LEDSMAGAZINEPATENTSPatents – are they a blessing ora curse for the LED industry?The patent system is intended to encourage invention and innovation, and should benefitthe LED industry, provided that the need for litigation can be alleviated by licensing andavoiding infringement, say Alice Martin and John Wappel of Barnes & Thornburg, LLP.When patent disputes occur, such as in the LED industry recently,questions arise about whether patenting helps or hurts individual businessesand the industry as a whole. To form educated answers on issuesinvolving patents and patent litigation, an understanding of themechanics of obtaining and enforcing patents is helpful.What is a patent?Patents are one form of protection for intellectual property that includescompositions of matter (e.g. products such as chemicals), methods(e.g. how to produce a lighting effect, business methods), apparatus(e.g. lights, winches) and computer software.United States patents are documents issued by the US governmentgranting exclusive rights to inventors over their inventions. Patentshave three basic parts: the specification, which describes what theinvention is, and how to make and use it; the drawings, if required,which depict one or more embodiments, or variations, of the invention;and the claims, which set the boundaries of what is protected, i.e.define the “claimed invention”.This distinction is important because some undue concern is generatedsurrounding the misconception that the items described in thespecification are “covered” by the patent. However, it is the claimsthat determine what subject matter is protected. Unless subject matteris covered in the claims of an issued patent, it is not protected.While the specification supports and explains the claims, the exclusiverights in the invention are defined by the claims. Parts of thespecification not appearing as claimed elements cannot be enforced.Claims are generally written in two ways: independent form ordependent form. An independent claim is just that, it stands on its ownand defines a complete invention having a discrete set of elements.Dependent claims refer to a previous claim, either an independentclaim or another dependent claim, and are a short-hand way of addingadditional elements. The elements covered in a dependent claiminclude the elements listed in that claim plus the elements in the claimfrom which the dependent claim refers.What is a patentable invention?Claims are patentable if they delineate an invention that is novel, usefuland non-obvious based on the claim elements considered as awhole. To satisfy the novelty criterion, there must be no public disclosure,publication, presentation, use, sale or offer to sell, by the inventoror others, of the invention as delineated in the elements of theclaims. (There are some exceptions and grace periods.)A claim is novel if there is no “prior art” that discloses the invention.(Prior art includes publications, patents and so forth that precedean invention.) Even one novel element in a claim should satisfy thenovelty requirement. Most inventions are combinations of existingelements (bolts, screws, gears, etc.) arranged in a novel way.Improvements to an existing product, method or apparatus may bepatentable even over existing patents. Asimple example is a patentedpencil having the elements of (a) a graphite core and (b) a protectivesheath positioned about the graphite core. A patentable improvementcould be adding element (c) an eraser, to one end of the pencil, assumingthat no one had done that before. Despite the new pencil/erasercombination being patentable, it would still infringe the first patentthat required only a graphitecore and a protective sheath,because the new pencil/erasercombination has each ofthe claimed elements of thefirst patent.In such cases, there isincentive to cross-license.For instance, using the pencilexample, the inventor of the“improved pencil” wouldhave an incentive to seek alicense from the owner of theprior-art patent so the inventorcould market his new pencil.The owner of the prior-artThe patent systemstrikes a balanceby grantingexclusive rights toinventors for alimited period oftime in exchangefor the inventor’sknowledge andtechnicalexpertise.patent, seeing the improvement and the likelihood that his customerswill want the improved pencil, would have an incentive to seek alicense from the inventor on the patented improvement so that he cancontinue in the pencil market.Some other patentability requirements include “enablement” – thespecification must teach how to practice the invention “without undueexperimentation” and “written description” proving the inventor“possessed” the invention. To satisfy the enablement and writtendescription requirements, a patent must contain a complete descriptionof the invention, and how to make and use it. The patent applicationshould include ways to make and use the invention in everyconceivable variation in the elements of the invention, including theway the inventor believes is best.Can a combination of popular technologies be patented?Yes, if the patent office decides that the combination is not “obvious”(US) or “lacks an inventive step” (non-US) and rejects claims to thecombination. This hurdle is almost always raised against patent applications,but can be overcome in debates with the examiner during prosecutionof the patent application (patent prosecution refers to dialogues12© Copyright 2006 IOP Publishing Ltd www.iop.org and Cabot Media Ltd. All rights reservedledsmagazine.com August 2006
with the examiner to get a patent issued).Before concluding that something obvioushas been patented, examine the claims allowedto issue a patent. The title, abstract and descriptionin the specification may make the claimseem unreasonably broad and obvious.However the actual claims, which define theboundaries of the patent protection, may bevery limited and include a non-obvious elementor combination.To overcome an obviousness rejection, anapplicant must show that there was no teaching,motivation or suggestion known to thosein the technical field (“those of skill in the art”)to combine the technologies, and/or that evenif there was such teaching, motivation or suggestion to combine thetechnologies, the combination would not equal all of the elements inthe claims of the patent application. For example, just because paints,canvas and brushes were known, the Mona Lisa was not obvious.Another way to overcome an obviousness rejection is to show thecombination constituting the invention yields “surprising and unexpectedresults”. If putting a device A that creates a fog together withdevice B that produces a pink light results in a blue beam then this isan unexpected result. Paper and adhesives may each be known, but acombination of paper with an adhesive border on one side that is sticky,Unless subject matteris covered in theclaims of an issuedpatent, it is notprotected by thepatent. Parts of thespecification notappearing as claimedelements cannot beenforced.LEDSMAGAZINEbut readily peels off may not be obviousbecause an adhesive with such a function wasnot known in the art.In hindsight, many inventions may seem“obvious”, but the courts have rejected“impermissible hindsight”, developed byknowledge of the patent application as supportfor patent claim rejections. It is easy to think“anyone could have made that combination”,but the examiner must use legal criteria to makethat call. To find out how a patent escaped orovercame obvious rejections, it is necessaryto examine the “prosecution history” (filehistory) that relates to the debate between theexaminer and the applicant to obtain a patent,from the filing of the patent application in a patent office to thepatent issuing.<strong>Review</strong>ing the prosecution history may reveal how an obviousnessrejection (which is almost always made during patent prosecution)was overcome by an applicant’s arguments. Other informationobtained from the prosecution history includes the meaning of claimterms (claim interpretation and limitations), which is based on literalmeaning in view of explanations in the specification and commentsin the prosecution history; and what prior art was consideredbefore the patent issued that was not found by the examiner to destroyPRECISION OPTICSWe have the largest range of stock optics for Lumiled,Cree,Osram and other LED manufacturers...• Side emitters, spot and line optics• Custom or stock lenses• Optical design service availablewww.carclo-optics.comsales@carclo-optics.comSome products are also available fromCarclo Technical Plastics (Slough) Ltd.111 Buckingham Ave. Slough, Berkshire, England SL1 4PFTel: +44 (0)1753 575011 Fax: +44 (0)1753 811359ledsmagazine.com August 2006© Copyright 2006 IOP Publishing Ltd www.iop.org and Cabot Media Ltd. All rights reserved13