................................................................................................13/47
Q. What to Do If You Miss or Want toExtend a PTO Deadline..........................................................................................13/47
14 Your Application Can Have Children
A. Available Extension Cases.............................................................................................................................................14/2
B. Continuation Applications.............................................................................................................................................14/2
C. Divisional Applications..................................................................................................................................................14/6
D. Continuation-in-Part and IndependentApplications......................................................................................................14/7
E. Reissue Applications.....................................................................................................................................................14/9
F. Statutory Invention Registration and Defensive Publications.......................................................................................14/10
G. Substitute Applications................................................................................................................................................14/10
H. Double Patenting and TerminalDisclaimers................................................................................................................14/11
15 After Your Patent Issues: Use, Maintenance, and Infringement
A. Always on Tuesdays......................................................................................................................................................15/2
B. Press Release................................................................................................................................................................15/2
C. Check Your Patent for Errors.........................................................................................................................................15/2
D. Patent Number Marking.................................................................................................................................................15/3
E. Advertising Your Patent for Sale....................................................................................................................................15/3
F. What Rights Does Your Patent Give You?......................................................................................................................15/4
G. Be Wary of Offers to Provide Information About Your Patent.........................................................................................15/5
H. Maintenance Fees..........................................................................................................................................................15/5
I. Legal Options If You Discover an Infringement of Your Patent.......................................................................................15/8
J. What to Do About PatentInfringement...........................................................................................................................15/8
K. Product Clearance (Can I Legally Copy orMake That?)...............................................................................................15/12
L. The Court of Appeals for the Federal Circuit (CAFC)...................................................................................................15/14
M. Using the Re-Examination Process to Reduce the Expense of Patent InfringementSuits.............................................15/15
N. Jury Trials....................................................................................................................................................................15/15
O. Arbitration....................................................................................................................................................................15/15
P. How Patent Rights Can BeForfeited............................................................................................................................15/15
Q. Your Patent Is Subject to Interference for OneYear......................................................................................................15/16
R. Taxes...........................................................................................................................................................................15/16
S. Patent Litigation Financing..........................................................................................................................................15/17
16 Ownership, Assignment, and Licensing of Inventions
A. The Property Nature of Patents......................................................................................................................................16/2
B. Who Can Apply for a Patent?.........................................................................................................................................16/2
C. Joint Owners’ Agreement...............................................................................................................................................16/3
D. Special Issues Faced by theEmployedInventor.............................................................................................................16/4
E. Assignment of Invention and Patent Rights....................................................................................................................16/6
F. Record Your Assignment With thePTO.........................................................................................................................16/8
G. Licensing of Inventions—AnOverview..........................................................................................................................16/8
H. Universal License Agreement.........................................................................................................................................16/9
I. How Much Should You Get for YourInvention?..........................................................................................................16/13
J. Postscript....................................................................................................................................................................16/15
A Appendices
Appendix 1: Abbreviations Used in Patent It Yourself
Appendix 2: Books of Use and Interest
Appendix 3: Glossary of Useful Technical Terms
Appendix 4: Fee Schedule
Appendix 5: Mail, Telephone, and Computer Communications With the PTO and Internet Sites
Appendix 6: Quick-Reference Timing Chart
Appendix 7: Tear-Out Forms
I Index