Writing Chemistry Patents and Intellectual Property

FRANCIS J. WALLER, PhD, is a former senior research associate with Air Products and Chemicals, Inc. with more than thirty-five years of experience in industry and teaching. Dr. Waller is the author or coauthor of forty-six U.S. patents and received the Paul Rylander Award from the Organic Reactions Catalysis Society in 2001.

PREFACE xiv

ACKNOWLEDGMENTS xvii

1. BACKGROUND AND HISTORICAL PERSPECTIVE ABOUT INTELLECTUAL PROPERTY 1

Chapter Objective 1

Introduction 1

Book Strategy for Patents 6

A Brief History of Patenting 7

Intellectual Property: Is It Important or Not?  8

The U.S. Patent and Trademark Office 9

Why Intellectual Property Protection Is Currently Important 13

Information Overload and Prior Art 15

China as an Emerging Intellectual Powerhouse 18

Patents as Sources of Technology 19

Patents in Force Worldwide 20

Chapter Summary 20

Additional Reading 20

Question 21

2. BRIEF INTRODUCTION TO VOCABULARY AND DEFINITIONS 22

Chapter Objective 22

Introduction 22

Short Story from Panama 23

Patent Terminology 24

Trade Secret Definition 30

Copyright 31

Trademark Definition 32

Chapter Summary 33

Additional Reading 33

Questions 34

3. YOUR FIRST DECISION: TRADE SECRET OR PATENT? 35

Chapter Objective 35

Introduction 35

Trade Secret 36

Patent 39

Comparison between a Trade Secret and a Patent 40

Chapter Summary 41

Additional Reading 41

Question 42

4. WHAT COMES FIRST: A PROVISIONAL OR NONPROVISIONAL PATENT APPLICATION? 43

Chapter Objective 43

Introduction 43

Provisional Patent Application 45

Nonprovisional Patent Application 48

Patent Application Comparison 49

Chapter Summary 50

Additional Reading 50

Question 50

5. REASONS FOR PATENT OFFICE REJECTIONS 51

Chapter Objective 51

Introduction 51

Patentable Invention and Its Usefulness 52

Novelty 53

Nonobviousness 54

Other Reasons for a Rejection 56

Chapter Summary 57

Additional Reading 57

Question 58

6. REASONS FOR INVALID PATENTS 59

Chapter Objective 59

Introduction 59

Experiments: Actual or by Insight 60

Prior Art Disclosure 60

Issued Patent Is Invalid 61

Inequitable Conduct 62

Other Considerations When Writing Your First Patent Application 62

Another Point of View 63

Chapter Summary 63

Additional Reading 64

Question 64

7. EXAMPLES OF PATENT SPECIFICATIONS 65

Chapter Objective 65

Introduction 65

Key to Patenting Success 66

Why Understanding Patents Is Important 66

Typical Pathway for Patent Application within a Company 67

Claim 1 and 2 of U.S. Patent 5,247,190 68

Examination of U.S. Patent 5,872,289 71

Format for Patent with Federal Support 76

Examination of U.S. Patent 6,369,239 77

Examination of U.S. 20040010115A1 79

Examination of U.S. Patent 7,071,289 81

Examination of U.S. Patent 5,273,995 82

Examination of U.S. Patent 7,253,209 83

Comparing Claim Language with Written Description of Invention 85

Chapter Summary 87

Additional Reading 88

Questions 88

8. WRITING THE PATENT APPLICATION 89

Chapter Objective 89

Introduction 89

The Inventive Process 90

Summary of Our Understanding for Patents and Trade Secrets 92

Identifying a Problem to Be Solved 93

Methodology to Solve a Complex Problem 97

Possible Inventions from Our Everyday Reading 101

Patentability Requirements 102

Circumventing the Rules of Electrophilic Aromatic Substitution 103

Water Splitting via Ruthenium Complex 105

Detecting Mechanical Stress within a Polymer 108

Places to Find Future Problems 110

Controlling Molecular Size of Semiconductor Quantum Dots 111

Chapter Summary 113

Additional Reading 113

Question 114

9. AN EXAMINATION OF CLAIM FORMAT 115

Chapter Objective 115

Introduction 115

Interpretation of Claims 116

General Background about Claim Language 118

More Definition about Claims 119

Specific Claim Language 120

Chapter Summary 123

10. WHY YOU NEED CONFIDENTIALITY AGREEMENTS 124

Chapter Objective 124

Introduction 124

Confidentiality Agreements in General 125

Important Elements within a Confidentiality Agreement 125

Chapter Summary 127

Question 127

11. PRACTICAL INFORMATION ABOUT COPYRIGHTS AND TRADEMARKS 128

Chapter Objective 128

Introduction 128

Copyright 129

Copyright Interpretation 131

Adjunct Professor Appointments and the Copyright 133

Filing for a Copyright 136

Trademarks 137

Chapter Summary 139

Question 140

12. GLOBAL PATENT FILING AND PATENTING STRATEGY 141

Chapter Objective 141

Introduction 141

Developing a Patent Strategy 142

International Patent Filing 143

Filing Options 145

Chapter Summary 146

Questions 147

13. WHAT ACADEMIC SCIENCE FACULTY SHOULD KNOW ABOUT PATENTS AND COPYRIGHTS 148

Chapter Objective 148

Introduction 148

Recent Background 149

What Should You Do after Having a Novel Concept? 150

Notebooks 151

Invention Disclosure 152

Confidentiality Agreements 153

Copyrights 153

Chapter Summary 154

Additional Reading 154

Questions 154

14. INTELLECTUAL PROPERTY RESOURCES 155

Chapter Objective 155

Introduction 155

Brief Summary of Selected Intellectual Property Books 156

Intellectual Property Courses 162

Worldwide Patent Offices 163

Emerging Technology Fields 163

Useful Organization 164

Chapter Summary 165

Additional Reading 165

15. BOOK SUMMARY AND ON YOUR OWN 166

Chapter Objective 166

Introduction 166

Pending Intellectual Property Developments 167

Summary of Previous Chapters 167

Responsibilities of the Inventor 168

Conclusions 169

Chapter Summary 170

Additional Reading 170

16. RESPONSES TO QUESTIONS AT END OF CHAPTERS 171

Chapter Objective 171

Chapter 1 171

Chapter 2 172

Chapter 3 173

Chapter 4 173

Chapter 5 174

Chapter 6 176

Chapter 7 177

Chapter 8 178

Chapter 10 178

Chapter 11 179

Chapter 12 179

Chapter 13 180

17. PATENT APPENDIX 181

Chapter Objective 181

Useful Information Besides the Invention 181

Chapter Summary 184

U.S. Patent 5,872,289 185

U.S. Patent 6,369,239 194

U.S. Published Patent Application 20040010115A1 198

U.S. Patent 7,071,289 with Certificate of Correction 207

U.S. Patent 5,273,995 219

U.S. Patent 7,253,209 229

INDEX 236