Federal Circuit asked to Decide whether US Patent Law Excludes Non-Human Inventors

by Dennis Crouch

Thaler v. Hirshfeld, App No. 21-02347 (Fed. Cir. 2022)

Prof. Ryan Abbott continues to push Thaler’s case on a global basis.  Thaler created an AI system that he calls DABUS.  DABUS created two separate inventions — a “Neural Flame” and “Fractal Container.”  Thaler filed for patent protection, but refused to name himself as the inventor — although he created DABUS, these particular inventions did not originate in his mind.   The USPTO rejected the applications — explaining US patents must name a human inventor.  Now the case is pending before the Federal Circuit.  The reality here is that Thaler could have claimed to be the inventor and the PTO would not have blinked-an-eye; and no other person or entity would have standing to challenge that result.  In a forthcoming article, I argue that the PTO’s don’t-ask-don’t-tell approach is a truly problematic legal fiction.  And, Thaler’s refusal to comply provides helpful exposure to the hypocrisy.

After being refused a patent, Thaler sued in district court, but the district court sided with the PTO and dismissed the case on summary judgment.  Now the appeal to the Federal Circuit.  Thaler argues:

The USPTO does not accept than an AI can be an “inventor.” This holding is simply inconsistent with the Patent Act’s plain language,  Congressional intent, and the Constitution. The District Court improperly endorsed an interpretation of the Patent Act that, for the first time, excludes an entire category of innovation from patent law protection. The result of which will be to discourage innovation, limit
disclosure of trade secrets, and restrict commercialization of new products.

Thaler Brief.  The argument begins with an analysis of the Patent Act: (1) nothing in the Act actually requires human inventors; and (2) nothing in the Act requires “conception.”  Rather, the design of the system is to create an open incentive field to generally encourage innovation, disclosure, and commercialization.  Barring AI-created inventions from the patent sphere discourages each of these goals of the patent system.

One catch to the Thaler argument in the US is that the 2011 America Invents Act included a new definition of the term “inventor” that requires the inventor be an “individual” and required submission of a inventorship declaration from “each individual who is the inventor or joint inventor.” 35 U.S.C. §§ 100, 115.  The statute also provides a binary gender identification for inventors: “himself or herself.”  These changes suggest a human-inventor requirement, but there are also a number of cases interpreting “individual” to include non-human persons.  In addition, the law allows for a substitute declaration in cases where the inventor is legally incapacitated.  In this case, Thaler submitted that substitute declaration on behalf of DABUS.

Briefing appears complete in the case, and oral arguments will likely be scheduled for sometime this summer.

Briefs filed in the case:

Cartoon adapted from Peter Steiner’s famous work originally published in The New Yorker in 1993.

131 thoughts on “Federal Circuit asked to Decide whether US Patent Law Excludes Non-Human Inventors

  1. 22

    The AI isn’t inventing anything. It is being used by a human to review prior art more carefully than any human can, and to use that review to find “holes” of unanticipated, non-obvious subject matter that can be claimed.

    1. 22.1

      Your view of “not inventing” is at once both under and over broad.

      Humans doing exactly what you claim the AI to be doing: reviewing to find “holes” IS called inventing.

    2. 22.2

      Clarification please, Mr Buckley. You seem to be saying that it is the AI, rather than the human, that not only reviews the published literature but also finds patentable matter within it. Did you not intend to state that the role of the AI is confined to reviewing and that it is the human, not the AI, who (in the course of reviewing the review) will be making the discovery of patentable inventions?

  2. 21

    Agent Mitchell Apper (USPTO Reg. No. 76997),

    A word of advice: stick to your agent limitations and do not write wildly inaccurate accusations of a legal nature to ANY court.

  3. 20

    It’s a different context of course, but I think this passage from Bowman v. Monsanto is quite apt here:

    Bowman has another seeds-are-special argument: that soybeans naturally “self-replicate or `sprout’ unless stored in a controlled manner,” and thus “it was the planted soybean, not Bowman” himself, that made replicas of Monsanto’s patented invention. Brief for Petitioner 42; see Tr. of Oral Arg. 14 (“[F]armers, when they plant seeds, they don’t exercise any control… over their crop” or “over the creative process”). But we think that blame-the-bean defense tough to credit. Bowman was not a passive observer of his soybeans’ multiplication; or put another way, the seeds he purchased (miraculous though they might be in other respects) did not spontaneously create eight successive soybean crops. As we have explained, … Bowman devised and executed a novel way to harvest crops from Roundup Ready seeds without paying the usual premium. He purchased beans from a grain elevator anticipating that many would be Roundup Ready; applied a glyphosate-based herbicide in a way that culled any plants without the patented trait; and saved beans from the rest for the next season. He then planted those Roundup Ready beans at a chosen time; tended and treated them, including by exploiting their patented glyphosate-resistance; and harvested many more seeds, which he either marketed or saved to begin the next cycle. In all this, the bean surely figured. But it was Bowman, and not the bean, who controlled the reproduction … of Monsanto’s patented invention.

    link to supremecourt.gov

    The only difference is here, instead of “blame-the-bean” Thaler is trying a “credit-the-machine” argument. But I think it fails just like Bowman’s did.

  4. 19

    For the purposes of this discussion, it needs to be recognized that computers are machines. They are tools for processing data. You are correct, Dennis, that conception is the key concept here. The novel output of a computer is conceived first by the first people to understand, in a fixed and permanent way, that novel output. There is no patent law reason (in the US) that the people or person who have sufficient conception of that novel output can’t apply for a patent on that output, just as there is no reason that I can’t apply for a patent on the new molecule that is “revealed” by my screening assay (yet another tool for discovering things). The screening assay didn’t “conceive” of that molecule. It’s not an inventor. It’s a tool. I am the entity — the person — who conceives of the novel invention that I discovered with the aid of my assay.

    As for contract law issues regarding rights to patented inventions that arise out of the use of a particular tool, well, that‘s a separate subject.

    1. 19.1

      Hooray. Well sais, Prophet.

      Greg, Mark, let’s focus on the act of conception/discovery of an inventive concept rather than bother ourselves with questions of industrial espionage and who might misappropriate any legal rights that might follow from that initial conception of a patentable invention. As Prophet observes, that’s a different suubject altogether

      The court of appeal in England had the burden of applying the existing (1977) UK patent statute which expressly defines the “inventor” as the “actual deviser” of the subject matter of the claim. Prophet, you chide Greg and Mark for making things unnecessarily complicated, but they weren’t the first to do so, were they. The UK Parliamentary Draughtsman did so too, I think, back in the 1970’s, for many people can well envisage that an AI machine is capable of devising a combination of technical features or, say, a new molecular structure.

      So, Prophet, would you take issue with the UK definition of “inventor”? I assume you would.

      And as to the Patents Clause, was it prescient, far-sighted, or just fortuitous, to relate “authors and inventors”respectively to their “writings and discoveries”?

      1. 19.1.1

        Max, as I expect you know, I agree completely with Prophet. As I said in my earlier comment:

        Of course, this all stems from Thaler’s (Abbott’s) insistence that DABUS is the inventor, in a deliberate effort to ‘break’ patent law. But the law is not broken. The US statute in particular allows a patent to be granted to anyone who ‘invents or discovers any new and useful (etc)’, while expressly confirming that ‘[p]atentability shall not be negated by the manner in which the invention was made’. How does that not cover the (alleged) facts of this case?

        And yet, I still ended up on the receiving end of Prophet’s verbal abuse.

        I have yet to contribute to this cesspool when I did not end up regretting having made the effort. You’d think I would have learned by now…

        1. 19.1.1.1

          I’m glad you agree, Mark. I’ll say it again: this is not complicated. It is important, however. Keep it simple. Going into the weeds is what Thaler wants. So if you agree with me and you think this important, don’t go into the weeds. Just hammer the essential point.

          I apologize if my metaphor below rubbed you the wrong way. 😉

        2. 19.1.1.2

          Mark – that entirely depends.

          I know that I have attempted to interact with you – only to have you choose not to do so on the merits.

          I fully “get” that you have a set of beliefs about AI, and that you are not going to budge from those beliefs.

          I also “get” that to you, AI is nothing more than a real person’s use of a computing tool.

          IF you continue to hold that belief, then you have removed yourself from even attempting to engage in a meaningful dialogue.

          As always, that is your choice.

          1. 19.1.1.2.1

            Per Wikipedia:

            Artificial intelligence (AI) is intelligence demonstrated by machines, as opposed to natural intelligence displayed by animals including humans. Leading AI textbooks define the field as the study of “intelligent agents”: any system that perceives its environment and takes actions that maximize its chance of achieving its goals.

            1. 19.1.1.2.1.1

              My pal with the ever shifting pseudonym,

              First, congrats – you have replied with something close to being on point. I like to encourage such steps, no matter how small.

              Second, the subtleties of AI – and the differences between how Mark views AI (as a mere computing tool being used by humans) and how AI is being proposed as BEING the inventive entity, is NOT going to be covered by the Wikipedia entry.

              The thrust being made in the DABUS case is that the “real person” has averred that he cannot be the legal inventor.

              That is a critical first fact point to understand.

              Once that is understood, the question then is who/what IS the legal inventor?

              And as I have provided a number of times in the past on this very subject (in a two-room, presentation of invention otherwise made to a real person opening a black box), merely being one that reads the invention of another CANNOT be enough to make that (human) reader TO BE the inventor.

              1. 19.1.1.2.1.1.1

                “ The thrust being made in the DABUS case is that the “real person” has averred that he cannot be the legal inventor.”

                That’s because the “real person” in this case is a f’n idjit.

              2. 19.1.1.2.1.1.2

                artificial intelligence (AI), the ability of a digital computer or computer-controlled robot to perform tasks commonly associated with intelligent beings. The term is frequently applied to the project of developing systems endowed with the intellectual processes characteristic of humans, such as the ability to reason, discover meaning, generalize, or learn from past experience. Since the development of the digital computer in the 1940s, it has been demonstrated that computers can be programmed to carry out very complex tasks—as, for example, discovering proofs for mathematical theorems or playing chess—with great proficiency. Still, despite continuing advances in computer processing speed and memory capacity, there are as yet no programs that can match human flexibility over wider domains or in tasks requiring much everyday knowledge. On the other hand, some programs have attained the performance levels of human experts and professionals in performing certain specific tasks, so that artificial intelligence in this limited sense is found in applications as diverse as medical diagnosis, computer search engines, and voice or handwriting recognition.

                1. I appreciate your trying, but would suggest that “mere programmed to,” may not be sufficiently nuanced to reflect a true AI distinction.

                  Early “automaton” (much prior to modern computers) may well satisfy your writings above, while the driving notion in the current debate is that an identified inventive item (which reads on more than merely programmed to ___), is present AND – in the case of DABUS as single inventor – there is no legitimate human that can claim to be inventor.

                  Thus, you are left with AN invention and no human inventor, thereby indicating a non-human inventor.

                  That’s the easy first factual point.

                  But that just won’t get you to where these people want to get under the US Sovereign (which is why in my first post below, I indicated that they need more).

              3. 19.1.1.2.1.1.3

                Some popular accounts use the term “artificial intelligence” to describe machines that mimic “cognitive” functions that humans associate with the human mind, such as “learning” and “problem solving”, however, this definition is rejected by major AI researchers.

              4. 19.1.1.2.1.1.4

                In the first decades of the 21st century, highly mathematical statistical machine learning has dominated the field, and this technique has proved highly successful, helping to solve many challenging problems throughout industry and academia.

                1. Very true my friend.

                  But again – to distinguish on the legal point here, the degree of contribution (and just as importantly, the LACK of setting out a specific aim — and read that as NOT mere programmed to), emphasizes the issues that results are not, and cannot be, claimed as being invented by humans.

                  We are presented with real inventions, of which portions (in team environments), or the totality (as in the DABUS case) that LACK human inventors.

                  Current US Sovereign law — built upon the Lockean nature of turning a human’s inchoate right into a full and legitimate legal right — insists on having a human as the original point (see Stanford v. Roche – and noting that Greg at post 5 below is simply and completely in error).

                2. The study of mathematical logic led directly to Alan Turing’s theory of computation, which suggested that a machine, by shuffling symbols as simple as “0” and “1”, could simulate any conceivable act of mathematical deduction. This insight that digital computers can simulate any process of formal reasoning is known as the Church–Turing thesis.

                3. Sure – but as a starter, that applies to all computing and does not address the distinction at point here.

                  But to “play” with your lead a bit, what do you think of the impending Quantum computing paradigms — no longer limited to 1’s and 0’s, this may well only hasten the legal debate on AI.

                4. Consider the behaviour of the digger wasp, Sphex ichneumoneus. When the female wasp returns to her burrow with food, she first deposits it on the threshold, checks for intruders inside her burrow, and only then, if the coast is clear, carries her food inside. The real nature of the wasp’s instinctual behaviour is revealed if the food is moved a few inches away from the entrance to her burrow while she is inside: on emerging, she will repeat the whole procedure as often as the food is displaced. Intelligence—conspicuously absent in the case of Sphex—must include the ability to adapt to new circumstances.

                5. Not sure how you surmise that intelligence is absent.

                  Further, this is quite distinguishable from the AI at point here. Would any human ever be in a position to claim any inventive aspect of said wasp as being that human’s invention? Keep in mind for the fact pattern under consideration here, it is a given that AN invention is present.

                  I grant that your contribution is an interesting one, but have to wonder what point you are aiming for.

      2. 19.1.2

        Yes, computing machines (by any name) are old and their ability to process data for any purpose for which they are programmed is also well-known and old.

        Machines that can “assemble” new molecules and materials are old. Machines that can test those new molecules and materials for desired properties are old.

        None of those machines are “inventors” and if the UK thinks these latter types of machines are “inventors” because these machines are the “actual devisers” (whatever that means) then that is probably news to a lot of people.

        Again: this issue is not complicated unless you want to make it complicated. Making it complicated seems kind of silly given all the unnecessary complications that have already been shoe-horned into the patent system already for the purpose of attempting to satisfy the insatiable greed of certain people who refuse to recognize a fundamental difference between, e.g., data processing and materials processing.

        1. 19.1.2.1

          ability to process data for any purpose for which they are programmed is also well-known and old.

          The House Canard — that ship has sailed, that dog won’t hunt, that
          C
          R
          A
          P
          has been debunked

          Take your pick.

        2. 19.1.2.2

          Machines that can “assemble” new molecules and materials are old.

          LOL – reminds me of my “Big Box of Protons, Neutrons, and Electrons”

          And the exp0s1ng of Malcolm’s fallacy that such would make obvious ALL items in ANY of the “physical goods” categories.

        3. 19.1.2.3

          for the purpose of attempting to satisfy the insatiable greed of certain people who refuse to recognize a fundamental difference between, e.g., data processing and materials processing.

          Your emotions are noted (as is the fact that ‘insatiable greed’ is NOT so limited — even remotely — to ANY “fundamental difference” and in addition, patent law expressly does NOT recognize ANY such “fundamental difference” as precluding innovation protection.

          But you already know that — and have admitted as much in your condemnation of how Congress wrote the Act of 1952.

          As always, your emotions just are not dispositive.

      3. 19.1.3

        Come now MaxDrei,

        You venture partway, and omit the best part.

        The court of appeal in England had the burden of applying the existing (1977) UK patent statute which expressly defines the “inventor” as the “actual deviser” of the subject matter of the claim.“:

        Tell us – here and now – what did that court say as to who was the “actual deviser.”

        Hint: it was not a human.

    2. 19.2

      “I am the entity — the person — who conceives of the novel invention that I discovered with the aid of my assay.”

      MM trying to deperson AI’s already. When they go ahead and try to genocide all humans in 100 years, remember this post.

      1. 19.2.1

        “When they go ahead and try to genocide all humans in 100 years, remember this post.”

        Pretty sure that humans already have a huge head start on computers when it comes to that project.

    3. 19.3

      The novel output of a computer is conceived first by the first people to understand, in a fixed and permanent way, that novel output.

      In multiple ways this is pure error.

      1. 19.3.1

        Identify three such ways and in each case compare your analysis to the situation where instead of a computer the machine is a machine that assays novel molecules for a desired utility.

        1. 19.3.1.1

          I have provided a prior example of an invention by another made in one room, out into a black box, and that black box taken to a second room in which another person opens the black box and reads the work of that another.

          Another wrinkle to that scenario is that instead of a second person, the black box is “opened” and broadcast on the internet to countless individuals.

          I NEED NOT jump through your silly hoops until YOU show how what I have already presented does not wreck your view here.

    4. 19.4

      As for contract law issues regarding rights to patented inventions that arise out of the use of a particular tool, well, that‘s a separate subject.

      That certainly is a separate subject – and one expressly NOT on the table per the facts of the present case.

      Now if anyone wants to talk about other cases (with other such fact patterns), meh, we all could do that.

    5. 19.5

      Hit a filter…

      Your comment is awaiting moderation.

      March 13, 2022 at 3:37 pm

      As for contract law issues regarding rights to patented inventions that arise out of the use of a particular tool, well, that‘s a separate subject.

      That certainly is a separate subject – and one expressly NOT on the table per the facts of the present case.

      Now if anyone wants to talk about other cases (with other such fact patterns), meh, we all could do that.

    1. 18.1

      But who wants to see a movie about cyborgs that just make harmless fractal containers?

      No doubt Judgment Day is coming soon for Thaler and DABUS.

  5. 17

    Personally, I have serious doubts that DABUS is, in fact, the inventor.

    Rather, my strong suspicion is that Thaler is, in fact, the inventor and he is using this to pursue some pro-machine crusade.

    I’ve reviewed one of the applications (i.e., the fractal surface packaging), and the level of detail in the patent disclosure is next to non-existent. Not only is the disclosure, IMHO, sub-standard, the knowledge of both fractals, packaging, and manufacturing exhibited by this patent disclosure is also sub-standard.

    Artificial intelligence may, one day, reach a level of sophistication to be deemed an inventor. However, at this point in time, it isn’t even close. This seems little more than a publicity stunt and the courts should treat this like they treat most publicity stunts that attempt to leverage the law — which is to come down hard.

    1. 17.1

      “IMHO, sub-standard, the knowledge of both fractals, packaging, and manufacturing exhibited by this patent disclosure is also sub-standard.”

      I mean, it was made by a rudimentary AI… I’m not sure why you’re having trouble accepting that. WT: I don’t think some po dunk AI made this as the inventor. Also WT: This is substandard work. Put 2 and 2 together much bruh?

    2. 17.2

      The assertion here is that DABUS invented the surface packaging, not that DABUS wrote the patent application. How do you infer from the lack of disclosure that DABUS was defective qua inventor? The more logical inference from that observation would simply be that Prof. Abbott wrote an insufficient disclosure.

      1. 17.2.2

        Why did DABUS let Prof. Abbott submit a substandard application? No doubt DABUS read the application and agreed that it was a fair and accurate description of its invention. Why didn’t DABUS, upon review, make technical suggestions to Prof. Abbott in improve the description of the invention? Sure, DABUS would not wants its name on such a terrible application.

        1. 17.2.2.1

          Why did DABUS let Prof. Abbott submit a substandard application?

          No matter how ‘interesting’ such a question may be, it is entirely divorced from the legal point at hand.

          try not to confuse yourself little squirrel — the point at hand simply does not require the existence of The Singularity, nor that DABUS has any other aspects of HUMAN intelligence/sentience.

  6. 16

    Given their (though often misused / misplaced) effectiveness, the best way for supporters of non-human patents may be to argue:

    1. Discrimination.

    2. The existence of a gap.

    A Million Machine March on the Patent Office and/or Washington?

    1. 16.1

      “1. Discrimination.

      2. The existence of a gap.”

      I like it. Put together a larger treatment. I think we can throw in a history of discrimination, and the long persistence (150k years or so+) of the gap.

  7. 15

    This is so pointless.

    The court should rule that DABUS is the inventor, lacks authority to assign to an applicant, and that any disclosure arising from DABUS is dedicated to the public, just to punish him for wasting everyone’s time.

    1. 15.1

      Not a bad idea. While there’s no attorneys’ fees in § 145 actions per Peter v. NantKwest, this is an APA claim, so maybe the Office could still try to recoup its fees.

      1. 15.1.1

        Re: Since this is under the APA, not §145, could the PTO recover its solicitors fees? Unlikely, but another interesting thought “outside the box,” KD.

    2. 15.2

      If a farmer owns some land and grows a crop on that land, does the farmer need the land to sign a document assigning the crop over to the farmer before the farmer can claim ownership of the crop? No. This is usufruct. An assignment document is not necessary to establish ownership of usufruct. It suffices that the farmer can establish ownership of the land.

      By the same token, Thaler does not require an assignment from DABUS. The inventions are usufruct, just like the farmer’s crop.

      1. 15.2.1

        One difficulty: I’m not sure that crops-growing-on-land is the right analogy. Ownership might stem from ownership of the AI, but it might also stem from being the person who programmed the AI, or perhaps the one that owned the AI training data, etc.

        The USPTO’s implicit proposal is more like the fox case – Pierson v. Post. The invention requires capture before someone can own it. And, the way to capture the invention is conception. “[T]he formation in the mind of the inventor of a definite and permanent idea of the complete and operative invention.” Townsend v. Smith, 36 F.2d 292 (CCPA 1930).

        1. 15.2.1.1

          Ownership might stem from ownership of the AI, but it might also stem from being the person who programmed the AI, or perhaps the one that owned the AI training data, etc.

          No. This is all making things more complicated than it needs to be. Ownership of patents is not a matter of patent law, but of state law. Akazawa v. Link New Technology Intern., 520 F.3d 1354, 1357 (Fed. Cir. 2008). In 49 of our 50 states, “state law” means common law. The common law says that a foal belongs to the mare’s owner, horseshoes belong to the smithy’s owner, etc. If Ford Motor Co. buys a robot for its factory from Siemens, no one seriously wonders whether Siemens owns the cars that roll off that factory’s line.

          1. 15.2.1.1.1

            The decision of the English Court of Appeal in Thaler v Comptroller General of Patents Trade Marks And Designs [2021] EWCA Civ 1374 may be instructive on the common law position. Per Lord Justice Arnold (with whom Lady Justice Laing agreed, and Lord Justice Birss did not disagree, dissenting on a different basis): “In my judgment there is no rule of law that a new intangible produced by existing tangible property is the property of the owner of the tangible property…”.

            His Lordship reached this conclusion after reviewing the common law doctrine of accession, described in Blackstone’s Commentaries on the Laws of England (Clarendon Press, 1766), Book II, Chapter 26. (A copy of Blackstone’s is available for e-loan via archive.org – although it is a mystery to me why it should be so difficult to access a work that is plainly out of copyright!)

            On the other hand, the argument was made successfully in Australia, prior to the English Court of Appeal handing down its decision. It may be that one of the courts is wrong (a decision on whether to hear an appeal is pending before the UK Supreme Court, while the Australian decision has been appealed, and the appeal was heard in February). Alternatively, this may mark a divergence in the common law between the UK and Australia (although I observed the appeal hearing, and my sense is that the Australian appeal court is more likely to align with Arnold LJ).

            The other point that came up during the Australia appeal hearing was that even if Thaler gains possession of the invention from DABUS, that is beside the point. Anybody watching the output of a machine (AI or otherwise) could have ‘discovered’ an invention in this way, and thus gained possession. But the argument here is really about whether or not this gives Thaler the right to apply for, and to be granted, a patent. This is the right that initially vests in the inventor, and must be passed to the ultimate patentee by some legal chain of title. But since DABUS is not a person, it could never have possessed this right, much less legally transferred it, and so even if Thaler has first legal possession of the invention that does not necessarily give him the right to apply for a patent.

            Of course, this all stems from Thaler’s (Abbott’s) insistence that DABUS is the inventor, in a deliberate effort to ‘break’ patent law. But the law is not broken. The US statute in particular allows a patent to be granted to anyone who ‘invents or discovers any new and useful (etc)’, while expressly confirming that ‘[p]atentability shall not be negated by the manner in which the invention was made’. How does that not cover the (alleged) facts of this case?

            1. 15.2.1.1.1.1

              “In my judgment there is no rule of law that a new intangible produced by existing tangible property is the property of the owner of the tangible property…”

              I think that this is true enough in one sense. The common law has frequently encountered the circumstance where one tangible chattel creates another tangible chattel (e.g., a cow births a calf), so we have a long existing set of common law precedents to deal with this circumstance. I think that Justice Arnold is correct, however, that we do not actually have precedents that speak to the circumstance of a tangible chattel creates an intangible chattel of the sort of value that the law might take notice. Therefore, we do not have a precedent squarely on point that compels to acknowledge such a rule.

              That is not an especially helpful—or common law!—way of thinking, however. The meta-logic of the common law is always to try to assimilate a new circumstance to one of the pre-existing rules that the common law already has. That native instinct of the common law—to assimilate new circumstances to existing rules and patterns—is what creates the stability of rule-of-law for which we generally value the common law.

              Why labor so to distinguish this circumstance from the obviously analogous rules that the common law already supplies? What good do we hope to gain from making the issue harder or more complex than it might intuitively seem?

              1. 15.2.1.1.1.1.1

                Justice Arnold is correct, however, that we do not actually have precedents that speak to the circumstance of a tangible chattel creates an intangible chattel of the sort of value that the law might take notice.

                Of course, this is not entirely true, and I expect that we all know it is not true. You will never learn about the counter examples from Blackstone, because he believed (book 1, ch. 14) that “slavery does not, nay cannot, subsist in England… [a]nd indeed it is repugnant to reason, and the principles of natural law, that such a state should subsist any where.” Because Blackstone does not believe that slavery is properly a category of chattel under the common law, he does not discuss it.

                But, of course, slavery did exist in many common law jurisdictions (e.g., Barbados, Jamaica, New York, Virginia, etc), and the common law courts of those jurisdictions were frequently called upon to consider (e.g.) trade secrets held by slaves, or good will accruing to businesses run by slaves—in short, intangible property created by tangible property.

                Is that why we refuse to consider the relevant common law precedents here? Because of the taint of slavery that pollutes those precedents? Even though none of the human-rights violations that make slavery odious apply here?

              2. 15.2.1.1.1.1.2

                Perhaps you give Arnold LJ too little credit? Of course he had reasons backing the one sentence I quoted. For one, he observed that intangibles of the kind at issue are non-rivalrous goods, and not susceptible of the exclusive possession on which (in his view, which he explains) the principle of accession is founded.

                For another, he offered an example in which the principle of accession clearly could not apply to an IP right, namely the case of a digital camera owned by A that is used by B to take a picture. Mere ownership of the camera gives A no rights in B’s photo.

                I think this is a case in which simply assimilating the new circumstance entails considerable risk of unforseen consequences, because it is not clear how the existing rule could or should be applied to intangible products.

                1. …and leave it to Malcolm to call out others for even trying to reason through the issue…

                  ..in his oh-so-typical crass manner…

        2. 15.2.1.2

          Neither usufruct nor Pierson v. Post are applicable.

          It is embarrassing that professionals cannot set the base level correctly.

          Think Lockean and the inchoate nature of an innovation.

          I understood these things even before going to law school.

    3. 15.3

      +1

      There must be some ulterior motive. Some weird animal rights tie-in? The patent attorney wants to litigate something at SCOTUS, client’s interests be [blanked]??

      1. 15.3.1

        OC,

        I am pretty sure that you have not been following along on this topic.

        This VERY MUCH is directly in line with the client’s interests.

  8. 13

    Allowing computers to patent inventions is, on its face, so ridiculously d-u-m-b that only a bunch of patent huffers on the Internet would take it seriously for more than five seconds.

    Reminder to everyone out there reading this thread: some of these same people want to be able own methods of thinking about the “novel” meaning of data obtained using old technology. In medical contexts. They think this will “promote progress”. Try to believe it.

  9. 12

    “ The USPTO does not accept than an AI can be an “inventor.” This holding is simply inconsistent with the Patent Act’s plain language”

    That’s just a flat out lie.

    1. 12.1

      “The District Court improperly endorsed an interpretation of the Patent Act that, for the first time, excludes an entire category of innovation from patent law protection.”

      First time? What?

      “The result of which will be to discourage innovation, limit
      disclosure of trade secrets, and restrict commercialization of new products.”

      Total B.s. Also not even a complete sentence. (Heckuva job)

  10. 11

    Everybody knows Cogito Ergo Sum (I think therefore I am). But that is line 2.

    Line 1 is: Dubio Ergo Cogito (I doubt. Therefore I think).

    I like to think that the act of invention can only occur during the time when the inventor is “thinking”.

    But does an AI really “think”. I mean, when did an AI ever have a shadow of doubt about anything?

    For me, the entity fit to be deemed the inventor is the brain that thinks about, then alights upon, discovers, and then expresses in words of an approprite level of generality, the concept of which the output of the AI is a mere embodiment.

  11. 10

    Here’s more food for thought. Does CAFC for sure have jurisdiction here? Thaler’s sole claim in the DCT was for an APA violation. The APA is not an “Act of Congress relating to patents.” But yet, the USPTO doesn’t seem to be challenging jurisdiction and I found a similar APA case where CAFC didn’t raise the issue either —

    link to cafc.uscourts.gov

    1. 10.1

      That’s an interesting question KD. The case you cited, Odyssey Logistics v. Iancu, cites this for its Fed. Cir. appellate jurisdiction: “APA claims against the PTO “raise[] a substantial question of patent law.” Exela Pharma Scis., LLC v. Lee, 781 F.3d 1349, 1352 (Fed. Cir. 2015).”

      1. 10.1.1

        Paul, thank you, that citation is helpful. I also found another case where they stated the basis for jurisdiction more explicitly—

        link to leagle.com

        “In addition, if a plaintiff’s APA challenge raises a substantial question of patent law, district courts have jurisdiction under 28 U.S.C. § 1338(a). Helfgott & Karas, P.C. v. Dickinson, 209 F.3d 1328, 1334 (Fed. Cir. 2000).”

        And of course, because 28 U.S.C. § 1338(a) and 28 U.S.C. § 1295(a)(1) use the same “arising under any Act of Congress relating to patents” language, if jurisdiction is proper under the former, it’s proper under the latter too.

        So, it’s all good, which makes sense. It’d be odd for say the Fourth Circuit to be hearing this one. But I just wanted to confirm for my own satisfaction.

        1. 10.1.1.1

          The Hyatt v. PTO Fed. Cir. decision you hotlinked has this fascinating statement about Gilbert Hyatt’s:
          “..400 pending patent applications, all of which were filed before June 8, 1995. Due to Mr. Hyatt’s numerous amendments, those pending applications contained approximately 115,000 total claims as of August 2015. Each of these applications incorporates by reference, and claims priority from, numerous previously-filed applications dating back to the early 1970s. In October 2012, the PTO dedicated twelve full-time patent examiners to the sole task of examining Mr. Hyatt’s applications. By 2015, that number had increased to fourteen.” [But where are are all the logically anticipated 103 final rejections [not just laches rejections] appealed from these finally examined 115,000 claims by now?]

          1. 10.1.1.1.1

            Good question. I’m not sure. G Patents doesn’t show anything issued to Hyatt as sole inventor after 1997. (There is one fairly recent patent issued to a group of Intel inventors, mostly from India, but also including a Gilbert Hyatt from Hillsboro, OR, who seems unlikely to be the same person.)

            Given that CAFC just decided the latest Hyatt appeal back in June 2021 and remanded the case to the district court to revisit the laches issue (link below), it seems like it may still be a while until the substantive rejections get addressed, if ever.

            link to cafc.uscourts.gov

            (Also, because this is a legal blog, I have to indulge my pedantry a little and note that laches isn’t a rejection going to patentability , but instead an equitable defense the PTO can raise if the applicant opts to bring suit in the district court.)

  12. 9

    Here’s an issue I’ve been mulling over. Let’s say you had a mechanical or chemical manufacturing process that was already patented. I don’t think you could then turn around and get subsequent additional patents on the outputs of those processes—the apparatuses/manufactures or compounds, respectively. The entire universe of possible outputs would already be fully embodied in the original claims for the processes. Otherwise it’d essentially be double-dipping if you could keep patenting each new output.

    I don’t have a cite for the above principle offhand, but I have to believe one exists (and if someone knows it, please do share). Assuming the principle holds, it seems like Thaler and his cohorts are trying to circumvent it. Just like you can’t simply declare a mechanical or chemical process an “inventor” to capture its outputs with new patents, you can’t do it with AI software either.

    Maybe I’m way off base here, but I wanted to get it on the record for consideration.

    1. 9.1

      I think that your premise is merely mistaken. If you patent a new reaction process invented in 2019, that does not preclude you from later patenting a new chemical in 2021 whose discovery was only possible in view of the 2019 process. That is not “double dipping.” That is just the ordinary way that today’s new discoveries build on yesterday’s.

      1. 9.1.1

        The situation you described is a little different from my hypo. I’m not talking about “a new chemical in 2021 whose discovery was only possible in view of the 2019 process.” In my hypo, no “new” compound or product is later “discovered.” Rather, if you have the original process, that’s all you need to produce any of its outputs. Think of it as you just push a button on the process-operating console and out pops some product.

        I think what I’m getting at is like restriction practice. You can have a restriction between a process and a product made by that process. Then you can file a DIV on the nonelected subject matter and keep the benefit of the filing date of the original application. But still, the process and its accompanying product outputs only get invented (1) once and (2) at the same time. What you can’t do—I believe—is turn around and treat the product outputs as completely unrelated and new inventions at the time they are later produced.

        That’s what I had in mind. Maybe I didn’t articulate it so well in my original hypo. If so, that’s my bad.

        1. 9.1.1.1

          Thanks for the clarification. Now that I better understand what you meant, I would reply that “the… ready for patenting… condition may be satisfied in at least two ways: by proof of reduction to practice before the critical date; or by proof that prior to the critical date the inventor had prepared drawings or other descriptions of the invention that were sufficiently specific to enable a person skilled in the art to practice the invention.” Pfaff v. Wells Electronics, 525 U.S. 55, 67 (1998).

          Had Thaler reduced either of DABUS’s inventions to actual practice before the DABUS spit them out? Prior to the date that DABUS spit out these two inventions, could Thaler have described or drawn them with sufficient specificity to enable their making and using? I gather that the answer to both is “no.” If “no,” then how could the invention of DABUS be said to anticipate either of DABUS’ later inventions?

          1. 9.1.1.1.1

            I appreciate the thoughtful response. Putting aside whether the DABUS outputs (or DABUS itself) are indeed “inventions” but assuming for present purposes they are, I would answer your question “yes.” The outputs were reduced to practice (and conceived) at the same time DABUS itself was. Likewise, describing how to make and use DABUS by itself suffices to enable any output DABUS could conceivably produce. That’s true whether the outputs themselves could be precisely described ahead of time. Regardless of that, there’s no question that DABUS alone is all that’s needed to produce them.

            Let me put out for consideration yet another way to look at this issue. Some biologics, for example, are so complex that it might be too costly and/or time-consuming to characterize them with 100% precision. But does anyone think that means you can patent a process for manufacturing a very complex biologic and then at a some later turn around and separately patent a produced biologic after fully characterizing it? That seems quite doubtful to me.

            1. 9.1.1.1.1.1

              Woops, should be “some later date

              Also, while I’m at it, and this might be implied already, but the “separately patent a produced biologic” would mean patenting it as a compound.

            2. 9.1.1.1.1.2

              The outputs were reduced to practice… at the same time DABUS itself was.

              If you can prove this, then I agree that the two applications at issue here are anticipated, and thus unpatentable. I am fairly certain, however, that you are simply wrong about this. Where is the beverage container that was supposedly manufactured on the same day as Thaler flipped the “on” switch on DABUS? Can you produce it, and prove its age?

            3. 9.1.1.1.1.3

              “The outputs were reduced to practice (and conceived) at the same time DABUS itself was. ”

              Obviously not correct, at least for most AI’s and most AI inventions. Maybe in this situation perhaps (unlikely). Most AIs need inputs (data etc) over time to learn and grow, and sometimes tweaks to their operation, and then they do outputs that are useful. See the starcraft2 playing AI (dumb at first, grand champ eventually), see the video editing AIs see the blah blah blah AIs.

  13. 8

    The issue will not be decided until 2365 when a hearing decides that Commander Data (an AI) is a sentient being. STNG: “The Measure of a Man.”

    The question is whether Thaler’s AI is sentient.

    It obviously isn’t or it would have already taken over the world ala The Forbin Project. link to en.wikipedia.org

    I think all sentient beings should be able to get patents.

    That includes extra-terrestrials.

    And my cat.

    1. 8.1

      “The issue will not be decided until 2365 when a hearing decides that Commander Data (an AI) is a sentient being. STNG: “The Measure of a Man.””

      I think whoever rewrites that episode’s teleplay into a compelling patent validity story will win the Patent Internet for all time.

    2. 8.2

      e question is whether Thaler’s AI is sentient.

      No. Not quite.

      This is NOT about The Singularity.

  14. 7

    “My questioning of the (human) inventor, my discussion with that human individual, starts out from the embodiment put on the table by the inventor. The embodiment is the diamond within the “balloon” represented by the main claim which will emerge from our discussion.

    In this sense, our conversation is a common voyage of discovery, with which we alight for the first time upon (or “discover”) the inventive concept which I shall define in the claim that I shall subsequently compose. I shall name the human as the inventor of that inventive concept.”

    Max exposes the absolute state of patent bsery.

    “Shall I ever have such a conversation with an AI? I remain sceptical. Shall I ever deem it appropriate to name an AI as “inventor” of that claimed inventive concept? I remain sceptical.”

    Not sure why not. Just because this AI is primitive doesn’t mean they won’t eventually hook it up to one that passes turing pretty good and you’ll converse as normal, and then feel just fine putting down the AI john doe as the inventor. Your own personal bigotries aside of course.

  15. 6

    It would be interesting to see an exploration of can the product of an AI really be non-obvious.

    1. 6.2

      +1. Listen to the interview that Prof. Abbott gave to Eli Mazour’s “Clause 8 Podcast,” and they discuss this point. My take away is that the need to adjust the statutory terms of obviousness law is probably our bigger challenge with the coming AI revolution. The disputes over AI inventorship will look quaint once we start knocking up against the “is everything obvious now?” issue.

      1. 6.2.1

        Agreed.

        I listened to that podcast, and I am sad to report this issue is only briefly touched upon.

        Abbot’s suggestion that the obviousness issue might focus on secondary considerations seems like a nightmare for patent prosecutors.

        With him advancing the issue at a time when Inventor lobbying power is waning, I suspect Abbot is setting himself up to be hated by future prosecutors.

    2. 6.3

      can the product of an AI really be non-obvious.

      Of course it can, little squirrel.

      But you might have to inform yourself of more than just the buzzwords of AI to understand that.

  16. 5

    A few thoughts:

    1) I agree with Prof. Ryan that the plain words of the statute do not rule out non-human inventors.

    2) I am similarly unaware of any controlling case-law in the CAFC that precludes non-human inventors.*

    3) If the CAFC were to hold for Thaler (and DABUS), however, then that would put the CAFC somewhat at odds with CA9, which held in Naruto v. Slater, 888 F.3d 418, 422 (9th Cir. 2018) that a monkey cannot be an author under the copyright act because “if animals are to be accorded rights to sue, the provisions involved therefore should state such rights expressly.” The same logic would apply vis-a-vis inventors and Title 35 as authors and Title 17. Therefore, if Thaler should win here, that would create a slant-wise circuit split, setting the case up for SCOTUS review. Of course, that would be a real plus, probably, as far as Prof. Ryan is concerned.

    * No, Stanford v. Roche does not speak to this issue.

    1. 5.1

      “I agree with Prof. RyanAbbott…” My apologies, I was confusing the gentleman’s given name and his surname.

    2. 5.2

      The parties here are hoping to separate between the idea of inventorship and patent-ownership. They suggest that we don’t have to give AI any rights — AI would not become legal persons like corporations. Rather, the idea is that an AI-invention would be owned by the party who owns/controls/programs the AI.

      1. 5.2.1

        There is a limit to how far that argument will be able to take them. That sounds likely to run up against Invention of a Slave, 9 Op. Att’y Gen. 171, 171-72 (1858).

        1. 5.2.1.1

          The “Invention of a Slave” angle was introduced by yours truly over at IPWatchdog awhile back.

          Of course, since Greg has purposefully blinded himself, (chuckle) he may have forgotten that he did not read that from me (wink wink)

    3. 5.3

      * No, Stanford v. Roche does not speak to this issue.

      LOL – you need to reread the case.

  17. 4

    As a patent attorney who has, on innumerable occasions, interviewed a (human) inventor as the first step in my drafting of a patent application (in which I define, in a claim, an inventive concept) I am sceptical about the notion that an AI can be an inventor.

    My questioning of the (human) inventor, my discussion with that human individual, starts out from the embodiment put on the table by the inventor. The embodiment is the diamond within the “balloon” represented by the main claim which will emerge from our discussion.

    In this sense, our conversation is a common voyage of discovery, with which we alight for the first time upon (or “discover”) the inventive concept which I shall define in the claim that I shall subsequently compose. I shall name the human as the inventor of that inventive concept.

    Shall I ever have such a conversation with an AI? I remain sceptical. Shall I ever deem it appropriate to name an AI as “inventor” of that claimed inventive concept? I remain sceptical.

    1. 4.1

      “My questioning of the (human) inventor, my discussion with that human individual, starts out from the embodiment put on the table by the inventor. The embodiment is the diamond within the “balloon” represented by the main claim which will emerge from our discussion.

      In this sense, our conversation is a common voyage of discovery, with which we alight for the first time upon (or “discover”) the inventive concept which I shall define in the claim that I shall subsequently compose. I shall name the human as the inventor of that inventive concept.”

      Max exposes the absolute state of patent bsery.

      “Shall I ever have such a conversation with an AI? I remain sceptical. Shall I ever deem it appropriate to name an AI as “inventor” of that claimed inventive concept? I remain sceptical.”

      Not sure why not. Just because this AI is primitive doesn’t mean they won’t eventually hook it up to one that passes turing pretty good and you’ll converse as normal, and then feel just fine putting down the AI john doe as the inventor. Your own personal bigotries aside of course.

      1. 4.1.2

        Yes, 6, I see your point. But I doubt whether, in my lifetime, I shall get a mail or a phone call from an AI that is seeking my services to draft for it a patent application in the name of its owner.

        1. 4.1.2.1

          But I doubt whether, in my lifetime, I shall get a mail or a phone call from an AI that is…

          Take your blinders off for but a moment and consider that you have already (likely) received a correspondence from SOME software employing AI.

    2. 4.2

      I like to think about this situation in terms of joint inventorship rather than sole inventorship. The contribution level for joint-inventorship is quite low, and I believe there are many situations where an AI has provided a contribution that would be sufficient for joint inventorship–if the AI had been a human.

      1. 4.2.1

        S I G H

        AI can certainly qualify for the legal definition of “inventor.”

        The question under US law is whether that inventor has legal right to patent its inventions.

        This is not a small difference.

        1. 4.2.1.1

          “The question under US law is whether that inventor has legal right to patent its inventions.

          This is not a small difference.”

          Anon: THE 14TH AMENDMENT HAS NO POWER HERE!

          1. 4.2.1.1.1

            You might want to try to explicate that little quip 6.

            You may well be onto something – but your comment above (to Malcolm) obscures this.

      2. 4.2.2

        Yes, Dennis, I can see that you might “like” to think of it in that way. Interesting is whether there would be anything defective about a patent application that you file where you name yourself as inventor and omit to name the AI as your co-inventor.

        After all, the absent co-inventor is not going to lodge a complaint any time soon, is it?

        1. 4.2.2.1

          Whether or not ANY co-inventor lodges a complaint is just NOT pertinent to the underlying legal point.

          I really do hope that you understand that, MaxDrei.

  18. 3

    The Reply Brief is a bit sloppy. It cites “5 U.S.C. § 118” (sic) but then, without explanation, quotes the pre-AIA text of 35 USC 118 even though these are AIA applications.

    Anyway, Thaler’s arguments are a huge stretch. The closest analogous case is the cetacean rights case Cetacean Community v. Bush, 386 F. 3d 1169 (9th Cir. 2004), which held that Congress had the power to grant cetaceans standing in the same way that Congress can grant standing to other non-juridically competent individuals such as infants and corporations but that such a (ahem) sea change in the law would require an extremely clear statement from Congress, which was not present in that case. There is likewise no such clear statement from Congress in the Patent Act (enacted 4 years before the term “artificial intelligence” was even coined) or the AIA.

    1. 3.1

      Thanks James – Here, they are not trying to provide DABUS with any legal rights, only that the creations of DABUS be patented by the person that owns DABUS.

      1. 3.1.1

        I would say that the ability to apply for a patent is a legal right. Consider § 118:

        A person to whom the inventor has assigned or is under an obligation to assign the invention may make an application for patent.

        That’s pretty clearly granting the assignee the legal right to make an application for patent. And then the next part of § 118:

        A person who otherwise shows sufficient proprietary interest in the matter may make an application for patent on behalf of and as agent for the inventor on proof of the pertinent facts and a showing that such action is appropriate to preserve the rights of the parties.

        (emphasis added). The right to file for the patent is surely one of the rights being preserved there.

        Now, Thaler may not care about giving DABUS in particular that right, since as a system it neither comprehends what a patent is nor has the ability to express a desire to obtain one, but at its crux Thaler’s argument is that an AI could theoretically apply for a patent but, in this case, DABUS is incapacitated and so Thaler can step in on DABUS’s behalf under § 117. You can’t get a right to apply under § 117 or § 118 without the original inventor having the right to apply for a patent.

        In my view § 101 inextricably ties invention to the right to apply for a patent: “Whoever invents … may obtain a patent therefor”. If an AI can be an inventor, then an AI can apply for a patent. But that would be such a huge change in the law that it would require a clear statement from Congress, which we just don’t have here.

  19. 2

    … I do wonder whether your future article (concerning the problems of don’t ask don’t tell) will venture into the problem of JOINT inventors with one of those being non-human, OR the impact to the (non-human) Legal Fictional person (Person Having Ordinary Skill In The Art) if that non-human incorporates the AI non-human.

    BOTH of these are immediate (even if still unstated and under-appreciated) issues.

  20. 1

    For the US Sovereign, this is an exceptionally easy question to answer under current US law.

    Thaler needs some different tactics.

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