From Invention to Patent

Dr. Steven H. Voldman is an IEEE Fellow and graduate of Massachusetts Institute of Technology (MIT). Voldman was a member of the semiconductor development of IBM for 25 years. He is presently a recipient of 259 issued US patents and has written over 150 technical papers. At IBM, Dr. Voldman achieved over 67 IBM Invention Achievement Award plateaus. He was one of the first to be designated as an IBM Master Inventor and IBM Corporate Top Inventor. Dr. Voldman has served as an expert witness in patent litigation; and has also founded a limited liability corporation (LLC) consulting business supporting patents, patent writing and patent litigation. Dr. Voldman is presently working on patent searches, patent drafting, office actions response, and preliminary amendments. Dr. Voldman provides tutorials and short courses on inventions, innovations, and patents in Malaysia, Sri Lanka, Senegal, Swaziland and the United States, as well as a lecture program to provide lectures and interaction to university faculty and students internationally.

• About the Author xviiPreface xixAcknowledgments xxiii1 Introduction 11.1 Introduction 11.1.1 Intellectual Property 11.2 Patent 21.2.1 What Is a Patent? 21.2.2 Patents and the US Constitution 21.2.3 Why Patent? 31.2.4 What Is Patentable? 31.3 Copyrights 41.4 Trademarks 41.5 Invention 41.5.1 What Is Invention? 41.5.1.1 Are You an Inventor? 41.5.1.2 Did You Know They Were Inventors? 51.5.1.3 Who Are Young Inventors? 51.6 Defining the Processes of Invention 61.6.1 Invention – Addition 61.6.2 Invention – Deletion 61.6.3 Invention – Rearrangement 61.6.4 Invention – when 1 + 1 = 3 61.7 Finding Invention in Your Work 71.8 Invention Time 71.8.1 When Is the Best Time to Invent? 81.9 From Invention to Productization 81.10 Value of Patenting 81.10.1 What will you Gain as an Inventor? 81.10.2 What has Invention Done for Me? 91.10.3 What will Your Company Gain from Invention? 91.10.4 What Will Your Company Gain from Patents? 91.11 Example Patents 101.12 Closing Comments and Summary 10Problems 11Case Studies 12References 121.A Appendix 142 Invention 372.1 Introduction 372.2 How to Become an Inventor 372.2.1 What Do You Do That Is Creative? 372.2.2 How Do You Think? 382.2.3 Where Do You Think? 382.2.4 When Do You Think? 392.2.5 Capturing Your Ideas and Inventions 392.2.6 Timing 402.3 Studying Inventors 402.3.1 Studying Prolific Inventors 402.3.2 Studying Inventors’ Habits 412.3.3 Studying Inventors’ Goals and Objectives 412.4 The Creative Cycle 422.4.1 What is the Creative Cycle? 422.4.2 Stimulating the Creative Cycle 422.5 Left Brain and Right Brain 432.6 Thinking Out of the Box 432.7 Lateral Thinking Versus Critical Thinking 442.8 Finding Invention Between the Boundaries of Disciplines 442.9 Structured Invention – TRIZ 442.10 Example Patents 452.11 Closing Comments and Summary 45Problems 46Case Studies 46References 472.A Appendix 493 Patents and Patent Languages 733.1 Introduction 733.2 Patent Search Engines 733.2.1 US Patent and Trademark Office (USPTO) 733.2.2 Pat2PDF 733.2.3 Google Patents 743.3 Patent Language 743.3.1 Specification 743.3.2 Claims 753.3.2.1 Independent Claims 753.3.2.2 Dependent Claims 753.3.3 Inventor 763.3.4 Joint Inventor 763.3.5 Provisional Applications 763.3.6 Nonprovisional Application 763.3.7 Divisional Applications 773.3.8 Continuing Patent Applications 773.4 Patent Language – Status and Operation 773.4.1 Office Actions 773.4.1.1 First Office Action 783.4.1.2 Final Office Action 783.4.2 Manual of Patent Examining Procedure 783.4.2.1 Prior Art 783.4.3 Allowance 783.4.4 Rejection 783.4.4.1 Final Rejection 783.4.5 Withdrawal 793.4.6 Notice of Allowance 793.4.7 Patent Pending 793.5 Patent Draft 793.5.1 Patent Draft – Structure 793.5.2 Patent Draft – Title 803.5.3 Patent Draft – Background Section 803.5.4 Patent Draft – Field of the Invention 803.5.5 Patent Draft – Summary 803.5.6 Patent Draft – Brief Description of the Figures 813.5.7 Patent Draft – Detailed Description of the Invention 813.5.8 Patent Draft – Claims 813.5.9 Patent Draft – Abstract 813.6 Closing Comments and Summary 82Problems 82Case Studies 83References 834 Patents 854.1 Introduction 854.2 Patent Types 854.2.1 Utility Patents 854.2.2 Design Patents 854.2.3 Plant Patents 864.3 Patent Structure for Utility Patents 864.3.1 Utility Patent – Title 874.3.2 Utility Patent – Background Section 874.3.3 Utility Patent – Field of the Invention 874.3.4 Utility Patent – Summary Section 874.3.5 Utility Patent – Brief Description of Figures 884.3.6 Utility Patent – Detailed Description of the Invention 884.3.7 Utility Patent – Figures 884.3.7.1 Figures – Prior Art 884.3.7.2 Figures – Invention 884.3.8 Utility Patent – Claims 894.3.9 Utility Patent – Abstract 894.4 Design Patents 894.4.1 Design Patents – Patent Name Designation 894.4.2 Design Patents – Title 894.4.3 Design Patents – Inventors 904.4.4 Design Patents – Applicant and Assignee 904.4.5 Design Patents – References Cited 904.4.6 Design Patents – Foreign Patent Documents 904.4.7 Design Patents – Other References 914.4.8 Design Patents – Description 914.4.9 Design Patents – Figures 914.4.10 Design Patents – Claim 924.5 Plant Patents 924.5.1 Plant Patents – Patent Name Designation 934.5.2 Plant Patents – Title 934.5.3 Plant Patents – Cross]reference to Related Applications 944.5.4 Plant Patents – Latin Name of the Genus 944.5.5 Plant Patents – Variety Denomination 944.5.6 Plant Patents – Background Section of the Invention 944.5.7 Plant Patents – Summary Section 944.5.8 Plant Patents – Brief Description of Drawings 954.5.9 Plant Patents – Detailed Botanical Description of the Plant 954.5.10 Plant Patents – Claims 974.5.11 Plant Patents – Abstract 984.6 Example Patents 994.7 Closing Comments and Summary 99Problems 99Case Studies 100References 1004.A Appendix 1025 Patent Drawings 1395.1 Introduction 1395.1.1 Drawing Techniques – Drawing by Hand 1405.1.2 Drawing Techniques – Drawing by Computer 1405.1.3 Drawing Techniques – Drawing by Camera 1405.2 Patent Drawings – Utility Patents 1405.3 Patent Drawings – Structures 1415.3.1 Rules for Structure Drawings 1415.4 Patent Drawings – Apparatus 1435.4.1 Rules for Apparatus Drawings 1435.5 Patent Drawings – Circuit 1445.5.1 Rules for Circuit Drawings 1455.6 Patent Drawings – Systems 1465.6.1 Rules for System Drawings 1465.7 Patent Drawings – Method 1475.7.1 Rules of Method Drawings 1475.7.2 Correspondence Between Method Drawings and Claims 1485.8 Patent Drawings – Design 1485.8.1 Rules for Design Drawings 1515.9 Patent Drawings – Plant Drawings 1515.9.1 Rules for Plant Drawings 1525.10 Unique Patent Drawings – Beauregard Claims 1525.11 Patent Drawings and Office Actions 1525.11.1 Draftperson’s Patent Drawing Review 1545.11.1.1 Drawings 37 CFR 1.84(a) Acceptable categories of drawings 1555.11.1.2 Photographs 37 CFR 1.84(b) 1565.11.1.3 Type of Paper 37 CFR 1.84(e): 1565.11.1.4 Size of Paper. 37 CFR 1.84(f) 1565.11.1.5 Margins 37 CFR 1.84(g) 1565.11.1.6 Views 37 CFR 1.84(h) 1565.11.1.7 Sectional Views 37 CFR 1.84(h)(3) 1565.11.1.8 Arrangement of Views 37 CFR 1.84(j) 1575.11.1.9 Scale 37 CFR 1.84(k) 1575.11.1.10 Character of Lines, Numbers, and Letters 37 CFR 1.84(l) 1575.11.1.11 Shading 37 CFR 1.84(m) 1575.11.1.12 Numbers, Letters, and Reference Characters 37 CFR 1.48(p) 1575.11.1.13 Lead Lines 37 CFR 1.84(q) 1575.11.1.14 Numbering of Sheets of Drawing 37 CFR 1.84(t) 1575.11.1.15 Numbering of Views 37 CFR 1.84(u) 1575.11.1.16 Corrections 37 CFR 1.84(w) 1575.11.1.17 Design Drawings 37 CFR 1.152 1575.11.2 Objections or Rejections 1585.12 Example Patents 1585.13 Closing Comments and Summary 158Problems 158Case Studies 159References 1605.A Appendix 1626 Claims 1816.1 Introduction 1816.2 Independent and Dependent Claims 1816.2.1 Independent Claims 1816.2.2 Dependent Claims 1816.3 Structure Claims 1836.4 Apparatus Claims 1836.5 Method Claims 1846.6 Hybrid Claims 1856.7 Means Plus Function Claims 1856.8 Beauregard Claims 1856.9 Exhaustive Combination Claims 1866.10 Alternative Claims 1866.10.1 Markush Claims 1866.10.2 Jepson Claims 1876.10.3 Product-by-Process Claim 1876.10.4 Programmed Computer Claims 1876.10.5 Omnibus Claims 1876.10.6 Signal Claims 1876.10.7 Swiss-Type Claims 1876.10.8 Reach-Through Claims 1876.11 Closing Comments and Summary 188Problems 188Case Studies 189References 1907 Office Actions 1937.1 Introduction 1937.2 Office Actions – USPTO 1937.2.1 Reading the Office Action 1937.2.1.1 Application Number 1937.2.1.2 Attorney Docket Number 1947.2.1.3 First Named Inventor 1947.2.1.4 Law Firm 1957.2.1.5 Examiner 1957.2.1.6 Art Unit 1957.2.1.7 AIA (First Inventor to File) 1957.2.1.8 Filing Date 1957.2.1.9 Mail Date 1957.2.1.10 Status 1957.3 Disposition of Claims 1967.3.1 Claims Pending 1967.3.2 Allowed Claims 1967.3.3 Rejected Claims 1977.3.4 Objected Claims 1977.3.5 Claims Subject to Restriction or Election 1977.4 Application Papers 1977.4.1 Objection of Specification 1977.4.2 Drawing Status – Accepted or Objected To 1977.5 Detailed Action 1987.5.1 Claim Objections 1987.5.2 Claim Rejections 1987.5.2.1 35 USC 101 1987.5.2.2 35 USC 112 1987.5.2.3 35 USC 102 Novelty Rejection 1997.5.2.4 35 USC 103 Obviousness Rejection 2007.5.2.5 Drawing Objections 2007.5.3 Allowable Subject Matter 2017.5.4 Conclusion Section 2017.6 Writing the Office Action Response 2027.6.1 Introduction of the Office Action Response 2027.6.2 Amending Claims 2047.6.3 Amending Rejected Claims 2047.6.3.1 35 USC 112 Rejection 2057.6.3.2 35 USC 102 Rejection 2067.6.3.3 35 USC 103 Rejection 2067.6.4 Withdrawing a Claim 2067.6.5 Addressing Objected Claims 2067.6.6 Closing Statements of the Office Action Response 2077.7 Preliminary Amendment 2077.8 Final Office Action 2077.9 European Office Action 2087.9.1 Reading the European Office Action 2087.9.2 EU Office Action Opening Comments 2087.9.3 EU Patent Examiner Rulings 2087.9.3.1 Article 78 EPC – Requirements of a European Patent Application 2097.9.3.2 Article 83 EPC Disclosure of the Invention 2097.9.3.3 Article 84 EPC – Claims 2097.9.3.4 Article 52 (1) EPC – Patentable Inventions 2097.9.3.5 Article 54 EPC – Novelty 2107.9.3.6 Article 56 EPC – Inventive Step 2107.9.3.7 Article 42 (1) EPC – Content of the Description 2107.9.3.8 Article 43 (1) EPC – Form and Content of Claims 2107.9.4 Writing the European Office Action Response 2127.10 German Patent and Trademark Office (DPMA) Office Action 2137.10.1 Underlying Documents 2147.10.2 Subject of the Application 2147.10.3 Person of Ordinary Skill in the Art 2147.10.4 Interpretation 2147.10.4.1 The Claim 2147.10.4.2 Novelty 2157.10.4.3 Inventive Step 2157.10.5 Formal Defects 2157.10.6 Conclusion Section 2167.11 Supporting European Law Firms and EU Response 2167.12 Closing Comments and Summary 216Problems 216Case Studies 217References 2188 Invention Generation Methodologies 2198.1 Introduction 2198.2 Creative Problem-Solving (CPS) Sessions 2198.2.1 Building a CPS Session Moderator Team 2198.2.2 Constructing CPS Session Attendee Team 2198.2.3 CPS Session Rules 2218.2.4 CPS Session Topic 2218.2.5 CPS Session Invention Generation Process 2218.2.6 CPS Session Invention Voting Procedure 2228.2.7 Breakout Groups and Invention Development 2228.2.8 CPS Session Closure 2228.3 Systematic Thinking 2228.3.1 TRIZ 2228.3.2 TRIZ – Altshuller’s Philosophy 2238.3.3 TRIZ – Removal of Contradictions 2238.4 Systematic Inventive Thinking (SIT) 2248.5 Unified Systematic Inventive Thinking (USIT) 2258.6 Data Mining 2258.7 Anticipating the Next Invention 2258.8 Closing Comments and Summary 226Problems 226Case Studies 227References 2279 Corporate Patent Strategy 2299.1 Introduction 2299.2 Review Committee System 2299.3 Database Patent Tracking System – World Patent Tracking System (WPTS) 2299.4 Documenting the Invention Ideas and Disclosures 2329.5 Submission of the Invention Disclosure 2329.6 Invention Review and Evaluation 2349.6.1 Title 2349.6.2 Disclosure Number 2349.6.3 Inventors Name 2359.6.4 Reviewer Name 2359.6.5 Invention – Clarity 2359.6.6 Invention – Scope 2359.6.7 Prior Art Known to the Reviewer 2359.6.8 Alternatives to the Invention 2359.6.9 Advancement of the State of the Art 2359.6.10 Detectability 2359.6.11 Essential Features of the Invention 2359.6.12 Avoidance – Alternative Circuits or Methods 2359.7 Review Committee 2369.8 Working with the Patent Attorney 2369.9 Corporate Intellectual Property (IP) Strategy 2369.9.1 Corporate IP Goals 2379.9.1.1 Organizational Goals 2379.9.1.2 Individual Goals 2379.9.1.3 Integration of Individual Goals into Performance Plans 2379.9.2 Corporate IP Targets 2379.9.3 Short]term Goals 2389.9.4 Annual]term IP Goals 2389.9.5 Long]term Goals 2389.10 Incentives 2389.10.1 Invention Disclosure Submission Award 2399.10.2 Invention Patent Issue Award 2399.10.3 Invention Achievement Plateau Award 2399.10.4 Supplemental 20% Awards 2409.10.5 Top 5% Invention Awards 2409.10.6 Division Awards 2409.10.7 Corporate Awards 2409.10.8 Invitation to Annual Inventor Dinners 2409.10.9 Invitation to Corporate Technical Recognition Award for Top Inventors 2409.10.10 Master Inventor Award 2409.11 Closing Comments and Summary 240Problems 241Case Studies 242References 24210 Expert Witness 24310.1 Introduction 24310.2 Expert Witness 24310.2.1 Definition of Expert Witness 24310.2.2 Role of Expert Witnesses 24310.2.3 Duties of Expert Witnesses 24410.3 Types of Expert Witnesses 24410.3.1 Nontestifying Witnesses 24510.3.2 Consulting Witnesses 24510.3.3 Educating Witnesses 24510.3.4 Reporting Witnesses 24510.3.5 Testifying Witnesses 24510.4 Working with Patent Attorney on Litigation 24610.5 Expert Witness Report 24610.6 Tactics 24610.6.1 Invalidating the Patent 24610.6.2 Invalidity Contention Document 24710.7 Access to Materials in the Public Domain 24810.7.1 Prior Art Searches 24910.7.2 Released Press Literature 24910.7.3 Customer Information 24910.7.4 Product Documentations 24910.8 Access to Materials Not in the Public Domain 25010.8.1 Technical Disclosure Notebooks 25010.8.2 Design Manuals 25010.8.3 Design Physical Layout 25010.8.4 Process Flow 25110.9 Scientific Evidence 25110.9.1 Frye Test 25110.9.2 Daubert Test 25110.10 Closing Comments and Summary 252Problems 252Case Studies 253References 253A Text for Invention Disclosure 255B Text for Invention Disclosure Reviewer Form 257C Text for Novelty Search Report 259D USPTO Office Action Details of Contents 261E USPTO Office Action Sections 263F European Union (EU) Office Action 265G European Union (EU) Office Action Response 267H US to EU Attorney Letter – Office Action Response 271I Petition for Submitting Color Photographs or Drawings 273J Patent Cooperation Treaty 281K Certificate of Correction 291L Corrected Notice of Allowance 293M Notice of Allowance 295N Preliminary Amendment 301O Submission of Corrected Drawings 305Glossary of Terms 307Index 309