PATENT SERVICE: REAR GUARD O F RESEARCH* BY WILFRED W. SMITH Textile Fibers Department, Director, Patent Division, E. I. du Pont de Nemours and Co., Inc., Wilmington, Delaware
If a trading position is t o b e m a i n t a i n e d , t h e
S o m e y e a r s ago, b e f o r e the m e m b e r s of the Division of C h e m i c a l Education, it w a s m y p r i v i l e g e t o p r e s e n t a p a p e r entitled " P a t e n t S e r v i c e ; An A r m of R e s e a r c h . " At t h a t t i m e the functions of a P a t e n t S e r v i c e w e r e outlined b r i e f l y , i t s b r o a d p e r s o n n e l qualifications w e r e d i s c u s s e d and s o m e d e t a i l e d c o n s i d e r a t i o n w a s given to i t s l i b r a r y function which p r o v i d e s a r e s e r v o i r of t e c h n i c a l i n f o r m a t i o n u s e f u l as an adjunct t o R e s e a r c h . Among the functions v i s u a l i z e d w e r e t h o s e i m p o r t a n t ones of converting inventions into patent a p p l i c a t i o n s , and guarding i n d u s t r i a l p r o g r e s s f r o m p a t e n t i n f r i n g e m e n t s , while a s s i s t i n g i n the negotiation and a d m i n i s t r a t i o n of patent l i c e n s e s . It i s t h i s g r o u p of functions which a s s u r e s t h e r e s e a r c h o r g a n i z a t i o n f r e e d o m t o enjoy t h e f r u i t s of i t s r e s e a r c h e s . It i s t h i s g r o u p of functions t h a t i n s p i r e s t h e thought of P a t e n t S e r v i c e ; R e a r G u a r d of R e s e a r c h . Since t h e functions t h e m s e l v e s a r e r a t h e r s e l f - e v i d e n t , no u s e f u l p u r p o s e will b e s e r v e d by d e t a i l e d expansion. I n s t e a d , and i n keeping with the t h e m e of t h e s y m p o s i u m , attention will b e given t o the l a n e s of communication needed t o supply P a t e n t S e r v i c e with i n f o r m a t i o n r e quired to discharge these responsibilities. T h e o r g a n i z a t i o n and o p e r a t i o n of a P a t e n t S t e e r i n g C o m m i t t e e (you m a y p r e f e r a d i f f e r e n t title) a r e the marching o r d e r s f o r r e a r guard duty. The c o n v e r s i o n of r e s e a r c h e l e m e n t s into patent p r o t e c t i o n a f f o r d s a m a j o r contribution t o a c o m p a n y ' s w e l f a r e . A patent application m a t u r i n g into a patent m a y f o r e s t a l l t h e i s s u e of a n a d v e r s e l y held p a t e n t , t h e r e b y avoiding a n infringement p r o b l e m . A patent m a y afford an opportunity t o t r a d e with a c o m p e t i t o r , again avoiding i n f r i n g e m e n t probably a t r e m a r k a b l y low c o s t when c o m p a r e d with e x t e n s i v e , i n f r i n g e m e n t - a v o i d i n g r e s e a r c h o r acquisition of patent r i g h t s by p u r c h a s e o r l i c e n s e . In o t h e r i n s t a n c e s , a dominating o r e x c l u s i v e position m a y be c r e a t e d which p e r m i t s a company to p r e - e m p t the f i e l d c l e a r l y . A s new p a t e n t s a r e s e c u r e d , a n extended c o n t r o l of t h e c o m m e r c i a l l y useful p o r t i o n s of the field m a y w e l l m a i n t a i n a highly advantageous position i n a c o m p e t i t i v e m a r k e t .
s t o c k - i n - t r a d e on t h e patent supply shelf m u s t be r e p l e n i s h e d while t h e quality of t h e s e p a t e n t s m u s t be held at high l e v e l t o c o m m a n d a fair p r i c e in the m a r k e t place. T h e P a t e n t S t e e r i n g C o m m i t t e e , t h e n , will b e staffed by r e p r e s e n t a t i v e s f r o m the r e s e a r c h g r o u p and f r o m P a t e n t S e r v i c e . P e r h a p s t h e s i m p l e s t a p p r o a c h i s t o c o n s i d e r the C o m m i t t e e a s a m e e t i n g between the R e s e a r c h D i r e c t o r and t h e P a t e n t S e r v i c e D i r e c t o r with the objectives of c r e a t i n g and i m p l e m e n t i n g a p r o g r a m d e signed t o b e s t p r o t e c t the r e s e a r c h i n t e r e s t s ; a g r e e i n g upon t h e r e l a t i v e value and i m p o r t a n c e of the s e v e r a l i t e m s ; assigning p r i o r i t y and p e r sonnel l i m i t s ; and a g r e e i n g upon t h e supply of needed i n f o r m a t i o n . The D i r e c t o r s will o b viously w i s h t o have i n attendance f r o m t h e i r r e s p e c t i v e g r o u p s , a s s i s t a n t s who a r e familiar with sufficient d e t a i l t o p e r m i t evaluation of i d e a s . The P a t e n t S e r v i c e m a n o r m e n a s s i g n e d t o c a r r y out t h e s p e c i f i c a s s i g n m e n t s of t h a t C o m m i t t e e will be able t o d i s c u s s p r i o r a r t and o t h e r patent l i m i t a t i o n s . They m a y a l s o r e c o r d t h e C o m m i t t e e p r o c e e d i n g s . The R e s e a r c h m e n a t s u p e r v i s o r y l e v e l will w i s h t o b e on hand, a s will c e r t a i n s u p e r v i s o r y m e m b e r s of plant ope r a t i o n s , technical s e r v i c e , customer s e r v i c e and s a l e s o r g a n i z a t i o n s , b e c a u s e t h e questions of patent i n f r i n g e m e n t , l i c e n s e and p r o t e c t i o n m a y involve any o r all of t h e s e g r o u p s . F o r convenience, a l l of s u c h g r o u p s will be r e f e r r e d t o collectively as R e s e a r c h g r o u p s . T h e i r r e a c t i o n s and c o m m e n t s m a y i m p o r t a n t l y affect t h e c o u r s e of action t o b e taken. Depending upon the s c o p e and magnitude of t h e r e s p e c t i v e r e s p o n s i b i l i t i e s of t h e D i r e c t o r s involved, a n u m b e r of s u c h c o m m i t t e e s m a y be r e q u i r e d . In t h e w r i t e r ' s e x p e r i e n c e , with r e sponsibility f o r patent m a t t e r s originating i n a l a r g e d e p a r t m e n t , i t h a s b e e n found p r e f e r a b l e t o have a s e p a r a t e s t e e r i n g c o m m i t t e e f o r e a c h b r a n c h of r e s e a r c h effort. Thus a s e p a r a t e committee m e e t s to consider the problems a r i s i n g i n the fields of e a c h of s e v e r a l R e s e a r c h Divisions. Meetings a r e u s u a l l y attended by t h r e e m e m b e r s f r o m t h e P a t e n t Division and by
*Presented before the Division of Chemical Literature, American Chemical Society, Mlnneapolis, Minnesota, September 14. 1955. 603 (1943).
1W. W. Smith, J. Chem. Educ.,
s,
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P A T E N T SERVICE: REAR GUARD O F RESEARCH
three t o ten m e m b e r s f r o m the r e s e a r c h group, depending on t h e p r o g r a m agenda u n d e r c o n s i d e r a t i o n . While no s c h e d u l e of m e e t i n g s can be d e s c r i b e d a s b e s t , experience suggests q u a r t e r l y m e e t i n g s . T h e s i z e and n a t u r e of t h e p r o g r a m will usually dictate meeting frequency a s w e l l as c o m m i t t e e s i z e . Assuming f o r p r e s e n t p u r p o s e s that the c o m m i t t e e is o r g a n i z e d , l e t u s look i n on a t y p i c a l m e e t i n g . About a w e e k b e f o r e t h e m e e t i n g , the r e c o r d e r (a I?atent S e r v i c e m a n ) will have p r e p a r e d and d i s t r i b u t e d a n a g e n d a l i s t i n g a l l known i t e m s ; s e t t i n g a t i m e and p l a c e f o r t h e m e e t i n g ; and offering opportunity f o r all attending p e r s o n n e l ti3 r e v i e w , with t h e i r c o l l e a g u e s , t h e l i s t e d i t e m s t o g e t h e r w i t h any new i t e m s which should b'e included. The a g e n d a will include c l o s e d , a c t i v e , d e f e r r e d , and new i t e m s . A r e m i n d e r l i s t f o r discussion purposes helps t o d i s p o s e of i t e m s of b o r d e r - l i n e , p r e m a t u r e , o r ill-defined nature. T h e m e e t i n g m a y open with a r e v i e w of c l o s e d i t e m s . S o m e will have b e e n c l o s e d by t h e filing of a p a t e n t (application. T h e g r o u p c l o s e s t t o t h e technology involved will e x p r e s s any d e s i r e t o follow t h e p r o s e c u t i o n . In s o m e c a s e s t h e invention i s i s o l a t e d and the a p p l i c a tion s o s e l f - c o n t a i n e d t h a t no f u r t h e r attention by t h e o r i g i n a t i n g r e s e a r c h g r o u p n e e d b e given. In o t h e r c a s e s , w h e r e a s e r i e s of a p p l i c a t i o n s d e v e l o p s o v e r a b r o a d and a c t i v e r e s e a r c h f r o n t , a continuing c o n t a c t with the o r i g i n a t i n g g r o u p is c l e a r l y i n d i c a t e d i n o r d e r t o f a c i l i t a t e i n t e g r a t i o n of new and changing a s p e c t s into the s e r i e s . S o m e c a s e s will have b e e n c l o s e d as unpatentable o r of ina:ufficient t e c h n i c a l i n t e r e s t . In s u c h i n s t a n c e s a cl.ose-out l e t t e r , explaining r e a s o n s f o r c l o s i n g , will have b e e n s e n t out by the P a t e n t Service m a n during the i n t e r i m b e tween m e e t i n g s . T h e t e c h n i c a l p e o p l e will have a l a s t opportunity t o c o m m e n t , o r i n r a r e i n s t a n c e s t o r e v e r s e a d e c i s i o n , when t h e s e i t e m s a r e r e v i e w e d . Of c o u r s e , i t i s u n d e r s t o o d t h a t e v e n though a n i t e m is c l o s e d without filing a p a t e n t a p p l i c a t i o n , i t m a y be r e o p e n e d i n t h e f u t u r e i f new e v i d e n c e of patentability o r t e c h n i c a l m e r i t a p p e a r s . It will b e the r e s p o n s i b i l i t y of t h e o r i g i n a t i n g g r o u p t o r e o p e n t h e s u b j e c t . The s t a t u s of p r i o r a r t s e a r c h e s , i n f r i n g e m e n t s e a r c h e s , i n f r i n g e m e n t opinions and l i c e n s e iegotiations will be punctuated i n s i m i l a r f a s h i o n . The a c t i v e i t e m s will next b e r e v i e w e d with a b r i e f s t a t u s r e p o r t on e a c h by t h e P a t e n t S e r v i c e m a n . At t h i s point m o r e t e c h n i c a l i n f o r m a t i o n m a y b e o f f e r e d o r d e m a n d e d and a r r a n g e m e n t s will b e m a d e f o r i t s t r e a t m e n t o r supply. New d e v e l o p m e n t s m a y be r e p o r t e d which will change t h e e m p h a s i s , t h e p a t e n t a b l e novelty, o r t h e s c o p e of t h e c a s e . They m a y c a u s e e v e n t h e abandonment of the e f f o r t . C o m m i t t e e d i s c u s sion will weigh t h i s e v i d e n c e and a d e c i s i o n will b e r e a c h e d . S o m e t i m e s t h e d i s p o s i t i o n of the c a s e will be l e f t t o d e t a i l e d c o n s i d e r a t i o n by
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t h e P a t e n t S e r v i c e m a n and t h e R e s e a r c h s u p e r v i s o r involved. Resolution of t h e p r o b l e m m a y b e by c o r r e s p o n d e n c e , by p e r s o n a l c o n f e r e n c e , o r both. S o m e active i t e m s obviously will m a t u r e f a s t e r t h a n o t h e r s . S o m e l a b e l e d a c t i v e at a p r e c e d i n g m e e t i n g w i l l , s a d t o s a y , have r e m a i n e d untouched f o r l a c k of d a t a , t i m e , o r i n t e r e s t . The c o m m i t t e e will review t h e o v e r - a l l position of the s e v e r a l a c t i v e i t e m s and a s s i g n p r i o r i t y of attention. T h i s p e r m i t s a n a s s i g n m e n t of p e r s o n n e l e f f o r t and should e l i m i n a t e o r m i n i m i z e the n u m b e r of i t e m s which r e m a i n untouched m o n t h a f t e r m o n t h b e c a u s e s o m e o n e had no t i m e t o r e a d t h e l a s t l e t t e r t h a t s o m e o n e e l s e w r o t e . B e f o r e a final p r i o r i t y l i s t c a n be c o m p i l e d , h o w e v e r , any new i t e m s m u s t be e x amined, f o r s o m e m a y be important o r urgent enough t o t a k e p r e c e d e n c e o v e r o t h e r s a l r e a d y on t h e a c t i v e l i s t . A new i t e m u s u a l l y is i n t r o d u c e d t o the c o m m i t t e e by c o r r e s p o n d e n c e , although t h e r e is nothing t o p r e v e n t o r a l introduction a t the m e e t i n g . New i t e m s m a y be v o l u n t e e r e d by r e s e a r c h p e o p l e , m a y s t e m f r o m a n i n q u i r y by a Patent Service m a n resulting f r o m his examination of a r e s e a r c h o r o p e r a t i n g r e p o r t , o r f r o m a v i s i t to l a b o r a t o r y o r plant l o c a t i o n . In s o m e i n s t a n c e s , r e s e a r c h people m a y a s k f o r a p r e l i m i n a r y opinion on patentability o r o p e r a t i n g people m a y s e e k advice on p o s s i b l e i n f r i n g e m e n t t o r e s u l t f r o m a new plant p r o c e s s . S o m e t i m e s the c u s t o m e r s e r v i c e people will want t o know w h e t h e r they m a y s a f e l y i n s t r u c t c u s t o m e r s on the u s e of c e r t a i n p r o d u c t s without i n c i t ing t h e m t o infringe a d v e r s e l y held p a t e n t s . E a c h new i t e m eventually i s given a n i d e n tifying d e s i g n a t i o n a n d , i f none h a s b e e n s u b mitted a l r e a d y , a m e m o r a n d u m (usually called a P a t e n t P r o p o s a l ) will be s e n t t o P a t e n t S e r v i c e s e t t i n g out sufficient d e t a i l t o o r i e n t the s u b j e c t and p e r m i t study t o begin. T h i s p r o p o s a l m a y have t o be s u p p l e m e n t e d a s the study p r o c e e d s . The R e s e a r c h D i r e c t o r will a l l o c a t e r e s p o n s i bility f o r t h e t e c h n i c a l s i d e while the P a t e n t S e r v i c e D i r e c t o r will a s s i g n p e r s o n n e l t o handle p a t e n t a s p e c t s of the new i t e m . All new i t e m s thCn will b e i n t e g r a t e d into t h e l i s t of a c t i v e i t e m s e x c e p t t h o s e which m a y b e s u m m a r i l y r e j e c t e d b e c a u s e of t e c h n i c a l d e f e c t s o r b e c a u s e known p r i o r a r t l e a v e s no r e s i d u a l novelty. Another type of i t e m i s d e s c r i b e d a s d e f e r r e d . In t h i s c a t e g o r y m a y b e p l a c e d t h o s e i t e m s of p r o b a b l e m e r i t which l a c k a d e q u a t e t e c h n i c a l d a t a t o define invention; t h o s e which have a d e q u a t e t e c h n i c a l d a t a but which l a c k c l e a r l y d e f i n e d utility and patent v a l u e ; o r t h o s e o c c a s i o n a l i t e m s which have a l l p r e r e q u i s i t e s but f o r which t i m e and p e r s o n n e l a r e inadequate f o r i m m e d i a t e attention i n t h e f a c e of a l a r g e and difficult a c t i v e i t e m l i s t . A f t e r due d e l i b e r ation by the c o m m i t t e e , i t e m s m a y be shifted t o o r f r o m the d e f e r r e d g r o u p . S o m e m a y e v e n
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WILFRED W. SMITH
m o v e t o the c l o s e d group b e c a u s e of a change i n technology, i n t e r e s t , o r i n f o r m a t i o n r e g a r d i n g patentability. The c o m m i t t e e eventually c o m p i l e s a l i s t of a c t i v e i t e m s , a r r a n g e d a c c o r d i n g t o p r i o r i t y of attention f o r w h a t e v e r r e a s o n s , and a g r e e s upon a d i s t r i b u t i o n of effort by a s s i g n m e n t of p e r s o n n e l t o follow e a c h i t e m . In the l i s t of d i s c u s s i o n i t e m s t h e c o m m i t t e e will include t h o s e s u b j e c t s which s e e m t o defy tangibility or which a r e s o i m m a t u r e t h a t p r o p e r allocation e l s e w h e r e is i m p o s s i b l e . T h i s l i s t c o m p r i s e s the forget-me-not i t e m s . Some of t h e s e i t e m s o c c a s i o n a l l y t u r n out t o b e E v e r l a s t i n g F l o w e r s . E x p e r i e n c e r e c o m m e n d s the plucking of s u c h b l o o m s a f t e r about t h r e e y e a r s . If an i t e m hangs on the vine t h a t long i t is doubtl e s s lacking i n vitality and m a y w e l l b e d i s c a r d e d t o be r e v i v e d only on i t s m e r i t s if it e v e r develops any. Although not d i s c u s s e d in d e t a i l a b o v e , i t will be a p p a r e n t t h a t similar t r e a t m e n t will be a c c o r d e d o t h e r i t e m s i n t h e patent field. P o t e n t i a l infringement p r o b l e m s will b e l i s t e d by t h e c o m m i t t e e and c o m m u n i c a t i o n l i n e s e s t a b l i s h e d o r confirmed. The views of the r e s e a r c h g r o u p t o w a r d l i c e n s i n g u n d e r a p a t e n t ; the working of patent r e f e r e n c e s t o c h e c k o p e r a b i l i t y of q u e s tionable e x a m p l e s o r t o c h e c k anticipation of new i d e a s ; and t h e review of need f o r o r d i s t r i bution of f o r e i g n p a t e n t p r o t e c t i o n m a y all b e scheduled by the c o m m i t t e e f o r handling along s i m i l a r communication channels. Subsequent t o t h e c o m m i t t e e m e e t i n g , the m i n u t e s will be r e l e a s e d by the r e c o r d e r s o that a l l c o n c e r n e d m a y be acquainted with the outc o m e of d e l i b e r a t i o n s , The R e s e a r c h D i r e c t o r involved will b e a b l e t o r e c o g n i z e and allow f o r c o m m i t m e n t s of h i s people i n development of the patent p r o g r a m . A copy of the m i n u t e s t o o t h e r R e s e a r c h D i r e c t o r s and t o G e n e r a l Mana g e m e n t will s e r v e t o i n f o r m t h e s e people of the n a t u r e and extent of the p r o g r a m . T h e P a t e n t Division, by i n t e g r a t i o n of m i n u t e s f r o m the s e v e r a l S t e e r i n g C o m m i t t e e s , i f t h e r e be m o r e t h a n o n e , i s able t o p l a n a c t i v i t i e s and t o a l l o c a t e effort and p e r s o n n e l t o b e s t advantage. If
t h e filing and p r o s e c u t i o n of patent applications i s p e r f o r m e d by a patent a t t o r n e y who is not a m e m b e r of P a t e n t S e r v i c e , a copy t o h i m will p r e p a r e h i m f o r things t o c o m e . Thus t h e P a t e n t S t e e r i n g C o m m i t t e e sets the c o u r s e f o r c o m p l e t e follow-up of e a c h i t e m . L i n e s of communication, useful f o r c o r r e s p o n d e n c e o r c o n f e r e n c e , a r e e s t a b l i s h e d . Detailed c o n s i d e r a t i o n of d a t a f o r adequacy, c o o p e r a t i v e planning t o s e c u r e additional e x e m p l a r y o r equivalent m a t e r i a l , compilation of a h i s t o r y of an invention, and r e c o r d i n g of notebook o r r e p o r t r e f e r e n c e s will follow t h e s e l i n e s until t h e a s signment is complete. Although s h a r e d t o a c o n s i d e r a b l e extent by t h e r e s e a r c h g r o u p s , it is a p a r a m o u n t duty of P a t e n t S e r v i c e t o s e n s e invention and t o s e c u r e exclusive protection w h e r e possible. This m e a n s a n e a r l y and continued contact between R e s e a r c h and P a t e n t S e r v i c e , a n opportunity t o d i s c u s s what is going on i n r e s e a r c h , why the s p e c i f i c r e s e a r c h i s u n d e r t a k e n and how i t is affected by t h e existing art. In t h i s way, R e s e a r c h and P a t ent S e r v i c e will find t h a t inventive concept which is m o s t l i k e l y t o embody the r e s e a r c h eff o r t and t o yield patent p r o t e c t i o n . They will find it i n t h e f l u s h 3 f an e n t h u s i a s t i c r e s e a r c h s p i r i t when R e s e a r c h is a c t i v e and while num e r o u s people a r e d i s c u s s i n g the i d e a . Tog e t h e r they m a y c r e a t e a f r a m e w o r k f o r a patent application and t h e i d e a m a y g r o w with the e x p e r i m e n t a l evidence r a t h e r than a p p e a r suddenly as a s t r a n g e , cold notion lingering f o r e n t h u s i a s m . It i s abundantly c l e a r t h a t no r e s e a r c h p r o j e c t should b e c o n s i d e r e d c o m p l e t e until patent a s p e c t s have b e e n adequately e x p l o r e d . It i s a l s o c l e a r t h a t no new p r o c e d u r e s i n plant o p e r a t i o n s , e s p e c i a l l y i f they a r e r a d i c a l d e p a r t u r e s f r o m p r e v i o u s e x p e r i e n c e , should be u n d e r t a k e n on l a r g e s c a l e without inspection of p r i o r a r t t o m e a s u r e potential i n f r i n g e m e n t of a d v e r s e l y held p a t e n t s . T h e s e alone justify the e s t a b l i s h m e n t of c l e a n - c u t communications through a m e d i u m , s u c h as the P a t e n t S t e e r i n g C o m m i t t e e by P a t e n t S e r v i c e ; R e a r G u a r d of Research.
