1. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & Practical Aspects of Patenting UNC OTD Seminar December 4, 2008 Jeff Wilson Jenkins, Wilson, Taylor, & Hunt Patent Attorneys

2. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & 2 Some patent basics Patent applications – types & anatomy The patent process Strategies and pitfalls for patent drafting and prosecution Overview

3. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & 3 "If a man can write a better book, preach a better sermon, or make a better mousetrap than his neighbor, though he builds his house in the woods, the world will make a beaten path to his door." Ralph Waldo Emerson – 1871

4. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & 4

5. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & 5 University Ownership of Patents Bayh-Dole Act - 1980 Created uniform patent policy among federal agencies funding research Allows small businesses and non- profits, including universities, to retain title to federally funded inventions

6. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & 6 In exchange for a full disclosure of the invention, the patent owner (UNC) obtains a limited legal monopoly – 20 years from filing (provided maintained) When a patent expires, it enters the public domain If federally funded, The university patent can be licensed, but typically not sold Federal government receives worldwide license

7. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & 7 The Rights of the Patentee A patentee has the legal right to EXCLUDE OTHERS from making, using, selling, offering for sale, or importing the patented invention Patent Infringement = Unauthorized making, using, selling, offering for sale, or importing something covered by the claims of the patent

8. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & 8 What Subject Matter Is Patentable? The big four - new and useful… Process Machine Article of Manufacture Composition of Matter Plant Patents Design Patents Methods of Doing Business*

9. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & 9 Prior Art All information available prior to the date of filing of the patent application against which the patentability of the invention will be determined Can be your own technology DUTY TO DISCLOSE “MATERIAL” PRIOR ART includes duty to disclose materials from related applications

10. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & 10 Inventorship “Inventorship” is a higher standard than “authorship” Each “inventor” must make some contribution to the conception of the invention supplying background data or general information is typically not enough merely following instructions of another in performing experiments is typically not enough

11. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & 11 Conception Reduction to Practice Reduction to Practice:  Actual reduction to practice  File patent application = Constructive reduction to practice Documentation of Invention Process:  Laboratory Notebooks  Invention Disclosure Forms Diligence Invention

12. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & 12 Why is Inventorship Important? Once a patent issues, the inventor identification is presumed to be correct Inventorship correction requires inadvertent error and no deceptive intent A patent failing to list all of the true inventors can be invalidated

13. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & 13 Statutory Requirements for Patentability To be patented, an invention must meet three basic statutory criteria An invention must be: Useful (35 U.S.C. §101) Novel (35 U.S.C. §102) Non-obvious (35 U.S.C. §103)

14. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & 14 Potential Bar Activities A US patent can be barred if any of these events occur more than a year before filing: The invention is patented or described in a printed publication anywhere in the world The invention is in public use in the US The invention is on sale in the US

15. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & 15 Patent Applications Types & Anatomy

16. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & 16 U.S. Utility Patent Application Description (Title) Field of Invention Abstract Background Summary Detailed Description Examples Drawings (or Figures) Claims

17. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & 17

18. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & 18 Other types of patent applications United States Provisional: expire after one year Continuation: same specification, new claims Divisional: same specification, divide claims (different inventions) Continuation-in-Part: adds new material *Child applications must be filed before parent case issues or is abandoned International PCT - mechanism for foreign filing

19. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & 19 Provisional Patent Application Does not require many formalities e.g., no claims required Is not examined by the USPTO Does not mature into a patent Goes abandoned after 12 months of filing date Provides an early priority date Can file any number of provisional applications

20. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & 20 CLAIMS Must “particularly point out” and “distinctly claim” the subject matter of the invention Independent claim: A claim which does not reference any other claim Dependent claim: A claim which references an independent claim or another dependent claim. Adds subject matter to the preceding claim(s)

21. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & 21 Patent Application Process At UNC

22. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & 22 Reporting Innovations The process begins with an initial disclosure of a new idea or research result to OTD via a Report of Innovation or “ROI”. Through this process, OTD can establish what has been created and by whom, what form of intellectual property is involved, and what obligations may already be in place for this innovation and who has ownership interests in the innovation.Report of Innovation HOW TO REPORT AN INVENTION OR INNOVATION University researchers who, either alone or in association with others, make an invention in which the University has or may have an interest, must complete a Report of Innovation (ROI) via BLUE, OTD’s web-based information management system. To access this electronic submission process directly please go to: https://cfx.research.unc.edu/blue/index.cfmReport of Innovation (ROI)https://cfx.research.unc.edu/blue/index.cfm Within BLUE researchers may enter an ROI, complete signatures and submit the ROI and view the status of all of their technologies and associated patents and agreements under management at OTD. WHAT TO REPORT Researchers should report all new ideas they think might be considered an invention or might have a use outside the University as well as research results such as new software, cell lines, research tools, or unexpected results from externally funded research projects.

23. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & 23 Invention Development StageTiming of Submission of Disclosure Innovation: What to doPremature Conception: How to do itBest Reduction to Practice: Make it workVery Good Preparation of a Paper: Describe itGood Submission of a Paper or AbstractPoor: some rights may be lost at this point Immediately Prior to Public Disclosure Very Poor: may not have time to prepare a useful patent application Post-Publication or DisclosureVery Poor: foreign patent rights lost http://research.unc.edu/otd/reportinginnovations.php

24. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & 24 Pre-Application Steps Contact OTD and discuss invention Submit Report of Innovation (ROI) Meeting with OTD (patent, license, etc.) Instructions to patent attorney to prepare patent application Possible patent search Possible non-disclosure agreement

25. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & 25 Patent Application Preparation Steps Meeting with patent attorney discuss ROI discuss invention development and disclosure (if any) plan and execute protection strategy file urgent patent application(s) provisional, utility, and/or PCT International Application

26. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & 26 Patent Application Filing Formalities Sign and file inventorship declaration not required for provisionals Sign and record patent assignment We can submit these AFTER filing the application

27. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & 27 Patent Prosecution Steps (=Post Filing) Await formal examination by Patent Office (can be 1-3 years) Patent Office might give a Restriction Requirement pick set of claims to pursue and decide whether to file additional application(s) on remaining claims Patent application publishes at 18 months from earliest effective filing date

28. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & 28 Patent Prosecution Steps (continued) Patent Office examines application (and conducts search) Written Official Action (OA) Almost always is a rejection of some/all claims, so be prepared and not apoplectic! Decide strategy and respond in writing to OA can amend and add new claims can argue against prior art can interview examiner cannot add new matter

29. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & 29 Patent Prosecution Steps (continued) Patent Office “allows” application some or all claims Pay issue fee Patent is granted Periodic maintenance fees required

30. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & 30 Payment of Fees and Entity Status Must accurately represent entity/fee status in paying fees (before and after issuance) Failure to do so coupled with a finding of intent to deceive can render the patent unenforceable

31. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & 31 Strategies for Patent Drafting and Prosecution

32. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & 32 Understand what the invention is and differences between the invention and the closest prior art Find the right words, terminology and sentences to describe the invention Imagine how competitors could avoid the claimed invention but still take advantage of its teachings Include everything you may need in patent application to support all claims filed or envisioned Drafting patent applications -it is important to:

33. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & 33 Prosecution Pitfalls Keep good invention records Timely disclose invention to OTD before rights are lost Properly identify all inventors – even in subsequent applications Carefully craft claims (attorney and inventors) scope of protection unclaimed but disclosed subject matter Be careful of arguments made in prosecution Disclose prior art

34. kjg www.JWTH.com. JENKINS WILSON TAYLOR HUNT patent attorneys & 34 Thank You! Jeff Wilson jwilson@jwth.com US00135245 Improvements in brewing beer and ale (Pasteurization) Louis Pasteur (1873)