Duty of Candor and Indefinite Claims

The Patent Act requires that patent claims be clear and distinct. 35 U.S.C. 112(b)(“The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the inventor or a joint inventor regards as the invention.”).  Ambiguity is important because it can fundamentally smudge patent scope and resulting enforceability.  As a friend recently commented to me – that ambiguity fuels conflict and (in my view) helps spoil the market for patents.

The rule of definiteness is designed to put the world on notice of the scope of the exclusive patent right. Unduly ambiguous claims are not patentable and – if patented – are invalid.  As the Supreme Court recently held, the scope must be “reasonably certain” to one of skill in the art. Nautilus (2014).  Although not requiring absolute certainty, reasonable certainty remains a high standard that has been thought of as a civil equivalent of the beyond-a-reasonable-doubt standard used in criminal cases and is the same standard used to prove lost-profits damages.

Applicant Responsibilities: The Examiner is the first adjudicator of indefiniteness, but it is applicants who draft and amend patent claims.  The patent system creates some incentive for applicants seek some claims that are ambiguous (with other claims being more well defined).  However rather than addressing that partial incentive for ambiguity, I wanted to think for a moment about the applicant’s requirement under the law.

The Duty of Candor & Good Faith Dealing is a fundamental aspect of the patent prosecution system.  Rule 56 includes:

Each individual associated with the filing and prosecution of a patent application has a duty of candor and good faith in dealing with the Office, which includes a duty to disclose to the Office all information known to that individual to be material to patentability as defined in this section. The duty to disclose information exists with respect to each pending claim until the claim is cancelled or withdrawn from consideration, or the application becomes abandoned.

37 C.F.R. § 1.56.

Although patent attorneys (and agents) have a duty of zealous advocacy for their clients (37 C.F.R. § 10.84), the duty of candor and good faith dealing is significantly raised in the ex parte patent prosecution process in comparison with traditional adversarial proceedings such as litigation.

It seems to me that the duty of candor would kick-in if the applicant knew a claim term to be unduly ambiguous (scope not reasonably certain).  The bigger question involves other what-ifs: What if the applicant knows of that a term has multiple definitions that leave the term potentially indefinite; and what if the applicant knows that a term is not well defined in the art?

181 thoughts on “Duty of Candor and Indefinite Claims

  1. 26

    Comment # 24 below generates a debate about the duty of candor which (for me) reveals a fundamental difference of understanding between the USA and the rest of the world, and I should like to see that discussion continue.

    I asked Ned what to do at the USPTO if the Examiner cites Example 3 of the prior art reference but Ned can see that Example 13 is more relevant to patentability. Here’s what he wrote in reply:

    “Max, argue against 3, point out 13. If the examiner says you have overcome 3, but then cites 13, you can then overcome 13.

    If, however, the examiner allows the case after you have pointed out 13, you can argue with some force that 13 was not more material than 3, just cumulative.

    I expect this would stand up in an opposition as well.”

    I can’t understand his last para. Ned what do you mean? Outside the USA, no tribunal or court gives a tinker’s kiss what the EPO Examining Division happened to think before grant. What does a PTO Examiner know about ordinary skill and common general knowledge in the art. They sit in their ivory tower reading attorney work product all day, and patents full of ridiculous statements like “Surprisingly and unexpectedly, when I put more air in my bicycle tyres, I reduce their rolling resistance”.

    Opposition is another matter entirely, for then they hear the other side of the patentability story for the first time. And there are always two sides to any story.

    So Ned, please, what does “stand up” mean, for you?

    1. 26.1

      I have to chuckle as the continued “debate” here reminds me of why there is only one person blindfolded and swinging a stick at a piñata.

      Both views by MaxDrei and by Ned show that the piñata remains whole and both Ned and MaxDrei are getting bruised.

      Ned – you do realize that art already of record can be used in arguments that were not previously made, right? Yes, you can point out that the art is of record, but the argument of “it’s cumulative” falls flat if that same art is being used for a different point (that is what MaxDrei is trying to point out to you).

      MaxDrei, your question as to whether examiners know or understand PHOSITA is beyond silly. It is their job to know and apply that standard.

      If they don’t know that standard, why are we even bothering with any examination at all in the first place (the system for which is paid for entirely by innovators to the tune of Billions of dollars in government fees alone).

      1. 26.1.1

        Why bother with examination on the merits? Even when the Examiner lacks the mental furniture of the notional addressee of the patent? Easy.

        Inventors and their attorneys are prone to see the patentable merits of the Invention and are blind to the demerits. As Simon and Garfunkel (almost) have it “A man sees what he wants to see, and disregards the rest”. The Job of the Examiner is to see those demerits and confront the one-eyed Applicant with them. Applicant, being a PHOSITA, can then gratefully acknowledge receiving those Examiner viewpoints, weigh them for substance, and then take whatever Action is proper, to address them.

        Examination on the merits gives Applicant a much enhanced chance to take through to issue claims that will withstand inter partes scrutiny of their validity ie the chance to have, at issue, a presumption of validity. Such a presumption is not made available by a pure Registration System. It is a huge benefit, to the public, to innovative industry, and to its competitors.

        1. 26.1.1.1

          You have this knack for contradicting yourself and being rather muddled at times.

          1) the applicant is NOT the PHOSITA

          2) you just finished lambasting the examiner for lacking the proper skill of being ale to apply the PHOSITA – and now you want to backtrack and say that the value is there because that skill is there.

          Make up your mind my friend.

  2. 25

    The mutual incomprehension between me and Ned set me thinking overnight. Europe controls indefiniteness in issued patents in a way very different from the approach used in the USA. I think it helps both jurisdictions, to understand how the other one does it.

    In Europe the file wrapper is not used as an aid to claim construction. Instead, the claims are taken at face value, construed in the context of the specification, by a notional addressee who is a person of skill in the art who has not read the wrapper.

    But more important than all that are two further details of practice in Europe.

    First, indefiniteness (clarity) is not open to argument, once the patent issues. If the claim is unclear, well, tough. The courts have to deal with it as it is. Indefiniteness is not a ground of attack on validity.

    Second, it is the Office, not the Applicant, that proposes a text for grant. You want an effective text to issue? Ok, well then, work with the EPO Examining Division, to make sure (as best you can) that you get one from the Office.

    The EPO announces what it “intends to grant” and Applicant has 4 months to reply, either approving or disapproving the text proposed for grant. You don’t like it? OK, then disapprove. But before you do, be aware of the consequences for your client if you do.

    Is Europe right, to deny lawyers the opportunity to attack validity after issue, on the ground of indefiniteness? Mainland Europe still thinks it is. In contrast, English litigators still want every EPO patent to be open to attack, on the ground that the patent falls short of being 100% clear. I think they are just looking for work, because there has never yet been a patent issued that is 100% clear. Mere words can never succeed in capturing perfectly the essence of an inventive concept. There is always room for lawyers to argue what the invention is. Do you want to give them free rein? Oops, sorry. Silly question.

    1. 25.1

      Thanks Max – good post (no snark)

      Here, our CAFC wanted it to be more like the EP (not sure if that was a Rader thing), but our Supremes do not like such clear lines.

      Yes language is an imperfect medium, even in the best of hands. I can only imagine what the multiplicity of languages in Europe must do to the situation.

      1. 25.1.1

        As you may already know, anon, running on the IPKat blog is a thread about using as prior art a translation of a published document:

        link to ipkitten.blogspot.de

        In the thread to that IPKat post is a reference to an interesting article by Grover:

        link to philosophynow.org,

        in which Grover notes how hard it is to define an invention, if all you have is words.

        It had not occurred to me before, but the notional PHOSITA is (presumably) deemed to be able to extract meaning from a prior publication, just as easily when it is in Chinese, Russian or Basque, as when it is in American English. No ordinary person, that legendary PHOSITA, that’s for sure.

        1. 25.1.1.1

          Even a thousand words at a time are not enough (at times) to do Justice to the inventions of the mind’s eye…

          😉

        2. 25.1.1.2

          Max, I have always had problems with the concept that prior art published in one language should be automatically be prior art in a different language.

          I think the effective date of such prior art should date from the date of the publication of at least an abstract in the other language.

          I would welcome a treaty clarification.

          I also think the United States should amend its laws consistently.

          I also think that public use and knowledge in another country should not be prior art in this country. U. S. patents only cover the United States and do not preempt activity outside United States. There is absolutely no reason at all to invalidate a U. S. patent based upon foreign knowledge or public use. This makes no sense whatsoever and the people who got the Congress to amend the laws to extend public use and knowledge the way they did ought to be excoriated.

          1. 25.1.1.2.2

            In the olden days, intrepid explorers of overseas territories would, on return to the UK homeland, repair to their patent agent to report what they had seen, and take out a UK patent on it. The named inventor of such a “communication invention” was the patent agent. The grant of a patent was seen as promoting progress which would just not happen without the encouragement of a patent to retrieve for the homeland useful technology which would otherwise remain known only in Japan or Sicily or Iceland or wherever.

            But about a hundred years ago, with the emergence of modern communications, the notion began to be recognised as outmoded.

            And now you come along and want a return to those days. Ned, you cannot seriously suggest that what is exhibited at a Trade Fair in Hannover today will never make it back to the USA unless a US patent is offered as a reward for its import.

            Or have I misunderstood you again?

            1. 25.1.1.2.2.1

              I think that it is more subtle than that MaxDrei.

              Rather than the blunt “but for” (for which modern communication surely answers as you suggest), the aspect of “what’s best for ME” (in the voice of the sovereign, of course) is the driving force.

              And while the world, as they say, has become a smaller place, the question of what’s best for any one particular sovereign is – and remains – the true driving force of patent law (for example, witness the pharma debate and India).

              That is not to say that the situation lacks external pressures (witness the US and the WTO), but no matter those pressures (and obviously others – like those of the large Multi-National Corporations), patent law remains sovereign law.

              Yes, the US should look out for itself first and foremost. But to really do that, our politicians will have to realize that the mega-dollars from the mega-lobbying of the mega-corps do NOT have this country’s best interests first and foremost on their agendas.

              That’s an easy message to get lost in all the philosophical battles going on.

              1. 25.1.1.2.2.1.1

                Amen to that, anon. Amen.

                The folks behind the AIA do not have the best interests of the US at heart.

                They have their own best interests at heart. They are international companies and think like international companies.

                When and if we have a world patent, worldwide known and public use would and should be applicable. Until that time, we have to remember that US patents cover the US only. Invalidating US patents based on non-US art not actually known before the application in the US should never happen.

            2. 25.1.1.2.2.2

              “Ever” get back to the US is not the operative concept.

              “Whether” in fact it got back to the US prior to the date of invention or filing as applicable is the operative concept.

    2. 25.2

      Max, the concept that the prosecution history has no bearing on claim construction in court baffles me entirely. I will predict to you, with confidence, that this rule of sticking one’s head in the sand will not stand.

      1. 25.2.1

        More mutual incomprehension Ned I suspect.

        Ever since the start of modern patent law in Europe, we have got by without doing claim construction starting from the prosecution history.

        But those seeking a line of attack on validity have always started by combing the wrapper for possible lines of attack.

        So when you boldly predict that the way Europe does claim construction “will not stand”, you might be in for rather a long wait before your prediction comes true.

        I see from another of your postings today (below) that you are waiting for patent litigation in Europe to become more “defined” (I guess you meant “refined”), presumably for it to come closer to the higher levels of refinement you see in the USA. You disappoint me Ned. You seem to be totally ignorant of how refined patent litigation is now, at least in UK, DE and NL, and of the staggeringly high levels of refinement that the notion of “disclaimer” has by now reached, at the EPO.

        I’m with Einstein: one should eschew over-simplification but, subject to that, keep things as simple as possible.

        I’ll reply below to your other post today.

  3. 24

    In this thread, comment # 21 sets off a discussion about how much to include in letters to the Examiner of your patent application at the USPTO.

    It often happens, that the Examiner cites the right prior-published document but misses the sentence in it that provides the most potent attack on patentability. What to do?

    In Europe, with no Duty of Candor, and no post-issue scrutiny of the File Wrapper, but with post-issue validity settled on a “more likely than not” standard and no post-grant tribunal, judge or court giving any deference to the EPO’s work prior to issue, one would take care to go to issue with a claim that is robust against the most potent attack you can conceive, including the one that you have identified but the Examiner has not (yet). I would however be inclined deliberately NOT to draw the attention of the EPO Examining Division to that potent sentence though. Why complicate matters unnecessarily for your client?

    Opinion seems to be divided, on whether at the USPTO you must point out the potent sentence to the Examiner. Could an assiduous reader of the EPO prosecution infer a Lack of Candor in the USA out of a Lack of Candor at the EPO? You could argue it to a jury, I suppose. But would it help?

    1. 24.1

      I find this post from MaxDrei, like most of his posts, to be somewhat muddled.

      Three separate thoughts:

      1) MaxDrei seems to want to interject differences in the two sovereigns as if those differences are meaningful to the point at hand.

      Truth be told, his conclusion of “ one would take care to go to issue with a claim that is robust against the most potent attack you can conceive” is a truism no matter what the differences between the sovereigns are. It matters not at all then, the scrutiny or effect of the file wrapper, or the standard that MaxDrei often detests (clear and convincing). I do not see why these points are introduced into the topic.

      2) I would be interested in understanding this notion of “why complicate?” versus the view as listed by Ned as “having something clearly on the record.” I am curious as to how this single item can be viewed on the one hand as “complicating” but in sharp contrast to be “clarifying.” These appear to be polar opposites and one view, or even both views (if applied at an extreme), cannot be correct, can they?

      3) MaxDrei does inject a new and interesting wrinkle: cross-sovereign actions and their effects within different sovereigns. Well, it’s not that new of a wrinkle, given the Dayco/McKesson/Larson line of cases (not withstanding Therasense and the “but-for” wrinkle in post-grant questions, as opposed to action while still in the patent office), answers already available do indicate that the duty that might arise from knowledge on related matters does exist – and the duty concerning that the knowledge is not (nor ever has been), constrained to only that knowledge attributable to one country or actions in one soverign – at least in the US, the duty of candor does include ANY action ANYWHERE in the world, even if that action is merely on a related – but foreign – application being pursued in a foreign jurisdiction under foreign law. It would appear that that case answers MaxDrei’s query of inferring a lack of candor in the affirmative.

    2. 24.2

      Max, if you want a bulletproof patent, you have to bring the best prior art to the attention of the examiner. In the United States, if the prior art was before the examiner and patentability issues were discussed, that piece of prior art cannot be used against you in a subsequent re-examination and, while this is not crystal clear yet, in any other postgrant review.

      As well, both the courts, particularly during claim construction, and the juries are very much interested in the proceedings in the patent office. If a reference and the issues were clearly articulated, and resolved in favor of the patent owner, the courts and the juries tend to give deference. When you speak to the examiner you are speaking to the court and you are speaking to the jury. You have to keep this in mind.

      I have handled the prosecutions, including reexaminations, of numbers patents that have been involved in litigation. What I said or did not say was highly material to claim construction. But I was aware that what I said was going to be read by a court when I said it; and I said it in a way that I was speaking not only to the examiner but to the court.

      I always want to know what the best prior art is and I want to make sure that it is before the examiner and discussed.

      1. 24.2.1

        Ned I’m obliged by your answer but unsure I understand you.

        Let’s go back to the prior publication D1 that is on the record and on which the USPTO Examiner is relying. Examiner relies on (say) Example 3 for the 103 rejection, but makes no mention of Example 13. You look at D1 rather more carefully, and you see that the objection to patentability would be more potent if it were to start from D1’s Example 13. Do you draw Example 13 to the attention of the Examiner? Do you re-set the 103 objection starting from Example 13 and then argue even that more potent attack is not well-founded?

        On a related matter, I think about PCT and EPO search reports, and by the content of a Notice of Opposition at the EPO. They all cite the column and line reference in D1 where its most potent disclosure is to be found. When you report prior art to the USPTO, do you follow the same reporting style, citing for the Examiner the hottest spot in the cited doc?

        1. 24.2.1.1

          Max, first I always submit the search report itself, not just the prior art.

          Second, I don’t recall a specific example where examples in the specification were critical, but I generally say that there is a better reference and give a brief summary of what it discloses.

          I don’t argue against a reference in the abstract. I wait instead for the examiner to enter a rejection and then I respond to it.

          You have to understand that the cause of this in the United States is at times “broad as reasonable interpretation.” Because of this, the examiner might be searching in a slightly askew field. One ways of bringing the discussion back on topic, and indirectly arguing claim construction, is to point out to the examiner the better reference.

          1. 24.2.1.1.1

            Thanks again Ned, but your reply just leaves me even more perplexed. It is as if we live on different planets. I can’t understand why you don’t appreciate what I’m on about.

            Have a look at what CRP writes at 21.1.1.1 in this thread. In particular:

            “… I argued against the cited part, and then brought up the uncited part and argued against that….”

            I think that he and I are on the same issue, and look what consternation his remark caused.

            1. 24.2.1.1.1.1

              Max, we have the problem of disclaimer in this country where if you say that my invention does not include this, then the scope of your claims is limited by disclaimer. An equivalent is saying that so-and-so prior art is not so-and-so claim limitation. That too is a disclaimer.

              So one does not argue against prior art in the abstract. One argues against rejections from the examiner – and carefully.

              So when bringing up new prior art to the examiner all you do is identify the prior art and describe its contents. That is not a disclaimer or even admission that the identified prior art is prior art.

              The way we do things here in United States has a lot to do with the doctrine of disclaimer, and I think you might want to read some cases on that topic. And, let me predict, as patent litigation becomes more defined in Europe, that Europe will also adopt the doctrine of disclaimer. This will prevent most European patent attorneys from arguing against the prior art in the abstract. It makes no sense.

              1. 24.2.1.1.1.1.1

                Ned your notion of arguing over the prior art “in the abstract” is something you understand but I don’t. Perhaps at this juncture I should stress the notion of Caveat Emptor. Those buying a patent from a Patent Office in Europe have in their own hands the responsibility to take to issue that which can withstand validity attacks after issue. The Examiner is their friend, not their adversary. Applicant needs the Examiner to rehearse all possible attacks, so they can be neutralised while there’s still a chance, ie prior to issue.

                But can we not return to the hypothetical? Examiner cites a reference and points to its Example 3. Evident is that the Examiner would have been far better placed if he had cited Example 13.

                So, in the USA, what do you do? A: do not mention Example 13? B: draw Example 13 to the attention of the Examiner? C: Reply to the Examiner as if the Examiner had invoked 13, but nevertheless in your reply make no mention of Ex 13? D: Something else? Which approach best serves your ends, of getting to issue with claims that a jury will find, on the basis of the file wrapper, to be good over Example 13?

                1. Max, argue against 3, point out 13. If the examiner says you have overcome 3, but then cites 13, you can then overcome 13.

                  If, however, the examiner allows the case after you have pointed out 13, you can argue with some force that 13 was not more material than 3, just cumulative.

                  I expect this would stand up in an opposition as well.

  4. 22

    How about an Examiner’s duty of candor?

    Every Office Action should contain a statement saying whether or not the Application (or Applicant) is being subjected to SAWS.

    1. 22.1

      Moot point on SAWS – however, during the Office’s brief glimpse into SAWS, it was shared that SAWS was but one of many such “quality” programs.

      What else is there that has not seen the sunlight?

  5. 21

    Actually, if you want some fact patterns where the law is unclear but duty of candor might actually apply:

    1) The Examiner cites a reference, say as a secondary or tertiary reference, against some claims. You see that there are much more damaging parts of the reference that could be applied and cited by the Examiner but are not. You do not alert the Examiner to these more damaging parts of the reference. Did you shirk your responsibility under your duty of candor? Or because the Examiner is citing the reference, have you met your duty of candor?

    2) You receive a search report and analysis from a foreign patent office (eg, the EPO). You send the references and analysis to the PTO in an IDS. You receive subsequent rejections from the US patent Examiner. These subsequent rejections use different references than cited in the IDS. The subsequent rejections are not on point. Does your duty of candor extend to pointing out that the EPO references are much more on-point than are the references cited by the Examiner? Or do you meet your duty of candor by submitting the references and the analysis by the EPO?

    How often do these happen? More often that I’d like to admit.

    1. 21.1

      PatentBob,

      You raise some interesting questions, but seem to imply that there is in fact a duty to do more than supply the references, even so much as to imply that a duty to examine those or any references exists.

      I would posit that your implications are not reached, and that the actual scope of duty does not – and cannot – rise to the level of examination. I would invite you to read again the case and history of Tafas as support for this position.

      1. 21.1.1

        …that being said, a different duty may be invoked in pursuing claims that we professionally believe to be faulty and – if granted – would create a disservice to our client in being claims that are not enforceable. This type of consultation should be actively engaged and our professional opinion presented to the client and then we should follow the client’s direction or elect out right to discontinue serving that client.

        1. 21.1.1.1

          Amen, brother. The hypo posited by PatentBob actually happened to me. The Examiner cited one part of a new reference in his OA which was inapposite. However, there was another part of that reference that was on point. I argued against the cited part, and then brought up the uncited part and argued against that. As far as I’m concerned, being a patent attorney and complying with the ethical commitment to zealously represent your client means you need to strive for claims that are not subject to misinterpretation by patent litigators. If I felt that a claim term could be misinterpreted, I’d either put the proper meaning in the spec or, if during prosecution, deliberately created file wrapper estoppel just so there would be no misunderstanding.

          1. 21.1.1.1.1

            My best mentor taught me early that the highest value of a patent is in its enforcibility.

            As many have pointed out across many threads, the possibility of litigation brings out a much more rigorous examination. ALL patent drafters should have this firmly in mind when they render service to clients.

            1. 21.1.1.1.1.1

              Anon,

              I agree with you. Not that they’re totally incompatible, but obviously this perspective often conflicts with the (common) perspective of “obtain the broadest claims possible.”

          2. 21.1.1.1.2

            CRP, I do something like that all the time — tell the examiner that he has missed the best references and why.

            Why do I do this?

            To make sure that the best prior art has been considered — to ward off reexams and to enhance the presumption of validity.

            1. 21.1.1.1.2.1

              … to ward off reexams and to enhance the presumption of validity

              Can you cite a case where this “enhanced presumption of validity” has come into play?

          3. 21.1.1.1.3

            I argued against the cited part, and then brought up the uncited part and argued against that.

            Why? If you have legitimate arguments over the uncited part, and don’t need to amend the claims to distinguish them from the art of record as a whole, how does it help your client to put additional and unnecessary argument on the record?

            Please note that I’m not advocating an approach of sneaking anything past the examiner – since you say you’re arguing over the uncited portions of the art, I’m assuming that those are credible and legitimate argument. If there is truly problematic art in the record, I’m advising my client to amend. But how does it help the client to do the examiner’s job for him or her?

            1. 21.1.1.1.3.1

              DanH, since you are allowed to talk about what happened in the PTO to the jury, it makes a difference.

              1. 21.1.1.1.3.1.1

                Thanks, Ned. I wonder about the value of that versus the risk of saying something about your invention or the reference that you might later regret. That said, perhaps the typical patent prosecutor worries a little too much about prosecution disclaimer, given that it must be clear and unambiguous.

  6. 20

    There is nothing at all that is difficult, or interesting, about this topic. Dennis, have you ever drafted or prosecuted an app, or counseled on the same? It doesn’t sound like it.

    This non-issue is why applicants typically look for a prosecutor with experience in their particular art to draft their applications.

    While it is true that any licensed prosecutor may prosecute an app in any art, if a prosecutor steps outside his area of expertise, he must understand that more research will be needed on his part, and that more questions will need to be asked and more information demanded from, the client–AND, most importantly, that a greater degree of client counseling may be in order.

    Practitioners are called upon to exercise professional judgment on not only this, but on ALL matters within their professional purview. There are different ways to discharge or meet that responsibility, depending on the particular issue, the particular practitioner, the state of the law, the scope of representation, the particular client, etc. Judgment extends to the practitioner’s assessment of the current, and potential future, state and meaning of the law.

    Really, this is such a non-issue, I’ve written too much already. I’m just incredulous at some of the recent posts on this board.

  7. 19

    Another hi-jacking by MM. Gee, I think these are bad claims ’cause I am MM feel it so. No 103 arguments. No evidence. Just hi-jack and emote.

      1. 19.1.1

        I don’t like these claims.

        Pretty sure I’m not the only who doesn’t like those patent claims.

        I’m also pretty sure that the number of people who believe those claims aren’t pure unadulterated junk of the lowest order can be counted on two hands and maybe a foot if we include the inventors (who probably know better).

        1. 19.1.1.1

          I’m pretty sure with almost 9,000,000 patents issued that you can find some that aren’t great. I am pretty sure there are lots of people that read this blog that don’t appreciate you constantly posting claims that you don’t like to hi-jack posts.

          I am also pretty sure you are being paid to do so.

          1. 19.1.1.1.1

            Night Writer,

            It has become a cultural thing – the ever-present “this patent is bad so the WHOLE system is bad” propaganda. This is why I stressed the point recently that the patent system was NEVER designed for perfect quality, and to pretend otherwise is simply disingenuous.

            Prof. Crouch had a pretty snappy statement about what it takes to change a cultural problem recently…

          2. 19.1.1.1.2

            I’m pretty sure with almost 9,000,000 patents issued that you can find some that aren’t great.

            It’s like finding a needle in a needlestack.

            you are being paid to do so.

            Riiiiiight. Because only a person who’s paid to point out ridiculous patent claims and the miserable failures of our patent system would ever do such a thing. On the Internet. On a patent blog. Where people are invited to comment about patents and patent law, free of charge.

            Yes, that makes sense. Sure it does.

            1. 19.1.1.1.2.1

              About as much sense Malcolm as your past comments that the patent system is not under attack.

              About that much, eh?

              1. 19.1.1.1.2.1.1

                “anon” your past comments that the patent system is not under attack.

                Ah, the path0l0gical lying is back. Do you want to give NWPA a hand and help him show everyone where I called him the “n” word?

                That was good for a laugh, too.

                1. Let’s be perfectly clear here before I post a link from the archives:

                  You are saying that you Malcolm never made a post intimating that it was ludicrous to think that the patent system was under attack, right?

    1. 19.2

      No 103 arguments.

      Leaving tips is in the prior art (at least several centuries old). Using a third party to perform basic math — including tips — is in the prior art (also centuries old, if not millenia). The use of a computer system to facilitate information processing, including remote information processing, is well-known in the art (half a century, at least). Calculating tips is information processing.

      Done. But go ahead and pretend you don’t understand this. Please ask for more “evidence” so we can all have a laugh.

  8. 18

    Welcome to our broken patent system where unbelievable junk like this gets appealed all the way to the Federal Circuit:

    The ’192 application is directed to a point-of-sale (POS) device that can be used by a merchant to complete an electronic transaction using a customer’s credit or other card. The specification describes a system that improves the manner in which gratuities are calculated and added to the amounts charged. ’192 application. After a customer presents a card for payment for goods or services, the merchant utilizes the POS device to transmit information concerning the pending charge, including the amount owed, to the entity that issued the customer’s
    card. The card issuer then sends back to the merchant (and ultimately the customer) data that is indicative of a gratuity.

    Because it makes a huuuuuuuge difference who calculates the tip! Nobody ever imagined that someone other than the customer to do this. Plus “electronic”! Wowee zowee. It’s a bright and shiny world.

    The ’192 application touts the advantages of this approach over prior art processes requiring the customer to calculate a gratuity and then add the gratuity to the subtotal. It states that these prior art processes were inefficient and
    caused stress to the customer. Id. ¶ 4.

    LOL. What a conundrum! So much stress! Thank goodness we have a patent system or the world might never have figured out an alternative to this onerous stressful paradigm. One small tip for man, one giant leap for mankind.

    1. 18.1

      The claim term “data that is indicative of a gratuity” was the super crucial element here. Smell the essence of that electronic structure!

      1. 18.1.1

        MM –

        Which is it?

        Is it that the patent/invention addresses a non-problem and no one would ever want to take advantage of the invention (so who would care that it was patented) OR is it that the invention is vital to the continuation of society and the invention must be freely available to all mankind?

        If its worthless and silly, don’t do it. That way it doesn’t matter that its patented.

        If its a great idea and you wish you had thought of it earlier and had been doing it your whole life, then stop whining, pay the man his royalty and direct your energy for a system that lets insurance companies determine who is selling cars at the best price and inform there customers.

        1. 18.1.1.1

          Is it that the patent/invention addresses a non-problem and no one would ever want to take advantage of the invention (so who would care that it was patented) OR is it that the invention is vital to the continuation of society and the invention must be freely available to all mankind?

          Pretty sure those aren’t the only two options.

          Keep digging! Nothing is more amusing than watching the lovers of junky software patents defend the indefensible.

          But this tip is 14%. But this is a chinese restaurant. But this is a debit card. But this is a payment made through a mobile phone device. But this card issuer is offshore. But this waiter was incompetent. But there were two waiters and the tip should be divided. But this customer is visually impaired. But this system automatically warms up the car when the bill is paid.

          Ah, so much innovation, so little time.

          1. 18.1.1.1.1

            “Pretty sure those aren’t the only two options.”

            There may be other options. But those were the two YOU were arguing.

            I was merely asking you to pick one.

            1. 18.1.1.1.1.1

              those were the two YOU were arguing.

              Really? I don’t see where I made those two arguments.

              I was merely ridiculing/bemoaning the state of any patent system where junk like this manages to take up more than ten seconds of the system’s time.

              The US patent system is a joke.

              1. 18.1.1.1.1.1.1

                “Really? I don’t see where I made those two arguments.”

                You make this argument: the patent/invention addresses a non-problem and no one would ever want to take advantage of the invention, through sarcasm here:

                “Because it makes a huuuuuuuge difference who calculates the tip! Nobody ever imagined that someone other than the customer to do this. Plus “electronic”! Wowee zowee. It’s a bright and shiny world. ” and here: “Thank goodness we have a patent system or the world might never have figured out an alternative to this onerous stressful paradigm. ”

                You make this argument : the invention is vital to the continuation of society and the invention must be freely available to all mankind?

                by bemoaning the “broken patent system” here : “Welcome to our broken patent system where unbelievable junk like this gets appealed all the way to the Federal Circuit:”

                1. Les: the patent/invention addresses a non-problem

                  Oh, calculating a tip for somebody is certainly a “problem.” Just like figuring out when to cut your toenails or what to buy your dog for her birthday is a “problem.” I’m not going to deny that these “problems” exist. How could I? They are very real “problems”, Les — to you, especially. And you’re very imporrtant! It’s all about you, you know. The patent system, I mean. The solution to your favorite “problems” is (wait for it!) more patents. So here come more patents! Yay!

                  no one would ever want to take advantage of the invention

                  Because without a patent on figuring out when to cut your toenails, how would you ever figure it out, Les? Just think about your long your toenails would be. You’d never be able to walk outside to buy your dog a birthday present, even if it were possible for you to figure out how to do that without a separate patent.

                  Seriously, Les: try harder to figure out the difference between a patent claim and “some thing that you like” that might fall within the scope of that patent claim. It’s a non-trivial difference. Pretending that their is no difference or lacking the ability to see the difference is a real and recurring problem for you and others who bend over backwards to defend the junkiest junk that any patent system ever dealt with in the history of human civilization.

                  You make this argument : the invention is vital to the continuation of society and the invention must be freely available to all mankind

                  I’m not making that argument, Les. Inventions on new methods of restaurant tip calculation are certainly not “vital to the continuation of society.” Nobody believes that. It’s bizarre that you would pretend to be confused about that. And I have to assume you’re pretending you’re 10 years old and you’ve never been to a restaurant without mommy.

                2. “Nobody believes that. It’s bizarre that you would pretend to be confused about that. And I have to assume you’re pretending you’re 10 years old and you’ve never been to a restaurant without mommy.”

                  Well then, what’s the problem with someone patenting it. We are all free to calculate tips the old fashion way. No harm, no foul.

                3. He doesn’t like it Les. Wah! Boo hoo! I see a claim I don’t like so I cut and paste it and share. No analysis. Just bad claim. Bad claim.

  9. 17

    Ambiguity is in the eye of the beholder.

    Reply below with a claim you believe is clear and unambiguous and I will take on the role of an infringer and find ambiguities.

    In reality, there was nothing ambiguous about the specification of electrode distances in the claim to that exercise machine a while back…. but they alleged ambiguity… and got away with it, as I recall….

    1. 17.1

      1. A method of unlocking a portable electronic device, the device including a touch-sensitive display, the method comprising: detecting a contact with the touch-sensitive display on an unlock image displayed at a first location on the touch-sensitive display, wherein the unlock image is a graphical, interactive user-interface object with which a user interacts in order to unlock the device; continuously moving the unlock image on the touch-sensitive display in accordance with movement of the detected contact while continuous contact with the touch-sensitive display is maintained; if moving the unlock image on the touch-sensitive display results in movement of the unlock image from the first location to an unlock region on the touch-sensitive display: unlocking the portable electronic device; and ceasing to display the unlock image; and if moving the unlock image on the touch-sensitive display does not result in movement of the unlock image from the first location to an unlock region on the touch-sensitive display: maintaining the device in a locked state; and maintaining display of the unlock image.

      1. 17.1.1

        Just off the top of my head:

        “detecting a contact” A contact lens, an electrical contact, like a gold plated pin or finger on a circuit board?

        “the unlock image is a graphical, interactive user-interface object with which a user interacts ”

        How is an image an interactive user interface object? an image is an image, how does it interact? what does it interact with? the user interface? the user? how does an image interact with a user? You mean the user looks at the image? is that what you are calling interaction?

        1. 17.1.1.1

          The problem is that it’s difficult to analyze a claim without first reading the patent. So, many of your questions/ambiguities would be answered/wouldn’t be ambiguities in light of the patent’s disclosure.

          The patent: 8,286,103. One I’m sure MM will love.

          1. 17.1.1.1.1

            The problem is that it’s easy to incorrectly analyze a claim without first reading the patent.

            Les never said that the ability to find (or create) ambiguities was dependent on actually reading the patent or properly construing the claims, now did he?

          2. 17.1.1.1.2

            Yeah, I’m not saying the claim is ambiguous. I’m saying an infringer could and would ALLEGE the claim is ambiguous…. and that any claim is vulnerable to such an allegation.

  10. 16

    In my opinion, the duty of candor is to be honest to the examiner about the facts and the law, but with respect to everything else, to advocate zealously on behalf of the client.

    It is the duty to the client, rather than the duty to the patent office, where the advocacy of potentially invalid claims because of ambiguity causes an ethical failure of the patent attorney.

    1. 16.1

      >>where the advocacy of potentially invalid claims

      How are you serving your client by getting “invalid claims” allowed?

      1. 16.1.1

        Moreover, if your goal is to get invalid claims allowed then that implicates for a bad purpose.

    2. 16.2

      I would push you one (giant) step further Ned Heller and remind you of the ABA Model Rule of Professional Conduct Rule 4.1(a) and the known repeated misreprentations so often ployed here by the anti’s in the use of this bully pulpit for their advocacy.

      Partially true but misleading statements or omissions are routine here by people who should know better.

      Of course, the supposed “out” here that allows opinions to be posted is that postings are supposed to be entirely of a personal nature, and are not supposed to be “in the course of representing a client.”

      But seriously, there is far too much “wink-wink” on that note, eh? Far too many conversations cut short and not taken to their logical conclusions, eh?

      1. 16.2.1

        anon, you do seem to agree that we do have a thing called “free speech.”

        I’m glad.

        1. 16.2.1.1

          And I am glad that “Fire!” in a crowded theater is a limitation.

          Now, back to my point about the limitations that those engaged in advocacy have…

          1. 16.2.1.1.1

            Hese posts about the model rules are really confusing.

            What do you think is being misrepresentee or omitted? People disagree with your interpretation of some aspects of patent law. That’s ok.

            In any event, to the extent it has addreased those points of disagreement, the scotus appears to lean heavily toward the ‘anti side.’

            Obviously you’re free to call those decisions wrongly decided, but dont act as if there’s no basis in law for pointing out probems with functionally claimed software. Sheesh.

            1. 16.2.1.1.1.1

              Go,

              Stop the ever-polite mischaracterization. This has nothing to do with someone having a different interpretation.

              We have had this exact same discussion before. Point blank, there are posters here – posters you cheerlead – that dissemble and mislead, and KNOW better (because they have volunteered admissions as to knowing better).

              The “I’m confused” ploy is ill-suited.

      2. 16.2.2

        “anon”: there is far too much “wink-wink” on that note, eh? Far too many conversations cut short and not taken to their logical conclusions, eh?

        This must be a joke.

  11. 15

    There is an interplay between the duty of candor and zealous advocacy, but I don’t think it comes into play much with 112. I think the problem with your post is an assumption that a patent attorney should get a claim allowed that doesn’t meet the standard of “reasonably certain.” But that assumes that the claim when adjudicated would pass 112, but somehow the attorney knows better than the judge and it really shouldn’t. This is a false assumption. The patent attorney doesn’t know better than the judge because 112 is defined by how it will be applied by judges. (You see that is the core of the problem with Lemley and judicial activism. If judges apply the law —as apposed to what Lemley advocates— then this situation does not arise.

    Where the advocacy and candor do intersect is probably in prior art disclosures. And, again, the problem with this is the attempt to remove the burden from the PTO to be the experts in a field, which is how the patent should is supposed to function and should function. Only art that would be hard for an examiner to find should have to be disclosed.

    To ponder these questions one must ask what is the law? I think the answer is the law is how the judges apply the law–thus the utter cancer of people like Lemley.

    1. 15.2

      And again, what we have is this assumption that somehow the patent attorney knows all this secret stuff and is getting away with stuff. Ask yourself is that really true or is that one of the meme of the Lemley crowd?

      Ask yourself what is the law? Ask yourself what role does the patent attorney play?

      Also, ask yourself if all these Lemley assumptions are true, then is not impeachable to be on the Fed. Cir. (a la our Google judges) without a degree in science?

      1. 15.2.1

        without a degree in science

        Why is a degree in science necessary when so much computer-implemented junk has zero scientific merit?

        Rather than science, we need Federal Circuit judges with deep backgrounds in banking, contract drafting, accounting, advertising, sales, cartoon animation, bingo management and, of course, automobile driving and following rules.

        1. 15.2.1.1

          Your lack of understanding of information processing is a good example of why a degree in science is needed. Your degree was long ago in biology and you have not updated yourself leaving us to deal with an ignorant paid blogger.

        2. 15.2.1.3

          You MM have written that all functional language can be implemented in information processing. Just one of your statements that evince such an ignorance of information processing that you should never be offering your view of anything.

      2. 15.2.2

        As an old time patent attorney, I never felt politics played so much a play in the administration of patent law, which I felt was the last bastion of honesty in our federal government.

        When politics plays in this last field of intellectual integrity, I, a fifty year practitioner can simply bow out. The last fair game is corrupted and simply a political and power game.

    2. 15.3

      Three comments to your new sub-thread, Night Writer:

      1) “What is the law” highlights a critical point of purposeful misunderstanding of the roles that statutory and common law have when it comes to patent law, the breaching of the separation of powers doctrine, and the “easy” desire for those wanting a change in law to attempt to advocate to the judiciary that that branch of the government step outside its recognized constitutional bounds and write new law in the first instance (either implicitly or explicitly).

      2) “ Where the advocacy and candor do intersect is probably in prior art disclosures.” is true, but does not go far enough to address the other “unforeseen consequences” of judicial activism and several comments here (and recurring ones from the likes of Ned) to artificially limit what an applicant can supply as far as a pure number of references on an IDS (the pejorative of “spamming” was used). Bottom line is that it is because of the courts that applicants must be able to supply dumptrucks full of prior art. This is an unavoidable outcome of the risk/reward created by the courts. The fact that examiners may not like this is a complete non sequitur to what must be prudently done to protect the client.

      3) “ then is not impeachable to be on the Fed. Cir. (a la our Google judges) without a degree in science?” is an emotional trigger that need not be pulled at this time. You do not have to get to this point if you realize that point 1) as I list is the controlling point, and that the activism advocated for is simply out of place. You do NOT need the skill of map-writing if you recognize that reading a map does not involve writing the map.

      1. 15.3.1

        I think anon you should take a step back and ask what assumptions this post by Dennis has made. I think the underlying assumptions play into the Lemley meme of patent attorneys are someone cheats and hoodwinking everyone. What I see is hard working patent attorneys under enormous stress because of judicial activism that changes the law without legislation and Fed. Cir. judges without a science background.

        No, I don’t think this is like map reading. I think understanding science takes years of hard work to get a working knowledge of how to reason about innovation. I think the Obama Google judges should be transferred out of the Fed. Cir. as not qualified. And, I think it is highly relevant to what Dennis wrote because it implicates where the burden is for what. The judge has the burden of construing the claims based on the evidence. If the judge is incompetent, then ask yourself what that means? What is the attorney’s duty? You see this is a game of burden shifting and assumptions that is being played.

        Seriously. Think. This. Through.

        1. 15.3.1.1

          There is without a doubt a bias and culture from academie that must be rooted out and brought into the sunlight.

          Nine years and running the meme of “grifters” has been allowed (and some say encouraged). Well before I started posting here, the incessant drumbeat that you point out could be heard.

          That cannot be an accident.

          Just this week the National Law Journal (behind a paywall, so sorry, no link) published an article on the lack of balance in the philosophical leanings of law school faculty.

          Again, this is not an accident.

          There is – and should be – zero doubt that the patent system is under attack.

          From the Left.
          From the Right.

          Each have their different reasons. But there is a common end result desired.

          1. 15.3.1.1.1

            published an article on the lack of balance in the philosophical leanings of law school faculty. Again, this is not an accident.

            Please tell everyone what you believe is the non-accidental reason for this alleged “lack of balance in the philosophical leanings of law school faculty” (whatever that’s supposed to mean).

            It must be really important to you. Share it with everyone.

            1. 15.3.1.1.1.1

              Academia has a known “left” bias.
              Law school academia has even more of this bias.
              Advancement in academia is not by way of a meritocracy but rather, by way of a fitting the existing normative values.
              One of the historical facts coming from the evidence of the “Red Scare” era was the fact that Left influence was aimed at – and was successful in infiltrating academia.

              Even you should be able to connect these dots.

              Does this mean that everyone in academia is Left-minded?

              Not at all.

              Does this mean that bias must be accounted for?

              Absolutely.

              1. 15.3.1.1.1.1.1

                Academia has a known “left” bias.

                You’re repeating your conclusory junk again.

                Again: what is the non-accidental reason for this “left bias” (whatever that means)?

                It must be very important to you. Please share with everyone.

                1. Asked and answered.

                  You will have to pull your fingers out of your ears and open your eyes though.

                2. Again: what is the non-accidental reason for this “left bias” (whatever that means)?

                  I think he answered that question, MM. It’s the c0mmies:

                  One of the historical facts coming from the evidence of the “Red Scare” era was the fact that Left influence was aimed at – and was successful in infiltrating academia.

                3. commies

                  Lol – basically, yes, although your rather deft spin here invites an unwarranted dismissal. While the elevation to the “red scare” is not warranted, neither is a stick-your-head-in-the-sand denial that there is very much a philosophical battle raging over patent law.

                  Inviting such naivity is most unhelpful.

          2. 15.3.1.1.2

            Or maybe there is just empirical data proving that there is a problem?

            Just a thought….

            What is this common end result you speak of? Do the reptillians want to take over the patent system now

            1. 15.3.1.1.2.1

              >Do the reptillians want to take over the patent system now

              If the reptillians are Google, and “take over” means render ineffective, then yes.

              1. 15.3.1.1.2.1.1

                Oh so its Google rather than the thousands of inventors being sued by NPEs? I see now.

                Is there any proof for this conspiracy theory?

      2. 15.3.2

        As for #2, I believe you are correct. If a client gives me 100 references, I’m filing 100 references. The courts and their decisions have made it such that I have to file 100 references. Do I want to do so? No. I think it’s ludi crous. (I’m splitting that word just because I can’t determine what causes a post to get sent into moderation.) But if I do not, and one of the references I did not submit was relevant, then I could be punished for that, even if I never looked at the reference.

        Here’s what I would like to do:

        1) Have a background section that actually discusses background and what’s wrong with the current state of the art.
        2) Have a summary that (somewhere) actually has the invention in it.
        3) Be able to lay out the invention, in clear and unambiguous terms, in the detailed description.
        4) Have an Abstract that lays out the actual invention but can’t be used to limit the claims.

        Due to court decisions, here’s what I actually do:

        1) The background section lays out the area in which the invention resides but does not really have any true background. We submit any references we know of.
        2) The Summary is the claims.
        3) The invention is in the detailed description, but there are so many weasel words it’s hard to tell what it is.
        4) The Abstract is the claims.

        1. 15.3.2.1

          Exactly. And much of this is due to the judicial activist who will stop at nothing to reduce the patent right. What we have is an environment where it is impossible to discuss the real application of patent law.

        2. 15.3.2.2

          It’s called patent profanity and it is a direct result of the animus against patent rights, and the natural inclination of “scriviners” to obtain the full benefit of the law for our clients.

      3. 15.3.3

        Bottom line is that …. clueless, paranoid and lazy applicants who were born yesterday and are somehow incapable of identifying the most relevant art in their own fields and understanding when a reference is redundant/b> must be able to supply dumptrucks full of prior art.

        Fixed.

        1. 15.3.3.1

          Simply wrong and misaimed.

          Get into a profession inwhich you can believe in the work product you (supposedly) produce. This evisceral distaste for attorneys and the cognitive dissonance so evident is just not healthy for you.

  12. 14

    Isn’t the problem to which Dennis alludes the basis for the doctrine of “covetous claiming” in GB patent law? According to doctrine – or so I understand – the whole patent is thrown out if the main claim is found by the court to be broader than what the applicant was entitled to, even if there are dependent claims of narrower and unquestionably valid scope.

    1. 14.1

      Am interested in what Paul has to say but, as far as I know, the Doctrine of which you speak is history.

      In England it used to be that if you wanted to amend your patent after issue you had to have equitably clean hands. Otherwise, the discretion to give you permission to amend wasn’t there. Curtains for your patent because the ongoing presence of even one bad claim brings the entire patent down.

      But now that England strives to be in harmony with the patent law of mainland Europe, those equitable considerations are in the trash can. These days you can amend your issued patent whenever you like, however “covetous” you have been up to the moment you amend.

      Paul?

  13. 13

    It seems to Dennis that the duty of candor would kick-in if the applicant knew a claim term to be unduly ambiguous (scope not reasonably certain). It seems to me the duty of candor, like all other legal requirements in this context, only “kicks in” where a court has held that it does and such holding has not been overruled. In the absence of any judicial holding to date that a patent practitioner has a duty under Rule 56 to inform the Office of a known ambiguity in a pending claim, I wouldn’t give it a second thought.

  14. 12

    I think you’re barking up the wrong tree here, Dennis. If examiners push back against indefinite claim language, attorneys will fix it, because they already know that the writing is on the wall, put there by the Supreme Court. But if the PTO starts threatening attorneys’ registrations, they’ll fight tooth and nail to stop it, and the whole mess will be a colossal waste of time and money for everyone.

    What we really need is training on Nautilus and the green light from the tenth floor to start applying it. You’re at the quality summit, Dennis – I saw you briefly on the live stream when I had some time to watch – so I hope you’ll mention the importance of this if you haven’t already. They don’t really listen to examiners on this kind of stuff, but I bet they’d listen to you.

  15. 11

    Although not requiring absolute certainty, reasonable certainty remains a high standard that has been thought of as a civil equivalent of the beyond-a-reasonable-doubt standard used in criminal cases

    Can anyone point me to where this is stated? Biosig only came down relatively recently, and I can’t think of anywhere else that would compare a “reasonable” standard to a “beyond a reasonable doubt” standard. Notably reasonable is generally considered a two-tailed test while beyond a reasonable doubt is a one tailed test.

    I can think of a very important distinction – If I know of two words, we’ll call them A and B, and A is a better fit, and I intentionally use B, that usage is not reasonable, but it definitely wouldn’t rise to the level of uncertain beyond a reasonable doubt.

    It’s an important distinction, because the office does not currently apply Biosig, nor does Biosig fit nicely with the office’s BRI usage. Consequently you’re not really getting a 112b analysis at the office level. I suspect that a lot of functional language when put to the reasonable test would fail it. It wouldn’t fail an uncertain beyond a reasonable doubt standard.

    1. 11.1

      You had my interest up to the last sentence. Did you accidentally switch the places of the standards?

      1. 11.1.1

        I suspect that a lot of functional language when put to the reasonable test would fail it. It wouldn’t fail an uncertain beyond a reasonable doubt standard.

        Did you accidentally switch the places of the standards?

        No. Biosig itself was not uncertain beyond a reasonable doubt – it said a spaced relationship, and there is no doubt as to what a spaced relationship is. As the federal circuit said, it is not insoluably ambiguous.

        But Biosig was likely not reasonably definite, because the inventor only knew of one position that caused the two signals to cancel out – he could have easily limited his claim to his one known position. Better language (i.e. the actual distance) existed and was readily available.I suspect “beyond a reasonable doubt” is a phrase Dennis just pulled out of nowhere, because I haven’t heard of it before.

  16. 10

    The English language is ill equipped to deal with precision in patent claiming. It is the applicant’s objective to draft claims on that razor edge of too broad/not broad enough. I attribute it to the death of equity principles, the skeleton of which lies in the “doctrine of equivalents.”

    I have never seen a Markman brief where nearly all of the terms were not challenged. The statute does not rule out some ambiguity, and, the claim and specification are drafted to one skilled in the art. Further erosion is occurring in the claim cannot be ambiguous to one of simply “ordinary skill in the art?” It is a sad day for inventors and a worse one for the patent prosecutor. Next, return of the fraud squad?

    1. 10.1

      Richard, let’s put meat on those bones. Every term is challenged by the infringer and for obvious reasons.

      For the life of me, I have never heard of a good rationale for a patent owner proposing a construction.

      1. 10.1.1

        I believe there’s is one district court judge that found plaintiff violated his rules by not proposing constructions for terms a party identified for construction, and based on that adopted defendant’s construction. Is that a good reason?

        At least a good reason to avoid districts that rarely hear patent suits, as you wouldn’t get that in Texas, Delaware, etc.

    2. 10.2

      Have you never looked at any of the briefs before the many judges who limit the parties to 10 terms?

      1. 10.2.1

        Well, having been one of them in the Northern District of California, I frankly think that is a good idea. The big companies that have more than 20, sometimes a hundred claims are perverting the patent system. The patent system is not broken by the little guys, it is broken by the big guys and very bad policy decisions implemented by the “savior” CAFC.

    3. 10.3

      “Participants in the US patent system are ill equipped to deal with precision in the English language.”

      Fixed.

  17. 9

    Prove that someone knows something without that person admitting to it or someone else testifying that he informed the person.

  18. 8

    Not convinced by all this candor and good faith, softy-wofty equity stuff. Tail wagging dog, that sort of thing. Dennis, I suspect that exploring whether the drasfter was deliberately ambiguous would be even harder than pursuing an interference or a derivation case on inventorship.

    Coincidentally, it was today that the EPO issued its G 3/14 Decision on indefiniteness, in claims the subject of post-issue opposition. As you know, the only way you can assert that an issued European patent is indefinite is when the patent owner amends. Many (including Amicus AIPLA) have argued that this needs to change, but today the Enlarged Board of Appeal have decided on No Change, that indefiniteness is best controlled by construing the ambiguous claim broadly. Then it can be knocked on the head by finding it not enabled, not novel or not inventive.

    Here is a Link to the 69 page EBA Decision:

    link to register.epo.org

  19. 7

    Each individual associated with the filing and prosecution of a patent application has a duty of candor and good faith in dealing with the Office, which includes a duty to disclose to the Office all information known to that individual to be material to patentability as defined in this section. The duty to disclose information exists with respect to each pending claim until the claim is cancelled or withdrawn from consideration, or the application becomes abandoned.

    If an Examiner asks the Applicant pointed questions about Applicant’s understanding of the scope of a claim or the meaning of a claim term, can an Applicant merely provide boiler plate responses directing the Examiner to cases (e.g., claim construction decisions) — without directly answering the Examiner’s question — and still satisfy the duty of candor/good faith?

    For instance, if an Examiner asks an applicant to give examples of what the Applicant believes are the closest known elements that fall just within the scope and just outside the scope of a claim term, can the Applicant satisfy the duty of candor/good faith by telling the Examiner to “read these cases and you tell me”? Just for the sake of argument, let’s say the claim term is “laminated”.

    1. 7.1

      Are you going somewhere with this? You know that the case with this issue had the Examiner applying references where the combination obviously was not “laminated”, don’t you? The Examiner never asked the questions you propose (or if he/she did it would have been obvious that the combination was not “laminated”).

      Do you mean the Examiner should make queries such as “does laying two sheets touching each other mean the sheets are ‘laminated'”? Answer: Obviously, no. (Personally, I don’t see the term “laminated” as being ambiguous — at all.)

      Are you saying that instead of saying “no”, the attorney/agent would say “I refuse to answer that” or “look in the specification” or “look in a dictionary”? And this would somehow be against the duty of candor?

      1. 7.1.1

        It’s just Malcolm being Malcolm, as he did not see the drubb1ng he got on the “lamination” thread because the layers of his closed eyes were,…

        laminated…

      2. 7.1.2

        Since the underlying application has not been published, it is still unclear exactly what happened in that case. We can only rely on the snippets the CAFC panel provided us.

        I will say, that if that (hopefully soon to be published) application has a disclaimer at the end of it stating that the claims are to be read in light of themselves and that the embodiments in the specification are only illustrative (like most have – for years now)… I wouldn’t put much faith in that “nonprecedential” decision.

      3. 7.1.3

        PB: Are you saying that instead of saying “no”, the attorney/agent would say “I refuse to answer that” or “look in the specification” or “look in a dictionary”? And this would somehow be against the duty of candor?

        It seems to me that answer would be against the duty of candor if the attorney/agent did have a reasonable belief about what the term covered and what it didn’t cover.

        I wasn’t trying to get into the specific facts of any case. “Laminated” popped into my head proabbly because its meaning has been disputed. Obviously the term raises personal issues for some people. But any term will suffice for discussion purposes.

  20. 6

    If you are looking for a patent attorney practice that HAS been the subject of PTO disciplinary proceedings (and ought to be more often if only more examiners would notice and report it) it is putting identical or nearly identical claims into several different patent applications [divisionals, continuations, CIPs, or otherwise]. Counting on examiner failure to apply statutory or obviousness type double patenting rejections, and hoping one of the examiners will allow the claims in one of the applications. Apparently assuming that mere cross-referencing of plural applications with clear double-patenting claims inserted by the same attorney is sufficient candor to excuse the practice?

    1. 6.1

      when I was at the PTO, there was NO internal mechanism for such a reporting to OED. No training, no mention of one, nothing. which, frankly, makes sense given that OED was/is not interested in Rule 56 enforcement.

      “its just a game, play by the rules” and “don’t rock the boat” were the mantras of the time.

      To 6,

      have things changed?

      1. 6.1.1

        “To 6,

        have things changed?”

        Nah, not that I know of. If something egregious is found, or happens then the SPE would call OED and work through all that. Individuals can contact them, but they’ll just talk you down from doing whatever you were going to. Mostly because day to day stuff just isn’t a violation or worth enforcing on.

        1. 6.1.1.1

          Man, its got to be really really bad for a SPE to want to waste their time going to OED. I have NEVER heard about or seen that. A lot of SPEs didn’t even sign off on slam dunk pre-appeals and appeals because “just give them another action” is easier for them or some such nonsense.

          When I was a junior I was given the “its just a game” speech and told to just write up the action by a SPE.

          I can’t wrap my mind around how bad it would have to be before a SPE spent their time kicking it up to OED.

          1. 6.1.1.1.1

            “When I was a junior I was given the “its just a game” speech”

            It mostly is if you’re not a professional. And sadly there’s just too much unprofessional behavior here. It’s driven of course by the production system and the absolute requirement to bend the rules for ordinary people to be able to produce at those levels. But it is permitted due to loose supervision (necessitated, again, by the production system).

            1. 6.1.1.1.1.1

              Maybe we can create some “pillars” or “metrics” of quality to focus on that problem…

              1. 6.1.1.1.1.1.1

                We have some in the PAP, but making more wouldn’t matter. All of that is an absolute necessity for the production system to remain in place as it is today. If you cannot remove the production system then you cannot have the other, sorry, it physically doesn’t work out in real life.

                The one way to solve the problem is super compact prosecution, but that has many enemies in the office culture (old people), requires super-skill that most people don’t have, and isn’t even fully instituted by the super higher ups. And of course, even that requires the stars to align for production to pop out. Even with mind numbing amounts of work.

                1. Well clearly, that is just not working now is it?

                  (Hint: in the real world, your “answer” would get you sh1tcanned)

                2. if you are dealing with foreign originated claims that have been merely machine translated and pasted into a us app, there is no such thing as compact prosecution.

                  the first round is always a throwaway as the attorney needs to decide which of the 15 embodiments should be chosen to move the goal posts on the examiner (and adding another 20 claims on to throw on another embodiment – because as we all know the examiner only gets like 4 hours to do it) because the initial claim set was just machine translated garbage.

                  i dont think people on this board realize how much of TC 2600 is working with this garbage day in and day out.

                  there is no compact prosecution with this sort of stuff and the games played with it. thats just impossible.

                  you would basically be asking the PTO to do both sides of the prosecution, handing new claims to the attorney and begging for them to take it. no way. unworkable.

                  the first step in the right direction is making this machine translated gamesmanship not economical for the firms and their clients.

                  you cannot have compact prosecution in a world where people are *openly* saying on forums like this that it is simply too cheap to just let the PTO do your initial review for you. and they are right.

                3. now here is the funny part, whenever someone plays those amendment games on these garbage apps, they are stealing time from examination of legitimate applications. if an examiner only gets 4 hours or whatever to do an amendment and you engineer a response that takes 12 hours, you are stealing that additional time from other applicants.

                  so when you have filed a well crafted app and see a poor response, just realize someone else probably ate your examination time by making the examiner deal with their gamesmanship.

                  its an infuriating aspect of a system that was designed in a different time with different prosecution realities.

                4. Sorry tsr, but that is complete and utter B$.

                  The office offers a flat rate product my client pays for. There is no repeat no such “stealing” because the Office decides to structure your work metrics on a time basis.

                  That’s a YOU problem and it is eminently unprofessional for you to even try to make it my client’s problem.

                  You are charted to provide the quality flat-rate RESULT of a properly examined application. Period. If this is not possible for you to do “under your metric” of time, then eat the time and talk with POPA that the designated time is not adequate.

                  Your internal designs are for you – they are not for me and my clients.

                5. Yep, that’s why I left. That attitude. Too many people playing games they’ve “paid for.”

                  There’s a commons here – and a tragedy.

                6. Your “allusion” to a tragedy of the commons is badly misplaced, and the attitude problem here is completely yours.

                  You are quite missing the reality that your internal problems should not be foisted on my clients.

                7. “there is no compact prosecution with this sort of stuff and the games played with it. thats just impossible.”

                  The biggest problem is that that it’s an entitlement program 🙁

                8. “If this is not possible for you to do “under your metric” of time, then eat the time and talk with POPA that the designated time is not adequate.”

                  People aren’t organized enough, it’d take a leader. And of course management would likely single that person out and just get rid of them. Nobody wants the boat rocked, not even POPA. Everyone just wants to keep on doing the same ol same ol n calling it coo.

                9. Same response because it still fits, plus one comment:

                  Well clearly, that is just not working now is it?

                  (Hint: in the real world, your “answer” would get you sh1tcanned)

                  The add: grow some.

                10. “The add: grow some”

                  This said by a guy posting anonymously to an internet forum.

                  Too funny.

                11. tsr,

                  Your focus continues to be on the wrong things.

                  No wonder you feel so venomous and powerlessness at the same time.

                  Yes, “grow some” is a strong term, and yes, it is easy for me to tell you (the Royal you) to do that.

                  But the critical part is that this IS a “you” problem. The error – the continued error – is that examiners are refusing to own their problem and are trying to make it my client’s problem. The disconnect here is that this “not enough time to do a quality job” is ENTIRELY an inner Office construct. I don’t set that time. My client does not set that time. Your “boss” sets that time and you (again the Royal you) are just too chickensh_t to stand up for yourself and say “No, to do a quality job on this (particular) application, I WILL USE the time I need to use. Spineless lemmings trying to avoid owning your own problem is just not something my client deserves.

                  (and btw, I always know that a person is losing a discussion point when they attempt to switch the focus of the discussion to the identity of the person, rather than what the person is saying – thanks for showing your weakness in this discussion)

                12. To anon on this thread.

                  I don’t get what you are trying to say. Regardless of office politics here, what makes you feel that you or anybody are entitled to file poorly drafted claims?

                  If you know that the claims are a direct foreign translation, then it stands to reason that you know with reasonable certainty that there will be errors that will need to be corrected by the examiner some via 35 USC 112.

                  The more important point is that foreign translations will need to be amended to make sense in English at some point. They will need to be amended anyway, so why not do it on the first action?

                  How exactly does this serve your clients’ interests? Please enlighten me.

                13. “is that examiners are refusing to own their problem and are trying to make it my client’s problem”

                  Brosef, the problem goes beyond a mere problem for “examiners”. As in examiners v management. I’ve gone over this for you before. There are many interlocking parts to the overall system, several of which both examiners and management have 0 power over. Some of those are that the number of filings continues to increase all the time (on avg) so we need to keep hiring and expanding all the time, the desire of the congress to keep examination at a “barely there” capacity (with low pendency), the ever increasing legalities and complexity of examination, the ever increasing complexity of apps and the arts, on and on. The office can only expand so much at a given time and etc. are actual things that complicate the situation beyond mere popa negotiations. There are actual limitations. Popa cannot dictate to congress. Popa cannot control how long apps are or how complex tech gets.

                  It cannot be up to just examiners to change all that stuff. And all that stuff is what factors into the need for the production system.

                14. ““No, to do a quality job on this (particular) application, I WILL USE the time I need to use. Spineless lemmings trying to avoid owning your own problem is just not something my client deserves.”

                  Good ol anon crowing about what will get you fired in the real world then goes on to tell all examiners to do what will get them fired in the office.

                  lol.

                15. Yea. It all basically boils down to the fact that anon feels entitled to have examiners do work for him/her.

                  What would be easier? hmmmm…. Anon spends more time filing quality claims or Examiners asking popa to suspend production requirements.

                16. Examiner – please put away the strawman, as the example of the badly auto-translated foreign claims was NOT something that I was “championing” as somehow being “justified” – at all.

                  You have become confused because that straw was injected by tsr (in a response to 6). My explicit point to tsr was solely on his sorry excuse of “stealing time.” I explained directly why this is a bogus notion. I really don’t give a rip as to what sorry application submitted by someone else is, or whether that application makes you feel sad because it takes you longer than the allowed-widget-time.

                  Not.
                  My.
                  Problem.

                  Stop trying to make it my problem. The Office has provided a flat fee service for sale, and that is what my client has purchased. It is a completely internal management tool – and thus this “time to examine” is an induced artifice. Out here in the real world, if a firm offers a fixed price contract to clients to draft and prosecute an application, the client is not in a position – and does not care to be in a position – how much “extra” time it might take to actually deliver.

                  No one is asking anyone to do the job of the applicant. You are – however being asked to do the job that has been paid for.

                17. Attorneys that do “foreign origin” work should educate their clients to the benefits of filing preliminary amendments. Otherwise, the FAOM is generally a waste of time, and the response required generally gives the examiner the ability to enter a new grounds and make the second action a final rejection. This puts the applicant in the position of having to decide whether to appeal, or file an RCE. Neither option is all that good. Or free.

                  I used to do foreign origin work. I don’t anymore. I had clients I was able to convince of the need to file a preliminary amendment, and others I was unable to convince. That’s a decision each client had to make for itself.

                  In my experience doing that type of work, what I generally found for claims that were translations from the foreign priority applications, the US examiners did a good job of pointing out how terrible those claims were. As those clients didn’t want preliminary amendments my hands were tied and I did everything I could to clean up the claims in response to the FAOM and hope that the next OA would produce better results.

                  But it’s not helpful to present claims that were written for examination in a foreign country, get an OA that points out the myriad problems with them, and then blame the examiners for going final when you amend the claims to comply with U.S. law. We all know the examiners get a fixed amount of time, we all know they have the ability to go final if our amendments necessitate a new grounds of rejection, and we all know they have the right to deny after final amendments that require new search and/or consideration.

                  If you ask the examiner to search foreign origin claims the first go round, and then US drafted claims the second time around, don’t be surprised to get a lot of final rejections and file a lot of RCE’s. And don’t be surprised, or resentful, or angry at the examiners. They’re doing the job under the conditions which are prescribed for them.

                18. (and btw, examiner, you do know that the straw of such badly translated claims is extremely easy to dispose of as simply being rejected as unintelligible, right?)

                  In truth, much of the dreck of the “sniff” variety trotted out is also some of the easiest stuff you should be able to dispense with VERY quickly.

                  The truly more difficult applications are gen erally NOT the type of straw offered by tsr.

                19. “(and btw, examiner, you do know that the straw of such badly translated claims is extremely easy to dispose of as simply being rejected as unintelligible, right?)”

                  Unless the claim is a pile of letters, numbers and symbols upon which it is a literal impossibility to assign any meaning to, the Office’s position (when I was there) is that it needed a search. Otherwise it was considered an incomplete action. And honest employees do an honest search, even if they dont know exactly what it is they are searching.

                  St-pid policy? Yes. It literally creates the no-win situation I described. And other st-pid situations like arguments that consist of “you could find art so you could determine the meaning and therefore the claims are not indefinite” that some people like to throw on the wall to see if it sticks.

                  But the Office is concerned about its “shareholder”‘s business models, not the free work examiners have to do to support those business models.

                  These same “shareholders” are also the ones fighting the hardest against RCEs. Can you guess why?

                  Let me help you out. The first action is a throw away and the real claims arent presented until second action. They want the case disposed of then. But they dont want to abandon it. So, how else is it to be disposed of on second action? Allowances. And with the Examiner having both hands tied behind their back due to time constraints.

                  Cr00ked. Br0ken. Heavily expl0ited. Thats the PTO of today.

                  Maybe they can work that into a slogan.

                20. I know that a lot of people do not like the IPRs, and I have my own reservations… But it is so awesome to see light starting to be shined on the broken pto.

                  The public still isnt fully connecting the dots that the broken examination system, as influenced by the pto’s “shareholders,” is the reason for this nightmare, but I have faith that they will in due time.

                21. “It is a completely internal management tool – and thus this “time to examine” is an induced artifice.”

                  Good ol’ anon, forever disconnected from reality.

                22. “(and btw, examiner, you do know that the straw of such badly translated claims is extremely easy to dispose of as simply being rejected as unintelligible, right?)”

                  Nah bro, because they usually are “intelligible” they’re just nowhere near meeting 112 2nd. Plus, most spes won’t just allow you to say “unintelligible” here’s no art rejections, there’s your FOAM.

                23. “(and btw, I always know that a person is losing a discussion point when they attempt to switch the focus …”

                  What A Lovely AAOTWaD.

                24. anon: “My posts engage AND effectively use sarcastic wit.”

                  Ha. Good stuff.

                  I can’t believe an adult wrote that.

                  6 et al. are right. You are l00ney tunes.

              2. 6.1.1.1.1.1.2

                “Out here in the real world, if a firm offers a fixed price contract to clients to draft and prosecute an application, the client is not in a position – and does not care to be in a position – how much “extra” time it might take to actually deliver.”

                Yet another lovely and imbecilic LoL.

                Out here in the real world if I offer a flat rate service I am free to accept or not accept work from clients.

                Gee, analogy kinda breaks down at that point, eh, Pumkin?

                1. Not at all, my ever-fluid moniker friend (and no, that was not an insult – the choice of moniker is actually your most amusing trait).

                  Whether or not there is freedom to engage (the government being the sole source) is completely unrelated to the nature of what is offered (fixed fee or hourly fee).

                  It is the choice of the government to offer a fixed fee arrangement. They made the choice. They couldchoose differently.

                  You want to too quickly judge with the “imbecilic” comment, only showing that it is you that exemplifies that description.

                2. “You want to too quickly judge with the “imbecilic” comment…”

                  Oh, I assure you it was not selected in haste but only after long and careful observation of repetitive behaviour.

                3. You missed – and you missed badly.

                  Your long and careful is evidently not long enough nor careful enough.

                  Maybe you should go back to posting funny gifs..?

                4. “Whether or not there is freedom to engage (the government being the sole source) is completely unrelated to the nature of what is offered (fixed fee or hourly fee).”

                  Hilarious.

                  Dmb as a box of rocks.

                5. That’s part of your problem, my ill-aiming friend – you seem to believe that I post merely in order to please (or soothe) myself.

                  That may be your driver for posting, but please, do not project that mode unto me.

                  Clearly, as I have mentioned, the manner of service offered by the Office (flat fee for a given object) is the decision of the Office quite separate from the fact that the Office is a sole source provider.

                  I really not sure why you struggle so badly with this notion.

                6. You are still issuing as I am not the one struggling.

                  You are aware that the Office can change the way they charge for services, right?

                  You are aware that out here in the real world, different ways of charging are done, right?

                  You seem to want to make a big deal about this “no-turn-away” thing, when that has zero to do with the decision on how to charge.

  21. 5

    “It seems to me that the duty of candor would kick-in if the applicant knew a claim term to be unduly ambiguous (scope not reasonably certain). The bigger question involves other what-ifs: What if the applicant knows of that a term has multiple definitions that leave the term potentially indefinite; and what if the applicant knows that a term is not well defined in the art?”

    1. Yep

    2. He’s in violatin

    3. Not really required, it’s all good for them to lexicographer ivo spec.

  22. 4

    This makes sense in theory, but how would it work in practice?
    OED is unlikely to touch it.
    In litigation, it could be a basis for inequitable conduct, but you’d have to show very strong evidence to meet the requirements under Therasense

  23. 3

    It seems highly unlikely that a registered practitioner would ever get a disciplinary proceeding for ambiguity of a claim term. First, are they going to admit that they knew the term was ambiguous when they drafted that claim? Secondly, patent attorneys over their lifetime must write claims for hundreds of different technical specialties or sub-specialties for which they are not technical experts or lexicographers for that technical specialty. Thirdly, it is not unusual for engineers or scientists in one company to use a technical term with a different scope or meaning, and provide it to patent attorneys preparing their applications, than engineers or scientists in another company. Fourthly, a final judicial decision that a claim term is ambiguous is likely to be many-many years after the claim was written. Fifthly, having the claim held unenforceable for ambiguity, which is now far more likely in view of the Sup. Ct. Nautilus decision, ought to be a far more effective future deterrent to presenting ambiguous claims than such a weak threat of a disciplinary action on such difficult to prove grounds.

    1. 3.1

      Very good points, Paul.

      I personally have never used a term I thought was ambiguous when drafting a case. After seeing how Examiner’s construe a term, years after the claims were written, I see that sometimes the term might have been ambiguous when I drafted it though. I’m much more careful now to define terms, but sometimes claim terms seem so definite as to not need a definition, and they can cause trouble later.

      Plus, hindsight always changes things. I used to use the term “intermediate” (as in “A is intermediate B and C”). I drafted an electrical case using this term and had two people subsequently ask me what “intermediate” meant. To me, who used to draft mechanical cases, the term obviously meant “between”; but to them, who prosecute electrical cases, they were unfamiliar with the term.

      1. 3.1.1

        I have even heard horror stories of ex parte PTAB appeals of complex detailed software-related applications being assigned to a chemist APJ these days, presumably due to their big backlog. That seems practically guaranteed to lead to claim terminology misunderstandings.

  24. 2

    Yes, of course – in theory. But in practice, with OED utterly uninterested in Rule 56 enforcement… Well, not so much. As I see it, without enforcement, Rule 56 is basically dead letter.

    Rule 56. Ha. Ok… Wow, where to begin.

    When I was examining I had multiple (read: more than five) people argue, in interviews, that a claim was definite under 112, second, solely because it met the written description requirement of 112, first paragraph. The first time horrified me, but I soon got the “this is just a game, play by the rules” talk, and it became just a “new normal” for me.

    Duty of candor? Its the wild wild west out there.

    1. 2.1

      Patent attorneys as engineers, scientists, mathematicians, biologists and the like have traditionally had a basic honesty when dealing with the patent office, at least they did.

      When the “best mode” is not required to be disclosed in Japan and we indicate that this is really no longer a big litigation issue, that opens the door to cheat. It was a big mistake to adopt the European and Asian franchise model, instead of the U.S. invention reward model. Our Constitutional mandate was focused on the inventor and at least gave a shoutout of recognition for his discovery that advanced the progress of the useful arts.

      1. 2.1.1

        The AIA also removed all of the “without deceptive intent” language in the name of international “harmonization.”

        Sure, no “harm” there (and if you guessed that this was driven by Big Corp, including Lemley’s “it takes a village,” you would be correct)

  25. 1

    the duty of candor and good faith dealing is significantly raised in the ex parte patent prosecution process in comparison with traditional adversarial proceedings

    While recognizing the desire to have this statement be true, what is the legal foundation for this statement to be in fact, true?

    What does it even mean, “to be significantly raised?”

    The duty is what it is, and the attempt here to invoke some type of heightened or specialness seems like Shakespeare’s “the lady doth protest too much, methinks.”

    1. 1.1

      Re: “what is the legal foundation for this statement..”

      PTO Rules, ABA Rule 3.3 [14], and numerous State rules and opinions.

      1. 1.1.1

        To perhaps clarify, I was nt asking about the gen eral duty, but rather the “significantly raised” part…

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