Fundamentals of United States intellectual property law : copyright, patent, trademark / Sheldon W. Halpern, Kenneth L. Port, Sean B. Seymore.
2015
KF2979 .H357 2015 (Map It)
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Details
Author
Title
Fundamentals of United States intellectual property law : copyright, patent, trademark / Sheldon W. Halpern, Kenneth L. Port, Sean B. Seymore.
Published
Alphen aan den Rijn, The Netherlands : Kluwer Law International, [2015]
Call Number
KF2979 .H357 2015
Edition
Fifth edition.
ISBN
9789041159663 (hardback)
9041159665
9041159665
Description
xxii, 347 pages ; 25 cm
System Control No.
(OCoLC)911200230
Bibliography, etc. Note
Includes bibliographical references and index.
Record Appears in
Gift
Purchased from the income of the Edith L. Fisch Fund
Gift
The Arthur W. Diamond Law Library
Purchased from the income of the Edith L. Fisch Fund
Table of Contents
About the Authors
v
Preface
xxi
ch. 1
Copyright
1
1.01.
Congressional Power
1
A.
Constitutional Grant of Power
1
B.
Copyright Act
2
C.
Treaties and International Agreements
4
1.02.
Subject Matter of Protection
5
A.
Categories of Protected Works
5
B.
National Origin
5
C.
Excluded Works
6
1.
Intangible Expression
6
2.
Governmental Works
7
3.
Idea/Original Expression Continuum
7
a.
Generally
7
b.
Merger
9
c.
Scenes a Faire
10
D.
Special Categories of Works
11
1.
Computer Software
11
a.
Software as a "Literary Work"
11
b.
Protection of the Code Itself
12
c.
Protection of Structure and "Look and Feel"
12
2.
Compilations and Databases
16
3.
Historical and Factual Material
18
4.
Utilitarian Works and Industrial Design
19
a.
"Useful Articles"
19
b.
Separability of Form and Function
20
c.
Sui Generis Protection for "Mask Works": The Semiconductor Chip Protection Act
22
i.
Generally
22
ii.
Substantive Conditions of Protection
23
iii.
Formal Conditions of Protection
24
iv.
Ownership and Transfer
26
v.
Nature of the Rights
27
vi.
Infringement and Remedies
28
d.
Sui Generis Protection for Vessel Hulls
29
5.
Architectural Works
30
6.
Sound Recordings
31
7.
Fictional Characters
32
1.03.
Conditions of Protection
34
A.
Formal Requirements
34
1.
Fixation as the Point of Attachment of Copyright
34
2.
Publication
36
3.
Notice
36
4.
Registration and Deposit
37
a.
Registration
37
b.
Registration Procedure
38
c.
Benefits
38
d.
Recordation and Registration
40
e.
Deposit
40
5.
Domestic Manufacture
40
B.
Substantive Requirements: "Writings" of "Authors" Consisting of "Original Expression"
41
1.
"Authors" and Their "Writings"
41
2.
Original Expression
42
a.
Generally
42
b.
Originality in Derivative Works
44
1.04.
Ownership
45
A.
Ownership of Copyright versus Ownership of the Material Object
45
B.
Divisibility
46
C.
Authorship
46
D.
Joint Works/Multiple Authorship
47
E.
Collective Works
49
F.
Works Made for Hire
49
1.
Work Prepared by an Employee within the Scope of Employment
50
2.
Specially Commissioned Works
51
1.05.
Transfer of Copyright Interests
52
A.
Transfer Defined
52
B.
Requirement of a Writing
53
C.
Termination of Transfers and Grants
54
1.
Nature of the Right
54
2.
Grants Made Prior to January 1, 1978
55
3.
Grants Made from and after January 1, 1978
56
4.
Effect of Termination: Derivative Works
56
1.06.
Scope of Exclusive Rights
57
A.
Right to Reproduce the Work
57
1.
Broadly Defined Right
57
2.
Specific Statutory Limitations and Compulsory Licenses
58
a.
Library and Archival Copying
59
b.
Ephemeral Recordings
60
c.
Certain Copies of Computer Programs
61
d.
Reproductions for the Blind or Other People with Disabilities
62
e.
Home Audio Taping
62
f.
Compulsory License for Mechanical Reproduction
63
g.
Compulsory License for Public Broadcasting
65
B.
Right to Prepare Derivative Works
65
C.
Right to Distribute
67
1.
Right of First Publication
67
2.
First Sale Doctrine
68
3.
Record and Computer Program Rental Exceptions to the First Sale Doctrine
69
4.
Importation and the First Sale Doctrine
70
D.
Public Performance Right
72
1.
Generally
72
2.
"Performance"
73
3.
"Public"
74
4.
Statutory Exemptions: Generally
76
5.
Specific Statutory Exemptions
76
a.
Sections 110(1) and 110(2): Classroom Exemption
76
b.
Section 110(3): Religious Organizations
77
c.
Section 110(4): General Not-for-Profit Exemption for Nondramatic Works
78
d.
Section 110(6): Governmental Agricultural Organizations
78
e.
Sections 110(8) and (9): Performance and Transmissions to Certain Handicapped Persons
78
f.
Section 110(10): Fraternal and Veterans
79
g.
Section 110(5): Communication of Transmission of a Performance
79
i.
"Aiken" Exemption for "Home" Type Equipment
79
ii.
Nondramatic Musical Works in Licensed Broadcast Transmissions
80
h.
Section 110(7): Performance Ancillary to Retail Sales
82
i.
Section 111: Exemptions for Secondary Transmissions
82
j.
Section 118: Noncommercial Broadcasting
84
6.
Performing Rights Societies
84
E.
Display Right
85
1.
Nature of the Right
85
2.
Limitations on the Display Right
86
F.
Limited Performance Right for Sound Recordings
87
G.
Moral Right
88
1.
Background
88
2.
Visual Artists Rights Act
90
a.
Attribution and Integrity Rights
90
b.
Exclusions and Limitations
91
3.
State Moral Rights Statutes
93
4.
Droit De Suite
94
1.07.
Fair Use as a Limitation on Copyright Protection
94
A.
Fair Use Concept
94
B.
Section 107: Codification of the Doctrine
96
1.
Scope and Purpose
96
2.
Parsing the Statute
97
a.
Preamble: Productive and Transformative Uses
97
b.
Enumerated Factors
100
i.
First Factor: Commercial or Noncommercial Purpose
101
ii.
Second Factor: Nature of the Copyrighted Work
102
iii.
Third Factor: The Amount Taken
102
iv.
Fourth Factor: Economic Impact
103
C.
Parody as Fair Use
105
D.
Fair Use of Utilitarian Works
107
E.
Fair Use and Photocopying for Research and Academic Purposes
108
1.
Library, Archival, and Research Copying
108
2.
Academic, Classroom Copying
108
F.
First Amendment Considerations
109
1.08.
Duration of Copyright Protection
109
A.
General Overview
109
1.
Pre-1976 Renewal Right and the Renewal Term
110
a.
Vesting of the Renewal Right
110
b.
Renewal Term As a New, Independent Term
111
c.
Assignment of the Renewal Right
111
d.
Automatic Renewal
111
2.
1976 Act Single Term
112
B.
Works Created on or after the Effective Date of the 1976 Act (January 1, 1978)
113
C.
Works Created but Not Published or Copyrighted before January 1, 1978
114
D.
Works with Subsisting Copyright Protection as of January 1, 1978
114
E.
Restoration of Copyright in Certain Foreign Works
115
1.09.
Infringement
116
A.
Procedural Issues in Infringement Actions
116
1.
Registration
116
2.
Subject Matter Jurisdiction
116
a.
Exclusive Federal Jurisdiction
116
b.
Pendent Jurisdiction
118
c.
Suits in the United States for Acts of Infringement Abroad
118
3.
Personal Jurisdiction and Venue
119
4.
Standing
120
5.
Statute of Limitations
121
6.
Actions against State Instrumentalities
121
a.
Sovereign Immunity under the Eleventh Amendment
121
b.
Abrogation of Immunity
121
7.
Misuse of Copyright
122
B.
Substantive Issues in Infringement Actions
123
1.
Substantial Similarity
123
a.
Generally
123
b.
Modes of Analysis
124
c.
Extrinsic/Intrinsic Tests, "Probative Similarity," and the Roles of Experts, Judge, and Jury
125
2.
Access
128
C.
"Innocent" Infringement
129
D.
Criminal Infringement
129
E.
Vicarious Liability and Contributory Infringement
130
1.
Vicarious Liability
130
2.
Contributory Infringement
131
3.
Online Infringement Liability Limitation
133
a.
Generally
133
b.
Transmission
134
c.
System Caching
134
d.
Storage
135
e.
Links
135
f.
Further Limitations on Liability of Nonprofit Educational Institutions
136
g.
Limitation on Liability for Removal of Material
136
1.10.
Remedies
136
A.
Injunctive Relief
136
B.
Damages
137
1.
Actual Damages and Profits
137
a.
Provable Damages
138
b.
Infringer's Profits
138
2.
Statutory Damages
139
a.
Registration as a Condition
140
b.
Amount of Damages: Range of Discretion
140
c.
Right to Jury Determination
142
C.
Costs and Counsel Fees
142
D.
Impoundment and Disposition
143
1.11.
Copyright Protection Systems and Copyright Management Information
144
A.
Generally
144
B.
Circumvention of Copyright Protection Systems
144
1.
Actionable Conduct
144
a.
Circumvention of Access Control
145
b.
Facilitating Circumvention of Technological Protection Measures
145
c.
Limitation on Analog Videocassette Recorders
147
2.
Exceptions and Limitations
148
a.
Nonprofit Libraries, Archives, and Educational Institutions
148
b.
Law Enforcement, Intelligence, and Other Government Activities
148
c.
Reverse Engineering of Computer Programs to Achieve Interoperability
148
d.
Encryption Research on Published Works
149
e.
Protection of Personally Identifying Information
150
f.
Security Testing
150
C.
Copyright Management Information
150
1.
Impairment of Copyright Management Information
151
2.
Exemptions and Limitations
151
a.
Law Enforcement and Other Government Activities
151
b.
Transmissions
151
D.
Enforcement and Remedies
151
1.
Civil Remedies
151
a.
Injunctive and Related Relief
152
b.
Damages: Actual and Statutory
152
c.
Increasing or Reducing Damages
152
d.
Costs and Counsel Fees
153
2.
Criminal Penalties
153
ch. 2
Patent
155
2.01.
Sources of United States Patent Law
155
A.
Constitutional Foundation
155
B.
Statutory Foundation
156
C.
U.S. Court of Appeals for the Federal Circuit
158
2.02.
Conditions of Patentability
159
A.
Disclosure Requirements
161
1.
Enablement
162
2.
Best Mode
163
3.
Written Description
165
4.
Definiteness Requirement
166
B.
Novelty and Loss of Right
167
1.
Requirements for Anticipatory Prior Art
167
a.
Date of Invention
167
b.
Strict Identity
168
c.
Anticipatory Enablement
169
2.
Section 102(a) Prior Art
170
a.
"Known or Used by Others"
171
b.
"Printed Publication"
172
c.
Geographical Limitations
172
3.
Section 102(e) Prior Art
173
4.
Section 102(g)(2) Prior Art
174
5.
Derivation: Section 102(f)
175
6.
Priority
176
a.
Conception
176
b.
Reduction to Practice
177
c.
Abandonment, Suppression, and Concealment
178
d.
Inventorship
179
e.
Inventive Activity Abroad
180
7.
Loss of Right: Statutory Bars
180
a.
Section 102(b): On-Sale and Public Use Bars
180
i.
Public Use
181
ii.
Experimental Use
182
iii.
On-Sale Bar
182
iv.
Third-Party Activity
184
b.
Section 102(d) Bar on Foreign Applicants
185
8.
Changes to the Novelty, Prior Art, and the Grace Period Provisions under the America Invents Act
185
a.
First Inventor to File
185
b.
Expansion of Prior Art
186
c.
New Section 102(b) Grace Period
186
d.
Elimination of the Hilmer Doctrine
187
C.
Utility
187
D.
Nonobviousness
189
1.
Scope of the Prior Art
191
2.
Content of the Prior Art
192
3.
Persons of Ordinary Skill in the Art
194
4.
Secondary Considerations
194
a.
Commercial Success
195
b.
Long-Felt Need and Failure of Others
195
c.
Copying
196
d.
Licensing/Acquiescence
196
5.
Modifications under the America Invents Act
197
E.
Statutory Subject Matter
197
1.
Products
198
a.
Machines, Articles of Manufacture, Compositions of Matter
198
b.
Living Organisms
199
2.
Processes
200
2.03.
Formalities
206
A.
Patent Application and Issued Patent
207
1.
Written Description
208
a.
Background of the Invention
208
b.
Summary of the Invention
208
c.
Detailed Description of the Invention
209
d.
Drawings
209
2.
Claims
209
a.
Composition of Matter Claims
210
b.
Process Claims
211
c.
Apparatus Claims
211
d.
Product-by-Process Claims
212
e.
Means-Plus-Function Claim Elements
212
B.
Procedures before the Patent and Trademark Office
213
1.
Initial Processing of the Application
213
2.
Examination and Prosecution
214
a.
Formalities and Search by the Examiner
214
b.
Third-Party Submissions of Prior Art under the America Invents Act
214
c.
Office Action
215
d.
Applicant's Response
215
e.
Reconsideration and Allowance
215
f.
Responses to a Final Office Action
216
i.
Appeals
216
ii.
Cancellation of Claims
217
iii.
Continuing Applications
217
g.
Publication
218
h.
Foreign Priority
218
i.
Interferences
219
j.
Derivation Proceedings under the America Invents Act
219
3.
Appeals to the Courts
220
C.
Post-issuance Procedures
220
1.
Reissue
220
2.
Reexamination
221
3.
Post-grant Review under the America Invents Act
221
2.04.
Ownership and Transfer
222
2.05.
Rights and Limitations of the Patent Grant
223
A.
Basic Exclusory Right
223
B.
Scope of the Right to Exclude
223
1.
Temporal Scope: The Patent Term
223
2.
Geographic Scope
224
a.
Exporting a Claimed Invention
225
b.
Importing a Claimed Invention or Products Made by a Claimed Process Invention
227
2.06.
Infringement and Remedies
228
A.
Infringement
228
1.
Claim Interpretation
229
2.
Literal Infringement
230
3.
Infringement under the Doctrine of Equivalents
230
4.
Indirect Infringement
232
B.
Defenses to Patent Infringement
233
1.
Noninfringement and Invalidity
233
2.
Patent Misuse
233
3.
First Sale, Implied License, and Repair/Reconstruction
234
4.
Experimental Use Doctrine
236
5.
Governmental Use
237
a.
Federal Government
237
b.
State Government
238
6.
Inequitable Conduct
239
C.
Remedies
240
1.
Compensatory Damages
240
2.
Exemplary Damages
242
3.
Injunctive Relief
242
2.07.
Design Patents
243
ch. 3
Trademark
245
3.01.
Sources of Power
245
A.
Common Law Approach
245
B.
Lanham Act
246
1.
Nationwide Protection
247
2.
Evidentiary Presumptions
247
3.
Warning Function
248
4.
Damages
248
C.
Significant Amendments to the Lanham Act
248
1.
Trademark Clarification Act of 1984
248
2.
Trademark Counterfeiting Act of 1984
249
3.
Trademark Revision Act of 1988
249
a.
New Definition of Use
249
b.
ITU Registration
250
4.
North American Free Trade Agreement Implementation Act
250
5.
Uruguay Round Agreements Act
251
6.
Federal Trademark Dilution Act of 1995
251
7.
Anticounterfeiting Consumer Protection Act of 1996
252
8.
Trademark Law Treaty Implementation Act of 1998
253
9.
Trademark Amendments Act of 1999
254
10.
Anticybersquatting Consumer Protection Act of 1999
254
11.
Madrid Protocol Implementation Act of 2002
255
12.
Singapore Treaty
256
13.
Anticounterfeiting Trade Agreement of 2011
257
D.
State Trademark Protection
257
1.
State Trademark Protection Statutes
258
2.
Deceptive Trade Practices Statutes
258
3.
State Dilution Statutes
259
3.02.
Subject Matter of Protection
260
A.
Introduction
260
B.
Categories of Marks
261
1.
Trademarks
261
2.
Collective Marks
264
3.
Certification Marks
264
4.
Service Marks
265
5.
Trade Names
265
6.
Domain Names
266
C.
Signs Which May Serve as Trademarks
268
1.
Words, Letters, and Slogans
268
a.
Personal Names
268
2.
Nonverbal Marks
269
a.
Alphanumeric Symbols
269
b.
Color
270
c.
Fragrance
271
d.
Designs
271
e.
Nontraditional Marks
272
3.
Trade Dress
274
a.
Generally
274
b.
Functionality
275
3.03.
Conditions of Protection
276
A.
Distinctiveness
276
1.
Inherently Distinctive Marks
277
a.
Arbitrary Marks
277
b.
Fanciful Marks
277
c.
Suggestive Marks
278
2.
Non-inherently Distinctive Marks
279
a.
Descriptive Marks
279
b.
Secondary Meaning
280
c.
Generic Marks
281
3.04.
Formalities
282
A.
Adoption and Use
282
1.
Priority: First to Use
282
2.
Sufficient Use
282
3.
Affixation
283
4.
Interstate and Foreign Commerce
284
5.
Eleventh Amendment Concerns
284
B.
Lanham Act Registration
285
1.
Use Applications
285
2.
ITU Applications
287
3.
Supplemental Register
288
C.
Maintenance
289
1.
Registration Duration and Initial Renewal
289
2.
Continuing Use Affidavits
289
3.
Loss of Trademark Rights
290
a.
Abandonment
290
b.
Voluntary Termination
290
c.
Involuntary Termination: Genericism
290
3.05.
Ownership and Transfer
291
A.
Initial Ownership
291
B.
Assignment of Trademarks
292
C.
Licensing of Trademarks
292
3.06.
Scope of Exclusive Rights
293
A.
Incontestability
293
1.
Mechanics
293
2.
Defensive Use of Incontestable Registrations
293
3.
Offensive Use of Incontestability
294
B.
Territorial Scope of Trademark Rights
295
1.
Common Law Market Penetration Rule
295
2.
Scope of Concurrent Use Common Law Rights
296
a.
Good Faith
296
b.
Remoteness
296
c.
Market Penetration
296
d.
Natural Zone of Expansion
297
e.
Relevance of State Boundaries
297
f.
Secondary Meaning Marks
297
3.
Effects of Federal Registration
298
a.
Constructive Notice: Post Registration Use
298
b.
Freezing the Junior User's Market
299
4.
Concurrent Lanham Act Registration
299
a.
First User's Rights
299
b.
Correction of the Register by Federal Courts
300
C.
Product and Service Scope
300
D.
Dilution
300
1.
Fame
301
2.
Dilution Likelihood
302
3.
Dilution by Blurring
303
4.
Dilution by Tarnishment
304
5.
Specific Defenses to a Dilution Claim
305
6.
Preemption of State Laws
305
7.
Note on Dilution
305
E.
Cybersquatting
307
1.
Bad Faith Requirement
308
a.
Reverse Domain Name Hijacking under the UDRP
309
2.
In Rem Jurisdiction over Domain Names
310
3.
Domain Name Registrars
311
4.
Domain Name Dispute Resolution
311
a.
Resolving Disputes under the UDRP
313
b.
Complainant's Rights in a Mark and Similarity under the UDRP
313
c.
Rights and Legitimate Interests under the UDRP
315
d.
Bad Faith under the UDRP
316
F.
Keyword Advertising
320
3.07.
Rights in Unregistered Marks
321
A.
Lanham Act Section 43(a)
321
1.
Generally
321
2.
Endorsement and Sponsorship Confusion: Section 43(a)
321
B.
False Advertising
322
3.08.
Infringement and Remedies
323
A.
Likelihood of Confusion
323
1.
Analytical Factors
323
a.
Circuit Variations
324
b.
Mark Similarity
327
c.
Mark Strength
328
d.
Similarity of the Goods or Services
328
e.
Channels of Trade and Advertising (Proximity)
329
f.
Consumer Sophistication and Care
329
g.
Actual Confusion: Survey Evidence
329
h.
Intent
330
i.
Likelihood of Bridging the Gap
331
2.
Second-Corner Doctrine
332
3.
Question of Law or Fact: Standard of Review
332
4.
Reverse Confusion
333
5.
Initial Interest Confusion
334
B.
Defenses
334
1.
Invalidity of Plaintiff's Mark
334
2.
Fraud
335
3.
Antitrust Violations
336
4.
Fair Use
336
5.
Laches, Acquiescence, and Estoppel
337
C.
Remedies
338
1.
Injunctive Relief
338
a.
Injunctive Relief against Domain Name Registrars
339
2.
Damages
340
a.
Profits
340
b.
Damages for Counterfeiting
340
c.
Damages for Cybersquatting
341
3.
Other Forms of Relief
341
Index
343