Printed matter (patent law)

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The term printed matter, in United States patent law, refers to information printed on or otherwise associated with an article of manufacture that is claimed to distinguish an article from similar articles already in the prior art. It was long used as a basis for rejecting claims, [1] but in recent years the United States Court of Appeals for the Federal Circuit has disapproved of its use. [2]

The legal analysis of this issue speaks in terms of "printed matter" that is imprinted upon a "substrate." For example, letters might be printed on a piece of paper as substrate, in an extreme case. Or digitized information (the printed matter), such as a jpeg file representative of the Mona Lisa, might be encoded in an EPROM memory chip as substrate. A computer program (the printed matter) might be encoded in a computer-readable medium such as a hard disk (the substrate)and thus be the subject of a so-called Beauregard claim. [3] The current legal analysis, as expressed in the definitive decision on printed matter, In re Gulack, [4] is as follows: The differences between a newly claimed substrate bearing printed matter and a prior art substrate, where the only point of departure from the prior art is in the printed matter itself, are not entitled to patentable weight unless the printed matter and the substrate have a new and unobvious functional relationship. The analysis is thus essentially an obviousness analysis under section 103 of the patent law, [5] rather than (as it was in earlier times) an analysis of statutory subject matter under what is now section 101 of the patent law. [6]

"Printed matter” is evaluated in a two-step test. [7]

Patents of this type still issue. One example is Seagate's SeaShield patent, No. U.S. Pat. 5,732,464 (method of informing users how to configure disc drive by putting label on shield), which is claimed to provide a functional relationship between the printed information and the metal shield on which it is imprinted.

USPTO practice

Practice in the United States Patent and Trademark Office is described in the USPTO Manual of Patent Examining Procedure, § 2111.05. [13] Generally,

USPTO personnel must consider all claim limitations when determining patentability of an invention over the prior art. In re Gulack, 703 F.2d 1381, 1385, 217 USPQ 401, 403-04 (Fed. Cir. 1983). Since a claim must be read as a whole, USPTO personnel may not disregard claim limitations comprised of printed matter. See Gulack, 703 F.2d at 1384, 217 USPQ at 403; see also Diamond v. Diehr, 450 U.S. 175, 191, 209 USPQ 1, 10 (1981). However, USPTO personnel need not give patentable weight to printed matter absent a new and unobvious functional relationship between the printed matter and the substrate.

Examples where such a functional relationship is present include inventions in which "indicia on a measuring cup perform the function of indicating volume within that measuring cup" and in which " a hatband places a string of numbers in a certain physical relationship to each other such that a claimed algorithm is satisfied due to the physical structure of the hatband...." [13] Examples where such a functional relationship is absent include inventions in which "a product merely serves as a support for printed matter," e.g., "a hatband with images displayed on the hatband but not arranged in any particular sequence" or "a deck of playing cards having images on each card." [13] Even if such a relationship exists, it must still be new and unobvious to support patentability. [13]

Related Research Articles

In a patent or patent application, the claims define, in technical terms, the extent, i.e. the scope, of the protection conferred by a patent, or the protection sought in a patent application. In other words, the purpose of the claims is to define which subject-matter is protected by the patent. This is termed as the "notice function" of a patent claim—to warn others of what they must not do if they are to avoid infringement liability. The claims are of the utmost importance both during prosecution and litigation alike.

In United States patent law, utility is a patentability requirement. As provided by 35 U.S.C. § 101, an invention is "useful" if it provides some identifiable benefit and is capable of use and "useless" otherwise. The majority of inventions are usually not challenged as lacking utility, but the doctrine prevents the patenting of fantastic or hypothetical devices such as perpetual motion machines.

Novelty is a requirement for a patent claim to be patentable. An invention is not new and therefore not patentable if it was known to the public before the filing date of the patent application, or before its date of priority if the applicant claims priority of an earlier patent application. The purpose of the novelty requirement is to prevent prior art from being patented again.

Neither software nor computer programs are explicitly mentioned in statutory United States patent law. Patent law has changed to address new technologies, and decisions of the United States Supreme Court and United States Court of Appeals for the Federal Circuit (CAFC) beginning in the latter part of the 20th century have sought to clarify the boundary between patent-eligible and patent-ineligible subject matter for a number of new technologies including computers and software. The first computer software case in the Supreme Court was Gottschalk v. Benson in 1972. Since then, the Supreme Court has decided about a half dozen cases touching on the patent eligibility of software-related inventions.

State Street Bank and Trust Company v. Signature Financial Group, Inc., 149 F.3d 1368, also referred to as State Street or State Street Bank, was a 1998 decision of the United States Court of Appeals for the Federal Circuit concerning the patentability of business methods. State Street for a time established the principle that a claimed invention was eligible for protection by a patent in the United States if it involved some practical application and, in the words of the State Street opinion, "it produces a useful, concrete and tangible result."

In United States patent law, the reduction to practice is the step in the formation of an invention beyond the conception thereof. Reduction to practice may be either actual or constructive. The date of reduction to practice was critical to the determination of priority between inventors in an interference proceeding under the discontinued first-to-invent system as well as for swearing behind a reference under that system.

Business method patents are a class of patents which disclose and claim new methods of doing business. This includes new types of e-commerce, insurance, banking and tax compliance etc. Business method patents are a relatively new species of patent and there have been several reviews investigating the appropriateness of patenting business methods. Nonetheless, they have become important assets for both independent inventors and major corporations.

In United States patent law, the on-sale bar is a limitation on patentability codified at 35 U.S.C. § 102. It provides that an invention cannot be patented if it has been for sale for over one year prior to the patent filing.

Under United States law, a patent is a right granted to the inventor of a (1) process, machine, article of manufacture, or composition of matter, (2) that is new, useful, and non-obvious. A patent is the right to exclude others, for a limited time from profiting of a patented technology without the consent of the patent-holder. Specifically, it is the right to exclude others from: making, using, selling, offering for sale, importing, inducing others to infringe, applying for an FDA approval, and/or offering a product specially adapted for practice of the patent.

In patent law, an inventor is the person, or persons in United States patent law, who contribute to the claims of a patentable invention. In some patent law frameworks, however, such as in the European Patent Convention (EPC) and its case law, no explicit, accurate definition of who exactly is an inventor is provided. The definition may slightly vary from one European country to another. Inventorship is generally not considered to be a patentability criterion under European patent law.

Parker v. Flook, 437 U.S. 584 (1978), was a 1978 United States Supreme Court decision that ruled that an invention that departs from the prior art only in its use of a mathematical algorithm is patent eligible only if there is some other "inventive concept in its application." The algorithm itself must be considered as if it were part of the prior art, and the claim must be considered as a whole. The case was argued on April 25, 1978 and was decided June 22, 1978. This case is the second member of the Supreme Court's patent-eligibility trilogy.

<span class="mw-page-title-main">Concurrent use registration</span> Federal trademark registration of the same trademark to two or more unrelated parties

A concurrent use registration, in United States trademark law, is a federal trademark registration of the same trademark to two or more unrelated parties, with each party having a registration limited to a distinct geographic area. Such a registration is achieved by filing a concurrent use application and then prevailing in a concurrent use proceeding before the Trademark Trial and Appeal Board ("TTAB"), which is a judicial body within the United States Patent and Trademark Office ("USPTO"). A concurrent use application may be filed with respect to a trademark which is already registered or otherwise in use by another party, but may be allowed to go forward based on the assertion that the existing use can co-exist with the new registration without causing consumer confusion.

<span class="mw-page-title-main">Piano roll blues</span>

The Piano Roll Blues or Old Piano Roll Blues is a figure of speech designating a legal argument made in US patent law relating to computer software. The argument is that a newly programmed general-purpose digital computer is a "new" machine and, accordingly, properly the subject of a US patent.

In United States patent law, a composition of matter is one of the four principal categories of things that may be patented. The other three are a process, a machine, and an article of manufacture. In United States patent law, that same terminology has been in use since the first patent act in 1790.

In United States patent law, incredible utility is a concept according to which, in order for an invention to be patentable, it must have some credible useful function. If it does not have a credible useful function despite the assertions of the inventor, then the application for patent can be rejected as having "incredible utility". The invention does not have to work the way the inventor thinks it works, but it must do something useful. Patents that have been held invalid for incredible utility include:

Alice Corp. v. CLS Bank International, 573 U.S. 208 (2014), was a 2014 United States Supreme Court decision about patent eligibility. The issue in the case was whether certain patent claims for a computer-implemented, electronic escrow service covered abstract ideas, which would make the claims ineligible for patent protection. The patents were held to be invalid because the claims were drawn to an abstract idea, and implementing those claims on a computer was not enough to transform that abstract idea into patentable subject matter.

<i>In re Lowry</i>

In re Lowry, 32 F.3d 1579 was a 1994 decision of the United States Court of Appeals for the Federal Circuit on the patent eligibility of data structures. The decision, which reversed a PTO rejection of data structure claims, was followed by a significant change in PTO policy as to granting software related patents, a cessation of PTO appeals to the Supreme Court from reversals of PTO rejections of software patent applications, an increasing lenity at the Federal Circuit toward such patents and patent applications, and a great increase in the number of software patents issued by the PTO.

<i>In re Alappat</i>

In re Alappat, 33 F.3d 1526, along with In re Lowry and the State Street Bank case, form an important mid-to-late-1990s trilogy of Federal Circuit opinions because in these cases, that court changed course by abandoning the Freeman-Walter-Abele Test that it had previously used to determine patent eligibility of software patents and patent applications. The result was to open a floodgate of software and business-method patent applications, many or most of which later became invalid patents as a result of Supreme Court opinions in the early part of the following century in Bilski v. Kappos and Alice v. CLS Bank.

Versata Development Group, Inc. v. SAP America, Inc., 793 F.3d 1306, is a July 2015 decision of the Federal Circuit affirming the final order of the Patent Trial and Appeal Board (PTAB), the recently created adjudicatory arm of the United States Patent and Trademark Office (USPTO), invalidating as patent ineligible the claims in issue of Versata's U.S. Patent No. 6,553,350. This was the first case in the Federal Circuit reviewing a final order in a Covered Business Method (CBM) invalidation proceeding under the America Invents Act (AIA). The case set an important precedent by deciding several unsettled issues in the interpretation of the CBM provisions of the AIA>, including what are business-method patents under the AIA and whether the AIA authorizes the PTO to hold such patents invalid in CBM proceedings on the ground that they are patent ineligible under 35 U.S.C. § 101 as "abstract ideas."

References

  1. See, for example, In re Russell, 48 F.2d 668, 669 (CCPA 1931) ("The mere arrangement of printed matter on a sheet or sheets of paper, in book form or otherwise, does not constitute 'any new and useful art, machine, manufacture, or composition of matter,' or 'any new and useful improvements thereof,' as provided in section 4886 of the Revised Statutes.").
  2. See, for example, In re Lowry, 32 F.3d 1579, 1583 (Fed. Cir. 1994) (cautioning against undue use of printed-matter rejections).
  3. According to the Federal Circuit and its predecessor court, at least at one time, placing a tape or disc encoded with a new program into a general-purpose digital computer created a "new machine." In re Bernhart, 417 F.2d 1395, 1399 (CCPA 1969).
  4. 703 F.2d 1381, 1385 (Fed. Cir. 1983) ("the critical question is whether there exists any new and unobvious functional relationship between the printed matter and the substrate."); accord In re Ngai, 367 F.3d 1336 (Fed. Cir. 2004).
  5. See In re Nuijten, 515 F.3d 1361, 1362 (Fed. Cir. 2008) (dissenting opinion of Linn, J.) ("the PTO considers the patentability of such claims under the 'printed matter' doctrine of § 103")
  6. See In re Miller, 418 F.2d 1392, 1396 (CCPA 1969) ("printed matter by itself is not patentable subject matter, because non-statutory").
  7. David E. Boundy, 'Nonfunctional Descriptive Material' vs. 'Printed Matter'—The PTAB's Defiance of Federal Circuit Precedent, Landslide (American Bar Ass'n) vol 12 nr 3, pp. 46-51 (Jan-Feb 2020), available at
  8. In re Lowry, 32 F.3d 1579, 1583–84 (Fed. Cir. 1994); In re Bernhart, 417 F.2d 1395, 1399 (C.C.P.A. 1969).
  9. Lowry, 32 F.3d at 1583; Bernhart, 417 F.2d at 1399
  10. Lowry, 32 F.3d at 1583.
  11. In re DiStefano, 808 F.3d 845, 848–49, 851 (Fed. Cir. 2015).
  12. DiStefano, 808 F.3d at 851.
  13. 1 2 3 4 MPEP § 2111.05