Foreword xxvii
Foreword to the First Edition xxix
Preface xxxi
Acknowledgments xxxv
Top Ten List of Intellectual Property Protection xxxvii
Section I The Intellectual Property Universe 1
Eli Whitney — The Cotton Gin 3
Charles Babbage — The Difference Engine 7
1 Overview of Intellectual Property Law 11
1.1 Defining “Intellectual Property” 11
1.2 Specific Intellectual Property Vehicles 12
1.2.1 Patents 12
1.2.2 Trademarks and Service Marks 13
1.2.3 Copyrights 14
1.2.4 Trade Secrets 15
1.2.5 Mask Works for Semiconductors 15
1.3 Which Form of Intellectual Property Protection to Use? 15
Frank J. Sprague — The Electric Streetcar 17
Mary Anderson — Windshield Wiper Blade 25
2 Brief Overview of the Law 29
2.1 Introduction 29
2.2 Development of the Law and Legal Principles 29
2.3 Divine Laws 30
2.4 The Four Types of Law 30
2.4.1 Constitutional Law 30
2.4.2 Statutory Law 31
2.4.3 Common Law 31
2.4.4 Business Custom 32
2.5 Civil Law Systems 32
2.6 Enforcement of Laws 33
2.7 Changes in the Law 33
2.8 Equity 33
2.9 U.S. Courts, State and Federal 35
2.10 The Federal Court System 36
2.10.1 The Supreme Court 36
2.10.2 Courts of Appeals 36
2.10.3 District Courts 37
2.11 State Courts 38
2.12 Jurisdiction 38
Section II Patents 41
Charles Goodyear — Vulcanization of Rubber 43
John Boyd Dunlop — Pneumatic Vehicle Tires 47
3 Introduction to Patents 51
3.1 Brief History of Patent Protection 51
3.1.1 Early European Patent Custom 51
3.1.2 The British Patent System 54
3.1.3 The U.S. Constitution and the Development of the Present U.S. Patent Examination System 55
3.2 Types of Patent Coverage 59
3.2.1 What is a Patent? 59
3.2.2 Article or Apparatus Patents 60
3.2.3 Method or Process Patents 60
3.2.4 Design Patents 61
3.2.5 Plant Patents 61
3.2.6 New Technologies 62
3.3 How to Determine What to Patent and What Not to Patent 62
3.3.1 Broadly, What Can and Cannot Be Patented Under the Law 62
3.3.2 From a Business Standpoint, What Should Be Patented 63
3.4 Broadly, What Data Goes into a Patent 64
3.4.1 Describing the Background and Essential Elements of the Invention 64
3.4.2 Claiming the Invention 65
3.5 What a Patent is Not 66
3.6 Inventions Relating to Atomic Weapons 67
3.7 The U.S. Government’s Right to Practice Your Patented Invention 68
George Westinghouse — Steam‐Power Brake Devices and Alternating Current 69
Gideon Sundback — Zipper 73
4 Introductory Comments on Patentable Subject Matter and Utility 77
4.1 What Constitutes Patentable Subject Matter? 77
4.2 Utility — The Invention Must Be Useful 80
John Deere — Horse‐Drawn Plow 83
Erastus Brigham Bigelow — Powered Carpet‐Making Looms 87
5 Novelty—The Invention Must Be New 91
5.1 Statutory Requirements 91
5.2 Preliminary Comments on Protecting Foreign Patent Rights 95
5.3 Additional Comments on Experimental Use Versus Actual Use of the Invention 96
Alfred Nobel — Dynamite 99
6 Requirement of Non‐Obviousness for Patentability 107
6.1 Development of the Standard of Non‐Obviousness 107
6.2 Historical Background 107
6.3 Supreme Court Cases Predating the 1952 Patent Law Section 103 Non‐Obviousness Test 109
6.4 The 1952 Patent Statute and the Case of Graham V. John Deere Company (1966) 113
6.5 The 2007 U.S. Supreme Court Case of KSR V. Teleflex 116
6.6 Illustrative Non‐Obviousness Analysis 117
Louis Pasteur — Pasteurization Process 119
Elisha Otis — Safety Elevator 125
7 The Patenting Process 129
7.1 Who May Obtain a Patent: Inventorship and Ownership of Patent Rights 129
7.2 Proper Documentation of the Invention 130
7.3 The Invention Disclosure, and the Invention Disclosure Meeting 132
7.4 Additional Matters Discussed During the Invention Disclosure Meeting Between the Inventor and the Patent Professional 137
7.5 Invention Disclosure Form 140
Alexander Graham Bell — Telephone 145
8 The Patentability Search, Freedom‐To‐Use Search, and Other Searches 155
8.1 Searching the Content of the Prior Art to Determine Patentability of the Invention 155
8.2 Patentabilty Search Parameters 156
8.3 Additional Types of Searches 157
8.4 Database Searches 159
8.5 U.S. Patent and Trademark Office Patent Classification System 159
Thomas Alva Edison — The Light Bulb 161
9 The Patent Application 169
9.1 Introduction 169
9.2 Registration System Evolving into an Examination System 169
9.3 Goal of a Properly Prepared Patent Application 170
9.4 Provisional Patent Applications 171
9.5 Regular, Non‐Provisional Patent Application; No New Matter 172
9.6 Content of a Regular Non‐Provisional Patent Application 172
9.7 Your Review of the Patent Application 177
9.8 Execution of the Declaration, Power of Attorney, and Assignment Upon Completion of the Patent Application 178
George Eastman — Practical Photography 181
Emile Berliner — Disc Sound Recording 185
10 Claims of a Patent Application 193
10.1 Introduction to Patent Claims 193
10.2 Historical Development of Patent Claims 193
10.3 What Claims Are 195
10.4 Your Review of the Claims of Your Patent Application 197
10.5 Distinguishing Different Types of Claims 198
10.6 More on Method or Process Claims 200
10.7 Composition of Matter Claims 201
10.8 Design Patent Claim 201
10.9 Dependent Claims 201
10.10 How to Read and Understand Patent Claims Drafted by Your patent attorney 202
Ottmar Mergenthaler — The Linotype® Hot‐Type Composing Machine 205
Theodore Maiman and Gordon Gould — Light Amplification by Stimulated Emission of Radiation (Laser) 209
11 Examination and Prosecution of a Patent Application 221
11.1 U.S. Patent Examination Process 221
11.2 The Patent Examination System–A Little More History 221
11.3 Filing the Patent Application With the USPTO 222
11.4 Examination of the Patent Application 223
11.5 Results of the Examination–The “Office Action” 224
11.6 You and Your Attorney’s Response to the office Action 225
11.7 Further Patent Prosecution 228
11.8 Granting the Patent 228
11.9 Infringement During Examination of the Patent Application 229
11.10 Additional Probable Patent Prosecution Events 230
11.11 Re‐Examination of an Issued Patent by the Applicant, the Infringer, or the Commissioner of Patents 233
11.12 Re‐Issue Patents 233
Nicolaus Otto — The Internal Combustion Engine 235
Rudolf Diesel — The Internal Combustion Engine 239
12 Design Patents 245
12.1 Coverage of Design Patents 245
12.2 The Design Patent Application 246
12.3 Infringement of a Design Patent 247
12.4 Importance of Design Patents 250
12.5 Examples of Design Patents 251
12.6 Design Patents on Computer Screen Icons 251
12.7 Design Patents Contrasted with Copyrights 252
12.8 Damages For Design Patent Infringement 253
12.9 The Hague Agreement Concerning the International Deposit of Industrial Designs (The Hague System) 254
Nikola Tesla — AC Induction Motor and Radio 259
Clarence Birdseye — Frozen Food 271
13 Protection of Computer‐Related Inventions 275
13.1 Introduction 275
13.2 The Torturous Path Through the Courts 276
13.3 Recent Court Decisions and USPTO Guidelines Attempting to Define Patent‐Eligible Subject Matter Regarding Computer‐Related Inventions 282
13.4 The USPTO Examination Process to Determine Subject Matter Eligibility of a Computer‐Related Invention 292
13.5 Recommended Steps to Obtain Proper Protection of Computer‐Related Inventions 294
Covering a Computer‐Related Invention 294
13.6. Statutory Subject Matter 303
13.7 The Computer‐Related Invention Must Still Be Novel and Non‐Obvious 307
13.8 Computer Programming and a Sufficient Disclosure 308
13.9 The Protection of Software Through Contracts 312
13.10 Patent Eligibility of Software and Computer‐Related Inventions in Europe 312
Hedy Lamarr — Spread Spectrum Technology 325
Herman Hollerith — Tabulating Machine 329
14 Biotechnology Inventions 333
14.1 Introduction to Biotechnology 333
14.2 History of Biotechnology Patent Protection 334
14.3 Patent‐Eligible Subject Matter and Biotechnology 336
14.4 Biotechnology and the Written Description Requirement 338
14.5 Biotechnology and Patent Exhaustion 340
14.6 Biotechnology and Government Regulation 341
14.7 Pharmaceutical Patent Strategies 343
14.8 Medical Procedures 344
Rosalind Franklin, James Watson, Francis Crick, and Maurice Wilkins — Discovery of the Molecular Structure of DNa 347
Stanley N. Cohen and Herbert W. Boyer — Recombinant‐Dna (rDNA)* 353
15 The Patenting of Business Methods 357
15.1 The Evolution of Patents For Methods of Doing Business 357
15.2 The State Street Case 359
15.3 The Bilski Case 360
15.4 What is a Business Method Invention? 361
15.5 The USPTO Guidelines 362
15.6 Recommendations 364
15.7 Understanding a Sample Business Method Patent Claim 365
15.8 The Covered Business Method Review 366
Yvonne Brill — Satellite Propulsion System 371
Luther Burbank — Plant Breeding 375
16 Foreign Patent Protection 379
16.1 Introduction 379
16.2 The Traditional System of Obtaining Foreign Patents 380
16.3 The Patent Cooperation Treaty (PCT) 381
16.4 N ational Patent Laws and the PCT: Differences and Alterations 386
16.5 The EPC 387
16.6 The European Unitary Patent and Unified Patent Court 388
16.7 Privileged Communications Between a U.S. patent
attorney and a Foreign Non‐Attorney Patent Agent 389
Wilbur and Orville Wright — Controlled Powered Flight 391
17 Enforcement of the Patent Right 399
17.1 The Patent Clearance Process 399
17.2 The Attempt to Design Around the Claims of a Patent: Most Infringers Do Not Slavishly Copy the Patented Invention 402
17.3 Literal Infringement of a Patent Claim 403
17.4 The “Doctrine of Equivalents” Where the Claim is Not Literally Infringed 405
17.5 Defenses to a Charge of Infringement 406
17.6 Penalties and Damages For Patent Infringement 408
17.7 Marking the Patented Product With the Patent Number 409
Robert Goddard — Rocket Propulsion and Control 411
C. Donald Bateman — Ground Proximity Warning System 417
18 The America Invents Act of 2011 421
18.1 First to File and the Definition of “Prior Art” 421
18.2 The Narrowed Grace Period 422
18.3 Disclosing the Best Mode of the Invention 422
18.4 Prior User Defense in Enforcement Proceedings 423
18.5 Patent Marking 423
18.6 Filing a Patent Application in the Name of the Assignee 424
18.7 Priority Examination For Important Technologies 424
18.8 Third‐Party Challenges to Patent Rights 424
18.9 Inter‐Partes Review of an Issued Patent 426
18.10 Supplemental Examination 427
Charles Kettering — Automotive Self‐Starter 429
Calvin Souther Fuller, Gerald Pearson and Daryl Chapin — Efficient Solar Cells 435
19 Ownership and Transfer of Patent Rights 439
19.1 Inventorship, Ownership, and Assignment of Patent Rights 439
19.2 Patent Licensing 441
19.3 Conclusions 453
Philo Farnsworth — The Invention of Television 455
Robert Adler — Ultrasound Television Remote Control 469
20 How to Read and Obtain Information from a Modern U.S. Patent 473
20.1 The Information Page 473
20.2 The Drawings 491
20.3 The Specification 491
20.4 Claims 492
20.5 Caveat 492
Section III Employment Contracts, Ethics and the Engineer or Scientist as an Expert Witness 495
Willis Haviland Carrier — Air‐Conditioning 497
Ivan A. Getting, Roger L. Easton, Sr. and Bradford Parkinson — Global Positioning System (GPS) 503
21 Employment Contracts and Non‐Compete Restrictions 509
21.1 Employment Contract Provisions Relating to Intellectual Property 509
21.2 Ownership of Intellectual Property 510
21.3 Confidentiality Agreements or Nondisclosure Agreements 512
21.4 Outside Information Received by the Employee or Employer 514
21.5 Non‐Compete Provisions 515
21.6 Enforceability of a Non‐Compete Agreement 516
21.7 Inevitable Disclosure 519
21.8 Form Agreements 519
21.9 Consultants 519
Grace Hopper — Cobol Computer Language 527
The Hubble Space Telescope 529
22 The Engineer and Scientist as Expert Witness 533
22.1 The Role of an Expert Witness 533
John Bardeen, Walter Brattain, and William Shockley — The Transistor 541
23 Ethics 549
23.1 The Professions 549
23.2 Professional Societies 550
23.3 Codes of Ethics 550
23.4 Brief Comments Regarding the Nspe Code of Ethics for Engineers 551
23.5 Comparing the Law and Ethics 552
23.6 Ethical Dilemmas 553
Section IV Copyrights 555
Jack Kilby and Robert Noyce — Miniaturized Integrated Circuits 557
24 Copyrights as a Vehicle for Technology Protection 563
24.1 A Brief History of Copyright Law 563
24.2 The Nature of Copyrights 566
24.3 Exclusive Rights of Copyright 569
24.4 Fair Use 570
24.5 Infringement of a Copyright 571
24.6 Notice 572
24.7 Copyright Registration and its Importance 572
24.8 The Duration of Intangible Rights of Copyright 573
24.9 Works Made For Hire 574
24.10 Copyright Registration For Computer Programs 575
24.11 Copyright Registration For Automated Databases 579
24.12 Copyright Registration For Online Works 580
24.13 Architectural Works 581
Federico Faggin, Marcian Hoff, and Stanley Mazor — Single‐Chip CPU 585
Josephine Cochrane — Automatic Dishwasher 589
25 The Digital Millennium Copyright Act of 1998 (DMCA)—An Overview 593
25.1 Purpose of the DMCA 593
25.2 The General Provisions of the DMCA 594
25.3 Circumvention of Technological Protection Measures 595
25.4 Limitations on Copyright Infringement Liability for Online Service Providers 599
25.5 Copyright Management Information 601
25.6 Remedies for DMCA Violations 601
25.7 Example of Potential Conflict 601
Stephen Wozniak — Personal Computers 603
Jaap Haartsen and Sven Mattisson — Bluetooth®‐Short Distance Wireless Communication Systems 607
26 Mask Work Protection 611
26.1 Introduction 611
26.2 The Semiconductor Chip Protection Act of 1984 611
26.3 Mask Works Generally 612
26.4 Subject Matter of Mask Work Protection 613
26.5 Ownership, Transfer, and Licensing of the Mask Work 613
26.6 Duration of Protection 613
26.7 Rights of Ownership in a Mask Work 613
26.8 Limitations on Exclusive Rights, Reverse Engineering, and First Sale 614
26.9 Mask Work Notice 614
26.10 Infringement of Mask Work Protection Rights 614
26.11 General Comments About Mask Work Protection 614
Section V Trade Secrets 617
Stephanie Kwolek — Kevlar® 619
Percy Julian — The Synthesis of Cortisone 623
27 Trade Secrets Protection 627
27.1 The Development of Trade Secret Law 627
27.2 The Nature of a Trade Secret 628
27.3 The Definition of a “Trade Secret” 629
27.4 The Creation of an Enforceable Trade Secret Right 630
27.5 Even Threatened Trade Secret Theft Can Be Stopped 632
27.6 Creating a Viable Trade Secret Protection Program 633
27.7 Damages and Injunctions 636
27.8 Confidence 636
27.9 Can Trade Secrets, After Use, Be Patented? 637
Chester F. Carlson — Electrophotography 639
28 The Federal Defend Trade Secrets Act of 2016 647
28.1 Introduction 647
28.2 Civil Seizure 647
28.3 Remedies 650
28.4 Rights of Trade Secret Owners 651
28.5 Whistle‐Blower Provisions 652
Section VI Trademarks, Service Marks and Cybersquatting 653
Samuel E. Blum, Rangaswamy Srinivasan, and James Wynne — Excimer Laser Surgery (Lasik) 655
29 Trademarks and Service Marks 659
29.1 Origins of the Protection of Trademarks and Service Marks 659
29.2 Trademark Selection and Adoption Process 661
29.3 Filing For Registration of Your Trademark 665
29.4 Protecting and Maintaining Your Trademark Registration 666
29.5 Trademark Protection Outside the United States 666
29.6 The Madrid Protocol—The “International” Trademark—An Overview 668
John Mauchly and John Presper Eckert — The Eniac Computer 669
30 Cybersquatting 681
30.1 What is Cybersquatting? 681
30.2 The UDRP 682
30.3 The Anticybersquatting Consumer Protect Act (ACPA) 687
Section VII The Commercialization and Management of Intellectual Property 691
George de Mestral — Hook‐And‐Loop Fastener (Velcro®) 693
John A. Roebling — Suspension Bridges 697
31 Engineering Management and Commercialization of Intellectual Property 701
31.1 Introduction 701
31.2 Introduction to Intellectual Property Business Strategies 707
31.3 Objectives of Intellectual Property Management 708
31.4 The Sole Inventor in an Alien Field 709
31.5 Strategic Development of Intellectual Property 711
31.6 Disgorging Patentable Inventions 712
31.7 Determining What and What Not to Patent 713
31.8 Determining Who Would Be an Appropriate Licensee for Your Invention 720
31.9 Drafting Strategic Patent Claims 721
31.10 Determining Where to Obtain Patents 721
31.11 Determining Other Industries That May Benefit From a License 722
31.12 Ensuring Your Product or Process Does Not Violate the Patent Rights of Others 722
31.13 Policing the Market For Potential Infringements of Your Patents 723
31.14 The Enforcement of Process Patent Claims Against an Importer of a Foreign‐Made Product 723
31.15 Trimming the Intellectual Property Tree 724
31.16 Essay on Innovation Management 724
Les Paul — Solid Body Electric Guitar 727
32 “Sue the Bastards”—Business Factors Controlling Intellectual Property Litigation Strategies 731
32.1 Introduction to Intellectual Property Litigation Strategies and Tactics 731
32.2 The Dawn of an IP Rights Infringement Lawsuit 731
32.3 Litigation Considerations in IP Rights Enforcement 734
32.4 Conclusion 761
Igor Sikorsky — Helicopter 763
Frank Zamboni — Ice Resurfacer 769
33 Technology Transfer—Universities, Hospitals, and Research Centers 773
33.1 Introduction 773
33.2 Ownership of Institution‐Developed Innovations 774
33.3 A Typical University Technology Transfer Program 777
Ferdinand von Zeppelin — Rigid Airships 785
Bernard Silver and Norman Joseph Woodland — Optically Scanned Bar Code 789
34 International Intellectual Property Creation, Protection, and Enforcement Strategies 793
34.1 Introduction 793
34.2 IP Creation Strategies to Maximize Global IP Protection 794
34.3 Legal Considerations Regarding Where to Obtain IP Protection 797
34.4 Marketing and Business Concerns 799
34.5 N on‐Paris Convention and Non‐PCT Country Patent Protection 800
34.6 Filing a PCT Patent Application First 801
34.7 Joint Venture Relationships 801
34.8 Forming a Joint Venture Based on IP 804
Godfrey Hounsfield and Allan Cormack — CAT Scanner 807
Paul Lauterbur and Peter Mansfield — Magnetic Resonance Imaging 811
35 The Future 815
35.1 Rational Thought Applied to Problem Solving 815
35.2 What Investors Will Look For in the Future Relative to Intellectual Property 816
35.3 Developing Countries 822
35.4 University Technology Transfer 824
35.5 Master of Engineering Management Degrees At U.S. Universities 825
35.6 Conclusion 826
Harry Coover — Super Glue® 829
Spencer Silver — Post‐IT® Notes 833
36 Entrepreneurship Law 839
36.1 Introduction 839
36.2 Transition from Employee to Employer 840
36.3 O rganizing the New Business 843
36.4 Intellectual Property Assets 846
36.5 Financing 846
36.6 E mployment Law 849
36.7 Financial Statements 852
36.8 Recommendation and Acknowledgment 854
37 Current Events 857
37.1 AC Versus DC 857
Bibliography 865
Index 897
