Claim drafting

Invention-Con 2019
Pre-Conference Session
September 12, 2019
Overview

• Questions to ask regarding your invention

• Laws and required parts of a claim
• Example Claims
• One possible approach to drafting claims

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Review information
• Prior to writing claim(s) answer these questions:
• What is the invention?
• What are the elements that make up the invention?
• How do the elements relate to one another?
• Do you have more than one invention?
• Tangible: Apparatus, machine, composition
• Method: Making or Using
• Are there multiple embodiments of the same invention?
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What the law says
• A nonprovisional patent application must have at least
one claim particularly pointing out and distinctly
defining the invention.
• A claim may be written in independent or dependent
form.
• An independent claim is a standalone claim that contains
all the limitations necessary to define an invention.
• A dependent claim must refer to a claim previously set
forth and must further limit that claim.
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What the MPEP says
• A claim in dependent form incorporates by reference all
the limitations of the claim to which it refers.
• Claims must be fully supported and enabled by the
disclosure
• Claims must be drafted as a single sentence
• Claims should be arranged in order of scope so the first
claim presented is the broadest
• Consistent terminology should be used in both the
patent disclosure and the claims
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Claim(s)
• Defines the invention and what aspects are legally
enforceable
• Must conform to the invention as set forth in the
remainder of the specification
• Terms and phrases used in the claims must find clear
support or antecedent basis in the description so that
the meaning of the terms in the claims are clearly
understood by reference to the description

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Types of claims – invention categories
• Product - A claim that is directed to elements that
can be:
• Active (Device/Apparatus/Machine)
• Non-active (Composition of Matter or Article of
Manufacture)
• Combination thereof
• Method (Process) - A claim that describes/ defines
a series of acts or steps for performing a desired
function or accomplishing an intended result
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Types of claims - independent & dependent

• A claim may be written in independent or dependent form

• An independent claim refers to a stand alone claim that
contains all the limitations necessary to define an invention
• A dependent claim refers to a previous claim and must add
a further limitation to the previous claim
• A claim in dependent form incorporates by reference all the
limitations of the claim to which it refers

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Claim formalities
• Starts on a separate sheet with the Heading "The invention claimed
is" (or the equivalent). ”

• 1.5 or double spaced

• Each claim is a single sentence (begins with a capital letter and ends
with a period)

• 3 independent claims; 20 claims total before excess fees are due

• Numbered consecutively in ascending order; original numbering

preserved throughout prosecution

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Patent claim structure
A claim in a utility application or patent has three (3) parts:
1. Preamble:
• Provides context for the claimed invention
• Language of a preamble may or may not limit the claimed invention
2. Transitional phrase:
• Establishes whether the claim is “open,” “closed” or “partially open”
• In other words, the degree to which a claim is limited to only those
elements recited in the claim body
3. Claim body:
• Recites the limitations (structure and/or acts in clear, full, concise terms)
necessary to define the invention

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Three basic rules - #1 preamble
• Every claim needs a preamble, which is the
introductory phrase in a claim. The general
rule is that the preamble of a claim does
not limit the scope of the claim, but try
and stay away from functional language.
• Try: “A shovel…”
• Instead of: “A shovel for digging…”
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Three basic rules - #2 transition
• Every claim needs a transition. The most common transitions are:
“comprising” “consisting essentially of” and “consisting of.”
• “Comprising” is by far the most common because it means the
invention includes but is not limited to the elements identified in the
claim.
• “Consisting essentially of” limits the scope of a claim to the specified
materials or steps "and those that do not materially affect the basic
and novel characteristic(s)" of the claimed invention.
• “Consisting of” is closed and means that the invention is limited to
the elements identified in the claim.

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Three basic rules - #3 antecedent basis
• The first time you introduce a limitation (e.g., an
element, characteristic, internal reference, etc.)
you MUST introduce it with either “a” or “an”, as
is grammatically appropriate. (e.g., Primary
antecedent basis)
• Subsequently you refer to the already introduced
limitation by either “said” or “the.” (e.g.,
Secondary antecedent basis)

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Example: antecedent basis issues
• A lack of clarity could arise where a claim refers to "said lever"
or "the lever," where the claim contains no earlier recitation or
limitation of a lever and where it would be unclear as to what
element the limitation was making reference.

• Similarly, if two different levers are recited earlier in the claim,

the recitation of "said lever" in the same or subsequent claim
would be unclear where it is uncertain which of the two levers
was intended.

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Example of an independent device claim

• US Patent No.
6,009,555, titled
• “Multiple Component
Headgear System.”

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Example of an independent device claim

1. A headgear apparatus comprising:

a headband member having a frontal portion;
a visor member removably secured to said frontal
portion of said headband; and
an eye shield member removably secured to said
frontal portion of said headband.

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Examples of dependent device claims
2. A headgear apparatus as in claim 1, wherein said
eye shield member is adjustable with respect to
said headband member.
3. A headgear apparatus as in claim 1, wherein said
visor member and said eye shield member are
secured to said frontal portion of said headband
member by a set of rivets.

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Examples of dependent device claims
(cont.)

4. A headgear apparatus as in claim 2, wherein said

headband member is made of neoprene fabric.
5. A headgear apparatus as in claim 3, wherein said
headband member comprises a continuous bead
of sealant material.

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Example of an independent method claim
US Patent No. 6,635,133
1. A method of making a ball, comprising:
forming an inner sphere by forming an outer shell with a
fluid mass center;
forming a plurality of core parts;
arranging and joining the core parts around the inner
sphere to form an assembled core;
molding a cover around the assembled core.

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Examples of an dependent method claim

US Patent No. 6,635,133

2. The method of claim 1, further comprising molding nonplanar
mating surfaces on the core parts, wherein the core parts comprises
meshing the mating surfaces.
3. The method of claim 1, wherein forming the inner sphere
comprises freezing a sphere of a fluid.
4. The method of claim 1, wherein the forming of the core parts
comprises compression molding the core parts.

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Wrapping it all together

• When you write a claim you want to introduce all of the

components and characterizations of the components
that are necessary for the invention to work and for it to
be different than what is already in the public domain.
• Try something like this (letters represent either
components or characteristics of the components):
1. A - insert title - comprising: A, B and C.

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Wrapping it all together (cont.)

2. The invention of claim 1 further comprising D, which is [insert

connection/relation].

3. The invention of claim 2 further comprising E, which is [insert

connection/relation].

4. The invention of claim 3 wherein D is [insert a specific characterization].

5. The invention of claim 4 wherein E is [insert specific characterization].

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Wrapping it all together (cont.)

• Notice the dependent transitions.

• When you are adding a component you use
"further comprising" and then explain how the
component is connected to or relates with the
components already introduced.
• When you are further describing something that
has already been introduced you use "wherein."

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One possible approach
• Focus on the inventive concept
• What features set the invention apart from prior inventions?
• Identify fundamental elements
• Omit unnecessary elements unless they are needed to distinguish over
prior inventions
• Terminology and interrelationships
• Select broad terms and identify their relationship carefully
• Claim review and revision
• Remove unnecessary claim elements

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Focus on the inventive concept

• A claimed invention must be novel, non-obvious and

have a utility

• A Patent is not a marketing brochure

• Understand what the invention really is:

• What are the advantages of the new design?
• Is there more than one inventive feature?
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Identify fundamental elements

• Understand the disclosure of the prior inventions

• What have competitors previously done?
• Conduct a patentability search
• Define the potential claim elements
• What is the target?
• Alternative Embodiments
• The disclosure of prior inventions maybe helpful in developing
alternative embodiments of your claimed invention

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Claim drafting – costs vs coverage
• How much can you afford to spend on claims?
• Independent in excess of 3 = $115 per (micro entity)
• Total claims in excess of 20 = $25 per (micro entity)
• Claim fees for small entity are double micro entity
• Not just at time of filing, but during prosecution
• What is your desired Patent Scope end state?
• Broadest possible valid claim? (longer prosecution)
• Claims with range of claim scopes? (high claim costs)

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Claim review and revision
What should a patent
application claim?

Too
Specific
May not be valuable

Invention
Too General
May not be patentable
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Claim is too broad
Claim 1. A vehicle comprising:
a frame body;
a first and second front wheel and
a first and second back wheel aligned
Invention
and spaced from the first and second
front wheel, each wheel rotatably
connected to the frame body;
a seat connected to the frame
body; and
a removable top portion made of
cloth connected to the frame body. Prior Art

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Claim May Be Overly Specific
Claim 1. A vehicle comprising:
a motor;
a yellow frame body including a plurality of
hinged doors;
a first and second front wheel and a first and
second back wheel and aligned and spaced from the
first and second front wheel, each wheel rotatably
connected to the frame body and made of rubber;
a seat connected to the frame body;
a plurality of glass windows connected to the
frame body;
two red lights connected to the frame body;
two metal bumpers connected to the frame
body; and
a removable top portion made of cloth.
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 Claim Drafting DOs
o Consider drafting your o Review and reconcile both the
specification first and then your specification and claims, making
claims based on terms used in the necessary additions and
specification. corrections so that the claim
o Think about what legal protection terms find support (antecedence)
you want for your invention and in the specification.
o

tailor your claims accordingly. o Check for antecedent basis issues

o Look at the claims in patents within the claims.
issued in your field of technology. o Ensure that dependent claims
further limit the claim from which
o Particularly point out and they depend. (35 USC 112(d),
distinctly claim the subject matter MPEP 608.01(n))
regarded as the invention.

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 Claim Drafting Cautions
 Do not use claims covering  Do not refer back to only a portion
multiple statutory classes of of another claim in a dependent
invention (“A widget and method claim (e.g., “The widget of the
for using same…”). apparatus of claim 1…”).
 Do not use non-standard
transitional phrases, which may  Do not use a dependent claim to
raise questions of interpretation. remove/replace an element from a
(MPEP 2111.03) previously presented claim from
 Do not use terms inconsistently which it depends. (e.g., The vehicle
between the claims and/or of claim 1 where the removable
specification (e.g. visor, visor top portion is non- removable).
member, visor section, removable
visor portion).
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 Claim Drafting Cautions
 Do not use functional language  Do no use language that merely
that is unconnected to the suggests, makes optional and,
structure or steps that perform thus, does not limit the claim.
the function.
 Avoid using negative limitations
 Do not use terms in the claim that unless clearly supported by the
are unsupported by the written disclosure (specification
specification. and drawings).

 Do not use trademarks or

tradenames in the claims, instead
use generic terms, e.g., “hook and
loop fastener” instead of Velcro.®
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Summary:

You should now have a better understanding

of:
• The questions you need to answer before
claiming your invention
• The format and structure of independent and
dependent claims
• Possible methods of drafting your claims

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Thank you!

www.uspto.gov