Guides Sofware Uspto
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Transcript of Guides Sofware Uspto
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TABLE OF CONTENT
I. Introduction.......................................1
II. Determine What Applicant Has Inented and Is Seekin!to Patent.........................................."A. Identif# and Understand An# Practical
Application Asserted for the Inention........."$. %eie& the Detailed Disclosure and Specific
'm(odiments of the Inention to Determine Whatthe Applicant Has Inented.....................)
C. %eie& the Claims.............................*
III. Conduct a Thorou!h Search of the Prior Art..........+
I,. Determine Whether the Claimed Inention Complies &ith)- U.S.C. 1/1....................................+A. Consider the $readth of )- U.S.C. 1/1 Under
Controllin! 0a&...............................+$. Classif# the Claimed Inention as to Its Proper
Statutor# Cate!or#............................1. 2on3Statutor# Su(4ect 5atter...............
6a7 8unctional Descriptie 5aterial9: 9..;6(7 2on38unctional Descriptie 5aterial.1/6c7 2atural Phenomena Such as 'lectricit#
and 5a!netism......................11". Statutor# Su(4ect 5atter..................1"
6a7 Statutor# Product Claims ....A machineis9:...a concrete thin!< consistin! ofparts or of certain deices andcom(inations of deices.$urr .Dur#ee< + U.S. 61 Wall.7 -)1< -=/61+)7..............A manufacture is9:....the production of articles for usefrom ra& or prepared materials (#!iin! to these materials ne& formsualities< properties or com(inationsuirement for
patenta(ilit# in the initial reie& of the application< een if
one or more claims are found to (e deficient &ith respect to
some statutor# re>uirement. Thus< Office personnel should state
all reasons and (ases for re4ectin! claims in the first Office
action. Deficiencies should (e eplained clearl#< particularl#
&hen the# sere as a (asis for a re4ection. Wheneerpractica(le< Office personnel should indicate ho& re4ections ma#
(e oercome and ho& pro(lems ma# (e resoled. A failure to
follo& this approach can lead to unnecessar# dela#s in the
prosecution of the application.
Prior to focusin! on specific statutor# re>uirementsuirement for patenta(ilit#.
Office personnel should (e!in claim anal#sis (#
identif#in! and ealuatin! each claim limitation. 8or
processes< the claim limitations &ill define steps or acts to (e
performed. 8or products##< the claim limitations &ill define
discrete ph#sical structures. The discrete ph#sical structures
ma# (e comprised of hard&are or a com(ination of hard&are and
soft&are.
Office personnel are to correlate each claim limitation to
all portions of the disclosure that descri(e the claim
limitation. This is to (e done in all cases< i.e.< &hether or
not the claimed inention is defined usin! means or step plus
function lan!ua!e. The correlation step &ill ensure that Office
personnel correctl# interpret each claim limitation.
The su(4ect matter of a properl# construed claim is
defined (# the terms that limit its scope. It is this su(4ect
matter that must (e eamined. As a !eneral matter< the !rammar
and intended meanin! of terms used in a claim &ill dictate
&hether the lan!ua!e limits the claim scope. 0an!ua!e that
suggests or makes optional (ut does not re>uire steps to (e
performed or does not limit a claim to a particular structure
does not limit the scope of a claim or claim limitation.#$
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Office personnel must rel# on the applicants disclosure
to properl# determine the meanin! of terms used in the claims.#%
An applicant is entitled to (e his or her o&n leico!rapher< and
in man# instances &ill proide an eplicit definition for
certain terms used in the claims. Where an eplicit definitionis proided (# the applicant for a term< that definition &ill
control interpretation of the term as it is used in the claim.
Office personnel should determine if the ori!inal disclosure
proides a definition consistent &ith an# assertions made (#
applicant.#& If an applicant does not define a term in the
specification< that term &ill (e !ien its Ecommon meanin!.E#.
If the applicant asserts that a term has a meanin! that
conflicts &ith the terms art3accepted meanin!< Office personnel
should encoura!e the applicant to amend the claim to (etter
reflect &hat applicant intends to claim as the inention. Ifthe application (ecomes a patent< it (ecomes prior art a!ainst
su(se>uent applications. Therefore< it is important for later
search purposes to hae the patentee emplo# commonl# accepted
terminolo!#< particularl# for searchin! tet3searcha(le
data(ases.
Office personnel must al&a#s remem(er to use the
perspectie of one of ordinar# skill in the art. Claims and
disclosures are not to (e ealuated in a acuum. If elements of
an inention are &ell kno&n in the art< the applicant does not
hae to proide a disclosure that descri(es those elements. In
such a case the elements &ill (e construed as encompassin! an#
and eer# art3reco!niFed hard&are or com(ination of hard&are and
soft&are techni>ue for implementin! the defined re>uisite
functionalities.
Office personnel are to !ie claims their (roadest
reasona(le interpretation in li!ht of the supportin!
disclosure.#1 Where means plus function lan!ua!e is used to
define the characteristics of a machine or manufacture
inention< claim limitations must (e interpreted to read on onl#
the structures or materials disclosed in the specification and
Ee>uialents thereof.E#2 Disclosure ma# (e epress< implicit or
inherent. Thus< at the outset< Office personnel must attempt to
correlate claimed means to elements set forth in the &ritten
description. The &ritten description includes the specification
and the dra&in!s. Office personnel are to !ie the claimed
means plus function limitations their (roadest reasona(le
interpretation consistent &ith all correspondin! structures or
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materials descri(ed in the specification and their e>uialents.
8urther !uidance in interpretin! the scope of e>uialents is
proided in the Examination Guidelines For Claims Reciting
!eans or "tep #lus Function $imitation In ccordance %ith &'
(.".C. ))*+ ,th #aragraph6E5eans Plus 8unction @uidelinesE7.#3
While it is appropriate to use the specification to
determine &hat applicant intends a term to mean< a positie
limitation from the specification cannot (e read into a claim
that does not impose that limitation. A (road interpretation of
a claim (# Office personnel &ill reduce the possi(ilit# that the
claim< &hen issued< &ill (e interpreted more (roadl# than is
4ustified or intended. An applicant can al&a#s amend a claim
durin! prosecution to (etter reflect the intended scope of the
claim.
8inall#< &hen ealuatin! the scope of a claim< every
limitation in the claim must (e considered.#6 Office personnel
ma# not dissect a claimed inention into discrete elements and
then ealuate the elements in isolation. Instead< the claim as
a &hole must (e considered.
III! Condu"t a T)orou,) ear") of t)e rior Art
Prior to classif#in! the claimed inention under 1/1uialents &hich
correspond to the claimed means plus function limitation< in
accordance &ith )- U.S.C. 11"< sith para!raph and the 5eans
Plus 8unction @uidelines.$7
IV! 'etermine ()et)er t)e Claimed Invention Complies 4it)
%. 0!!C! 8 #7#
A! Consider t)e Breadt) of %. 0!!C! 8 #7# 0nder Controllin,
La4
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As the Supreme Court has held< Con!ress chose the
epansie lan!ua!e of 1/1 so as to include Ean#thin! under the
sun that is made (# man.E$# Accordin!l#< 1/1 of title )-uirements of 1/1< Office
personnel should classif# each claim into oneor morestatutor#
or non3statutor# cate!ories. If the claim falls into a non3
statutor# cate!or#< that should not preclude complete
eamination of the application for satisfaction of all otherconditions of patenta(ilit#. This classification is only an
initial findingat this point in the eamination process that
&ill (e a!ain assessed after the eamination for compliance &ith
1/"< 1/) and 11" is completed and (efore issuance of an#
Office action on the merits.
If the inention as set forth in the &ritten description
is statutor#< (ut the claims define su(4ect matter that is notuenc#uatel# define a specific computer memor#< the claim
must identif# a !eneral or specific memor# and the specificsoft&are &hich proides the functionalit# stored in the memor#.
A claim limited to a specific machine or manufactureuires one or more acts to (e performed
defines a process. Ho&eer< not all processes are statutor#
under 1/1. To (e statutor#< a claimed computer3related
process must either: 617 result in a ph#sical transformation
outside the computer for &hich a practical application in thetechnolo!ical arts is either disclosed in the specification or
&ould hae (een kno&n to a skilled artisan 6discussed in 6i7
(elo&7
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3 A method of curin! ru((er in a mold &hich relies upon
updatin! process parameters< usin! a computer processor to
determine a time period for curin! the ru((er< usin! the
computer processor to determine &hen the time period has (een
reached in the curin! process and then openin! the mold at thatsta!e.
3 A method of controllin! a mechanical ro(ot &hich relies
upon storin! data in a computer that represents arious t#pes of
mechanical moements of the ro(ot< usin! a computer processor to
calculate positionin! of the ro(ot in relation to !ien tasks to
(e performed (# the ro(ot< and controllin! the ro(ots moement
and position (ased on the calculated position.
- :anipulation of 'ata Representin, )/si"al O59e"ts or
A"tivities ;re-Computer ro"ess A"tivit/uires the
measurements of ph#sical o(4ects or actiities to (e transformed
outside of the computer into computer data
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difference (et&een a local alue at a data point and an aera!e
alue of the data in a re!ion surroundin! the point< and
displa#in! the difference as a !ra# scale for each point in the
ima!e< and displa#in! the resultin! ima!e. In this eample the
data is an intan!i(le representation of a ph#sical o(4ect< i.e.uired (# the mathematical operation
limitation.
;iii< ost-:at)emati"al Operation tep 0sin, olution or :erel/
Conve/in, Result of Operation
In some instances< certain kinds of post3solution EactsE
&ill not further limit a process claim (e#ond the performance of
the precedin! mathematical operation step een if the acts are
recited in the (od# of a claim. If< ho&eer< the claimed acts
represent some Esi!nificant useE of the solution< those acts
&ill inaria(l# impose an independent limitation on the claim.
A Esi!nificant useE is an# actiit# &hich is more than merel#
outputtin! the direct result of the mathematical operation.
Office personnel are reminded to rel# on the applicants
characteriFation of the si!nificance of the acts (ein! assessed
to resole >uestions related to their relationship to the
mathematical operations recited in the claim and the inention
as a &hole..2 Thus< if a claim re>uires that the direct result
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of a mathematical operation (e ealuated and transformed into
somethin! else< Office personnel cannot treat the su(se>uent
steps as (ein! indistinguishable from the performance of the
mathematical operation and thus not further limitin! on the
claim. 8or eample< acts that re>uire the conersion of aseries of num(ers representin! alues of a &aefunction e>uation
for a chemical compound into alues representin! an ima!e that
cone#s information a(out the three3dimensional structure of the
compound and the displa#in! of the three3dimensional structure
cannot (e treated as (ein! part of the mathematical operations.
Office personnel should (e especiall# careful &hen
reie&in! claim lan!ua!e that re>uires the performance of Epost3
solutionE steps to ensure that claim limitations are not
i!nored.
'amples of steps found not to independentl# limit a
process inolin! one or more mathematical operation steps
include:
3 step of Eupdatin! alarm limitsE found to constitute
chan!in! the num(er alue of a aria(le to represent the
result of the calculationG.3
3 final step of ma!neticall# recordin! the result of a
calculationG.6
3 final step of Ee>uatin!E the process outputs to the alues
of the last set of process inputs found to constitute
storin! the result of calculationsG17
3 final step of displa#in! result of a calculation Eas a
shade of !ra# rather than as simpl# a num(erE found to not
constitute distinct step &here the data &ere numerical
alues that did not represent an#thin!G1#and
3 step of Etransmittin! electrical si!nals representin!E the
result of calculations.1$
;e< :anipulation of A5stra"t Ideas (it)out a Claimed ra"ti"al
Appli"ation
A process that consists solel# of the manipulation of an
a(stract idea &ithout an# limitation to a practical application
is non3statutor#.1% Office personnel hae the (urden to
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esta(lish aprima faciecase that the claimed inention taken as
a &hole is directed to the manipulation of a(stract ideas
&ithout a practical application.
In order to determine &hether the claim is limited to apractical application of an a(stract idea< Office personnel must
anal#Fe the claim as a &hole< in li!ht of the specification< to
understand &hat su(4ect matter is (ein! manipulated and ho& it
is (ein! manipulated. Durin! this procedure< Office personnel
must ealuate an# statements of intended use or field of useuirements: 617 that the
claim6s7 set forth the su(4ect matter applicants re!ard as the
inention< and 6"7 that the claim6s7 particularl# point out and
distinctl# claim the inention. An application &ill (e
deficient under 11"< second para!raph &hen 617 eidence
includin! admissions< other than in the application as fileduirements of 11"< first
para!raph. The first para!raph contains three separate and
distinct re>uirements: 617 ade>uate &ritten descriptionuate to identif# &hat the applicant has
inented< or &hen the disclosure does not ena(le one skilled in
the art to make and use the inention as claimed &ithout undue
eperimentation. Deficiencies related to disclosure of the (est
mode for carr#in! out the claimed inention are not usuall#
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encountered durin! eamination of an application (ecause
eidence to support such a deficienc# is seldom in the record.
If deficiencies are discoered &ith respect to 11"uirement does not
satisf# the &ritten description re>uirement.11 8or the &ritten
description re>uirement< an applicants specification must
reasona(l# cone# to those skilled in the art that the applicant
&as in possession of the claimed inention as of the date ofinention. The claimed inention su(4ect matter need not (e
descri(ed literall#< i.e.< usin! the same terms< in order for
the disclosure to satisf# the description re>uirement.
$! Ena5lin, 'is"losure
An applicants specification must ena(le a person skilled
in the art to make and use the claimed inention &ithout undue
eperimentation. The fact that eperimentation is compleuisite
functionalit#< and< &here applica(le< interrelate the computer
&ith other elements to #ield the claimed inention< &ithout the
eercise of undue eperimentation. The specification should
disclose hoto confi!ure a computer to possess the re>uisite
functionalit# or hoto inte!rate the pro!rammed computer &ith
other elements of the inention< unless a skilled artisan &ould
kno& ho& to do so &ithout such disclosure.12
8or man# computer3related inentions< it is not unusual
for the claimed inention to inole more than one field of
technolo!#. 8or such inentions< the disclosure must satisf#
the ena(lement standard for each aspect of the inention.13 As
such< the disclosure must teach a person skilled in each art ho&
to make and use the releant aspect of the inention &ithout
undue eperimentation. 8or eample< to ena(le a claim to a
"=
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pro!rammed computer that determines and displa#s the three3
dimensional structure of a chemical compound< the disclosure must
3 ena(le a person skilled in the art of molecular modelin!
to understand and practice the underl#in! molecularmodelin! processesG and
3 ena(le a person skilled in the art of computer pro!rammin!
to create a pro!ram that directs a computer to create and
displa# the ima!e representin! the three3dimensional
structure of the compound.
In other &ords< the disclosure correspondin! to each aspect of
the inention must (e ena(lin! to a person skilled in each
respectie art.
In man# instances< an applicant &ill descri(e a pro!rammed
computer (# outlinin! the si!nificant elements of the pro!rammed
computer usin! a functional (lock dia!ram. Office personnel
should reie& the specification to ensure that alon! &ith the
functional (lock dia!ram the disclosure proides information
that ade>uatel# descri(es each EelementE in hard&are or hard&are
and its associated soft&are and ho& such elements are
interrelated.16
VI! 'etermine ()et)er t)e Claimed Invention Complies 4it)
%. 0!!C! 88 #7$ and #7%
As is the case for inentions in an# field of technolo!#uation can (e used< as a practical matteruation< formula< or
al!orithm hain! an# practical use &ould (e per se su(4ect to
patentin! as a EprocessE under 1/1. Consideration of
&hether the su(stitution of specific alues is enou!h to
conert the disem(odied ideas present in the formula into an
em(odiment of those ideas< or into an application of the
formula< is foreclosed (# the current state of the la&.
&. "ee supranote */.
&1 "ee+ e.g.< In re ernhart< *1= 8."d 1);-< 1*//< 1+) USP? +11