What are the Legal Implications of a §44(e) Foreign-Based U.S. Trademark Registration?

February 24, 2010

Obtaining a U.S. trademark registration based on a foreign registration under §44(e) has its benefits, but what happens after the U.S. registration is obtained? Is the validity and/or status of the U.S. registration tied to the foreign registration? Is the foreign-based U.S. registration subject to the same provisions that apply to all other U.S. registrations? As a Florida Trademark Lawyer, I am often asked these questions by savvy clients seeking U.S. trademark protection for their foreign trademark registrations.
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We all know there are benefits to filing a U.S. trademark application under §44(e) claiming priority to a foreign registration. The main benefits include not having to show use in the U.S. or having to provide a specimen. TMEP §1009 states that "Although §44 applicants must assert a bona fide intention to use the mark in commerce, §44 applicants do not have to allege use or provide specimens or dates of use prior to registration on either the Principal or Supplemental Register in an application based solely on §44. Crocker National Bank v. Canadian Imperial Bank of Commerce, 223 USPQ 909 (TTAB 1984)." That is a load off for a busy trademark attorney.

But what happens after the U.S. registration is issued? TMEP §1015 states that once issued, the United States registration issuing from a §44 application exists independent of the underlying foreign registration and is subject to all provisions of the Trademark Act that apply to all other registrations, such as affidavits of use, renewals, amendments under 15 U.S.C. §1057(e), assignments, and similar matters. 15 U.S.C. §1126(f). See Imperial Tobacco Ltd. v. Philip Morris, Inc., 899 F.2d 1575, 14 USPQ2d 1390 (Fed. Cir. 1990); Exxon Corp. v. Oxon Italia S.p.A., 219 USPQ 907 (TTAB 1982); Reynolds Televator Corp. v. Pfeffer, 173 USPQ 437 (TTAB 1972); Sinclair v. Deb Chemical Proprietaries Ltd., 137 USPQ 161 (TTAB 1963). Therefore, the validity and/or status of the U.S. registration IS NOT tied to the foreign registration and the foreign-based U.S. registration IS subject to the same provisions that apply to all other U.S. registrations. Thus, the foreign-based U.S. registration must continue to be used properly in order to avoid abandonment. Further, the U.S. registration must be renewed with the U.S. Patent and Trademark Office according to the same schedule as domestic-based U.S. registrations, in order to maintain is good standing with the Trademark Office. Further, the same rules pertaining to amendments, assignments and cancellations apply to foreign-based U.S. registration.

In summary, filing a U.S. trademark application under §44(e) claiming priority to a foreign registration affords you certain privileges during trademark prosecution. But once the U.S. registration is issued, the privileges have ended and the registration is treated like any other U.S. registration.

Amending Patent Claims After Allowance Under 37 CFR §1.312

February 23, 2010

As a Miami Patent Attorney with an active patent prosecution docket, I feel as if I've encountered every possible patent prosecution situation out there. But I was recently faced with a situation I had not previously encountered.

At issue was my client's patent application for project management software. The Examiner at the U.S. Patent and Trademark Office called me to ask if I would agree to an Examiner's Amendment, to which I agreed. Subsequently, the Examiner issues an Examiner's Amendment and a Notice of Allowance all at once. But after reviewing the Examiner's Amendment, I noticed there were a few minor typos in the Examiner's amended claims: a space, a semi-colon and the article "a" were missing from a phrase in the claims. Previously, the only method I had used to amend claims after Allowance was to file a Continuation or a Request for Continued Examination and then clear up the claims in the new application. After doing some research in the Manual for Patent Examining Procedure (MPEP), however, I found that although the aforementioned approaches are adequate in cases where substantive amendments must be made to the claims, there is a much simpler and easier method for making minor claim amendments after Allowance.

MPEP §714.16 states that "[T]he primary examiner ... has authority to enter amendments submitted after Notice of Allowance of an application which embody merely the correction of ... formal matters in a claim without changing the scope thereof, ... without forwarding to the supervisory patent examiner for approval." MPEP §714.16 further states that "where amendments of the type noted are shown ... to require no substantial amount of additional work on the part of the Office, they may be considered and, if proper, entry may be recommended by the primary examiner."

In this case, I simply filed an Amendment After Allowance Under 37 CFR §1.312 and added a semi-colon, the word "a" and a space to certain claims, which does not change the scope of the claims and which required no substantial amount of additional work on the part of the Office. Thus, the Examiner entered my amendment and the patent was issued with no appreciable delay. This illustrates a good tool that should be placed in every patent practitioner's toolbox.

Board of Patent Appeals Rejects Key SONY Invention under 35 U.S.C. 112, 1st Para.

February 18, 2010

In its first decision of today, the Board of Patent Appeals and Interferences (BPAI) affirmed a Patent Examiner's 35 U.S.C. sec. 112, first paragraph, rejection of a key Sony Corp. invention. As a Patent Attorney practicing in Miami, Florida, this case was interesting because it illustrated how a 35 U.S.C. sec. 112, first paragraph, rejection can be upheld on appeal.
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Sony's invention was a heat-sink apparatus for computer or camera microprocessors. At issue was the disclosure in the specification of a single glass with a substrate bonded to it. The specification also disclosed "a main body with a plurality of substrates bonded together." Representative claim 11 recited a first glass with a first substrate and a second glass with a second substrate. The Examiner rejected claim 11 under 35 U.S.C. sec. 112, first paragraph, arguing the written description did not disclose the second glass with the second substrate.

As the BPAI stated: "Appellants appear to argue that because the original Specification describes bonding a plurality of substrates where the base material is silicon or glass, then it must follow that the original Specification also describes bonding a 'plurality of glass substrates,' i.e., a first glass substrate and a second glass substrate."

The BPAI decided against the Appellants, stating: "We agree with the Examiner that the Specification discloses a device that is composed of only a glass substrate and a silicon substrate ... The Specification conveys with reasonable clarity to a person of ordinary skill in the art only that the claimed micro heat-transport device includes a silicon substrate ... and a glass substrate ... Just because Appellants' Specification describes bonding a plurality of substrates of glass or silicon, we do not find that this by itself, without more, conveys with reasonable clarity to a person of ordinary skill in the art bonding a plurality of glass substrates. To follow Appellants' logic would mean that the Specification also describes bonding a plurality of silicon substrates. We do not find that Appellants' Specification conveys with reasonable clarity such embodiments, i.e., bonding a plurality of glass substrates or a plurality of silicon substrates. Rather, the Specification conveys with reasonable clarity only bonding a glass substrate and a silicon substrate."

The lesson learned here is the criteria for meeting the written description requirement: conveying with reasonable clarity to a POSITA. To satisfy the written description requirement, the disclosure must convey with reasonable clarity to skilled artisans that the Appellants were in possession of the claimed invention as of the filing date. Vas-Cath Inc. v. Mahurkar, 935 F.2d 1555, 1563-64 (Fed. Cir. 1991). Thus, when writing your written description, be careful to make a list of all embodiments you are or may be claiming in the future, and make sure it is disclosed with reasonable clarity to a POSITA.

How to Reverse a 35 U.S.C. 112, 1st Para., Rejection on Appeal

February 15, 2010

In this past Friday's decision in Ex parte Bass, the Board of Patent Appeals and Interferences (BPAI) reversed a Patent Examiner's 35 U.S.C. sec. 112, first paragraph, rejection. As a Patent Lawyer practicing in Miami, Florida, this case was interesting because it illustrated how a 35 U.S.C. sec. 112, first paragraph, rejection can be reversed on appeal.
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Agilent Technologies' patent claim was directed to an apparatus for preparing an array of chemical compounds on a surface. Representative claims 1 recited a gap between two surfaces, wherein the width of the gap was sufficient for gas to flow along the gap so as to create an aerodynamic seal between the two surfaces. Appellant's specification did not describe the dimensions of the gap sufficient to create an aerodynamic seal. The Examiner's position on the 35 U.S.C. sec. 112, first paragraph, rejection was that the Appellant did not provide written descriptive support for the gap. The BPAI disagreed.

First, the Examiner must provide an adequate showing regarding persons skilled in the art. The Examiner has the initial burden of presenting evidence or reasoning to explain why persons skilled in the art would not recognize in the original disclosure a description of the invention defined by the claims. In re Wertheim, 541 F.2d 257, 263 (CCPA 1976). The Examiner provided no such argument - he simply argued that Appellant did not describe a gap width sufficient for forming an aerodynamic seal. The Examiner provided no evidentiary support and provided no reasoning regarding POSITA. The lack of the required showing weighed against the Examiner's rejection.

Second, the Examiner erred in concluding that Appellant did not provide written descriptive support for the gap. "In order to satisfy the written description requirement, the disclosure as originally filed does not have to provide in haec verba support for the claimed subject matter at issue." Purdue Pharma L.P. v. Faulding Inc., 230 F.3d 1320, 1323 (Fed. Cir. 2000). A disclosure provides adequate written description if it conveys with reasonable clarity to those skilled in the art that the inventor was in possession of the invention. See id. Although the Appellant didn't explicitly state the dimensions of the gap, there was enough written descriptive support surrounding the gap to adequately describe it. Specifically, the BPAI stated: "As Appellants' Specification discloses an aerodynamic seal between two elements is realized by introducing a gas into the gap between the two elements and that the pressure of the gas introduced into the gap is dependent upon, inter alia, the size of the gap." Thus, the disclosure that the gap depended on another attribute, was at least enough to describe the gap to comply with 35 U.S.C. sec. 112, first paragraph.

The moral of the story here is that an Examiner's 35 U.S.C. sec. 112, first paragraph, rejection must be closely reviewed to make sure that he provides an adequate showing regarding persons skilled in the art and/or evidentiary support for this argument. Further, the rejection should not rest on the argument that the specification does not explicitly define or describe an attribute, since "the disclosure as originally filed does not have to provide in haec verba support for the claimed subject matter at issue."

Board of Patent Appeals Says It's a Not-So-New Benefit of an Old Process

February 11, 2010

Yesterday, the Board of Patent Appeals and Interferences (BPAI) affirmed a Patent Examiner's anticipation rejection, citing the Applicant's attempt to claim a new benefit of an old process. As a Miami Patent Attorney that handles anticipation rejections on a weekly basis, Ex parte Satoshi Matsubara, et al. is an interesting case because it illustrates the law surrounding the concepts of inherency and claiming a new use or benefit of a prior art process.
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At issue were claims involving a therapeutic method for improving bone density of a human or animal having decreased bone density by administering fermented soy milk. The Patent Examiner rejected representative independent claim 17 under 35 U.S.C. §102(b) as being anticipated by an academic paper by Kikuchi-Hayakawa. The Examiner found that Kikuchi-Hayakawa disclosed administering fermented soy milk to rats with removed ovaries. Since ovariectomized rats have decreased bone densities, and soy milk increases bone density in rats, the Examiner concluded that Kikuchi-Hayakawa disclosed administering fermented soy milk to rats to improve their decreased bone densities. The Appellants, however, argued the rats of Kikuchi-Hayakawa were not selected for their decreased bone densities but for other reasons (to determine the effects of soy milk on lipid metabolism), and therefore Kikuchi-Hayakawa did not disclose every element of claim 17.

The BPAI held that Appellants' argument - Kikuchi-Hayakawa's rats were not selected for their decreased bone densities but for other reasons - was not persuasive. Specifically, the BPAI stated: "Appellants have not identified any manipulative difference between Kikuchi-Hayakawa's method and the claimed method ... the claimed method 'is inherent and in the public domain if it is the 'natural result flowing from' the explicit disclosure of the prior art regardless of whether the inherent result is recognized." Perricone v. Medicis Pharm. Corp., 432 F.3d 1368, 1377 (Fed. Cir. 2005). And because a 35 U.S.C. §102(b) prior art reference may disclose a limitation inherently, claim 17 was anticipated by Kikuchi-Hayakawa. In re Schreiber, 128 F.3d 1473, 1477 (Fed. Cir. 1997). "To anticipate a claim, a prior art reference must disclose every limitation of the claimed invention, either explicitly or inherently." Thus, the BPAI affirmed the Examiner's 35 U.S.C. §102(b) rejection of claim 17.

What I found particularly interesting about Ex parte Satoshi Matsubara, et al. was the BPAI's apparent disregard for the claim element "selecting a human or animal having a tendency toward a decrease in bone density." Sure, the prior art disclosed selecting ovariectomized rats, which happened to have decreased bone densities. But the prior art didn't disclose selecting rats because they had decreased bone densities. The decreased bone densities of the rats in the prior art were a serendipitous (for the Patent Examiner) byproduct of the actual reason they were selected - because they were ovariectomized.

For patent practitioners, the educational aspect of this case rests in the classification of a claimed invention as novel, as opposed to an old process. Beware of an Examiner's determination that your claimed process is old or well-known. Further, be wary of an Examiner's finding that your claimed new benefit naturally flows from the allegedly old process. These findings, if not properly rebutted, will hurt your chances of a reversal on appeal.

When Can a Patent-Related Letter Spawn a Declaratory Judgment Action?

February 10, 2010

As a Miami Patent Lawyer specializing in intellectual property issues, I frequently host clients who tell me their patent is being infringed upon. What kinds of letters can I send out to infringers without worrying about a declaratory judgment action in their forum? The Federal Circuit chimed in on this issue this past December and it has (at least somewhat) changed the rules of the game.
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The Federal Circuit case of Hewlett-Packard Co. v. Acceleron, LLC involved a letter that patent-holder Acceleron sent to an alleged infringer, Hewlett-Packard. The letter didn't say much. In short, the letter brought an Acceleron patent to the attention of HP, requested a dialogue between the parties and requested a confirmation that no "case or controversy" existed at the moment. After a few more letters back and forth, HP filed a declaratory action. Acceleron claimed there was no "case or controversy" since they didn't threaten to sue or even claim that HP was infringing the patent.

The Federal Circuit disagreed. The court held the following factors weighed in favor of a finding of a "case or controversy:" 1) Acceleron stated in the letter the patent was relevant to HP's product(s), 2) Acceleron imposed a short deadline for responding to the letter, 3) Acceleron insisted that HP not file suit and 4) Acceleron was a non-competitor patent holding company." The court held it could be reasonably inferred from this conduct that an intent to enforce a patent was demonstrated.

It should be noted the Federal Circuit did state the following about what doesn't constitute grounds for a declaratory judgment action: "a communication from a patent owner to another party, merely identifying its patent and the other party's product line, without more, cannot establish adverse legal interests between the parties, let alone the existence of a 'definite and concrete' dispute. More is required to establish declaratory judgment jurisdiction."

Most noteworthy, however, was a comment by the court that "Our decision in this case no doubtedly marks a shift from past declaratory judgment cases." This tells me that the standard has changed, and in this case the standard for declaratory judgment jurisdiction has been relaxed.

What I learned from this case is that you must be careful when drafting a letter from a patent-holder to an alleged infringer. Review the letter in light of the factors considered by the court above to make sure they don't weigh in favor of declaratory judgment jurisdiction. In fact, in order to avoid declaratory judgment jurisdiction, I recommend sticking to exactly what the court stated doesn't constitute grounds for a declaratory judgment action, namely: "a communication from a patent owner to another party, merely identifying its patent and the other party's product line."

Photographer Sued Over Photo of Statue: Copyright Infringement?

February 9, 2010

In 2008, photographer Mike Hipple took a photo of a famous sculpture by Jack Mackie in Seattle. The photo at issue (see it here) was sold to a stock photo company subsequently used in its for-pay catalog. As a Miami Copyright Attorney, this case interests me because it brings up subtle copyright issues.
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This not an issue of direct copyright infringement. The copyright in the sculpture is directed to a 3D work of art. The photographer did not make a 3D copy of the sculpture. Instead, the photographer made a 2D derivative work of the sculpture. Thus, if there is any infringement it is infringement of the right to make derivative works.

The Copyright Act defines "derivative work" in 17 U.S.C. § 101: "a "derivative work" is a work based upon one or more pre-existing works, such as a translation, musical arrangement, dramatization, fictionalization, motion picture version, sound recording, art reproduction, abridgment, condensation, or any other form in which a work may be recast, transformed, or adapted." Thus, the Hipple work is clearly a derivative work of the Mackie sculpture.

17 U.S.C. § 106 provides: "the owner of copyright under this title has the exclusive rights to do and to authorize any of the following: ... (2) to prepare derivative works based upon the copyrighted work." Thus, the Hipple work clearly infringes upon Mackie exclusive right to make a derivative work of the Mackie sculpture.

The copyright to the photo at issue, however, is owned by Hipple. But there is the issue of how much of the derivative work was created (and thereby owned) by Mackie and how much was created (and thereby owned) by Hipple. 17 U.S.C. § 103(b) provides:"The copyright in a compilation or derivative work extends only to the material contributed by the author of such work, as distinguished from the preexisting material employed in the work, and does not imply any exclusive right in the preexisting material." Thus, it behooves the parties in this suit to do an analysis to determine how much of the photo was seemingly created by Mackie and how much by Hipple, in his choice of lighting, composition, angle, etc.

The moral of this story is that artists, especially photographers, must be careful when creating works, or photos, based on the works of others, when those works will be used for financial gain. To avoid legal problems, one should ask permission from the owner of the work.

Board of Patent Appeals Decides on Issues of Hindsight and Design Choice

February 8, 2010

Last week, the Board of Patent Appeals and Interferences (BPAI) reversed a Patent Examiner on the issues of hindsight and design choice. As a Florida Patent Attorney with a great interest in the case law surrounding patent prosecution, I enjoyed reading this case because the BPAI used legal citations not familiar to me.

On the issue of hindsight, the BPAI decision stated: "Examiner has the initial duty of supplying the requisite factual basis and may not, because of doubts that the invention is patentable, resort to speculation, unfounded assumptions or hindsight reconstruction to supply deficiencies in the factual basis. See In re Warner, 379 F.2d 1011, 1017 (CCPA 1967)."

The BPAI had this to say about the Examiner's reasoning for his 35 U.S.C. 103(a) rejection: "the Examiner does not cogently explain how to modify Weisz's return air inlet with Lough's teaching of an adjustable damper... it can be important to identify a reason that would have prompted a person of ordinary skill in the relevant field to combine the elements in the way the claimed new invention does. KSR Int'l., 550 U.S. at 418 ... the conclusion of obviousness appears born from the use of impermissible hindsight reconstruction in view of Appellants' Specification.""

The practice pointer taught by the above is twofold. First, be wary of an Examiner who does not adequately explain how to modify one reference with the teaching of another. Second, note when an Examiner does not identify a reason that would have prompted a POSITA to combine two references. Both of these Examiner errors are grounds for a reversal of a 35 U.S.C. 103(a) rejection.

With regard to the Examiner's faulty finding of "obvious design choice," the BPAI said this: "To support a conclusion that a claim is directed to obvious subject matter... an Examiner must present a "convincing line of reasoning' as to why one of ordinary skill in the art would have found the claimed invention to have been obvious. Ex parte Clapp, 227 USPQ 972, 973 (BPAI 1985). When determining whether a rejection based on design choice is appropriate, the Examiner must review the Specification and ascertain if the limitation in question is disclosed as serving any advantage or particular purpose, or whether it solves a stated problem. The Examiner also should explain the reasoning used to determine that the prior art would have performed equally as well as the claimed invention. These two steps help present the aforementioned "convincing line of reasoning." Ex parte Clapp, 227 USPQ at 973."

Again, the practice pointer taught by the above is twofold. First, in a 35 U.S.C. 103(a) rejection, the Examiner must provide a "convincing line of reasoning" regarding obviousness. This convincing line of reasoning may comprise: 1) explaining how the limitation in question provides a particular advantage and 2) explaining how the prior art would have performed equally well. The failure of an Examiner to provide either or both of these elements of a "convincing line of reasoning" may provide grounds for a reversal of a 35 U.S.C. 103(a) rejection.

Yet Another Victory at Patent Office for Arm Ltd.

February 6, 2010

Yesterday, the Board of Patent Appeals and Interferences (BPAI) reversed a Patent Examiner's 35 U.S.C. sec. 102(e) anticipation rejection of a key ARM Ltd. microprocessor invention. As a Miami Patent Lawyer that deals with the BPAI frequently, this case is instructive because it illustrates the patent law related to functional equivalents in a hardware device.
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At issue in ARM's claimed invention was the existence of a memory management unit (i.e., a physical hardware component referred to as an MMU), which the Examiner asserted was found in the cited patent. The BPAI decision disagreed and stated: "the Examiner paints with a broad brush by reading the claimed memory management unit on nebulous "logic/circuitry that manages indirect and direct access to the Graphics Memory 116" without clearly specifying in the record which particular component in [the cited patent] corresponds to Appellants' claimed memory management unit." The BPAI went on to state: "since the Examiner does not identify the specific hardware component in [the cited patent] that corresponds to the claimed MMU, the Examiner appears to be relying on certain memory management functions performed by various software components in [the cited patent] ... However, we note that functional equivalence is not enough to show anticipation of a structural component (such as the claimed memory management unit). See In re Ruskin, 347 F.2d 843, 846 (CCPA 1965) ("the functional equivalent is not enough to be a full anticipation of the specific device claimed by appellant."). Consequently, the Examiner's 35 U.S.C. sec. 102(e) anticipation rejection was reversed.

In this case, the Examiner erred in asserting that the functions described in the cited patent were equivalent to a claimed structural component. This legally erroneous finding of "functional equivalence" is something I see often in dealing with Patent Examiners. It is all too common for a Patent Examiner to point to "nebulous" logic in a cited patent and assert that it's equivalent to a structural component in your claim. When pressed to point out exactly which component in the cited patent corresponds to the claimed component, I rarely get a straight answer. This BPAI decision is important and a precedent I will surely cite in the future.

The practice pointer illustrated in this case is the following: when prosecuting computer hardware or general mechanical claims, for each claimed structural component, the Patent Examiner must point to a specific component in the cited art. It is not enough for the Examiner to point to a "nebulous" or general area of the cited art and claim that it performs the same function as the claimed component. That would be painting with a "broad brush." The Examiner must point to a specific component in the prior art AND it must perform the same function as the claimed component. If the Examiner fails to do this, you have a good premise for reversing on appeal to the BPAI.

Patent Office Rejects Key HP Invention on Appeal

February 4, 2010

In its first decision of today, the Board of Patent Appeals and Interferences (BPAI) reversed a Patent Examiner's 35 U.S.C. sec. 103(a) obviousness rejection of a key Hewlett-Packard software invention, but came up with a new rejection of its own - a 35 U.S.C. sec. 101 non-statutory subject matter rejection. As a Miami Patent Attorney that deals with Patent Office rejections related to software patents and software inventions almost daily, this case is instructive because it illustrates the case law on non-statutory subject matter and the process of dealing with the BPAI.
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The HP invention involved a software process for credentialed authorization requests. HP appealed an Examiner's 35 U.S.C. sec. 103(a) obviousness rejection, which the BPAI reversed. But in an interesting move, the BPAI decision sua sponte noted the nature of the software claims and instituted a 35 U.S.C. sec. 101 non-statutory subject matter rejection.The BPAI started off by reciting case law: a "signal" cannot be patentable subject matter because it is not within any of the four categories. In re Nuijten, 500 F.3d 1346 (Fed. Cir. 2007) and a claim that recites no more than software, logic or a data structure (i.e., an abstraction) does not fall within any statutory category. In re Warmerdan, 33 F.3d 1354 (Fed. Cir. 1994).

With regard to the Applicant's claims, the BPAI stated: "The services of the claims on appeal are logical constructs or software abstractions. System claims, independent claims 21 and 26, are directed to software-based systems per se. Additionally, the computer readable mediums recited in the preamble of independent claims 12 and 14 on appeal are directed toward signal-based embodiments when construed in light of the Specification as filed. The earlier-noted case law prohibits patent protection for these claimed features." Therefore, because the Applicant's claims recited pure logical steps with no explicit tie to a machine, and because the specification stated that a computer readable medium could be a signal, the Applicant's claims were non-statutory subject matter under 35 U.S.C. sec. 101. (It is interesting that the BPAI did not cite the Bilski case. Perhaps because the decision may be overturned by the Supreme Court this year?)

The first important practice pointer illustrated here is the importance of writing software patent claims that comprise statutory subject matter under 35 U.S.C. sec. 101. Fellow blogger Karen Hazzah writes an excellent patent prosecution blog that recently highlighted a USPTO memo directed towards helping patent practitioners write computer readable medium claims that survive 35 U.S.C. sec. 101 scrutiny. All patent attorneys that write software patent claims should read that memo.

The second practice pointer illustrated here is the ability of the BPAI to sua sponte come up with new grounds of rejection. It is not true that just because the Examiner missed a rejection, it can no longer be asserted against you (as in federal litigation). The BPAI has the power to bring up any rejection that the Examiner may have missed, even if it is the first time it's being used against you. The BPAI has always had this power, but in the last couple of years, I typically only see them do this for 35 U.S.C. sec. 101 non-statutory subject matter rejection. Thus, when dealing with an appeal to the BPAI, especially one involving software patent claims, the smart patent attorney will double check his claims to make sure there is no chance of such a sua sponte rejection. If the possibility exists, you may want to file an RCE to clean up the claims before going to appeal.

Continue reading "Patent Office Rejects Key HP Invention on Appeal" »

Board of Patent Appeals Reverses Examiner on Reasons for Combining

February 1, 2010

Today the Board of Patent Appeals and Interferences (BPAI) of the U.S. Patent and Trademark Office reversed a Patent Examiner's 35 U.S.C. sec. 103(a) obviousness rejection because the Examiner did not adequately explain why the ordinary artisan would have combined the cited prior art references. As a practicing Miami Patent Lawyer who responds to 35 U.S.C. sec. 103(a) obviousness rejections weekly, today's decision of the BPAI is instructive because it illustrates a method for attacking obviousness rejections.
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The patent application at issue belongs to International Specialty Products, a global supplier of pharmaceutical products. The Patent Examiner found multiple prior art references and combined them into a 35 U.S.C. sec. 103(a) obviousness rejection. As is typical for the Patent Office these days, the Examiner's reason for combining the references started with a boiler plate sentence - "one of ordinary skill in the art at the time the invention was made could have been motivated to do so" - and ended with a terse phrase formulated by the Examiner - "in order to improve stability." And other than those 5 words, that's all the Examiner wrote about the reasons for combining - no elaboration, no citation to the references, and no further explanation. As a patent attorney with a sizable patent prosecution docket, this is all too familiar to me. Of course, the Appellant argued the Examiner did not adequately explain why the references should be combined.

The BPAI stated: "A rejection for obviousness must include 'articulated reasoning with some rational underpinning to support the legal conclusion.' KSR Int'l Co. v. Teleflex Inc., 550 U.S. 398 (2007), quoting In re Kahn, 441 F.3d 977 (Fed. Cir. 2006) ... The Examiner has neither identified any objective teaching in the prior art, nor referenced knowledge generally available to one of ordinary skill in the art that would have led that individual to combine ... [the two cited references] in order to improve stability. Moreover, the Examiner has not provided any reasoning why stability was a problem that needed to be solved." Thus, the BPAI reversed the Examiner's rejection.

This simple case illustrates a valuable lesson to practicing patent practitioners. When encountering a 35 U.S.C. sec. 103(a) obviousness rejection, the Examiner's reasons for combining the cited references is crucial and necessary to the viability of the rejection. The Examiner's reasoning should be scrutinized to ensure that in fact there is evidence in the cited references and/or in the art in general for supporting his reasoning. It is not enough for an Examiner to state that one of ordinary skill in the art would have combined the references in order to [insert reason here]. The Examiner should cite a passage in the cited references indicating a reason to combine and/or cite a publication or other written work illustrating that general knowledge in the art indicates a reason to combine. If the Examiner does neither in his rejection, you have a great premise for reversing his rejection.

Victory at U.S. Patent Office for ARM Ltd. Microprocessor Patent

January 29, 2010

Today, the Board of Patent Appeals and Interferences (BPAI) of the U.S. Patent and Trademark Office reversed a Patent Examiner's rejections of a key ARM Ltd. patent application, thereby clearing the way for ARM's application to issue as a patent. As a Patent Lawyer practicing in Florida, this case was instructive in its illustration of the case law surrounding claim construction.
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At issue in this case was the construction of the claim term "reallocation." On the issue of claim construction, the BPAI decision stated: During prosecution, "the PTO gives claims their 'broadest reasonable interpretation.'" In re Bigio, 381 F.3d 1320, 1324 (Fed. Cir. 2004) (quoting In re Hyatt, 211 F.3d 1367, 1372 (Fed. Cir. 2000)). "[T]he words of a claim 'are generally given their ordinary and customary meaning.'" Phillips v. AWH Corp., 415 F.3d 1303, 1312 (Fed. Cir. 2005) (en banc) (internal citations omitted). "[T]he ordinary and customary meaning of a claim term is the meaning that the term would have to a person of ordinary skill in the art in question at the time of the invention, i.e., as of the effective filing date of the patent application." Id. at 1313.

The BPAI went on to state that the Examiner had not provided a "reasonable interpretation" of the claim term "allocation" as required by the case law. The Examiner's construction was beyond credulity. As such, the BPAI stated that the "allocation" claim term was not found in the cited prior art."[A]bsence from the reference of any claimed element negates anticipation." Kloster Speedsteel AB v. Crucible, Inc., 793 F.2d 1565, 1571 (Fed. Cir. 1986). Consequently, the BPAI reversed the Examiner's rejections.

This case illustrates an important practice pointer for patent practitioners. When reviewing an Examiner's rejection, pay close attention to the Examiner's construction of key claim terms. The Examiner's logic should be closely scrutinized to ensure that the claim terms were interpreted "reasonably." If the Examiner's claim term construction is strained or beyond reasonableness, this presents a vulnerability that may be attacked on appeal.

Nautica Successfully Opposes GET NAUTI Trademark

January 28, 2010

Last week, the Trademark Trial and Appeal Board (TTAB) of the U.S. Patent and Trademark Office agreed with Nautica Apparel's that the GET NAUTI trademark should not be registered. As a Miami Trademark Lawyer, this case is interesting because it illustrates the criteria an opposer must meet when seeking to oppose the registration of a trademark that may negatively affect him.
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This case involved the well-known and registered NAUTICA trademarks which have been historically used in connection with a variety of products, such as clothing and toiletries, dating back many years. Recently, a party applied to register the mark GET NAUTI in connection with clothing and toiletries. NAUTICA opposed this trademark application on the basis that it was confusingly similar to NAUTICA's mark. As an aside, Nautica Apparel also filed a trademark infringement suit against the users of the GET NAUTI mark in federal district court, which litigation occurred parallel to this opposition.

The TTAB agreed with Nautica Apparel's arguments. The decision of the TTAB involved the use of a test to determine whether the opposition to the trademark application at issue should be sustained. The test involved an evaluation of six main factors, the preponderance of which weighed in favor of the opposer, thereby leading to the opposition being sustained. Briefly, the test included the evaluation of: 1) fame of the opposer's marks, 2) similarity of the goods sold by the applicant and the opposer, 3) the channels of trade in which the goods of applicant and opposer are sold, 4) the variety of opposer's goods, 5) the conditions (such as sales price) applicable to sales of the goods of applicant and opposer and 6) the number and nature of similar marks in use on similar goods.

As a Miami Trademark Lawyer, I am sometimes faced with a situation where a party seeks to oppose my client's trademark application. This case shows that the criteria the opposer must meet in order to successfully oppose a trademark application is rather stiff. The six-part test above provides at least six areas in which the trademark applicant can argue against the opposition. The opposer, therefore, has his work cut out for him when staging an opposition.

Datacard Corporation Patent Survives Reexamination

January 25, 2010

Last week, the Board of Patent Appeals and Interferences (BPAI) of the U.S. Patent and Trademark Office reversed a Patent Examiner's 35 U.S.C. 103(a) obviousness rejection of Datacard Corporation's key industry patent. As a practicing Miami Patent Lawyer who encounters 35 U.S.C. 103(a) obviousness rejections frequently, this case is interesting as it illustrates a significant practice pointer.
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The decision of the BPAI involved a vital Datacard Corp. patent that had been asserted defensively in multiple patent infringement lawsuits against rival Card Tech. Corp. In order to call the patent into question, Card Tech. Corp. instituted a reexam of Datacard's patent, thereby staying the patent infringement litigation. Thus, a lot rested upon the outcome of the reexam of Datacard's patent.

Datacard appealed a 35 U.S.C. 103(a) obviousness rejection during the reexam of the Datacard patent, which resulted in the BPAI decision we discuss here. At issue was whether Datacard had shown reversible error in the Patent Examiner's assertion that one of ordinary skill in the art would have combined the two cited prior art references. The BPAI found that Datacard had shown reversible error. Of importance in this BPAI decision is the recitation of law that a prior art reference must be considered in its entirety, as a whole, including portions that would lead away from the claimed invention. W.L. Gore & Assocs., Inc. v. Garlock, Inc., 721 F.2d 1540, 1550 (Fed. Cir. 1983). "A reference may be said to teach away when a person of ordinary skill, upon reading the reference, would be discouraged from following the path set out in the reference, or would be led in a direction divergent from the path that was taken by the applicant." In re Gurley, 27 F.3d 551, 553 (Fed. Cir. 1994). In fact, the BPAI found that one prior art reference had explicitly taught away from combining with the second prior art reference, and therefore the combination was not proper since one of ordinary skill in the art would NOT have combined the two cited prior art references. Thus, the Patent Examiner's 35 U.S.C. 103(a) obviousness rejection was reversed by the BPAI.

The practice pointer in this BPAI decision is that the savvy practitioner should always question the combination of two references in a 35 U.S.C. 103(a) obviousness rejection. Although there may be a subjective inclination to combine two prior art references, the presence of an explicit teaching away from a combination essentially kills the Patent Examiner's ability to combine the two references.

Daimler-Chrysler Suffers Setback in Fight for Old "AMC" Trademark

January 21, 2010

Do you recall the old AMC trademark that stood for American Motors Corporation of AMC Pacer fame? Chrysler, who absorbed AMC in the 1980s, has been fighting with the owner of a current trademark registration for the AMC logo, and last week suffered a setback in its attempt to retake its old trademark. As a Miami Trademark Lawyer with an active trademark prosecution docket, this case is of interest to me because it illustrates two topical subjects - the new standard for committing fraud upon the Trademark Office when obtaining a trademark registration and the recapture of an old mark by an opportunist. amclogo.jpg chrysler.jpg

Last week's decision of the Trademark Trial and Appeal Board (TTAB) of the U.S. Patent and Trademark Office denied Chrysler's Motion for Summary Judgment in its attempt to cancel the current trademark registration for the AMC logo (shown to the right), which is owned by an individual who registered the mark in 2005. Besides claiming that Chrysler had prior use, Chrysler also asserted fraud upon the Trademark Office since the registrant lied when submitting a false allegation of use during prosecution of the subject mark. On the issue of fraud, the TTAB stated that intent to deceive is an indispensable element of the analysis in a fraud case. See In re Bose Corporation, 476 F.3d 1331, 91 USPQ2d 1938, 1941 (Fed. Cir. 2009). The TTAB denied Chrysler's motion for summary judgment, stating: "In this case, petitioner has not carried its burden of establishing the absence of a genuine issue of material fact as to respondent's intent to deceive. More particularly, petitioner has not introduced any direct evidence of respondent's intent to deceive the Office." Thus, this case shows the higher bar that must be met when pleading fraud upon the Trademark Office, in light of the 2009 Federal Circuit case of In re Bose.

This case further illustrates a phenomena that has been happening with more frequency. Savvy opportunists are registering old, abandoned marks that still have some notoriety or goodwill in public. It is not uncommon for a savvy entrepreneur to register or simply use an old, abandoned mark, usually in the context of a kitchy product, such as vintage T-shirts. There is nothing illegal in doing so, per se, since a trademark owner loses trademark rights when he stops using the mark in commerce. In this case, the registrant noticed that the AMC logo was long abandoned and was successful in obtaining a registration for the logo. This case shows that even an old mark can have value. Thus, trademark owners should give a second thought before abandoning use of a mark and should consider continued use of the mark, even if on a minor scale, in order to retain trademark rights and avoid situations such as these.