A RHETORICAL APPROACH TO PATENTS:

A GUIDE TO READING A PATENT

_______________

A Project

Presented to the

Faculty of

San Diego State University

_______________

In Partial Fulfillment

of the Requirements for the Degree

Master of Arts

in

Rhetoric and Writing Studies

_______________

by

Dae Geun Kim

Summer 2015

iii

Copyright © 2015

by

Dae Geun Kim

All Rights Reserved

iv

ABSTRACT OF THE PROJECT

A Rhetorical Approach to Patents: A Guide to Reading a Patent

by

Dae Geun Kim

Master of Arts in Rhetoric and Writing Studies

San Diego State University, 2015

We can easily see the patent wars between technology companies nowadays.

Intellectual property is the key asset in the knowledge and information era. That is why many

companies invest a lot of money, time, and human resources in securing valuable patents.

Despite their importance, most people think that patents are the exclusive property of experts

in special fields. Frankly, patents are quite complicated documents, so reading a patent is not

easy for people who do not have extensive experience in the patent field. This patent reading

primer is designed for engineers, researchers, and fresh patent managers working for

Samsung Electronics in South Korea. The primer differs from other guides or manuals about

reading patents because it presents entry-level information for my fellow employees in the

company rather than the general public. I assume my audience is qualified to understand

technology, but novices in reading U.S. patents. Being granted a patent in the U.S. is

important for inventors because the U.S. offers the most competitive arena of technologies

and is the biggest market in the world, which is why I focus on U.S. patents in this primer.

This primer will cover structure, elements, meanings, and other background information

about patents.

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TABLE OF CONTENTS

PAGE

ABSTRACT ............................................................................................................................. iv

LIST OF TABLES ................................................................................................................... vi

LIST OF FIGURES ................................................................................................................ vii

ACKNOWLEDGEMENTS ................................................................................................... viii

CHAPTER

1 THE FRAMEWORK: RHETORIC, PATENTS, AND A READING GUIDE ...........1

REFERENCES ..........................................................................................................................9

APPENDICES

A A GUIDE TO READING A PATENT ........................................................................10

B THE UPDATED TEMPLATE FOR ...........................................................................32

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LIST OF TABLES

PAGE

Table 1. Simple Rhetorical Situation of a Patent .......................................................................4

Table 2. Linguistic Elements in Technical Documents .............................................................5

Table 3. Common Moves in Research Article Introductions ....................................................6

vii

LIST OF FIGURES

PAGE

Figure 1. The USPTO patent process flow chart. ....................................................................13

Figure 2. The cover page of US patent 7,274,948. ..................................................................19

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ACKNOWLEDGEMENTS

My experience in the Rhetoric and Writing Studies department at San Diego State has

been wonderful and useful. I have learned a lot about rhetoric and English itself. I would like

to thank my thesis project committee—Jane Robinett, Steve Merriam, Cathie Atkins, and

Tommy Martindale—for their support, guidance, and understanding on this thesis project. I

would also like to thank all of my professors in RWS. They have given me inspiration and

encouragement.

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CHAPTER 1

THE FRAMEWORK: RHETORIC, PATENTS,

AND A READING GUIDE

The United States Patent and Trademark Office (USPTO) defines a patent for an

invention as the grant of a property right to the inventor, issued by USPTO, as allowing the

inventor to exclude others from making, using, or selling the invention. Patents are valuable

assets for inventors or companies. Samsung Electronics, the company I work for, ranks

second in the number of U.S. patents registered, and is also aware of the importance of

creating and protecting its own patents. That is why Samsung sent me to San Diego State

University to study rhetoric and writing. When I decided to choose patents as the subject for

my thesis project, I wanted to connect rhetoric to patents because I have studied rhetoric for

almost two years at San Diego State, and have also worked in Samsung’s patent department.

Most Samsung Electronics inventors are engineers, and they are usually very busy

developing software or hardware. They have little knowledge of how to read or construct a

patent. When they want to develop their ideas into patents, the engineers are usually asked to

consult with patent managers about patents, especially when it comes to the meaning of a

patent’s elements and whether “prior arts” exist or not. In fact, I asked these questions when I

worked as a mobile engineer for Samsung.

Patent managers can become overwhelmed by repeated explanations of their work. If

engineers can refer to a patent reading guide—or if patent managers can offer them a patent

reading guide—the questions from engineers or inventors may become more infrequent, thus

saving valuable time for both. Furthermore, a patent reading guide can improve not only how

engineers understand the patent itself, but also may encourage them to create better patents,

since the correct analysis of existing patents in their field is essential to consolidate the

patentability of ideas. Currently, Samsung Electronics does not offer a patent reading guide

to their engineers and inventors. People who want to understand the meaning of patent terms,

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contents, and structures of patents can easily find related information on the USPTO website.

However, online information tends to be too broad because the target audience is the general

public; the information is also too general for engineers or inventors working in specific

fields.

Appendix A of this reading guide explains the patent process, outlines the history of

patents, presents the conditions required for patentability, and offers suggestions about how

to read and understand the specifications, drawings, and claims sections of a typical U.S.

patent document. The guide is written from an engineer’s point of view, and uses one of

Samsung’s U.S. patents and Samsung’s patent prosecution system as examples. Appendix A

is divided into three parts: (1) general information about patents, (2) the information

contained on the first page of a patent (the cover page), and (3) an explanation of the main

body of the patent document: the specifications, drawings, and claims sections.

In the general information section of Appendix A, I offer the definition of patents, a

discussion on patentability, and the patent prosecution procedure. This information may help

inventors understand the overall patent process and judge whether their ideas have

patentability or not; as a result, they may be more prepared when they begin working with

patent managers. Inventors can gather important information by referring to the patent

document’s cover page, so Appendix A also explains each item on that page. The main body

of a patent consists of specifications, drawings, and claims sections. Explanations of these

sections provide a key part of the reading guide. Detailed explanations and reading

procedures with a sample patent are provided.

Patent managers prepare prosecution based on the Disclosure of Information (DOI)

document written by inventors. The DOI describes an invention in detail, and it is extremely

important that the DOI is clearly written. An updated DOI template is presented at the end of

this guide in Appendix B. This template functions as a kind of writing guide, not a reading

guide; which means it might help inventors develop and shape their ideas for a patent.

I believe that I am well-qualified to create this reading guide because I worked in a

mobile development department at Samsung for ten years and then moved to the patent

prosecution group three years ago because of my engineering experience. I understand both

the engineering and patent sides of product development, so I can understand and appreciate

both engineers’ and patent managers’ needs. My intended audience is my Samsung

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colleagues who are familiar with the technologies within their engineering sectors. Most of

them are novices at reading and using patent information, so to help them understand patent

documents, I have provided Samsung’s U.S. patent 7,274,948 as an example.

Most people think that technical documents do not contain rhetorical elements or

should not be considered “rhetorical” because technical documentation, including a patent,

should present its data objectively. People may also believe that rhetorical devices can affect

the presentation of facts negatively in technical documents, and may argue that it objectively

presents factual information, which offers the most value in technical documents. But the

suggestions outlined in this reading guide assume that patents should rely on rhetorical

devices in order to be valuable and convincing. Therefore, I will examine a patent’s

rhetorical situation, the rhetorical elements in patents, and how to make a patent more

persuasive. The reading guide will use these ideas as an intellectual framework.

When people think of rhetoric, they think of writing first and reading second. For

example, my department at San Diego State is called Rhetoric and Writing Studies. But

reading is separate from writing, and rhetoric should be considered in the activity of reading,

particularly reading done for a critical or analytic purpose. In his book Reading As Rhetorical

Invention, Douglas Brent says that the process of reading is not just the interpretation of a

text, but the interpretation of another person’s worldview as presented by a text (21). It is

evident that writing is a rhetorical act because writers want to inspire, inform, impress, and

persuade audiences in order to change or reinforce an audience’s beliefs, values, habits, or

actions. But reading is also a rhetorical act of receiving an author’s intentions. Reading

rhetorically can help audiences understand an author’s intention and deepen their

understanding of texts. Lloyd Bitzer defined the rhetorical situation by saying:

A complex of persons, events, objects, and relations presenting an actual or

potential exigence which can be completely or partially removed if discourse,

introduced into the situation, can so constrain human decision or action as to bring

about the significant modification of the exigence. (6)

The rhetorical situation is comprised of the author, audience, purpose, and content of

the text. Successful readers understand the rhetorical situation and know what the text says

and how the author says it. So audiences need to see texts in two different ways: from the

reader’s stance and from the writer’s stance. It is helpful to read texts rhetorically by

reminding ourselves of the following rhetorical questions during our reading.

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Who is the author?

Who is the target audience? Am I included in the author’s target audiences?

What is the author writing about?

What is the author’s purpose? What is my purpose for reading? Are the author’s

purpose and my purpose correspondent?

How does the author try to influence target audiences? What seems to be the

author’s strategies?

Rhetorical reading is necessarily accompanied by rhetorical analysis. Aristotle’s well-

known persuasive appeals—his concepts of ethos, pathos, and logos—are the basis of

rhetorical analysis. Ethos refers to an author’s credibility or character, and assesses whether

the author is qualified to address the topics or not. Ethos can be developed by using proper

words, correct grammar, and an author’s expertise about the topics. Pathos represents an

appeal to emotions based on the feelings elicited by the text. Pathos is developed by using an

emotional tone or describing examples that stir emotion. Logos refers to a text’s ability to

convince using logic and reason. Texts use logos when they cite facts and construct logical

arguments. Although all three appeals are often used together, Aristotle separates them in

order to clarify their differences. Table 1 presents the rhetorical situation of a patent by

providing simple answers to questions as they relate to a patent.

Table 1. Simple Rhetorical Situation of a Patent

Author Inventors and patent attorneys

Audience Examiners during the filing procedure and people in the same line of business

Purpose Protect inventions and encourage the development of new inventions

Content Specification, drawings, claims

Rhetoric is the study of communication, an investigation into our interaction with

other people. We can persuade, share, inform, and inspire designated audiences in order to

change their values, opinions, or behavior using rhetorical strategies. In this sense, a patent is

rhetorical because a patent basically exemplifies the art of persuasion. Persuading a patent

examiner is the ultimate goal of a patent application. Inventors and patent attorneys must

convince examiners in order to have their products patented. Most people think that new

technologies or new discoveries can be granted a patent easily, but the only official link

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between inventors and examiners is the patent application document. And patent documents

are the result of multiple interactions between many people—patent attorneys and examiners,

engineers, managers, etc.—which is why patent documents should be written carefully and

rhetorically for prompt registration.

Reading patents rhetorically is also important. In fact, the claims in the patent

specification are regarded as the most important part of a patent document. Claims represent

the range of rights granted to the patent and the scope of its technology. The claims’ structure

is comprised of multiple sentences. Because these sentences are closely interrelated, there is

always a possibility that different readers will arrive at different interpretations of the same

claim. Unclear wording in claims is one simple reason that many patents are disputed. We

engineers need to use and understand rhetorical strategies in patent documents, not only to

write strong patents but also to protect our own patent rights.

In order to better understand patents and their implicit meanings, it might be useful to

analyze what rhetorical elements are used in technical/scientific documents. We need to take

into consideration some linguistic elements and examine how these elements work in patents.

If we consider the linguistic elements and the meanings described in Table 2, reading patents

can be more interesting and informative.

Table 2. Linguistic Elements in Technical Documents

Hedge Softens your assertion: “It is likely that”

Booster Strengthens your claim: “It is clear that”

Voice Passive voice is used to describe a process or a method

Modal verb Promotes vagueness: may, might, and could qualifies the verb

Evaluative Strengthens the positive stance: comprehensive, practical, and useful

All technical or scientific documents have an introduction section that provides a

context about the document’s purpose: this includes patents. And in patents, the introduction

section establishes the foundation to expand ideas. Rhetorician John Swales developed the

“create a research space” (CARS) model to facilitate writing the introduction sections of

research papers. In this model, Swales argued that new research needs to create a space and

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fill a gap left by previous research (331). He suggested three rhetorical moves which are

summarized in Table 3.

Table 3. Common Moves in Research Article Introductions

Move 1 Establish topic and significance (“establish a territory”)

Show that the general research area is important, central,

interesting, problematic, or relevant in some way

Introduce and review items of previous research in the area

Move 2 Establish need for present research (“establish a niche”)

Indicate a gap in previous research or Extend previous knowledge in some way

Move 3 Introduce the present research (“occupy the niche”)

Outline the purpose or state the nature of the present research

List research questions or hypotheses

Announce principal findings State the value of the present research Indicate the structure of the RP

The background of the invention section in a patent shows Move 1 (establish a

territory). A broad description of the field of technology should be presented in this section;

this part also deals with the invention’s prior arts. Move 2 (establish a niche) might be found

in this section as well, because some patents include the weak points of previous patents and

try to show differences between older and newer patents. The brief summary of the invention

section and the detailed description of the invention part usually show Move 3. These two

parts discuss the advantages of the current invention and describe how this invention solves

problems that could not be solved by previous patents. The claims section is the heart of

“occupying the niche.” The claims describe the limits of the patent owner’s property right.

Next, the questions posed by Bitzer (above) might help engineers and inventors

analyze the patent: specifically, a description of the patent should answer these questions: (1)

What kind of technology does the patent address? (2) What is protected in the patent? (3)

How was the object or process invented? (4) What are the patent’s advantages compared to

prior art? Rhetorical moves embedded within patents might not perfectly match the CARS

model. But Swales’ model can be very useful in determining how writing and reading patents

can be like other technical or scientific documents.

Guides and manuals are reference documents, and readers keep guides at their desks

or on their bookshelves within easy reach. That is why these kinds of documents need to be

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well written and organized. I wanted this reading guide to be rhetorical unlike other patent

reading instructions that simply explain the elements and structure of a patent. I have tried to

apply what I have learned in the Rhetoric and Writing Studies department at SDSU. As an

engineer at Samsung Electronics, I had no academic background in rhetoric before studying

at SDSU. All of my RWS courses have proved helpful as I wrote this guide.

I learned basic academic writing and formatting skills in LING 505 and RWS 508. As

an ESL student, these two writing courses gave me an opportunity to enhance my English

writing skills. RWS 508 provided me with basic concepts and tools for scientific writing. In

LING 505, I learned elements of academic writing and how to analyze academic essays.

Introduced in LING505, Swales’ CARS model encouraged me to begin reading research

articles and taught me how to find the center of articles.

I was on the technical writing track in RWS, so professional writing courses (RWS

503, 504, 505) were required classes for me. I took three professional writing courses three

semesters in a row, and they allowed me to develop many practical documents including

proposals, memos, reports, and recommendation reports. These taught me how to develop

and manage writing projects in real situations. Doing the projects with real customers was a

new experience for me, and it was a good opportunity to apply what I learned in class to the

real world.

In RWS 600, my first rhetoric class, I learned what rhetoric is and how rhetoric is

used in texts. This course allowed me to develop the foundation of rhetoric. Aristotle’s

concepts of pathos, ethos, and logos introduced in this course became a key component of

my new rhetorical interests. I tried to apply those Aristotelian appeals to the reading guide.

I had an opportunity to write research articles in RWS 602 and RWS 640. Although I

chose the thesis project over a traditional thesis for my degree document, writing a research

article offered me a good opportunity to explore the discipline of rhetoric and writing studies.

I was introduced to student and professor projects in RWS 640. Through the course

presentations, I became more familiar with research methods and with approaches to research

in general.

RWS 501, Content Editing, introduced me to the basic principles and tools for editing.

I learned how to use editing technologies and develop style guides. Everything I learned in

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the course was essential as I developed and practiced my writing process, so I tried to apply

what I learned while completing this thesis project.

In this framework chapter, I have outlined the purpose, inspiration, and contents of

the project. By using this reading guide, I hope that engineers and researchers in the

development departments at Samsung Electronics can read and understand U.S. patents

easily and more efficiently. Ultimately, I want this reading guide to serve as a bridge between

my colleagues’ ideas and their patents, and provide a strong foundation as they prepare to

patent their work.

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REFERENCES

Bitzer, Lloyd. “The Rhetorical Situation.” Philosophy and Rhetoric 1.1 (1968): 1-14. Web.

23 Feb. 2014.

Brent, Douglas. Reading As Rhetorical Invention: Knowledge, Persuasion, and the Teaching

of Research-Based Writing. Urbana: National Council of Teachers, 1992. Print.

“Homepage.” The United States Patent and Trademark Office. Office of the Chief

Communications Officer, n.d. Web. 10 Feb. 2015.

Swales, John M., and Christine Feak. Academic Writing for Graduate Student. Ann Arbor: U

of Michigan P, 2012. Print.

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APPENDIX A

A GUIDE TO READING A PATENT

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Introduction

Reading patents can be frustrating. However, if engineers know the structure, key-points, and

elements of patents, they can become more efficient in getting the information they need. The

purpose of this guide is to offer suggestions about how to read and understand U.S. patents,

especially how to comprehend their key points and organizational structure. The guide was

written based on my career both in engineering and in patent prosecution, so besides

describing how to read a patent, this document also provides information about the patent

application process, U.S. patent history, and patent searching. As an engineer, you know that

a patent is a very complicated technical document, so I cannot assure you that you will be

fully satisfied with this quick guide. If you need further information, please contact the patent

manager in charge of your department.

This Appendix consists of three parts: general information about U.S. patents, explanations

for the first page of a patent, and a reading guide for the specification, drawings, and claims

sections of a patent. It also offers information about U.S. patents such as the application

process, history, and patentability. The cover page of a patent document has a lot of

information. By reviewing the cover page carefully, you can discover a summary of a patent

in a short amount of time. Specifications, drawings, and claims comprise the main body of a

patent. You will be introduced to where the important information is, how patents are

organized, and how to interpret them.

This guide is concise but clear, so you can reach for it whenever you need a quick reference.

I hope that this reading guide contributes to your understanding of patents and helps you

patent your ideas.

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General Information

What is a patent?

According to the United States Patent and Trademark Office (USPTO), a patent is a

government-administered contract between inventors and society that grants the owner rights

to exclude others from making, selling, using, or importing the invention for a limited period

of time. A patent has two important functions: protection and disclosure.

Protection: Patents are legal instruments similar to other intellectual properties. They are

intangible assets so the benefits of patents result only by practicing the rights granted.

Inventors would not have proper protective legal rights for their inventions without the patent

system. So you can protect your exclusive rights to your invention by patenting it.

Disclosure: The publication of a patent and patent application gives the public a chance to

access new information. Most non-provisional patent applications are automatically

published 18 months after their earliest priority date. As a result, the patent system can

promote progress and innovation in the science and technology field by conferring exclusive

rights to inventions.

The Intellectual Property (IP) group at Samsung Electronics regularly offers IP seminars for

engineers. This provides a good opportunity to learn about patents and this system. For more

details, visit the Samsung Intellectual Property Management System (SIPMS) site, online.

Patent Process Overview

Although patent managers in the IP group are concerned with and develop patents for

inventions, inventors need to understand the patent granting process within the USPTO. The

process begins with the filing of a patent application and ends with the issuance of a granted

patent. It would be reasonable to think that the examination process should only take a few

months, but the whole process may take as long as several years. Figure 1. shows the

USPTO’s patent application process.

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Figure 1. The USPTO patent process flow chart.

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The U.S. patent history

It might be helpful to have an awareness of the development of U.S. patent laws. The current

criteria for patentability has evolved from a series of rule changes. This section briefly

describes the major events in U.S. patent history.

The United State Constitution (article 1, section 8) empowers Congress to establish a national

patent system to “promote the progress of science and useful arts by securing for limited time

to authors and inventors the exclusive right to their respective writings and discoveries.”

In 1790, the U.S. Congress enacted the first patent statute and provided a designated group of

executive officers to determine if an invention was “sufficiently useful and important.” Three

years later, Congress amended the 1790 Act to include the importance of determination and

authorized patents for “any useful art, machine, manufacture, or composition of matter, or

any new useful improvement thereon, not known or used before the application” (USPTO).

Throughout the nineteenth century, the U.S. Congress enacted major revisions of the patent

law by establishing a patent office and the examination system of patent applications based

on novelty and prior art. Congress established procedures to determine priority rights to the

invention. This concept connected to a first-to-invent priority rule.

In 1952, Congress enacted a new patent law, United States Code Title 35. This patent act is

still effective in current patent laws. The code provided a definition of infringement and

included statutory provisions on non-obviousness.

In 1999, the U.S. patent laws were revised again with the passage of the American Inventors

Protection Act (AIPA). Pre-grant publication at eighteen months from the earliest claimed

filing date, request for Continued Examination, and patent terms were defined in the AIPA

provisions. The American Invents Act (AIA) was signed on September 16, 2011. The biggest

modification in the new law was the change to a “first-to-file” system from a “first-to-invent”

system, which aligned the U.S. patent system with international patent systems.

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Condition of patentability

Before your invention begins the patent process within the IP group, the application goes

through a series of examinations by patent managers, patent attorneys, and experienced

engineers in the field related to the patent. The purpose of this examination is to check

whether inventors’ ideas meet the conditions of patentability or not. This step is important

because patent laws require the application to meet certain conditions to be registered patents.

All inventors should understand the conditions of patentability when they want to patent an

idea. These requirements imposed by U.S. patent law (35 USC 101, 102, 103) can be

summarized as follows:

Patentable subject matter

The boundaries of patent-eligible subject matter encompass any new and useful

process, machine, manufacture, or composition of matter. Patents cannot be

granted to laws of nature, natural phenomena, or abstract ideas.

The invention should have utility.

Having utility means the invention must have a practical or real-world application

and be useful.

The claims should be clear and definite.

The function of claims is to identify the subject matter and the scope of invention.

Clear and definite claims are important to determine patent infringement.

Therefore, the patent laws require that the claims have a specific, rather than a

general, meaning.

The invention should be novel.

In other words, the invention must be new compared to the prior art.

The invention should be nonobvious. Although the invention differs from the prior art, if the differences would occur

and be found to persons skilled in the art, the invention is obvious.

The specification should enable the practice of the invention.

To satisfy the enablement condition, the invention should be described in clear

and exact terms so that persons skilled in the art can make and use the invention.

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Patent Search

How to find an existing patent

Patent information is a valuable resource for engineers and researchers. You might be

searching for patents to avoid infringing upon other patents, to determine the patentability of

your invention, or to refer to your work that has been patented previously. If your Disclosure

of Invention (DOI) is accepted by the IP group, the patent manager in charge of your

department will delegate the search to outside patent searching companies, who are tasked to

find prior arts for potential patent applications. But as an inventor, you will need to find other

patents or relevant prior arts for your invention. Many patent organizations or patent agencies

provide patent searching databases. Samsung also provides its own searchable database in the

SIPMS. But no database can cover all patents published worldwide. Thus it is necessary to

search for patents in various patent databases in order to find the relevant patent you want.

Google also provides a patent searching service. Google Patents is the global patent search

engine connected to the USPTO, EPO, and other patent agencies. Let’s take a quick look at a

simple way to use the Google patent search and search the sample patent database with some

key words.

1. Navigate to the Google patent search database (www.google.com/patents). You will be

directed to an initial screen like the one reprinted below.

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2. Enter the appropriate search terms or the patent number if you already know it, and then

click the Google Search button.

3. Review the search results. The database may display hundreds of patents depending on the

search terms. If you cannot find the patents you want, try searching with other terms.

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4. If you want to refine your patent search, click the Advanced search button. The Advanced

Search screen offers various options for searching patents.

5. If you want to read details of the patent, click the patent’s title. You can use various tools

provided by Google such as Find prior art, Discuss this patent, and View PDF.

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What information does a patent document contain?

Explanation of each item on the first page

The first page of a patent document presents a wealth of information about the patent. Each

item is identified by the numbers in parentheses, which are called Internationally Agreed

Numbers for the Identification of Data (INID) codes. We can get a summary and a history of

the patent through understanding this page. Let’s take a close look at the individual sections

of the sample patent 7,274,948, presented in Figure 1.

Figure 2. The cover page of US patent 7,274,948.

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(12) Type of Document: The sample is a utility patent, and simply presents "United States

Patent” as the type of document in section (12). The last name of the inventor is presented

under the type of document. If there are several inventors under the same patent, the cover

page lists the last name of the first, or representative, inventor, followed by "et. al" In this

patent, there are several inventors and the representative inventor’s last name is “Kim.”

(10) Patent No.: The patent number or publication number is presented in a column to the

right of the name. Often, a letter accompanies the number. The sample patent has B2 after the

numbers. That means this patent is a utility patent and has been published previously as an

application.

Tip! Some suffixes frequently seen in a patent

A1 - Published Patent Application - (if application is published more than once, A2

for second, etc.)

B1 - Utility Patent, not previously published

B2 - Utility Patent, previously published as an application

C1 - Reexamination Certificate (if more than one certificate, then C2, C3...)

E1 - Reissue Patent

S - Design Patent

(45) Date of Patent: The date the patent was issued by the USPTO. The sample patent was

issued on September 25, 2007.

(54) Title: The full title of the patent. The title needs to be specific in order to represent the

invention completely.

(75) Inventors: All of the inventors are listed on the patent with the city and country where

they reside.

(73) Assignee: If the patent is owned by a third party (in our case, Samsung Electronics), the

name of company or organization is listed here.

(*) Notice: Sometimes the term of the patent is extended because of a USPTO processing

delay. If the term is extended, it will be noted here as the number of extension days. If the

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cover sheet does not provide the dates, the term was not extended. The term of this patent

was extended by 143 days.

(21) Appl. No.: (Application Number) The identifying number of the sample application is

11/177,295 in this case. This application number is always six digits (177,295), assigned

sequentially as the applications are received by the USPTO, prefixed by a two-digit series

number (11). When the number reaches 999,999, the USPTO starts a new series.

(22) Filed: The date indicates when this application was filed.

(65) Prior Publication Data: The publication number and date are listed here. In this

example, the application was published on May 11, 2006, as Published Application Number

"US 2006/0099995 A1."

(30) Foreign Application Priority Data: If the application is relevant to any other

applications or patents, those will be listed here. In this example, patent 7,274,948 was based

on Korean patent application number 2004-0091940 filed on November 11, 2004. The patent

term would be measured from the filing date of the earliest application listed here.

(51) Int. Cl.: (International Patent Classification) All patents are classified by subject matter

for ease of searching, depending on the features of the invention. This patent was classified

in subclass H04M 1/00, defined as follows:

H: ELECTRICITY

H04: ELECTRIC COMMUNICATION TECHNIQUE

H04M: TELEPHONIC COMMUNICATION

1/00: Substation equipment, e.g. for use by subscribers

Tip! You can browse and search the International Patent Classification on the WIPO

website (www.wipo.int/classifications)

(52) U.S. Cl.: (United States Patent Classification) The USPTO uses its own classification

database in which all inventions are first put in a class designated by a three-digit number,

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then in a numbered subclass under the class. In this case, the patent was classified primarily

in subclass 455/550.1, defined as follows:

455 Telecommunications

500.1 Radiotelephone equipment detail

Knowing the U.S. classification for a patent is important in searching because sometimes you

need to search by a classification number rather than by keywords.

Tip! You can browse and search both the USPC (United States Patent Classification)

and the CPC (Cooperative Patent Classification) on the USPTO website

(http://www.uspto.gov/web/patents/classification)

(58) Field of Classification Search: The U.S. classification codes placed here are those

used by the USPTO examiner when he or she examined this patent.

Tip! If you want to search more patents that seem to be similar to your idea, these

codes point you to other classifications.

(56) References Cited: This is a list of the prior art that the examiner searched. Patents

displayed with an asterisk are those that the examiner felt particularly relevant to the

patentability of this patent. Both the U.S. and foreign patents may be listed; in this case,

Japanese patents were cited.

Primary Examiner: The section provides the name of the USPTO examiner who reviewed

the application when it was filed with the USPTO.

(74) Attorney, Agent or Firm: Patent attorneys, patent agents or law firms may be listed on

the cover sheet. In this case, the firm who filed and prosecuted the application was Berdo &

Goodman LLP, and Abrams Roylance was the patent attorney who processed the

application.

(57) Abstract: A brief summary of the invention, less than 150 words, is provided in this

section of the cover page. The abstract of less than 150 words is usually a much more

comprehensive description of the invention for readers’ understanding.

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Number of claims and drawing sheets: This section of the page simply lists the number of

claims and drawing sheets in the patent. This sample patent contains 10 claims and 5

drawings.

Tip! The claims section is the last section of a patent, so you can identify whether the

patent is complete by looking at the last page of the claims section.

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How to read and understand a patent document

Drawings

According to the USPTO, drawings are required when necessary for the understanding of the

subject matter of the invention. Most utility patents contain drawings that show every feature

of the invention as specified in the claims. However, some inventions might not need

drawings, such as a chemical compound or a pure method of business (such as a particular

type of financial service). There are usually a number of drawings in a patent, numbered

from "FIG.1." A figure can be broken up into several sub-figures to show the different

functions at the same stage. Sometimes drawings are required to show how things were done

before the invention was made. Such figures will be labeled as "Prior Art.” The sample

patent contains 5 drawings using 3D view, block diagram, and flowchart.

1. 3D View

A 3D view shows a device as it might look if seen in three

dimensions. This sample figure shows a mobile

communication terminal comprised of a detachable display

window of the sample patent.

2. Block Diagram

Block diagrams are used to show the various parts

of a system in very general terms, and indicate the

relationship of the parts. The block diagram in the

sample patent shows a system of mobile

communication terminals with a detachable display

window.

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3. Flowchart

Flowcharts represent the steps of a method or

process. The sample figure illustrates a video call

processing method used in a mobile

communication terminal with a detachable

display window.

4. Section View

The section view shows the invention as if it had

been sliced through with a knife. Usually the

drawing presents a perspective or flat view of the

device, and the location where the section is cut

will be indicated by a dashed line with arrows

showing the direction of the view.

5. The Exploded View

Exploded views show how the piece and parts of the

invention fit together. Exploded views provide a way of

explaining how to assemble the invention step by step.

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Specification

The specification section describes the invention and the technology related to the invention

in words. The patent specification is drafted to satisfy the USPTO’s requirements for

patentability and to define the scope of the claims. The claims, however, are described

separately from the specification.

The specification has the following sections:

1. Title of the Invention: The title of the invention describes the essence of the invention in

a simple word.

2. Cross-Reference to Related Applications: If the patent is related to other patents, or

based on earlier-filed US applications, that information will be stated directly after the title. If

the earlier applications became patents before the potential patent was issued, the patent

numbers will usually be noted here. Foreign priority patents can be listed here as well. In the

sample patent, the Korean patent number 2004-91940 was listed.

3. Background of the Invention: The Background of the Invention consists of two parts:

(1) Field of the Invention: This is a very broad description of the area of technology.

Tip! The field of the invention is usually stated in two sentences. The first is a statement of

the class definition, the second is similar to a subclass definition. Here is an example:

The present invention relates to an antenna tuner. In more particular, the present invention

relates to a tuner and a method for adjusting antenna impedance.

(2) Description of the Related Art: This section discusses the prior art. This section often

includes references to specific patents or other documents, a discussion of shortcomings of

prior patents, and the problem this invention is designed to solve.

4. Summary of the Invention: This section is used to list the objectives of the invention.

The purpose of the device in the sample patent is to allow users to exchange video data using

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a detachable display. The summary can include advantages of the invention or describe how

it solves problems.

5. Brief Description of the Drawing: If drawings are included in the patent application, a

simple description of each drawing is provided. This section explains what is depicted in the

drawings in the most general way possible.

6. Detailed Description of the Invention: This section of the specification is used to

describe the various embodiments of the invention in great detail. Its purpose is to adequately

and accurately describe the invention. The invention should be distinguished from other

patents by full, clear, and exact explanations, so any skilled person in the same field could

make and use the invention. Drawings (Figures) are explained in detail with reference

numbers. The detailed description will often include a method of making an invention, or a

method of using it.

Claims

Claims are the most important section of a patent because they define what the patent covers

and what could infringe upon the patent. In other words, the inventor can have the right to

exclude others from making, using, or selling the invention only by the claims recorded in

the patent. That is why reading and understanding the claims of a patent is the key to

determining if a given product or process infringes upon the patent. However, reading and

interpreting claims is often tricky for inventors, who are not usually experts in patent law.

This section will introduce the subject of reading claims; engineers use the information

introduced here to make the initial claims for their inventions or to interpret other patents. As

an inventor, you may be asked to review the claims that your patent agency has drafted. Do

not determine the meaning of a patent’s claims by yourself. There are patent attorneys in the

IP group who will help you. Do not hesitate to contact your patent manager and patent

attorneys at any time if you are unsure of any patent claim.

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Claims are presented as numbered paragraphs in single sentence format, and are placed at the

end of the patent document after the specification of the invention. Most utility patents have

between10 and 20 claims, but the number of claims depends on the scope of protection.

There are two types of claims, independent claims and dependent claims. An independent

claim stands by itself as the name implies, whereas a dependent claim refers to another claim

and incorporates its terms by reference.

The following independent claim for an apparatus is taken from the sample patent:

1. A mobile communication terminal for displaying an image, comprising:

a display window detachable from a main body, for performing short-range wireless

communication with the main body; and

the main body for performing the short-range wireless communication with the display

window, the main body comprising a programmed controller responsive to detachment of the

display window from the main body for operating an ear speaker provided to the main body

when it is determined that the display window is detached from the mobile communication

terminal, and for operating a high-power speaker when it is determined that the display

window is attached to the mobile communication terminal.

wherein the detachable display window has a liquid crystal display (LCD) wireless

communicating unit for providing wireless communication based on a short range wireless

communication protocol, and for displaying the image.

Claims generally begin with a preamble that establishes the context of the invention. The

preamble could be treated either as a claim limitation or as introductory language, and

usually ends with the connecting word “comprising” or “consisting of.” These connecting

words mean that elements or limitations follow.

The sample claim above has a preamble ("A mobile communication terminal"), the

connecting word ("comprising"), and a list of elements, a detachable display and the main

body. The “Wherein clause” is used to introduce a limitation.

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Claims to methods would be written in the same way as the apparatus claim above, except

that each of the elements would be a step, usually starting with a verb. Claim 3 in the sample

patent describes a method. 3. A method for controlling a mobile communication terminal

comprising a display window, the method comprising the steps of:

Upon receiving a video call packet, displaying a call request; and

Entering a video call mode using short-range wireless communication when it is detected

that the display window is detached, and entering a video call mode when a send key is

pressed.

Dependent claims are dependent on the claim they recite. A dependent claim references a

specific independent claim or a preceding dependent claim. Dependent claims limit their

independent claims and specify the invention. The following claims are dependent on claim 3

mentioned above.

4. The method of claim 3, wherein the display window comprises a liquid crystal display

(LCD).

5. The method of claim 3, wherein the display window has a camera module.

Claim 4 and 5 depend on claim 3 and narrow claim 3 by referring to an “LCD” and to “a

camera module.” This means that claim 4 and 5 include all of the elements and limitations

mentioned in Claim 3. As you can see, each dependent claim cannot stand alone but rather

must be read in conjunction with one or more of the preceding claims to have specific

meaning. Each dependent claim is narrower in scope than the claim it modifies.

Key terminology for understanding claims

Patents in the technology field frequently use specific terminology in their claims. Knowing

the meaning of this terminology will help inventors and engineers. The list below includes

terms that often appear in patent claims in the electronics and computer fields (Garrod,

“Glossary of Judicial Claim Constructions in the Electronics, Computer and

Business Method Arts”).

30

Terminology Meaning in claims

automated working with little or no human actuation

comprising including, but not limited to

converting changing one thing into another

controller

a device that actuates and/or directs the operation of other components,

or is capable of making decisions with respect to the operation or

actuation of those components.

database a collection of information organized in such a way that a computer

program can quickly access desired pieces of data

deriving to obtain something from another thing or source

embedded introduced as or made an integral part thereof

event an action or occurrence detected by software

host the primary or controlling computer in the system

in response to to take some action in reply to or in reaction to the request

integrated circuit a combination of multiple circuit elements

linked associated with, related to, or connected to

maintaining preserving or keeping in a given existing condition

keeping the most current information available

memory any device where information can be stored and retrieved

port the physical connector that allows for the connection and data exchange

between devices

predetermined determined beforehand

real time as instantaneously as possible

signal a visual, aural or other indication used to convey information

an impulse by which messages or information can be transmitted

system computer hardware running with the required software program

terminal an endpoint for the connection

threshold the value of current, voltage or other quantity at which something

happens

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TIP! How to skim a patent: Getting the essence of a patent without reading all the

words

Step 1: Read the Title and the Abstract First

The invention’s title offers a brief and technically accurate description of the invention. You

can understand the invention and its relevance to your interest through the title. As in other

research documents, the abstract in a patent is the summary of the invention that denotes its

technological field. The abstract might provide the composition of the invention, present the

technical problem, offer a simple description of the solution, and/or describe the principal use

or uses of the invention. Namely, abstracts address questions such as, What is this thing?,

What does it do?, and What problem does it solve?.

Step 2: Skim the Description

Read the description about the background and summary of the invention. Be warned though:

these descriptions of the invention present an overall understanding of the invention, and

broad language might be useful to read and understand generally, but broad terms cannot

describe the invention specifically.

Step 3: Refer to the Drawings

Brief descriptions of drawings are provided before the detailed description. Reviewing the

list of drawings and then browsing the figures themselves can help you understand the

invention in more detail. As you know, sometimes a drawing is a more powerful tool for

understanding than a long list of text.

Step 4: Read Claim Number 1

The claims define what the patent covers and what will infringe. Claim #1 is an independent

claim, so it stands by itself. Claim #1 in a patent is usually the broadest claim, so it might

address the overall scope or technology a patent claimed.

Step 5: Decide Whether to Continue

Did the patent give you the information you were looking for? Is it helpful to your work? If

so, begin a more thorough reading of the patent. If not, search for another patent.

Step 6: Read Deeper into the Patent

If you are still interested in the patent, return to the first page. Search for more information

about the patent using items on the first page.

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APPENDIX B

THE UPDATED TEMPLATE FOR

DISCLOSURE OF INVENTION

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A Disclosure of Invention (DOI) Template for Inventors

This template is not related to the reading guide. Rather its serves as a writing guide for your

DOI. The DOI is a basic document describing an invention in detail. Patent managers will

prepare patent specifications based on your DOI. As an inventor, you need to describe your

technical ideas using the following DOI template, which consists of several parts. This

template will not only be helpful as you develop and organize your ideas, but will also help

you understand other patents. The sections in gray in the template are instructions; delete the

text in these sections before writing about your invention.

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DISCLOSURE OF INVENTION

1. TITLE OF THE INVENTION

This section should reflect the main art of the invention. A title can be used for getting a

sense of the invention. Refer to the following guidelines when developing your title:

The title of the invention should be meaningful.

The title should indicate the subject to which the invention relates as clearly, concisel

y and specifically as possible.

If the patent document contains claims in different categories (product, process, appa

ratus, use), this should be evident from the title.

Do not use the word “patent,” and avoid personal names, proper nouns, fancy names,

trade names, trademarks or abbreviations or terms such as “etc.”

Example: Wireless charging apparatus and portable terminal including the same

2. INVENTORS’ PROFILE

Position Name Office Phone Number

First Inventor Senior

Engineer Benjamin Park

DMC R&D

Center 010-123-3456

Other Inventor

Other Inventor

Other Inventor

Other Inventor

3. KEYWORDS

This section provides specific keywords that illustrate the invention’s related technical

fields. Refer to the following guidelines when developing keywords:

Keywords should represent the core of your invention.

Keywords can be either single words or a short group of words.

Synonyms can be included using parentheses.

Example: wireless power (energy) transfer, power control, adaptive impedance matching

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4. PATENT APPLICATION VALIDITY REVIEW

Validity Check Question Answer

Q1. Is the invention presented or disclosed to others outside

the company? Yes/No

Q2. Does the invention apply to a launched product? Yes/No

Q3. If yes in Q2, what is the model name of the product? SPH-1300

5. BACKGROUND

A. FIELD OF THE INVENTION

Briefly describe the general field that includes your invention.

Include specific technology that is directly relevant to you invention.

Enumerate the products to which the technology of this invention can be applie

d.

Example: The present invention generally relates to light emitting diodes. In particular,

the present invention is directed to light emitting diode (LED) devices for use as white

light sources in functional lighting applications. This technology can be applied to the

backlit units of TVs and mobile terminals.

B. DESCRIPTION OF THE PRIOR ART

Describe the general knowledge that includes your invention and the specific inf

ormation directly related to your invention.

If you know the patent, paper, web document or any other source related to the p

rior art(s), please include patent numbers, source citations, such as title, publishe

r, and author(s), or URLs of webpages.

If there are technical limitations or effect of the prior art(s), please mention them.

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C. PURPOSE OF THE INVENTION

Describe the technical task achieved by your invention.

Example: The present invention has been made in an effort to provide a method for

estimating temperature of a rotor of a motor that is capable of improving performance

and efficiency of a motor control system according to accurate temperature estimation of

the rotor.

D. COMPARISON BETWEEN THE INVENTION AND THE PRIOR ART

It is important to show the differences between your invention and prior arts to

support the patentability. As the inventor and expert in the field of your invention,

you should search the prior arts and compare them to your invention. Provide a

description of the differences between your invention and the most relevant prior art.

What is the strength of your invention compared to prior arts? What key aspects

make your invention unique? A comparison table can present a comprehensive

overview about the differences between the invention and the prior arts. Provide the

summary of prior arts, and fill out the table for each prior art.

Reference Feature of invention Feature of Prior art How different

US 5876321 Capacitance

touchscreen

Resistive

touchscreen

Based on capacitive

coupling, it detects

human body

capacitance as input.

6. DRAWINGS

An invention can often be more easily explained through drawings rather than in reams

of descriptive text. Accurate, clear drawings strengthen and enhance patent applications.

The drawings must show every feature of the invention as specified in the claims. To

help readers better understand the invention, inventors can provide elevated views,

perspective views, isometric projections, sectional views and exploded views in their

patents. The following are guidelines for drawings:

Use specific views to illustrate a problem the invention solves, a particular advantage

it offers or a need it fulfills, thereby describing a new function or how the invention

implements that function.

Illustrate the prior art to show contrast or to differentiate a new invention from an old

er one, or for a new invention offering an improvement to an existing one.

Show the improved portion with enough of the old invention to demonstrate the conn

ection.

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7. DETAILED DESCRIPTION OF THE INVENTION

A. OPERATION OF THE INVENTION

Describe how your invention functions in full clear, concise, and exact terms,

including details of any components used. Point out important novel features and

their components using the drawings that you illustrated before. In order to meet

legal requirements, the description must be sufficiently detailed to enable one skilled

in the art to make and use the invention. The following are guidelines for preparing

the description:

Mechanical Devices: Include a detailed description and drawings that illustrate a

ll essential elements of the invention and the environment in which it is used. Th

e description should describe the structure key-numbered to the drawing(s) and t

he operation of the structure including the functional relationship between all ele

ments. To the extent known, alternative embodiments should be described.

Electrical Devices: The description for hardware-based electrical devices is the s

ame as for mechanical devices.

Circuit-based Inventions: Include a detailed description and circuit diagrams red

uced to standard components for parts of the circuit that are new. Standard comp

onents, such as amplifiers, microprocessors, logic gates, etc. can be represented a

s labeled blocks. The description should describe all of the blocks and componen

ts of the circuit and their interaction.

Computer Program-based Inventions: Include a detailed description, a schematic

of the components monitored and/or controlled by the program, the physical str

ucture (such as computer memory) associated with the program, and a general fu

nctional flow chart of the program illustrating the steps of the program in carryin

g out the invention at a level of detail from which one skilled in the art can under

stand and implement the program. Also include detailed flow charts sufficient to

enable a programmer to write the software. The description should set forth the o

peration of the program, describing each element of the flow charts and its relati

onship or interaction with the components monitored and/or controlled by the pr

ogram. All user interfaces should be described, including user inputs, and progra

m outputs and interaction with the user inputs.

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B. EFFECTS OF THE INVENTION

State the advantages of the invention over the prior art. Explain the reason why this

invention is superior to comparable ways of solving the same problem(s). If possible,

include information about anticipated competitive advantages of the invention and

any significant barriers to the commercialization of the invention.

8. CLAIMS

Claims define the boundaries of patent protection and are the legal basis for patent

protection. Claims let others know whether they are infringing on patents. Patent

attorneys in the IP team will consider and modify the scope, characteristics, and structure

of your claims. But as an inventor, you should provide the claims of your invention on

the DOI. Define your invention in broad terms as independent claims, and then add other

claims that define your invention specifically as dependent claims. You can add every

option to dependent claims. Here is a sample claim format:

Independent claim

1. A [the general category of your invention] comprising:

[one of the elements of your invention] for [one of the functions of your invention];

[another element of your invention] [connect to the element above] for [function];

Dependent claim

2. A [the general category mentioned above] of claim 1, [specify your invention]

Example:

1. A method of controlling a radio data communication channel of a mobile phone

having a connection with an external electronic equipment, comprising the steps of:

a. monitoring a data communication state of the connection, wherein the data

communication state is separate from the radio data communication channel; and

b. holding the radio data communication channel based on the data communication

state.

2. The method of claim 1, wherein said monitoring step is performed periodically in

accordance with a predetermined