Patent Engineering Scrivener Publishing 100 Cummings Center, Suite 541J Beverly, MA 01915-6106 Publishers at Scrivener Martin Scrivener (martin@scrivenerpublishing.com) Phillip Carmical (pcarmical@scrivenerpublishing.com) Patent Engineering A Guide to Building a Valuable Patent Portfolio and Controlling the Marketplace Donald S Rimai Copyright © 2016 by Scrivener Publishing LLC All rights reserved Co-published by John Wiley & Sons, Inc Hoboken, New Jersey, and Scrivener Publishing LLC, Salem, Massachusetts Published simultaneously in Canada No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording, scanning, or otherwise, except as permitted under Section 107 or 108 of the 1976 United States Copyright Act, without either the prior written permission of the Publisher, or authorization through payment of the appropriate per-copy fee to the Copyright Clearance Center, Inc., 222 Rosewood Drive, Danvers, MA 01923, (978) 750-8400, fax (978) 750-4470, or on the web at www.copyright.com Requests to the Publisher for permission should be addressed to the Permissions Department, John Wiley & Sons, Inc., 111 River Street, Hoboken, NJ 07030, (201) 748-6011, fax (201) 748-6008, or online at http://www.wiley.com/go/permission Limit of Liability/Disclaimer of Warranty: While the publisher and author have used their best efforts in preparing this book, they make no representations or warranties with respect to the accuracy or completeness of the contents of this book and specifically disclaim any implied warranties of merchantability or fitness for a particular purpose No warranty may be created or extended by sales representatives or written sales materials The advice and strategies contained herein may not be suitable for your situation You should consult with a professional where appropriate Neither the publisher nor author shall be liable for any loss of profit or any other commercial damages, including but not limited to special, incidental, consequential, or other damages For general information on our other products and services or for technical support, please contact our Customer Care Department within the United States at (800) 762-2974, outside the United States at (317) 572-3993 or fax (317) 572-4002 Wiley also publishes its books in a variety of electronic formats Some content that appears in print may not be available in electronic formats For more information about Wiley products, visit our web site at www.wiley.com For more information about Scrivener products please visit www.scrivenerpublishing.com Cover design by Donald S Rimai and Roland Schindler The figure is from U.S Patent 7,823,996, issued to Benjamin Rimai et al (2010) Library of Congress Cataloging-in-Publication Data: Names: Rimai, Donald S., author Title: Patent engineering : a guide to building a valuable patent portfolio and controlling the marketplace / Donald S Rimai Description: Hoboken, New Jersey : Wiley-Scrivener, 2016 | Includes bibliographical references and index Identifiers: LCCN 2015048490 | ISBN 9781118946091 (hardback) Subjects: LCSH: Patent laws and legislation United States | Patents Economic aspects United States | BISAC: LAW / Intellectual Property / General Classification: LCC KF3116 R56 2016 | DDC 346.7304/86 dc23 LC record available at http://lccn.loc.gov/2015048490 ISBN 978-1-118-94609-1 Printed in the United States of America 10 This book is dedicated to my son Dr Benjamin Rimai You inspire me to reach beyond my grasp Contents An Introduction to Patent Engineering Patents and Patent Strategies—What They Are and Why You Need Them 17 Developing a Patent Strategy and Patent Engineering 33 Implementing Patent Strategies and the Application Process through Patent Engineering 59 81 The Structure of a Patent Inventions and Inventorship: Challenges and Complications 105 Patent Engineering and Patent Prosecution 127 Controlling the Costs of Generating and Maintaining a Patent Portfolio through Patent Engineering 143 Patent Engineering in a Global Economy 153 10 Avoiding an Infringement Lawsuit through Patent Clearances 169 11 The Role of the Patent Engineer 189 Index 219 vii Preface For 33 years, I conducted research in digital printing at Eastman Kodak While this field was certainly chronologically mature, having been around since Chester Carlson first invented xerography in the 1930s and having been the subject of much research and development by many companies over that period, the advent of modern digital electronics presented both novel opportunities and challenges in this technological area Several years before I retired from Kodak, I was asked to transition from the role of an independent researcher to that of an intellectual property manager for digital printing In that position, I was involved with generating and maintaining patents that protected Kodak’s proprietary technology, asserting patents against allegedly infringing companies, prosecuting patent applications, implementing cross-licensing agreements, and related activities During that period of time, I had the privilege of working with world-class engineers, scientists, and technicians, as well as an outstanding legal team comprising attorneys, patent agents, and paralegals The technology advanced by Kodak’s technical team members was highly innovative and allowed electrophotography to go from being limited to office copiers to its rivaling both silver halide photography and offset printing in quality, reliability, and speed, while being able to integrate the capabilities of the digital era with hard-copy printing Invention disclosures were submitted by the members of the technical staff and patent applications were filed and prosecuted by the attorneys Kodak was highly successful in both the quantity of applications filed each year and the number of patents received However, despite these successes, it was apparent that there was opportunity to greatly enhance the extent and the value of the patent portfolio by broadening the intellectual property actually covered by and increasing the assertability of the patents, while making the patenting process less expensive and more efficient While addressing the need to significantly improve the patenting process, two outstanding individuals were assigned to work with me One was attorney Roland Schindler and the other was engineer-turned-patent agent Chris White Both saw the need and opportunity for improvement as I did and both were enthusiastic about trying to make the improvements ix x Preface wherever possible Together, we developed a methodology that allowed us to address these needs As a result, we were able to generate a far greater number of patent applications that were broader in coverage and more extensive and assertable than those previously filed, while enjoying a high success ratio of issued patents to applications filed We also found that, by implementing this methodology, the technical team members, who often were reluctant to divert their attention from their assignments to pursue patent applications – a task many of them considered painful – became much more cooperative as we were able to remove the most painful aspects of filing and prosecuting applications This book describes the methodology designed and implemented by Roland, Chris, and me It is intended to give the readers, in this day of global competition, the tools that will enable them to use the concepts discussed herein to give their companies a competitive advantage in the marketplace, as well as to generate a patent portfolio that can significantly enhance the revenues and value of their companies Don Rimai Rochester, NY November 15, 2015 Acknowledgements When writing a book, the goal is to discuss a topic in a clear and concise manner The author gratefully acknowledges the considerable efforts of his wife Nancy Rimai for her painstaking reading, commenting, and proposing changes that have allowed this book to achieve its goals The author would also like to thank Chris White, Kelly White and Roland Schindler for their input into this manuscript I would especially like to thank Roland and Chris for sharing their expertise in patent law with me The author would also like to thank Mr Ray Owens, Esq for the numerous discussions that we have had over our many years together These discussions greatly enhanced my understanding of patent law and related issues xi About the Author Dr Donald S Rimai recently retired from Eastman Kodak, where he worked as a researcher and intellectual property manager in digital printing and adhesion science He is expert at developing patent portfolios and helping inventors patent their inventions He is an Eastman Kodak Distinguished Inventor with more than 150 U.S patents and over 120 scientific publications Don has published five books and edited two conference proceedings, is a Fellow of the Adhesion Society and of the American Physical Society, and has won the Charles Ives and Chester Carlson Awards Don holds a BS from Rensselaer Polytechnic Institute and MS and Ph.D degrees from the University of Chicago In 2014 Dr Rimai received the Inventor of the Year Award from the Rochester Intellectual Property Law Association xiii 222 Index contacts, 203 container, 129–131 continuation, 135 continuation-in-part, 135 continuations, 214 continuations-in-part, 214 contract, 192, 200–203, 207 contracts, 110 contractual basis, 192, 212 contractual company, 109–112, 200 contractual engineering firm, 109 contractual terms, 179 controlled crumpling structures, converting patent applications, 158 copier, 6, 37 Corporate Average Fuel Economy, corporate intelligence, 198 corporate management, 202 correspondence, 38, 55, 183 cost, 62, 65, 67, 70, 74–78, 127, 140, 158, 159, 161, 162, 164–166 cost of a single utility patent, 149 cost of an application, 150 cost-effective, 62, 65 costs, 127, 131, 134, 137, 140, 143–147, 149, 151 costs of producing a patent portfolio, 143 countries, 177, 179, 180 country, 172, 179, 180 country in which one seeks patent protections, 62 country in which the disclosure had been made, 172 court, 38, 51, 55–57, 161, 166, 172, 185 Court of Appeal, 21 Court of Appeals, 20 courts, 157, 159 coverage, 130, 131, 135, 140, 141 criminal shootings, 170 criterion for something to be patentable, 112, 113 criterion to consider, 165 critical challenge, 74–76 critical challenges, 73–77, 83 critical component, 200 critical problems, 83, 84 cross-licensing, 190, 194, 198, 206 cross-licensing agreements, 98, 170, 190, 194, 198 custom-design, 200 customer, 67, 73–75, 78, 79 customer’s buying decisions or habits, 83 customers, 154, 209 damages, 39, 53, 56, 68, 69, 154–156, 165, 166, 170, 176–179, 184, 186 damaging statements during prosecution, 83 date of disclosure, 108 date of publication, 132 date of submission, 131 deadline, 151 deadline for a response, 151 Declaration of Independence, 215 defense, 82, 98, 177, 186 deficiencies, 135 define the problem solved, 131 defining an invention, 47 delays in introducing products, 146 demonstrate a method, 120 dependent, 48, 49 dependent claim, 49, 60–62, 78, 81, 87, 92, 94, 95, 175 dependent claims, 48, 49, 136, 194, 198, 199 describing the invention, 127, 132 describing the problem, 127 description, 21, 27, 131, 139 description of the invention, 145 descriptions, 22 design, 173–175, 177–181, 184 design patents, 128 designing a new product, 35 designing a patent strategy, 143 designing a product, 36 Index desktop, detailed description, 92, 94, 95, 97, 99, 100 detailed description of the invention, 85, 92, 95, 97, 99, 101, 102 detectable, 53 Detroit, 18 developing-world countries, 159 development, 68, 71, 72, 77, 78 developmental programs, 78 diagnostic trouble code, 216 differentiated, 17 digital electronic industry, 119 digital technologies, 19 disclose, 130 disclosed, 83, 84, 88, 92, 108, 109 disclosing, 108, 109, 111, 112, 117, 119 disclosing or showing technology, 108 disclosure, 22, 24, 27, 28, 41, 47, 87, 89, 92–94, 99, 101, 108, 109, 111, 115, 121, 125, 127, 129, 131, 133–135, 138, 145, 146, 151, 155, 162, 163, 171, 172, 175, 185 disclosure(s), 191, 193–195, 199, 201, 202, 209, 210, 213–215 disclosures, 36, 45, 48, 51, 131, 135, 136 discovery by opposition attorneys, 183 discussion of the theory behind an invention, 121 disruptive technology, 141 distinct applications, 151 distortions, 196, 197 distributor, 8, 11, 50, 216 distributors, 26 divisional, 66, 135, 137, 150 divisional application, 12 divisionals, 27 doctrine of equivalents, 176, 184, 204 domestic market, 154 domestic patent offices, 157 223 domestically, 158 DOS, draft, 144, 145 dry ink, 26, 29 DVDs, 141, 148 Eastern European, 159 Eastman Kodak, 37, 39, 68, 70 economic considerations, 131 economic value, 211 ECU, 29 edge control, 45 Einstein, 119, 121 elaborate testing, 114 elastomer, 49 electronic control unit, 29 electrophotographic, 6, electrophotographic fuser, 36 electrophotographic printer, 114, 115, 117 electrophotographic printers, 45 electrophotography, 114, 195 electrostatic latent image, 196 electrostatographic printing, 195 element of the claim, 183 emissions, 75, 83, 169 employer, 124 employers, 209 enabling technologies, 34, 39 enabling technology, 34, 49, 53, 56, 84, 99, 106, 112 energy efficiency, 52 enforceable, 154, 156, 158, 166 enforceable claims, 173 enforcement, 157, 159 engine life expectancy, 18 engineer, 24, 26, 30, 62, 69, 73, 79 engineering, 131 engineering team, 112, 145, 147 engineers, 6, 19, 23, 29, 31, 35, 36, 38, 44–46, 51, 52, 57, 105, 107, 122, 123, 129, 130, 144, 146, 182, 187, 190, 191, 193, 197, 200, 205 See patent engineer 224 Index entities, 170 entrepreneurial companies, 70 entrepreneurs, 39 eraser, 24–26, 29 Europe, 161, 165, 180, 215 European auto manufacturers, 68 European cars, 18 European countries, 159, 161 European manufacturers, 12, 68 European Patent Convention, 153 European Patent Office, 100, 157 European Union, 154 evaluation, 178, 181, 182 examiner, 12, 15, 25, 27, 28, 38, 46, 47, 55, 63, 65–67, 71, 78, 82, 85–87, 89, 90, 92–94, 98, 100–102, 114–117, 120, 130, 134–140, 145, 149, 150, 157, 171, 184, 186, 203, 204, 213, 214 See patent examiner examiners, 146, 204 exchange agreement, 170, 174, 185, 187 exclusive rights, 60 expense, 59, 68, 71, 144, 146, 147, 149, 151 expenses, 18, 21, 155, 158, 159, 161, 164–166 expensive decisions, 153 expert, 81, 82, 102 expired, 172, 178, 179 extract value, 69 extraordinary skill in the art, 64, 113 factories, 19 factors, 40, 46, 57 faculty, 209–212 fallback position, 151 fear of a lawsit, 169 Federal Circuit, 20, 21 Federal Circuit Courts, 21 fee payment, 185 fees, 144, 145, 147–151, 156, 158, 159, 164–166, 206, 212 fees charged by the United States Patent and Trademark Office, 147 fiber rollers, 116 field of the invention, 85, 86, 100 figures, 21, 85, 86, 92, 96–100 file history, 135, 137, 175, 176, 184 filed subsequently, 195 filing, 127–129, 133–136, 138, 139, 143, 145–149, 151 filing and issuance fees, 67 filing applications, 51, 53 filing early, 77, 79 filing internationally, 156 filing often, 79 filing patent applications domestically, 127 filter, 43, 129–131 filtration, 130 final rejection, 136, 139, 149 financial benefits, 107 financial institution, 192 financial investment, 27 finishing agent, 114 firearms, 169 firearms manufacturers, 170 first office action, 134, 135, 149–151 first principles, 76 first to file, 84 flat-panel, 76 floppy disks, 141 fluid pressure, 60, 62 focus country, 164, 166 foreign competitor, 160 foreign countries, 158, 160 foreign filings, 127, 143 formal legal requirements, 65 formulating responses, 147 formulation of the patent strategy, 194 fuel economy, 75 fuel injection, 9–11, 13, 36 fuel injection systems, 10 fuel pump, 216 Index Fuel tank, functional printing, 36 functionality, 74, 75 fundamental technology, 34 further filings, 133 future filings, 76, 79, 83 future invention, 88 future legal action, 86 Garand, 105 gas consumption, 18 gasoline, 7–10 GCCPO, 153 generating patent applications, 199 Germany, 19 Gibney, 119 global, 33 global competition, 216 global economy, 154, 156, 166, 190 global industrialization, 215 global markets, 154 global reach, 156 goal, 158, 161–163, 165, 166 GOALI, 70 Google, 3, 33 Google Patents, 100 government, 19, 22, 33, 52, 53, 147, 148 governmental agencies, 69 government-issued award, 106 governments, 157 grace period, 63 graphite, 26 Great Britain, 164 Gulf Cooperation Council Patent Office, 153 Gulf states, 153 hammer, 17 hardware, 191 Harvard Business School Press, 69, 79 Hedy Lamarr, 24 hermetic seal, 174–176, 184 high profile cases, 33 high value portfolio, 34 high-tech manufacturing, 165 history, 175, 176, 184 home care, 192 home computers, 216 hostile, 159, 161 hostile take-overs, 156 hot melt adhesive, 115 how others tried to solve the problem, 127 how the invention solves the problem, 60 hydrocarbons, 8, 11 IBM, 3, 4, 19, 68 ignition coil, 50, 216 ignition timing, implementation strategy, 51 importation and exportation, 161 improvement, 172, 174, 178, 182 improvements or upgrades, 156 incorrect information, 125 incorrect inventorship, 118 indemnification, 179 indemnify, 179 independent, 39, 48–50 independent claim, 49, 60–62, 78, 81, 87, 92, 95 independent claims, 48, 50, 60, 136, 146, 150, 184, 193, 194, 197, 198 India, 33, 157, 159, 164 indirect costs, 67 industrial engineers, 69 inexpert opinions, 177 information, 63 information that is disclosed, 150 information that is not to be claimed, 162 infringe, 67, 71, 117, 170–175, 178, 179, 181, 183, 184 infringed, 170, 172, 176, 179–181, 183–187 225 226 Index infringement, 37, 48, 52–54, 56, 57, 60, 61, 71, 73, 108, 117, 155, 157, 159, 169–171, 174, 176–178, 180, 183–187, 192, 193, 204, 205, 207, 210, 211, 213, 216 infringer, 49, 54, 55, 60, 61, 69, 117, 165, 166 infringes, 60, 62, 171, 172, 176, 177 infringing, 68, 72 infringing a patent, 171–177, 180, 187 infringing companies, 192, 193, 212 infringing company, 135 infringing patents, 72 infringing the claim, 117 infringing upon the allowed patent, 173 inherent in the original invention, 129 in-house patent attorneys or agents, 83 injunctions, 161 injury, 169 ink jet, 45, 46 Innography, 100 innovations, 20, 22, 28, 154 innovator, 154 instant photography, 39, 56, 70, 71 intellectual property, 33, 40, 44, 51, 52, 66, 69–71, 77, 81, 83, 85, 86, 100, 127, 132, 139, 156, 158, 160, 170, 189, 192, 193, 195, 196, 200–202, 206, 208–211, 214, 217 Intellectual Ventures, 68 intent of asserting, 193 interactions, 35, 43, 45 internal combustion engine, 7, 50, 216 internal combustion engines, international, 156, 161, 165 international application, 162 international commerce, 165 international filings, 127 international market, 156 international patent, 153, 154, 156, 157, 159–163 international patent application, 153 international patent applications, 127 international patent strategy, 162 international patents, 190, 206, international portfolio, 154, 156, 158, 159 International Searching Authority, 163, 164 internationally, 131, 132 internet, 89, 100 interviewing the examiner, 137, 140, 149 interviewing the examiners, 204, 214, introduction of a new product, 169 invalidity, 185 invalidity arguments, 208, invention, 18, 22–25, 27, 28, 31, 34, 36, 37, 41, 42, 45–49, 51–55, 57, 58, 60–66, 68, 71–73, 76–78, 81, 83, 85–103, 105–109, 113, 115, 116, 118–125, 127–130, 132–134, 136–138, 140, 144–146, 148, 150, 171–176, 185, 193, 194, 197–214 invention disclosure, 193, 213 invention report, 65 inventions, 17, 22, 23, 25–28, 38, 43, 48, 52, 55, 59, 62, 71, 72, 106, 107, 113, 117, 119, 120, 122, 123 inventive contribution, 150 inventor, 23–25, 27, 28, 30, 31, 39, 41, 43, 45, 47, 60, 62, 65, 66, 87, 99, 105–108, 112, 117, 118, 120–125, 128–130, 132, 136 inventors, 17, 22, 23, 30–32, 36, 38–40, 42, 45, 47, 52, 55, 57, 59, 64–67, 82, 83, 85, 87–90, 98–100, 144, 146, 147, 150, 151, 192, 200, 201, 211, 212, 214 inventorship, 23, 27, 105, 118–121, 124, 150, 151 investment, 67, 69, 78 Index investment firms, 208, 209, 214, 215 iPhone, 3, iPod, 76 ISA, 163 Israel, 157, 159, 165 issuance of a patent, 127 issue and maintain patents, 158 issued patents, 161 Japan, 19, 154, 157, 158 Japanese, 11 Japanese cars, 18 Japanese manufacturers, 68 joint product development, 199, 201 jurisdiction, 153, 156–158 jurisdiction in specific subject areas, 21 Keuffel and Esser, 50 key markets, 156, 158, 159 key word search, 90, 101 key words, 89, 101 knife manufacturer, 179 known, 24, 25, 60, 63–66, 71, 79 Kodak, 6, 7, 37, 39, 53, 56, 107, 208, 211 Korea, 33 Korean automobiles, 18 KSR vs Teleflex, 62, 79 LAME mp3 encoder, 154 laptop, laser, 196, 197 laser jet, 45 laser printer, 37 laser scanner, 196, 197 late payment, 151 law firms, 144, 192, 208, 209, 212–214 lawsuits, 98, 99, 169–171, 176, 177, 182, 186 lawyers, 52 LED, 196 227 legal, 81, 83, 85, 86, 88, 90, 98, 102, 106, 107, 112, 118, 120, 122–125, 131–134, 137–139, 144, 145, 147, 149–152, 157, 159, 161, 162, 165, 166, 174, 175, 177, 179, 183, 186, 187 legal audience, 85 legal backbone, 62 legal considerations, 161 legal costs, 48, 144, 145, 191, 199 legal counsel, 59, 177 legal decisions, 204, 205 legal documents, 132, 138 legal expert, 183, 195, 199, 211, 213 legal expertise, 195, 207 legal fees, 144, 145 legal issue, 191, 207, 211 legal issues, 62 legal opinion, 205 legal personnel, 90 legal representation, 146 See attorney legal revisions, 195 legal staff, 144 legal strength of the resulting patents, 132 legal team, 145 legal technicalities, 81 legal wording of claims, 195 legally-defined invention, 45 legislation, 161 leveraging of the applications, 77 Lexis, 100 liability, 169, 179 license, 68, 69, 73, 98, 99, 155, 173, 174, 180, 185, 190, 192, 200 license your patents, 156 licenses, 26 licensing, 84, 98, 156, 160, 165, 166, 190, 194, 196, 198, 200, 206, 209–211, 217 licensing agreement, 22 licensing agreements, 26, 52 228 Index licensing fees, 34, 49, 69, 73, 108, 110, 111, 170, 178, 181, 187, 190, 196, 206, 210 light bulbs, 52 literature, 63, 64, 78, 171, 179, 181, 185 litigation, 65, 109, 118 low value patents, 70 low-cost labor forces, 19 Luxembourg, 180 M1 rifle, 105 Macintosh, maintain, 67, 70 maintenance, 159, 164 maintenance fees, 148, 149, 151 major corporations, 33 major markets, 154 major weaknesses in automotive design, 19 management, 133, 191–193, 202 management teams, 191–193 managers, 182 mandatory costs, 147 See mandatory fees mandatory fees, 147 Manning and Napier, 214 manufacture, 159, 161, 162 manufacturer, 19, 68, 75, 76, 117, 192, 204 manufacturers, 12, 13, 18, 19, 26, 29 manufacturing company, 192 manufacturing organizations, 192 manufacturing processes, 54 manufacturing within a country, 165 mapping a portfolio, 153 Marinucci, Dan, 216, 218 market, 19, 26, 29, 32, 154–156, 158–162, 165, 166 market share, 155 market shifted away from American manufacturing dominance, 19 market value, 69 marketplace, 3, 9, 14, 74, 141, 178, 187, 198 markets throughout the world, 20 Marshall Plan, 19 Massachusetts Institute of Technology, 69 mathematical algorithms, 166 mature market, 159 maximize the value, 195 means plus function, 175, 184 mechanical devices, 166 memorandum, 186, 187 mesh, 129–131 metallic band, 24–26 method, 17, 21, 24–26, 60–66 method claim, 117 method of measurement, 96 methods, 35, 36, 45, 46, 54, 56 microelectronics, 36 microprocessors, 9–11 Microsoft, mileage, 83 mine or sell data, 100 minimal core of the invention, 60 miscommunication, 145 mish mosh filing, 35, 38 misunderstandings between the technical and legal experts, 145 modern manufacturing infrastructure, 19 money, 60, 67, 75, 76 Most Ridiculous Patents, 107 multi-national firm, 154 multiple applications, 146 multiple patent applications, 117 municipalities, 169 national patent granting authority, 157 National Science Foundation, 70 NDA, 201 necessary components of a patent, 107 negotiate, 75 Netherlands, 161, 165, 180 New York, 70 New York State, 70 Index New York State Energy Research and Development Authority, 70 nitrogen, 8, 10 nitrous oxides, 8, 10, 11 Nobel Prize, 119 noise corrections, 45 nondisclosure agreements, 109, 110, 112, 200–203 non-infringement arguments, 184 non-obvious, 24, 25, 64, 66, 77, 79, 91, 102, 106, 108, 113, 115, 121 non-obviousness, 65, 113, 129, 136 nonpracticing entities, 170 non-practicing entities, 98, 190 non-provisional, 133 not-for-profit organizations, 170 notice of allowance, 66, 135 notice of an office action, 139 notice of the actions taken by the patent office, 134 notification of infringement, 26 novel, 18, 24, 25, 27, 35, 37, 41, 46, 57, 63, 65–77, 84, 91, 92, 102, 127–129, 171, 174, 175, 178, 179, 181, 182, 185 novel features, 178 novel solution, 127, 128 novelty, 37, 53, 57, 64, 67, 108, 109, 111, 112, 129, 134, 135, 145, 171, 178, 179, 184, 185 NPE, 190 NPEs, 98, 99, 170, 178 NSF, 70 NYSERDA, 70 O2 sensor, 7, 10–13, 29, 34, 68, 79, 83, 178 O2 sensor patents, 11, 13 O2 sensors, 29 obvious, 24, 25, 31, 63, 64, 66, 67, 77–79, 130, 134, 136, 171, 191, 193, 194, 208 obviousness, 63, 64, 78, 113, 115, 116, 185 229 office action, 134–137, 139, 140 office actions, 203, 204, 213, 214 oil crisis, 19 older patents, 62, 79 open end wrenches, 178 opinions, 177, 183 optics, 197 ordinary skill in the art, 63, 113–115, 121, 175 organizations, 170 ostrich approach, 35, 39 other countries, 109 outside legal counsel, 83 own the entire problem, 34 own the problem, 2, 6, 7, 14, 15, 128, 138, 139, 153, 154, 161, 163, 165 own work, 63 owner of the patent, 135 owning the problem, 2, 6, 7, 39, 42–44, 67, 72, 74, 77, 160, 163, 164, 170, 187, 190, 193, 194, 208, 211 oxygen, 7, 8, 10, 11, 13 oxygen sensors, 10, 11, 13, 75 PAEs, 98 paint roller, 114 painter, 114, 115 PAIR, 134 Palo Alto Research Center, paper, 36, 37, 45, 46, 50, 114, 115 paper dust, 114 paper trail, 164, 166, 176, 183 paralegals, 144 PARC, particulate debris, 129, 130 particulates, 64, 129, 130 patent, 18, 20–32, 33–58, 59–73, 75–79, 81–94, 96–102, 106–112, 114–125, 127–141, 170–187 patent agent, 132, 144, 146, 191, 195 patent agents, 65 230 Index Patent and Trademark Office, 127, 144, 147 patent applicants, 23 patent application, 23, 24, 26–28, 30, 32, 41, 44, 46, 47, 55, 57–59, 63, 65–67, 71, 77–79, 81, 82, 85, 86, 88–91, 93, 94, 96, 100, 107–109, 114, 116, 118, 120–122, 124, 127, 128, 130–141, 171, 172, 175, 176, 182, 184, 185, 187 Patent Application and Information Retrieval, 134 patent applications, 26, 28, 29, 32, 35–39, 42, 45, 46, 48, 52–54, 63, 65, 67, 69, 71, 73, 75–79, 81–84, 88, 89, 94, 96, 98, 99, 101, 108–112, 117, 119, 122, 123, 125, 144–146, 148, 149, 151, 153, 155–158, 160–163, 165, 166, 190–195, 198, 199, 202, 203, 209, 211–215 patent assertion entities, 98 patent attorney, 62, 191, 205 patent attorneys, 65, 171 Patent Circuit Court of Appeals, 55, 56, 191 patent clearances, 169, 177, 178, 180, 204 Patent Cooperation Treaty, 162, 163 patent coverage, 59, 154, 160, 164, 166, 174, 178 patent cross-licensing agreements, 98 patent engineer, 35, 44, 52, 62, 83, 88, 123, 146, 147, 190–195, 197, 199–201, 203–217 patent engineering, 2, 4, 44, 67, 69, 72, 78, 153 patent engineering team, 73, 75, 77 patent examiner, 12, 191 See examiner patent exchange agreement, 170, 174, 185, 187, 190, 194, 196, 205, 206, 210, 217 patent exchange agreements, 34, 52, 156, 160 patent granting authority, 157, 158, 164 patent infringement, 82, 91, 93, 170, 171, 176, 177, 183, 186 patent infringement lawsuit, 52, 53, 56 patent infringement lawsuits, 170, 171, 176, 177, 186 patent landscaping, 35, 37 patent law, 62, 63, 78, 88, 97, 107, 108, 118, 121, 123, 175, 177, 191, 193, 195, 199, 204, 212–214, 216 patent laws, 180 patent literature, 171 patent litigation, 170 patent litigator, 65 patent office, 46, 59, 62, 65, 67, 107, 108, 119, 128, 132, 134–136, 140, 154, 155, 157, 164, 193, 203, 212, 213 patent opportunities, 88 patent owner, 60, 66, 81, 86 patent paralegals, 144 patent portfolio, 1, 5, 6, 13–15, 34, 36, 38, 43, 52, 54, 56, 58, 59, 68, 69, 72, 73, 76, 128, 129, 132, 139, 140, 143, 144, 147, 152, 154, 156, 159, 161, 163, 164, 166, 190–192, 195, 198, 199, 204, 209, 211, 214–217 patent portfolios, 1, 5, 7, 14 patent practitioner, 21, 27, 30, 31, 62, 65, 81–83, 87, 90, 91, 98–100, 112, 116, 118, 123–125, 128, 132–134, 138, 144–147, 150, 176, 179, 180 patent practitioners, 45 patent professionals, 158 patent protection, 127, 128, 134, 154, 162, 164 patent rights, 34 Index patent strategies, 34, 35 patent strategizing, 78, 84 patent strategy, 1, 2, 4, 5, 14, 15, 18, 28, 31, 32, 34–36, 41, 42, 44, 45, 49, 51–53, 58, 59, 67, 68, 71, 72, 75–77, 110–112, 117, 123, 155, 157, 158, 160, 161, 165, 190, 191, 193, 194, 200, 201, 205, 211, 212 See strategy patent technologies, Patent Trial and Appeal Board, 55, 56 patent troll, 108 patent trolls, 98 patent’s owner, 22, 23, 25 patent’s owners, 23 patent’s validity, 21 patent’s value, 81 patentability, 89, 91, 101, 102, 108, 116, 119, 127–129, 131, 135, 137, 171, 172, 185, 191, 203, 211 patentability requirements, 131 patentability search, 89, 101, 127, 135, 171, 172, 185 patentability searches, 171 patentable, 128–132, 137, 155, 157, 163 patentable features, 111, 155 patentable subject matter, 43 patented intellectual property, 156 patented solution, 85 patented technology, 22, 106, 170 patently obvious, 93 patents, 1, 2, 4, 5, 7, 11–15, 33, 34, 36–40, 42–44, 48–57, 59, 63–73, 75, 77–79, 106–108, 110–112, 119, 120, 123–125, 153–166, 171, 189–194, 198, 199, 201, 203, 204, 206–217 patents declared invalid, 82 patents owned by another company, 170, 171, 178, 179 patents that have relatively low value, 70 PCT, 162, 163 231 PCT application, 162 peer, 30, 31 penalty for having individuals incorrectly listed as inventors, 150 pencil, 24–27, 29 perjury, 83 perpetual motion machines, 128 Pet Display Clothing, 107 pharmaceutical, 192 philosophies, 63 photocell, 119, 121 photoelectric effect, 119, 121 photographs, 70 photoreceptor, 6, 114–116, 195 PIA, 201 pixel, 196, 197 plant patents, 128 plastic, Pocket Fisherman, 105 points, 50 Polaroid, 39, 53, 56, 71, 208, 211 polygonal mirror, 196, 197 Popeil, 105, 107, 125 portfolio, 18, 22, 26, 28–30, 32, 34, 36–38, 43, 51, 52, 54–56, 58, 81, 83, 84, 88, 91, 94, 99, 100, 153, 154, 156, 158, 159, 161, 163–166, 170, 187, 190, 199, 206, 215, 217 See patent portfolio portfolio of patents, 153, 156 portfolios, 34–36, 38, 52 potential acquirers, 156 power plant, 43 practiced independently, 117, 121 practicing, 61, 62, 69, 72 practicing every aspect, 48, 49 practicing your invention, 34 practitioner, 62, 63, 65, 81–83, 87, 90, 91, 98–100, 176, 179, 180 premature disclosures, 109 prematurely disclose, 195 presentations at shows, 22 232 Index previously-filed applications, 108 primary imaging, 195, 196, 197 printers, 6, prior art, 36, 48, 55, 63, 66, 71, 78, 85, 87, 88–94, 98–102, 129, 131, 132, 135–141, 144, 145, 162, 171, 172, 184, 185, 194, 198, 199, 213 prior art search, 55, 194, 198, 199 prior patents, 161 priority date, 171, 179 privileged and confidential, 183 problem, 18, 21–24, 27, 29–32, 60, 62–64, 67, 71–74, 76–78, 83–85, 89–92, 97, 99, 102, 103, 106–108, 110, 112–116, 119, 121–125, 143, 145 problem to be solved, 85, 90 problems, 193, 198–200, 216, 217 problem-specific filing, 39, 42, 51, 52 problem-specific strategy, 48 procedural issues, 134, 137 procedural requirements, 134 procedure, 195 processing fees, 151 product, 63, 64, 67–69, 71–75, 77–79, 105, 106, 108–122, 128, 131, 133, 169–187, 189, 191, 197–200, 204–209, 216 product design, 35, 49 product development, 35, 38, 72, 77, 78, 199 product infringement, 37 product lines, 191, 197, 207 products, 36–40, 43–46, 49–51, 56, 63, 67–74, 76, 78, 154, 156, 158– 162, 164, 165, 190–192, 196– 198, 202, 204, 206–209, 212 profit, 33 profitability, 68, 74, 83 profitable, 37, 46, 50 profits, 40, 42 project staff, 193, 194 project team, 35, 145–147, 149, 194, 195, 203 property you own, 22 proposed claims, 66 proprietary, 192, 198, 201 proprietary information, 109 proprietary information agreements, 201 proprietary intellectual property, 66 prosecute, 132, 136–138, 141 prosecuted, 117 prosecuting patent applications, 131, 133, 140, 144, 146 prosecuting the patent application, 82 prosecution, 38, 46– 48, 55, 65, 67, 78, 79, 118, 123, 127, 131, 132, 135, 136, 138, 140, 145, 147, 149, 150, 157, 166 Prosecution of a patent application, 46, 91, 93 protection, 18, 22, 25–28, 30, 195, 198, 200, 209 provisional, 133, 134, 151 provisional application, 133, 134 provisional applications, 151 public, 22, 28 public domain, 206 public record, 140 publication, 108, 132, 134, 185 publications, 22, 202 published, 63, 66, 69, 71 published applications, 66 published patent application, 84, 91 punch card, 18 Purdue Research Foundation, 69 Pyrex, 95 quality, 19 quantum mechanics, 119 R&D, 37, 38, 42, 56 random collection of unrelated patents, 143 range of validity, 87 Index RCE, 136, 140, 149 reads on a product, 174 rear viewing cameras, reasons for rejection, 135, 139 receiver, 115, 116 record, 82 redesigns, 180, 181 reduce the invention to practice, 120 reference, 114, 118 references, 108, 115, 116, 194 registration, 45 regulation, 33 regulations, 52 regulatory actions, 169 regulatory agencies, 161 regulatory requirements, 74 reject, 67, 135–137 rejected, 171, 175 rejection, 67, 78, 87, 93, 94, 132, 135–140 related art, 134, 136, 191, 193 release agents, 116 reliability, 5, Rembrandt, 69, 70, 79 Rembrandts in the Attic, 28, 69, 79 renewal, 148, 159, 206, 207 renewal fees, 206 Rensselaer Polytechnic Institute, 69 request for continued examination, 136, 149 required by regulation, 83 Research & Development, 37 research institutes, 170 researchers, 209, 211 restriction requirement, 66 revenue producing, 24 revenues, 170 reverse engineered, 67 revisions, 84, 144 revolutionary changes, 141 rewrite the claims, 67 right to practice, 161 rights to the technology, 110 risk, 27, 28 233 risks, 28 risks and benefits of filing patent applications, 165 risks in filing, 151 risks of loss, 166 Rivette and Kline, 69 Ron Popeil, 23 Ronald Popeil, 107 Rotterdam, 161, 165, 180 royalty, 185 rules and regulations, 161 Russia, 157 safety features, Safety requirements, safety standard, 169 Samsung, 33 Samuel Popeil, 105 satellite countries, 164, 165, 166 scientific, 171, 172 scientific analysis, 114 scientific or technological papers, 84 scientist, 190, 191 scientists, 6, 69, 105, 107, 114, 115 screen mesh, 64 scum, 114, 115, 116 search, 46, 47, 55, 88–91, 100–102, 106, 111, 123, 171, 172, 176–187 search company, 204, 205 search engines, 89, 100, 101, 194 search firm, 182 search report, 163 searches, 193, 194, 198, 199, 204, 211, 213, 216 seat belts, seed, 72–76 semantic search, 101 semiconductors, 119 sequentially, 131, 133 service/instruction manuals, 84 Shockley, 119, 120 significance, 106 simultaneously, 131, 132 sketching of figures, 194 234 Index skid control, skilled pair of hands, 120 small companies, 154 small countries, 159 smart phone, 20 smart phones, 3, Snap-On Tools, 128, 178 software, 34, 54, 90, 113 software-related technology, 154, 155 solution, 60, 63–65, 72–77, 106, 107, 112, 114, 119, 123 solution to a critical problem, 84 solution to the specific problem, 190, 193 solutions, 191, 193, 194, 198, 199, 216, 217 solutions to the problems, 14 solution-specific, 42, 52, 190, 198 solution-specific applications, 42 solution-specific filing, 35, 37, 40, 50 solution-specific patent strategy, 41 solution-specific strategies, 39 source of the disclosure, 172 South Korea, 19, 154, 157–159 spaghetti filing, 35, 38 spark, 50 spark plug, 50 Sparks, 119 specific technical solution, 21 specification, 60 speculative, 159 spork, 65 spread of industrialization, 19 start-up company, 148 steel company, 179 steering, 11 Steve Jobs, strategic interest, 124 strategizing process, 35 strategy, 18, 28, 31, 38, 42, 44, 48, 51, 54, 81–84, 88, 89, 99, 102, 111, 117, 125 See patent strategy, 127, 129, 131–133, 135, 137, 143, 145–147, 149–152 structure of a patent, 81–83 structure of patents, 81, 85 students, 209–211 subject matter claimed, 107 submissions, 124 submitting a patent application, 127, 132 subsystems, 35, 46 success rates, 139 success ratio, 139 sue, 60, 68, 69 sued, 176 sufficiently large market, 159, 165 suing, 165 suits, 169, 170 supplier, 109, 110, 111, 200, 201 Supreme Court, 85 switch, 50 systems, 35 tables, 194, 200 Taiwan, 162 Tamra West, 23 Tandy Radio Shack, 19 target market, 160 targeted countries, 160 targeted country, 160, 161 taught in the prior art, 131 teach, 137, 140 technical, 60, 62, 65, 66, 69, 72, 75, 77, 78, 83, 84, 88–90, 98, 102 technical contents, 84 technical contributor to the claimed subject matter, 118 technical disclosure, 144 technical expertise, 69 technical experts, 110, 133, 138 technical features, 145 technical ideas, 72 technical paper, 21, 171, 172 technical problem, 128 technical publication, 84 technical specifics, 60 Index technical staff, 38, 144, 177, 183, 193, 198, 199, 216 technical team, 78, 110, 123–125, 146, 197–200, 205, 206 technological, 69, 70, 71, 75 technological advances, 69, 70, 75, 211, 216 technological area, 30 technological development, 190 technological goal, 191, 194 technology, 20, 22, 23, 26–30, 33–37, 39–43, 45, 46, 49–53, 56–58, 59, 60, 63, 67–77, 79, 81–84, 86–88, 91, 97–99, 101, 102, 129–132, 137–141, 144–151, 154–156, 159–164, 166, 170–172, 178–184, 186, 187, 189–192, 195–206, 208–217 technology advancement, 179 technology and innovation, 22 telephone, 106 tensile force, 29 term of a patent, 22 thermoplastic, 115, 116 Thompson Innovation, 100 thumb drives, 141 Timing, 26 timing constraints, 36 title, 21, 22, 85, 100 toner, 6, 115–117 toner-bearing photoreceptor, 115 toner-fusing temperatures, 36 tools, 191 touch sensor, 76 touch wheel, 76 touchscreen, 76, 77 traction control, 7, trade journals, 22 trade secret, 27 trade shows, 36, 202 transfer toner, 115, 116 transistor, 119, 120 translation, 158, 159 235 translations of English applications, 158 transmission, 11 TRS-80, 19, 32 typewriter, 83 U.S, 11, 12 U.S Patent and Trademark Office, 60 U.S Patent Circuit Court of Appeals, 62 U.S Supreme Court, 62 unanticipated, 116 unanticipated results, 91 understanding of the laws of nature, 119 unique, 17, 21 United States, 18–20, 33, 53, 55, 59, 60, 62, 63, 65, 66, 68, 69, 78, 79, 85, 89, 100, 106, 108, 110, 115, 127, 131, 132, 143, 144, 147, 154, 155, 157, 159–162, 164, 180, 186, 206, 215 United States Constitution, 53 United States Patent and Trademark Office, 12, 89, 100, 127, 144, 147 universities, 69, 170, 208–212 university, 69, 71, 192, 209–212 University of Chicago, 69 unnecessary expenses, 34, 39 unrelated areas of endeavor, 148 US patents, 20 USPTO, 12, 47, 60, 61, 63, 65, 66, 71, 87, 100, 106–108, 128, 147, 148 utility, 112 utility examination fee, 147 utility patent, 128, 147, 149, 151 utility patent issue fee, 147 utility search fee, 147 vacuum tubes, 119 vague generalities, 179 validity, 184, 185 validity arguments, 205 236 Index value, 33, 34, 36–40, 44, 45, 47, 51, 52, 54, 156, 162, 164 value of a patent, 148 value of your portfolio, 170 van der Waal’s interactions, 43 various aspects of the specific problems being solved, 145 Velcro, 23 vendor, 200 verbosity, 150 VHS, 148 warranty, 18 waxy finishing agent, 114 Wealth of Nations, 215, 218 what to file, 153 where to file, 153 willful infringement, 73, 176 willfully disclose, 109 willingly infringed, 170 window screen, 129–131 Windows, 3, wire mesh, 129–131 witness stand, 38, 57, 122 word processing, 83 world in 1972, 18 World War II, 18, 19, 105 worth patenting, 59 writing, 144 written description, 97 written documentation, 102 written elaboration, 183 “X” references, 163 Xerox, 3, 37 “Y” references, 163 Yugo, ... to give their companies a competitive advantage in the marketplace, as well as to generate a patent portfolio that can significantly enhance the revenues and value of their companies Don Rimai... Structure of a Patent Inventions and Inventorship: Challenges and Complications 105 Patent Engineering and Patent Prosecution 127 Controlling the Costs of Generating and Maintaining a Patent Portfolio. .. years ago? If one examines the individual patents, one finds that most of the patents cover features other than just the basic device There are patents that cover the connectors There are patents