Chapter 4 Claim Construction
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4-i Cameron’s Patent and Trade Secrets Law Chapter 4 Claim Construction TABLE OF CONTENTS 4.1. INTRODUCTION: “WHAT DOES THE CLAIM MEAN?” ...................................... 1 4.2. HISTORY OF CLAIMING .................................................................................... 2 4.3. HISTORY OF CLAIM CONSTRUCTION ............................................................. 6 4.3.1. The Two Part Test: Literal and Substantive Infringement ......................... 6 4.3.1.1. Literal Infringement .............................................................. 8 4.3.1.2. Substantive Infringement ................................................... 10 4.3.2. Catnic .......................................................................................... 14 4.3.3. Improver .......................................................................................... 17 4.4. THE FIRST DUTY OF THE COURT ................................................................. 18 4.4.1. Claim Construction is the Job of the Court/Standard of Review ............. 19 4.4.1.1. Claim Construction as a “question of law” ......................... 19 4.4.1.2. Factual Findings during Claim Construction ...................... 20 4.4.1.3. Deference suggested ........................................................ 22 4.4.2. Onus on construction .............................................................................. 23 4.4.2.1. Patent as a “Regulation” .................................................... 24 4.4.2.2. Markman Hearings ............................................................ 25 4.4.3. Use of Expert Witnesses ......................................................................... 26 4.5. THE PRINCIPLES OF CLAIM CONSTRUCTION IN FREE WORLD AND WHIRLPOOL ..................................................................................................... 33 4.6. “PURPOSIVE” CONSTRUCTION ..................................................................... 36 4.6.1. Rejection of “Form and Substance” Approach ........................................ 38 4.7. STEP 1: WHAT DO THE WORDS AND PHRASES IN THE CLAIM MEAN? .............................................................................................................. 39 4.7.1. Pre-Construction Set-Up ......................................................................... 40 4.7.1.1. The Relevant Date ............................................................ 41 2797919 Cameron’s Patent and Trade Secrets Law 4-ii 4.7.1.2. The Skilled Reader: The person of Ordinary Skill in the Art (“POSITA”) ............................................................. 42 4.7.1.3. Objective Attitude or Biased for Really Useful Inventions .......................................................................... 44 4.7.1.4. With an Eye on the Defendant’s Product ........................... 46 4.7.2. Use of the Patent Specification ............................................................... 48 4.7.2.1. The Patent Should be Read as a Whole ........................... 48 4.7.2.2. Use of the Abstract ............................................................ 49 4.7.2.3. Use of the Preamble to the Claim ...................................... 49 4.7.2.4. Use of the Disclosure and Drawings ................................. 50 4.7.2.5. Patentee as Lexicographer ................................................ 56 4.7.2.6. Use of the Variance Clause ............................................... 56 4.7.2.7. Dependant Claims, Claim Differentiation and Claim Consistency ....................................................................... 57 4.7.2.8. Other Independent Claims................................................. 62 4.7.2.9. “Comprising” or “Consisting of” .......................................... 63 4.7.2.10. Dependent Claims: “… any of Claims …” .......................... 66 4.7.2.11. Method Claims: Order of Steps ......................................... 67 4.7.3. Use of External Material .......................................................................... 67 4.7.3.1. Dictionaries ........................................................................ 68 4.7.3.2. File Wrapper Estoppel ....................................................... 69 4.7.3.3. Prior Art ............................................................................. 72 4.7.3.4. Testimony of the Inventor .................................................. 72 4.7.3.5. Other Patents of the same Owner ..................................... 73 4.7.3.6. Other Canadian Decisions Construing the Same Patent ................................................................................ 74 4.7.3.7. Foreign Decisions and Issue Estoppel .............................. 75 4.7.4. Use of Language: Synecdoche or Metonymy ......................................... 77 4.7.4.1. Examples of Synecdoche and Metonymy.......................... 79 4.8. STEP 2: IS A CLAIM ELEMENT “ESSENTIAL”? ............................................... 82 4.8.1. A Purposive Construction of Free World ................................................. 84 4.8.2. Q. #1: The Obviously Superfluous Claim Element .................................. 85 4.8.2.1. The Presence of a Variant ................................................. 86 4.8.2.2. Does the Variant Affect the Way the Invention Works? ..... 87 a) The Way the Invention Works ........................................... 88 2797919 4-iii Cameron’s Patent and Trade Secrets Law b) The Way (the Invention + the Variant) Works .................... 88 4.8.2.3. Obvious Substitutability … At the Time the Patent was Published ........................................................................... 89 a) At the Time the Patent Application is Published ................ 91 4.8.3. Q. #2: Is the Element Essential, According to the Intent of the Inventor as Expressed or Inferred from the Claims? ............................... 92 4.8.3.1. Adherence to the Language of the Claims ........................ 94 4.8.3.2. The Inferred Intent of the Inventor ..................................... 97 4.8.3.3. Most Claims Contain Only Essential Elements .................. 98 4.8.3.4. Words of Precision and the Precision of Words .............. 101 4.8.3.5. Numbers .......................................................................... 102 4.8.3.6. “About”............................................................................. 103 4.8.3.7. “Substantially” .................................................................. 104 4.8.4. “Irrespective of its Practical Effect” ....................................................... 104 4.8.5. An Inconsistency in Free World ............................................................ 105 4.9. DEVELOPMENTS IN CLAIM CONSTRUCTION SINCE FREE WORLD AND WHIRLPOOL .......................................................................................... 111 4.9.1. Subsequent Case Law .......................................................................... 111 4.9.1.1. Back to Improver ............................................................. 112 4.9.2. The 2004 Kirin-Amgen Decision ........................................................... 115 4.9.3. The 2017 Actavis Decision ................................................................... 119 4.10. “SWISS” TYPE CLAIMS .................................................................................. 124 4.11. CONCLUSIONS .............................................................................................. 125 4.12. APPENDIX A ................................................................................................... 126 2797919 Cameron’s Patent and Trade Secrets Law 4-iv © 2007-2018 Donald M. Cameron The author wishes to express his appreciation to The Honourable Justice George Locke, Daniel Artola and Donald MacOdrum for their thoughtful suggestions in reviewing early versions of this chapter and to Prosenjit Lahiry, Graham McNeil, Amy Grenon, Glenn Hines, Kathrine Smirl, Aftab Khan, Noelle Engle-Hardy and Michael Burgess for their assistance in researching the law. 2797919 4-1 Cameron’s Patent and Trade Secrets Law EXECUTIVE SUMMARY: The question to be asked in construing a claim of a patent is: “What would the claim have meant to a skilled reader as of the relevant date?” (Chapter 4.1). Claim construction consists of the following: 1) The claim language must be read in an informed and purposive way. The words chosen by the inventor should be read in the sense the inventor is presumed to have intended, and in a way that is sympathetic to accomplishment of the inventor’s purpose expressed or implicit in the text of the claims (Chapter 4.6). 2) Read the patent as a whole, and construe the claims in the context of the patent (Chapter 4.7.2.1). 3) Read the patent as if you were the person or persons to whom it was addressed. (Chapter 4.7.1.2). If the disclosure expressly defines certain terms to have certain meanings, use those definitions when interpreting the claims (Chapter 4.7.2.5). Otherwise, a word or phrase should be given the ordinary meaning it would have had to such person or persons as of the relevant date, as used within the context of the patent. (Chapter 4.7). 4) The relevant date for construing the patent claims is either: a) the date of issuance of the patent, for patents applied for before October 1, 1989; or b) the date of publication of the patent application, for patents applied for on or after October 1, 1989 (Chapter 4.7.1.1). 5) To determine whether a claim element