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<p class="MsoNormal"><font size="2" color="black" face="Arial"><span style="font-size:11.0pt;font-family:"Arial",sans-serif;mso-fareast-font-family:"Malgun Gothic";mso-bidi-font-family:"Times New Roman";color:windowtext">“you had what you originally wanted
and you amended it out – that’s on you.”<span style="mso-spacerun:yes"> </span>
Ouch.<o:p></o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="black" face="Arial"><span style="font-size:11.0pt;font-family:"Arial",sans-serif;mso-fareast-font-family:"Malgun Gothic";mso-bidi-font-family:"Times New Roman";color:windowtext"><o:p> </o:p></span></font></p>
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<p class="MsoNormal"><b><font size="2" color="black" face="Calibri"><span style="font-size:11.0pt;mso-fareast-font-family:"Times New Roman";color:windowtext;font-weight:bold">From:</span></font></b><font color="black"><span style="mso-fareast-font-family:"Times New Roman";color:windowtext">
Patentpractice <patentpractice-bounces@oppedahl-lists.com> <b><span style="font-weight:bold">On Behalf Of
</span></b>Valensa, Jeroen via Patentpractice<br>
<b><span style="font-weight:bold">Sent:</span></b> Friday, December 1, 2023 2:35 PM<br>
<b><span style="font-weight:bold">To:</span></b> For patent practitioners. This is not for laypersons to seek legal advice. <patentpractice@oppedahl-lists.com><br>
<b><span style="font-weight:bold">Cc:</span></b> Valensa, Jeroen <jevalensa@aosmith.com><br>
<b><span style="font-weight:bold">Subject:</span></b> Re: [Patentpractice] The use of "and/or" in claims<o:p></o:p></span></font></p>
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<p class="MsoNormal"><font size="2" color="blue" face="Calibri"><span style="font-size:11.0pt"><o:p> </o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="black" face="Calibri"><span style="font-size:11.0pt;color:windowtext">I will weigh in with my own experience at the Fed. Circ. on this issue. Note that this was not at my current employer, but was at a prior (also
in-house) position. Similar to your case, we had a US patent that originated from a foreign priority filing (German, in this case). The claim had and/or language as originally filed, from the translation. We proactively (i.e. not in response to a rejection)
amended it to more proper US claim language: “at least one of an A and a B”, instead of the original “an A and/or a B”.<o:p></o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="black" face="Calibri"><span style="font-size:11.0pt;color:windowtext"><o:p> </o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="black" face="Calibri"><span style="font-size:11.0pt;color:windowtext">The patent ended up being asserted against a competitor, and at the district court the claim construction that the judge adopted (wrongly) was that
the claim required both an A and a B, and since the accused infringer’s product only had an A and not a B, summary judgement for defendant.<o:p></o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="black" face="Calibri"><span style="font-size:11.0pt;color:windowtext"><o:p> </o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="black" face="Calibri"><span style="font-size:11.0pt;color:windowtext">We appealed. Fed. Circ. affirmed with no opinion (Rule 36). Notably, (then Chief-)Judge Prost, who wrote the opinion in
<i><span style="font-style:italic">SuperGuide Corp. v. DirecTV Enters., Inc.</span></i>, 358 F.3d 870 (Fed. Cir. 2004), headed up the panel. In
<i><span style="font-style:italic">SuperGuide, </span></i>the Fed. Circ. distinguished between categories on the one hand, and individual items that may serve as replacements for each other on the other hand. The Federal Circuit repeatedly discusses that the
plain and ordinary meaning of “at least one of A and B” is “at least one of category A and at least one of category B” (the conjunctive interpretation) when A and B are categories of things. According to the Fed Circ., the plain and ordinary meaning of "at
least one of A and B", at least when the two are categories, is the conjunctive, requiring at least one A and at least one B. In order for it to be treated in the disjunctive (e.g. A or B or both) requires a clear indication in the specification or prosecution
record that this is the intended interpretation.<o:p></o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="black" face="Calibri"><span style="font-size:11.0pt;color:windowtext"><o:p> </o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="black" face="Calibri"><span style="font-size:11.0pt;color:windowtext">Since there was no opinion written, I have no definitive answer to why they affirmed, but I’m fairly certain that we were hamstrung by the very
limited written description (typical of German applications), which did not provided a clear interpretation that you could have an A or a B or both.<o:p></o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="black" face="Calibri"><span style="font-size:11.0pt;color:windowtext"><o:p> </o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="black" face="Calibri"><span style="font-size:11.0pt;color:windowtext">I still remember one statement at oral argument by Judge Clevenger, which I want to impart to you. Referring to the original “and/or” language
of the claim, he said something to the effect of, “you had what you originally wanted and you amended it out – that’s on you.”<o:p></o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="black" face="Calibri"><span style="font-size:11.0pt;color:windowtext"><o:p> </o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="black" face="Calibri"><span style="font-size:11.0pt;color:windowtext"><o:p> </o:p></span></font></p>
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<p class="MsoNormal" style="text-autospace:none"><b><font size="2" color="#00853e" face="Calibri"><span style="font-size:11.0pt;color:#00853E;font-weight:bold">Jeroen Valensa<o:p></o:p></span></font></b></p>
<p class="MsoNormal" style="text-autospace:none"><font size="2" color="#7f7f7f" face="Calibri"><span style="font-size:10.0pt;color:#7F7F7F">Assistant General Counsel – Intellectual Property</span></font><font color="black"><span style="color:windowtext"><o:p></o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="blue" face="Calibri"><span style="font-size:11.0pt"><a href="https://www.aosmith.com/"><font size="2" color="black"><span style="font-size:10.0pt;color:windowtext;mso-no-proof:yes;text-decoration:none;text-underline:none"><img border="0" width="127" height="44" id="Picture_x0020_4" src="cid:image001.jpg@01DA2469.E61F06D0"></span></font></a></span></font><font size="2" color="black"><span style="font-size:10.0pt;color:windowtext"><br>
</span></font><b><font size="2" color="black"><span style="font-size:10.0pt;color:black;font-weight:bold">11270 W Park Place<o:p></o:p></span></font></b></p>
<p class="MsoNormal"><b><font size="2" color="black" face="Calibri"><span style="font-size:10.0pt;color:black;font-weight:bold">Milwaukee, WI 53224</span></font></b><font size="3" color="#7f7f7f"><span style="font-size:12.0pt;color:#7F7F7F"><o:p></o:p></span></font></p>
<p class="MsoNormal"><font size="1" color="#7f7f7f" face="Wingdings"><span style="font-size:8.0pt;font-family:Wingdings;color:#7F7F7F">*</span></font><font size="1" color="#7f7f7f"><span style="font-size:8.0pt;color:#7F7F7F"> email:</span></font><font size="1" color="#00853e"><span style="font-size:8.0pt;color:#00853E">
</span></font><font size="2" color="black"><span style="font-size:10.0pt;color:windowtext"><a href="mailto:jevalensa@aosmith.com">jevalensa@aosmith.com</a><o:p></o:p></span></font></p>
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<p class="MsoNormal"><b><font size="2" color="black" face="Calibri"><span style="font-size:11.0pt;color:windowtext;font-weight:bold">From:</span></font></b><font color="black"><span style="color:windowtext"> Patentpractice <patentpractice-bounces@oppedahl-lists.com>
<b><span style="font-weight:bold">On Behalf Of </span></b>Patent Lawyer via Patentpractice<br>
<b><span style="font-weight:bold">Sent:</span></b> Friday, December 1, 2023 12:00 PM<br>
<b><span style="font-weight:bold">To:</span></b> For patent practitioners. This is not for laypersons to seek legal advice. <patentpractice@oppedahl-lists.com><br>
<b><span style="font-weight:bold">Cc:</span></b> Patent Lawyer <patentlawyer995@gmail.com><br>
<b><span style="font-weight:bold">Subject:</span></b> Re: [Patentpractice] The use of "and/or" in claims<o:p></o:p></span></font></p>
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<p class="MsoNormal"><font size="2" color="blue" face="Calibri"><span style="font-size:11.0pt"><o:p> </o:p></span></font></p>
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<p class="MsoNormal"><font size="2" color="black" face="Calibri"><span style="font-size:11.0pt;color:windowtext">Thanks for this and other responses.<o:p></o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="black" face="Calibri"><span style="font-size:11.0pt;color:windowtext"><o:p> </o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="black" face="Calibri"><span style="font-size:11.0pt;color:windowtext">I think the correct (low risk) approach is to rewrite the claims without the term “and/or”.
<o:p></o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="black" face="Calibri"><span style="font-size:11.0pt;color:windowtext">Why risk some weird Federal Circuit interpretation?
<o:p></o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="black" face="Calibri"><span style="font-size:11.0pt;color:windowtext"> <o:p></o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="black" face="Calibri"><span style="font-size:11.0pt;color:windowtext">I won’t say that “and/or” is a lazy way of writing, because I do it all the time and I know exactly what it means and what I mean. But the Federal
Circuit has changed the rules of English grammar before.<o:p></o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="black" face="Calibri"><span style="font-size:11.0pt;color:windowtext">I’ll just take the issue off the table. (The claims are already being amended for other reasons.)<o:p></o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="black" face="Calibri"><span style="font-size:11.0pt;color:windowtext"><o:p> </o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="black" face="Calibri"><span style="font-size:11.0pt;color:windowtext">Also, this application was written outside the US and there is no option to add something now to the specification explaining what “and/or” means.<o:p></o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="black" face="Calibri"><span style="font-size:11.0pt;color:windowtext"><o:p> </o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="black" face="Calibri"><span style="font-size:11.0pt;color:windowtext">Again, thanks to all for responses.<o:p></o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="black" face="Calibri"><span style="font-size:11.0pt;color:windowtext"><o:p> </o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="black" face="Calibri"><span style="font-size:11.0pt;color:windowtext"><o:p> </o:p></span></font></p>
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<p class="MsoNormal"><b><font size="3" color="black" face="Calibri"><span style="font-size:12.0pt;color:black;font-weight:bold">From:
</span></font></b><font size="3" color="black"><span style="font-size:12.0pt;color:black">Patentpractice <<a href="mailto:patentpractice-bounces@oppedahl-lists.com">patentpractice-bounces@oppedahl-lists.com</a>> on behalf of Alan Taboada via Patentpractice
<<a href="mailto:patentpractice@oppedahl-lists.com">patentpractice@oppedahl-lists.com</a>><br>
<b><span style="font-weight:bold">Reply-To: </span></b>"For patent practitioners. This is not for laypersons to seek legal advice." <<a href="mailto:patentpractice@oppedahl-lists.com">patentpractice@oppedahl-lists.com</a>><br>
<b><span style="font-weight:bold">Date: </span></b>Friday, December 1, 2023 at 12:35 PM<br>
<b><span style="font-weight:bold">To: </span></b>"For patent practitioners. This is not for laypersons to seek legal advice." <<a href="mailto:patentpractice@oppedahl-lists.com">patentpractice@oppedahl-lists.com</a>><br>
<b><span style="font-weight:bold">Cc: </span></b>Alan Taboada <<a href="mailto:ataboada@mtiplaw.com">ataboada@mtiplaw.com</a>><br>
<b><span style="font-weight:bold">Subject: </span></b>Re: [Patentpractice] The use of "and/or" in claims<o:p></o:p></span></font></p>
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<p class="MsoNormal"><font size="3" color="black" face="Times New Roman"><span style="font-size:12.0pt;font-family:"Times New Roman",serif;color:windowtext"><o:p> </o:p></span></font></p>
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<p class="MsoNormal"><font size="2" color="#44546a" face="Arial"><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:#44546A;mso-ligatures:standardcontextual">Not sure about a case citation, but the following is my view on this matter.<o:p></o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="#44546a" face="Arial"><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:#44546A;mso-ligatures:standardcontextual"><o:p> </o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="#44546a" face="Arial"><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:#44546A;mso-ligatures:standardcontextual">There mght be situations where it doesn’t work out this way, but without further information,
I think examiner might be correct on this one.<o:p></o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="#44546a" face="Arial"><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:#44546A;mso-ligatures:standardcontextual"><o:p> </o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="#44546a" face="Arial"><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:#44546A;mso-ligatures:standardcontextual">In general, “A and/or B” covers claim scope of “A and B” and “A or B” so any prior
art that shows either would be relevant to the claim.<o:p></o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="#44546a" face="Arial"><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:#44546A;mso-ligatures:standardcontextual"><o:p> </o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="#44546a" face="Arial"><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:#44546A;mso-ligatures:standardcontextual">Generally speaking, “A or B” is typically broader than “A or B” (again, we do not know
the exact claim language, but I think that typically this would be the case).<o:p></o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="#44546a" face="Arial"><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:#44546A;mso-ligatures:standardcontextual"><o:p> </o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="#44546a" face="Arial"><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:#44546A;mso-ligatures:standardcontextual">Since the examiner only needs to meet the limitations of either one of A or B to read
on the claim limitation, then the examiner will (rightly) construe the claim more broadly and not worry about having to find art that shows both A and B.<o:p></o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="#44546a" face="Arial"><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:#44546A;mso-ligatures:standardcontextual"><o:p> </o:p></span></font></p>
<p class="MsoNormal"><font size="2" color="#44546a" face="Arial"><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:#44546A;mso-ligatures:standardcontextual"><o:p> </o:p></span></font></p>
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<p class="MsoNormal"><font size="2" color="#44546a" face="Arial"><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:#44546A"><o:p> </o:p></span></font></p>
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<p class="MsoNormal"><b><font size="2" color="black" face="Calibri"><span style="font-size:11.0pt;color:windowtext;font-weight:bold">From:</span></font></b><font color="black"><span style="color:windowtext"> Patentpractice <<a href="mailto:patentpractice-bounces@oppedahl-lists.com">patentpractice-bounces@oppedahl-lists.com</a>>
<b><span style="font-weight:bold">On Behalf Of </span></b>Patent Lawyer via Patentpractice<br>
<b><span style="font-weight:bold">Sent:</span></b> Friday, December 1, 2023 11:04 AM<br>
<b><span style="font-weight:bold">To:</span></b> For patent practitioners. This is not for laypersons to seek legal advice. <<a href="mailto:patentpractice@oppedahl-lists.com">patentpractice@oppedahl-lists.com</a>><br>
<b><span style="font-weight:bold">Cc:</span></b> Patent Lawyer <<a href="mailto:patentlawyer995@gmail.com">patentlawyer995@gmail.com</a>><br>
<b><span style="font-weight:bold">Subject:</span></b> [Patentpractice] The use of "and/or" in claims<o:p></o:p></span></font></p>
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<p class="MsoNormal"><font size="2" color="blue" face="Calibri"><span style="font-size:11.0pt"><o:p> </o:p></span></font></p>
<p class="MsoNormal"><font size="4" color="blue" face="Calibri"><span style="font-size:14.0pt">We've seen this before, but I cannot find the discussion.<o:p></o:p></span></font></p>
<p class="MsoNormal"><font size="4" color="blue" face="Calibri"><span style="font-size:14.0pt"><o:p> </o:p></span></font></p>
<p class="MsoNormal"><font size="4" color="blue" face="Calibri"><span style="font-size:14.0pt">In an office action, an examiner writes:<o:p></o:p></span></font></p>
<p class="MsoNormal"><font size="4" color="blue" face="Calibri"><span style="font-size:14.0pt"><o:p> </o:p></span></font></p>
<p class="MsoNormal"><i><font size="4" color="blue" face="Times New Roman"><span style="font-size:14.0pt;font-family:"Times New Roman",serif;font-style:italic">All claim limitations that include "and/or" are interpreted as "or". If applicant disagrees with
this interpretation, they are invited to amend the "and/or" to "and".<o:p></o:p></span></font></i></p>
<p class="MsoNormal"><font size="4" color="blue" face="Calibri"><span style="font-size:14.0pt"><o:p> </o:p></span></font></p>
<p class="MsoNormal"><font size="4" color="blue" face="Calibri"><span style="font-size:14.0pt">I believe the examiner is wrong! And I will point that out.<o:p></o:p></span></font></p>
<p class="MsoNormal"><font size="4" color="blue" face="Calibri"><span style="font-size:14.0pt"><o:p> </o:p></span></font></p>
<p class="MsoNormal"><font size="4" color="blue" face="Calibri"><span style="font-size:14.0pt">BUT I recall that there was some case that discussed this.
<o:p></o:p></span></font></p>
<p class="MsoNormal"><font size="4" color="blue" face="Calibri"><span style="font-size:14.0pt">I would appreciate a pointer to a case or other reference discussing this issue.
<o:p></o:p></span></font></p>
<p class="MsoNormal"><font size="4" color="blue" face="Calibri"><span style="font-size:14.0pt">Thanks in advance.<o:p></o:p></span></font></p>
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