Software Patents Worldwide Fewer Words; It Is Easy to Draft a Claim, Study It and Discard It in Favour of a Better Claim
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How To Draft a Software Patent Application I. TIPS ON DRAFTING THE CLAIMS Draft the claims first. That is what many experienced patent attorneys advise. There is good reason for this. The claims define the metes and bounds of the invention. The claims put the invention into perspective with the prior art. The claims are the words that the patent examiner spends most time review- ing, and the claims are the instrument construed by the court in litigation. The claims are important and should therefore be given primary attention. Starting with the claims helps you focus on the invention. There are those who prefer to draft the specification first, and then draft the claims. They will tell you that writing the specification first helps them figure out what the invention is. There is nothing fundamentally wrong with this approach, but it can be considerably less efficient. Consider this analogy: Before painting his famous mural on the ceiling of the Sistine Chapel, Michelangelo undoubtedly made sketches. Edgar Degas did this also, before he rendered his impressionistic pastels for which he is famous. Indeed, most artists make sketches and studies before undertaking a major work. (There are always exceptions, like artist Jackson Pollock, who exploited chaos and randomness in his swirling drip paintings. Pollock spread his canvas on the floor and spilled paint on it. He then selected and framed the good parts.) Patent application drafting is an art form, more constrained than painting, but nevertheless an art form. It is quite natural to make sketches or studies of important inventive aspects before undertaking the patent application in earn- est. Those who draft the specification first are actually making written sketches or studies in an effort to find the invention. Thus, whether you draft the claims first, as advocated here, or draft the specification first, treat early efforts as sketches or studies and be prepared to throw them away, just as the artist makes a sketch, learns from it and then discards it. That is why it is more efficient to draft the claims first. Claims comprise SPW (November 2007) 2 – HOW TO DRAFT Software Patents Worldwide fewer words; it is easy to draft a claim, study it and discard it in favour of a better claim. It is much harder to draft a complete specification and then discard it, after learning that you missed the invention. So many pages of effort go into drafting the specification, that many drafters are strongly tempted to keep the specification that has been drafted, even though it may not focus precisely on the claimed invention. There is no one proper way to express the metes and bounds of an inven- tion. An invention is not one-dimensional. It is a multidimensional-like sculp- ture. There is no one vantage point from which to look at an invention. There are many. Claims should be drafted to describe the invention from several different vantage points, thereby capturing a better image of the multidimen- sional nature of the invention. A. LEGAL REQUIREMENTS FOR CLAIMS Patent claims are the most focused upon part of the patent, because the patent claims define the metes and bounds of the patent grant. In both patent pro- secution in the Patent Office and patent litigation in the courts, the claims are of paramount importance. Therefore, as a patent practitioner, give a great deal of thought to the drafting of claims. 1. United States Patent claims were not always this important. In the United States, for example, one hundred years ago the metes and bounds of the patent grant were defined by the specification. In those days, the patent claim might simply state omnibus claim language such as: ‘I claim the invention as sub- stantially shown and described.’ Do not try to get an omnibus claim like the above allowed today. United States patent examiners are trained to reject the omnibus claim as nonstatutory under 35 U.S.C. § 112.1 The exception to this prohibition is design patents. Design patent claims are directed to the orna- mental appearance of a design as shown in the patent drawings. Thus claims in design patents can and should state: ‘The ornamental design, as shown and described.’ 2. Japan In Japan, since claims determine the scope of protection for the patent owner, the patent practitioner must draft claims very carefully. Omnibus claims are not allowed in Japan. Under Article 36(5) of the Japanese Patent Law, a claim 1. US Dep’t of Commerce, Manual of Pat. Examining Proc. § 706.03(h) (5th edn, March 1994). SPW (November 2007) Software Patents Worldwide HOW TO DRAFT – 3 must recite all matter necessary for specifying the invention for which the patent applicant intends to receive a patent. The patent applicant must decide what type of invention he or she wishes to receive a patent for. In addition, the patent applicant is responsible for deciding what matter is described in order to specify the invention. 3. Europe In Europe, due to the fact that computer programs, as such, are not patentable, a claim may be refused if the sole subject matter is a computer program. This is so even where the programme is claimed in the form of a record on a computer-readable medium, or even where the claim is to a machine, such as a computer, characterized solely by the computer program. Nevertheless, there are ways to address this difficulty. The French Patent Office, for example, will permit software inventions if claimed thusly: Computer programme product, comprising programme code instruc- tions recorded on a medium readable by a computer, comprising computer readable programmatic means for performing the steps of ... when said programme is running on a computer. Moreover, the following types of claims are generally permitted in Europe: – claims relating to machines controlled by a computer program, to the extent that such claims relate to the technical characteristics of the machine; – claims relating to the software-controlled internal functioning of a known computer, if it produces a technical effect (such as expanding the virtual working memory); – claims relating to processes used for industrial purposes, which include states controlled by computer programs. The corresponding provision for claims in the European Patent Convention (EPC) is that the claims shall define the matter for which protection is sought in terms of the technical features of the invention. Wherever appropriate, claims shall contain a statement indicating the designation of the subject- matter of the invention and those technical features which are necessary for the definition of the claimed subject-matter but which, in combination, are part of the prior art, a characterizing portion preceded by the expression ‘characterized in that’ or ‘characterized by’ – stating the technical features which, in combination with the pre characterizing features it is desired to protect. Whilst UK national practice does not require two part form for the claims, in the majority of cases, European (UK) patents arising out of the European patent convention will have two part form, and both types of claim are acceptable under UK practice. SPW (November 2007) 4 – HOW TO DRAFT Software Patents Worldwide Claims in European format which specify the features found in the prior art alone or in combination in a ‘pre-characterizing’ portion followed by the words ‘characterized in that’ or ‘characterized by’, and then followed by technical features which are not found in the prior art, are allowable, but not obligatory. Under EPC rules, an application may contain more than one independent claim in the same category (product, process, apparatus or use) only if the subject-matter of the application involves a plurality of inter-related pro- ducts, different uses of a product or apparatus, or alternative solutions to a particular problem, where it is not appropriate to cover these alternatives by a single claim. Dependent claims are permitted. Any claim stating the essential features of an invention may be followed by one or more claims concerning particular embodiments of that invention. Any claim which includes all the features of any other claim (dependent claim) shall contain, if possible at the beginning, a reference to the other claim and then state the additional features which it is desired to protect. A dependent claim shall also be admissible where the claim it directly refers to is itself a dependent claim. All dependent claims referring back to a single previous claim, and all dependent claims referring back to several previous claims, shall be grouped together to the extent and in the most appropriate way possible. The number of the claims shall be reasonable in consideration of the nature of the invention claimed. Claims shall not, except where absolutely necessary, rely, in respect of the technical features of the invention, on references to the description or draw- ings. In particular, they shall not rely on such references as: ‘as described in part ... of the description’, or ‘as illustrated in figure ... of the drawings’. For patents originating before the European Office, these already contain reference numerals and the UK office will not raise an objection to them remaining in the granted patent. Reference signs shall not be construed as limiting the claim in any subsequent proceedings. For applications processed via the UK national office, reference numerals in the claims may be objected to and require deletion. Different categories of claims within the same inventive concept are allow- able, such as product claims, process claims, product of process, and appa- ratus for performing a process; however, if the technical features of the independent claims do not mirror each other closely, then objection may be raised based on lack of unity of invention. This is particularly common where US-style claims are filed without amendment on entry into the UK.