Industrial Design +

Consulting LLC
Patent
Spring 2020

Avery Kurtz
akurtz@uccs.edu
Dylan Emerson
demerson@uccs.edu
Kalyne McEady
kmceady@uccs.edu
Richard Patterson
rpatters@uccs.edu
Madelyn Rodriguez
mrodri14@uccs.edu
(719) 373-3783
Jono Schwan
jschwan2@uccs.edu
(719) 439-0238
Table of Contents

Introduction 1
Project Description / Executive Summary 2
Background 3
Spring Team 3
Bachelor of Innovation Overview 5
Why File A Patent & Expenses 7
Draft Patent 10
Next Steps & Post-Patent Options 27
Appendices 34
Appendix A 35
Appendix B 40
Introduction

1
Project Description / Executive Summary

The client has developed a mechanism for attaching pallets to delivery vehicles. This

mechanism works for any size delivery vehicles that convey deliveries on pallets to prevent the

pallets from jostling or bouncing out of the trailer in route. The client completed the engineering

drawings and two prototypes and wanted to have a team research, document, and prepare

applications for a patent for this mechanism.

The challenges the client predicted include: in this project will be

a) Completing the research to determine if there are competing patents.

b) Documenting and explaining the steps involved in obtaining the patent, from

initial research to provisional patenting to final patenting.

c) Preparing the applications and paperwork required each step of the way.

d) Documenting the costs involved.

The client has worked with a BI team a few years ago on website development but was unable to

use the results of that project due to the scope of the project being larger than the team could

accommodate. The client hopes that these current requests are not to significant and are specific

enough in scope for our team to complete the tasks to a high-quality project in a single semester,

Spring 2020.

Ideally, the client would have a team that includes at least one student with an interest or skillsets

in the physical engineering sciences and at least one student with an interest in patents.

The client or a representative of himself / IDC are willing to meet remotely. These meetings may

be held bi-weekly though the client is also willing to be accessible via email if our team deems

the situation necessary to sufficiently complete the task in the given time.

2
Background

IDC seeks to have the Spring 2020 Bachelor of Innovation Team assist in the research of similar

patents, patent development, patent submission, and analysis of major post patent options for a

new product that the client has recently developed.

Spring Team

The Bachelor of Innovations teams’ class is a collaboration amongst 4010, 3010, and 2010

students. Each of these students have different majors and experience being on an innovation

team. 4010’s are the leaders of the team and provide guidance and experience throughout the

project. 3010’s and 2010’s are still learning how the class functions and how the team dynamic

works. Each student used his or her background and unique skill set to contribute to the project.

● Madelyn Rodriguez (4010) was able to use her excellent research skills, and past patent

development skills to assist in all aspects of patent development and final report writing.

● Jono Schwan (4010) was able to use past patent experience, and design /technical writing

experience to help with the crafting, cost estimation, and pro/con research of patent.

● Avery Kurtz (3010) used her extensive Adobe illustrator experience to craft perfectly

formatted images used for the actual patent submission.

● Dylan Emerson (3010) used his prior patent experience and writing background to

contribute to the content and formal wording used in the patent.

● Kalyne McEady (3010) was able to use her proficiency in word and formatting to help

phrase and format the patent as best possible for client submission.

● Richard Patterson (2010) used his prior/recent experience with researching patents and

experience in product development research to contribute to the patent submission doc.

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Bachelor of
Innovation
Overview

5
The Bachelor of Innovation teaches students that innovation is “the transformation of ideas into

impact.” Throughout all of the innovation and entrepreneurship classes, students harness this

definition and practice it through real world experience. Students get the opportunity to innovate

and fail in a safe environment and learn about the importance of using failure as a stepping stone

to innovate. The Bachelor of Innovation seeks to teach students professionalism, communication

and leadership, and strives to get students on the court.

One of the defining aspects of the Bachelor of Innovation is the team's class. Many classes at

UCCS have all students entering the class as the same academic level. For example, every

student in a MGMT 3900 class is having their first occurrence taking that class. However, the

Bachelor of Innovation team’s class has three levels of students taking the same class. First years

take INOV 2010, second years take INOV 3010, and third years take INOV 4010. Every team

has multiple 4010, 3010, and 2010 students, and each student provides something unique to the

overall team dynamic. 4010’s takes a role of leadership and help guide their team through the

class as well as contacting the client. 3010 offer a role of support and help 2010s better

understand the structure of the class as well as better develop their leadership skills for when

they become a 4010 the next year. 2010’s are constantly trying to learn about innovation and

develop their skills. INOV 2010, 3010, and 4010 are just three of the classes Bachelor of

Innovation students take to obtain an accredited degree. The rest of the degree is filled with

upper level Innovation and Entrepreneurship classes as well as broad spectrum of other classes

depending on the students major and cross disciplinary core.

6
Why File A Patent
& Expenses

7
According to the United States Patent and Trademark Office (USPTO), the basic cost to file a

patent application is $300. However, if you are a small entity, the price is $150, and the micro

entity fee (for an individual) is just $75.

As a patent owner, you have specific rights regarding your invention, which include:

• The right to license your patent to third-parties and in turn, collect royalties

• The right to sell your patent and invention in general

• The right to sue those who infringe on your patent

• The right to manufacture and sell products covered by the patent

Some of the benefits/pros of filing a patent include:

• An edge that your competitors won't have, as you will be legally protected in regards to

the design and function of your invention. Since you will be able to license your

invention, this can also lead to higher revenue.

• An increased level of security, as this investment will prevent others from stealing your

unique idea. Once you obtain your patent, your invention becomes your intellectual

property, motivating you to push your business towards long-term success.

• Greater credibility, helping you strengthen your brand in a competitive market. This is

particularly important in regards to your business value, especially if you plan to sell your

idea in the future.

Some of the downfall of filing a patent are:

• A relatively lengthy and often complicated application process that for some, lasts years.

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 • The risk associated with total transparency. When you file a patent, you are required to

highlight every detail of your invention. This is also why having legal support is

beneficial -- especially if you ever need to defend your patent.

• Maintenance fees that are required three times throughout a patent's life. This drives up

the final cost.

• The fact that coverage is limited to that specific product in regards to its design

and/function.

Different types of patents:

• A provisional patent is critical when you want to protect your rights but are not yet ready

to invest in a patent. Being the least expensive, you should seek a provisional patent

when you are still developing your invention. This will provide you with patent-pending

status as you make progress and prepare your nonprovisional patent application.

• A utility patent is ideal when you want to protect a tangible item or product.

• A design patent is the best choice when you want to protect the aesthetics or design of an

item based on its appearance and function.

If seeking help from patent attorney (not necessary given our team’s efforts):

• Provisional Patent $1,500 – $3,500

• Utility Patent $5,000 – $15,000

• Design Patent $2,000 – $3,500

9
Draft
Patent

10
Inventor:       Jim Robertson

Specification

Title. Pallet Restraint Device (assuming this may/may not be changed later)

Cross References to Related Applications.

N/A (unless I am mistaken)

Field of Invention. The current invention generally relates to restraint mechanisms, with

a certain specific application to securing top-heavy pallet cargo that is loaded and shipped

on pallets.

Background

 It is not uncommon to transport products across the country by means of pallets on trailers.

Typically, this consists of stacking products on pallets, restraining the product through a means

such as shrink wrap or straps, and placing the pallets into a trailer or the bed of a cargo truck.

For some companies that manufacture large, top-heavy products, there is immense concern about

properly transporting these materials without the product toppling over with the whole pallet on

the truck while driving over uneven roads. Oftentimes, these companies will secure a pallet on

three sides, with one side being pressed up against the frame of the truck or trailer it is contained

in and two other sides being pressed against two other pallets. This approach has worked to some

extent over the years, but there have been a number of dangerous incidents where pallets have

11
fallen over in trailers or fallen off trucks altogether, creating a dangerous situation for everyone

involved.

The current invention seeks to solve the issue of pallets containing top heavy products tipping

over by being attached to the unsecured side of the pallet that poses a risk for flipping upwards

on uneven roads. The invention thereby fully restrains the unrestrained side of a pallet consisting

of top-heavy products or material to prevent the cargo from tipping over and falling off, creating

a much safer transportation environment by stabilizing the pallets. The invention can also

restrain pallets that contain cargo that come in various other shapes and sizes.

Summary (Richard)

 The invention, as disclosed, attaches to a trailer and prevents pallet loads from falling off or out

of the pallet and off the vehicle during transit. This invention would prevent the incident of

the unsecured cargo falling off the primary vehicle and risk damaging other nearby vehicles

while being carried to another location.

The device is permanently welded to the trailer, on the inboard trailer center rail. The

bolt retracts and rests inside its housing while the pallet is being loaded/unloaded. Stabilization is

achieved by extending the bolt from the housing of the invention to the pallet. The extension is

inserted into the narrow space between the bottom of the pallet and the pallet floor to reduce its

movement. A detent in the invention prevents the bolt from accidentally retracting during

transit. While the pallet itself is stabilized, the likelihood of the pallet(s) being dislodged from

the trailer is decreased significantly in the event of traveling on hills, and over uneven and rough

roadways.

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Drawn images are provided of the device and the components that make up the device below.

Each figure-drawing also provides details as to what the components of the device are, and how

they function. The drawings also allow for visual explanation as to what the final design of the

device looks like, as well as how the device is supposed to achieve the intended goal for which it

was designed.

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Brief Description of Drawings

Various embodiments of the invention are disclosed in the following detailed description and

accompanying drawings.

Fig. 1a illustrates the entirety of the trailer containing the present invention.

Fig. 1b illustrates a single pallet slot to contain a pallet on a trailer.

Fig. 2a illustrates a preferred embodiment of the assembled gear-driven bolt assembly at a three-

quarter view.

Fig. 2b illustrates an opposite three-quarter view of a preferred embodiment of the assembled

gear-driven bolt assembly.

Fig. 3 illustrates an exploded and assembled view of the pinion shaft assembly.

Fig. 4 illustrates an exploded and assembled view of the gear-driven bolt assembly.

Fig. 5 illustrates a section of the trailer frame containing the present invention and how it is

accessed.

Detailed Description and Preferred Embodiment

The following is a detailed description of exemplary embodiments to illustrate the principles of

the invention. The embodiments are provided to illustrate aspects of the invention, but the

invention is not limited to any embodiment. The scope of the invention

encompasses numerous alternatives and modifications; it is limited only by the claims.

Numerous specific details are set forth in the following description in order to provide a

thorough understanding of the invention. However, the invention may be practiced according to

the claims without these specific details. For the purpose of clarity, technical material that is

14
known in the technical fields related to the invention has not been described in detail so that the

invention is not unnecessarily obscured.

Referring to FIG. 1a and FIG. 1b, illustrated is a trailer the present invention will be assembled

within generally depicted by the numeral 22. A trailer frame 18 containing bolt

access points 17 and wrench access points 20 is used to secure a pallet 19 against a frame 18 as

well as encapsulate the present invention. A pallet generally depicted by numeral 19 is held in

place by a bolt 16 extended into a narrow space depicted generally by numeral 23 between the

bottom of a pallet and the floor of a pallet (FIG. 1b) to prevent a pallet from lifting itself out of

the bed of a trailer 21. A bolt 16 is extended out of a bolt access point 17 to secure a pallet 19.

Referring to FIG. 1a and FIG. 5, illustrated are wrench access points 20 cut into a frame 18.

A wrench is to be inserted into a wrench access point 20 (FIG. 1a) to

rotate a pinion shaft 10 clockwise to extend a bolt 1 from a cylinder 4 or to rotate

a pinion shaft 10 counterclockwise to retract a bolt 1 from a cylinder 4 (FIG. 5).

Referring to FIGS. 2a-5, illustrated is a device according to an embodiment of the present

invention containing a bolt 1, a gear rack 2, a spur gear 3, a cylindrical tube 4, a tab bottom and

top 5 and 7, bearings 6 and 8, a corrosion-resistant bearing 9, a pinion shaft 10, a

mounting flange 11, a cover 12, a key 13, a threaded fastener 14, and a washer 15. A bolt 1 is

extended into a narrow space between the bottom of a pallet and the floor of the pallet. A gear

rack 2 engages with a spur gear 3 to translate rotary motion from a spur gear 3 to a linear motion

of a gear rack 2 and a bolt 1 depicted in FIG. 2a. A spur gear 3 is keyed to

a pinion shaft 10 which is turned by hand to actuate a gear-driven bolt assembly FIG. 3. A

cylindrical tube 4 is to be used as a base for other components to be welded to create a

welded assembly indicated at 4. A tab 5 and 7 respectively to be attached to a cylindrical tube 4,

15
a bearing 8, and a self-lubed bearing 6 to allow a pinion shaft 10 to rotate freely. A bearing 8 and

a self-lubed bearing 6 to reduce friction on tabs 7 and 5. A corrosion resistant bearing 9 to

support a bolt 1 and provide smooth linear motion. A pinion shaft 10 that when

turned provides rotary motion to a spur gear 3 depicted in FIG. 3 that in turn actuates the gear-

driven bolt assembly FIG. 2a. A mounting flange 11 that is part of a welded

assembly indicated at 4 which affixes the gear-driven bolt assembly device to a trailer. A

cover 12 which is part of a welded assembly indicated at 4 and protects inner components from

environmental elements. A key 13 that locks a pinion shaft 10 and a spur gear 3 together. A

threaded fastener 14 that works with a washer 15 to retain a pinion shaft 10 in place. A

washer 15 that is designed to reduce friction and evenly distribute weight force from a

threaded fastener 14 driven into a pinion shaft 10.

 Conclusion

Many industrial companies that manufacture top-heavy products or material utilize pallets

restrained in trucks or trailers to transport said products or material. These pallets

are not necessarily secured on all four sides, leaving one side of the pallet vulnerable to bouncing

and flipping over while traversing uneven roads. With the vulnerability of bouncing and flipping,

this presents the opportunity for pallets to fall over in the trailer or fall off the truck

altogether. The present invention seeks to solve this issue by restraining the pallet

itself utilizing the components to restrain the fourth side of a pallet that is subject to flipping

over.

The disclosed embodiments are illustrative, not restrictive. While specific configurations of the

pallet restraint system components have been described, it is understood that the present

16
invention can be applied to a wide variety of securement methods. There are many alternative

ways of implementing the invention.

Page Break

Claims

What is Claimed is:

1. A stabilization device comprised of:

1. A cylindrical bolt (Figure 2: Item 1) that extends as a

horizontal component and slides through a

2. Gear rack (Figure 2: Item 2) that engages with a

3. Spur gear (Figure 2: Item 3); in which the motion of the spur gear (Item 3)

creates a linear translating motion of the cylinder bolt (Item 1) and the gear

rack (Item 2) which attaches to

4. A cylindrical tube (Figure 2: Item 4) and

5. A tab bottom and top (Figure 2: Items 5 & 7 respectively) attached to the

cylindrical tube (Item 4) and allows for passage of

6. Self-lubed bearings (Figure 2: Items 6 & 8) to be inserted easily, as well as

the other

7. Bearings (Figure 2: Item 9), which support the cylinder bolt (Item 1)

and provide smooth linear motion for

8. A pinion shaft (Figure 2: Item 10) that is keyed to the spur gear (Item 3)

allowing the cylinder bolt (Item 1) to move in or out of the shaft provided by

the cylindrical tube (Item 4) and

17
 9. A mounting flange (Figure 2: Item 11) which fixes the device to the

trailer, and

10. A cover (Figure 2: Item 12) that attaches to the cylindrical tube (Item

4) and the spur gear (Figure 2: Item 3) that locks

11. The pinion shaft (Item 10) and the spur gear (Item 3) together and

12. A threaded fastener (Figure 2: Item 14) works together with

13. A standard washer (Figure 2: Item 15) to retain the pinion shaft in place.

2. The device for stabilizing cargo on top of a trailer as defined in claim 1, wherein:

1. The apparatus contains a cylindrical member that slides horizontally

through a lubricated casing.

3. The device for stabilizing cargo on top of a trailer as defined in claim 1, wherein:

1. The device contains a circular cover on the back of the cylindrical tube

that protects the inside of the device from unwanted entities such as debris,

liquids, etc.

4. The device for stabilizing cargo on top of a trailer as defined in claim 1, wherein:

1. The pinion shaft as referenced in claim 1 is actuated by hand for the

device to be activated.

5. The device for stabilizing cargo on top of a trailer as defined in claim 1, wherein:

1. The device contains a detent built into the body to prevent the

horizontal component from retracting while in use.

Here are some different claim flavors from the claim buffet: 

1. Apparatus Claim.

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 1. "A computer system comprising..."

2. Component Apparatus Claims. Claim the innovative component alone, and then

claim it as part of a broader system:

1. A disk drive comprising X, Y and Z.

2. A computer system comprising a disk drive, X, Y and Z.

3. Method Claim. Claim the steps in a process.

1. How is the device used?

4. Product by Process Claim.

1. Use if structure of invention is difficult to describe.

2. But, this type of claim is only infringed by a product made by

a substantially identical process.

5. Computer Readable Medium (Beauregard) claim.

1.

6. Means-Plus-Function / Step-Plus-Function Claims.

1. Strategic Claiming.

1. Avoid "Restriction Requirements" from the Patent Examiner. 

1. Glue Claim - A glue claim recites every limitation of every

independent claim verbatim.

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 2. Nephew Claims - Each independent claim has a dependent claim

that corresponds to every other independent claim.

General Claiming Notes

Describe invention:   Language should be inclusive, but not ambiguous. Specific and

comprehensive. § 112 ¶ 2.

Claim Novel Tools and Manufacturing as well as End Product.

Claim intermediate products in the manufacturing process.

Language:    Draft some claims using terms that are not in the specification.  If the verbatim term

(as opposed to the concept) is used in the specification, it may be easier for an opponent to later

argue that the claim scope should be limited to the description in the specification (as opposed to

the broader underlying inventive concept).

Infringement: Try to claim Direct, Detectable, Undivided, Domestic Activity.

Is the claim directed at a party with a deep pocket?

If multiple deep pocket parties, draft claims targeted at each one.

Litigators want to claim language that identifies specific features and can be readily applied to an

accused product.

Damages:    Aim for System-Level Damages. One of the claims should be directed to the entire

system.

20
Abstract

The device serves as a preventative measure for top-heavy cargo spillage in the event

that a trailer or truck goes over rough terrain. Within these trailers, pallets are used to ensure

cargo security. However, the pallets within the trailers are not secured on all sides, which leads

to a potential opportunity for pallets to fall over due to the unsecured side flipping over on

uneven roads. The device would perform the duty of securing the fourth side of the pallet enough

to prevent the pallet from falling over in the trailer. The device was initially designed for gas

cylinders placed on pallets. However, the device can be used to secure

pallets containing any top-heavy product or material during transportation. The

device can perform such functions because it is a gear-driven sliding bolt. This bolt will cover

areas of the pallet that do not allow much protection and secure the pallet from the inboard edge

to prevent spillage.

21
Drawings

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Next Steps
&
Post-Patent
Options

27
 PHASE 1: Next Steps

In the steps below are approximately the next few steps that need to be followed to go forward

with the submission of the patent. Our team has given the foundations for having a solid patent

application, however there are still a few things to consider before the final submission and final

patent are created. Please read each of the following steps carefully to better understand the

process moving forward.

Steps Towards Patent Submission

1. Review and edit the drafted patent to suit your needs regarding specific details with the

Pallet Restraint Device.

2. Consult with other active patents to make appropriate final changes regarding all sections

within the patent.

3. Be sure the verbiage used in the patent suits your purposes and thoroughly explains the

device in the way it functions.

4. If you plan to move forward with the filing, we suggest that you make sure you file the

patent under the appropriate section as laid out in the Why File a Patent & Expenses

section.

5. After reviewing which patent type, you will be filing, please also consult the expenses

section to get a firm grasp on how much it will cost to file the patent

6. Finally, after reviewing the drafted patent and additional information, if help is still

needed to complete and file the drafted work we would like to suggest returning to the

Teams course for final filing.

28
 PHASE 2: Post Patent Options

The following options are not the only viable options once a patent has been obtained. The

options presented are the most common and what we believe to be the best possible outcomes

given the purpose of the product you have patented. Each option below has a list of PROs and

CONs based on research of the processes, and documented experiences of those that have

attempted similar approaches. Along with the information is summary of what we believe the

approach would be best for depending on your mindset and end goal you would like to achieve

after the patent has been processed.

Sell The Patent

Pros:

• Instant pay day. As soon as the patent is sold you can collect your money.

• More substantial pay than if licensed to company.

• No personal responsibility once the sale has been made.

• No further marketing, or production efforts necessary.

• Easier to share your product with the world if sold to well-known company.

29
 • No personal financial investment necessary. The company being sold to will handle all

further fees once contracts are signed and patent is transferred (unless documents state

otherwise).

Cons:

• You may no longer manufacture your patent.

• Possibility that patents does not sell before it expires.

• No ability to renegotiate if patent becomes extremely successful.

• Potentially difficult to market to companies.

• Can only sell the patent once. Upon selling if you decide another company would be a

better fit this is no longer possible.

• May be difficult to claim on resume as a personally designed / patented product.

• Company can alter your designs and manufactures as they wish.

• Relationships with company sold to can deteriorate causing additional legal fees.

Opinion:

This is the quickest and easiest option to take. If you desire a quick pay day and don’t ever want

to think about the product again this is likely the best option for you. However, that is where

many of the substantial benefits end. If you desire to grow your business, and finances from the

product beyond the selling fee this option would not be good. For example, you could sell the

patent for $1000 and the company could make $1,000,000 selling it and none of that would be

associated with you. This option also takes away the possibility of claiming the patent on your

resume as the company sold to would now hold the title unless they are kind enough to leave

your name present on the patent document.

30
 License The Patent

Pros:

• Ability to change company in future. If company is not a good fit, can be licensed to

another company upon the contract’s termination date.

• Ability to renegotiate. If you see the patent is providing significant financial gain to the

company the terms and price can be renegotiated in the future so you can receive more

pay in future contracts.

• Instant pay day. Upon licensing the patent, you will receive money.

• Provides significant amount of flexibility for future work depending on contract with

licensee prior to contract expiration.

• Possibility of licensing to multiple companies for additional financial gain.

Cons:

• Will lose ability to influence method in which product is manufactured and marketed for

given period of time contract allows for.

• Requires legal fees on your behalf to fully understand responsibilities and expectations

the company being licensed to has.

• Relationships with licensee can deteriorate causing additional legal fees.

• Doesn’t guarantee significant pay. Frequently based off of royalty. If contract is royalty

pay based and it does not sell well then there will be little pay.
31
 • If sold to company that represents product poorly can tarnish reputation for future sales or

licensing of product.

Opinion:

Licensing the patent provides many of the same benefits as selling the patent but with more

future flexibility. Though this approach frequently requires more legal fees and slightly more

effort on your side the ability to receive quick money upon signing the contract is still there. This

method also allows you to gain more money in the future if the patent is doing well, and likewise

receive less if you resign after the product has shown to not sell well. This approach is also great

for testing the waters, gaining product recognition through a well-known company selling your

product, and maintaining ownership and resume credibility to help with future inventions. This

option would be best if you were looking for quick, smaller financial gain (relative to selling)

with more flexibility in the future of the product.

Self-Manufacture and Sell

Pros:

• All profits will be yours.

• Freedom to adapt / change the product to be presented as you wish.

• No legal contracts or obligations with bigger companies you would have otherwise

licensed to.

• Ability to sell or license in future.

• Much of the ground work can be done by future Bachelor of Innovation teams.

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Cons:

• Liability and legal issues will be your responsibility.

• Requires significant amount of business knowledge.

• Requires personal effort to pursue each aspect to make a successful product.

• All professional, marketing, material, and legal costs / expenses will need to be paid by

you.

• Time taken to promote and work on product may prevent the development of future

products.

Opinion:

Self-manufacturing and selling of your product will be the most time consuming and effort

requiring method, but it also provides the most opportunity for financial and business gain. All of

the profit will be yours, but so will all the effort. This method requires that not only do you

manufacture the product, but you also market, sell, deal with any product errors or potential

manufacturing flaws, address all legal issues, and hire/maintain staff depending on the scale to

which the products sales require. This method is frequently the most stressful but also the most

fulfilling. If you wish to be in complete control of the way the product is manufactured,

marketed, and delt with as time goes this is likely the best method to take though it will require a

significant amount of effort and business savvy.

33
Appendices

34
 Appendix A

Scope of Work
Name of the Project: Industrial Design and Consulting

Name of the Sponsor: Jim Robertson

Purpose of the Project:

Jim Robertson has developed a mechanism for attaching pallets to delivery vehicles. This mechanism
works for commercial delivery vehicles that convey deliveries on pallets to prevent the pallets from
jostling or bouncing out of the trailer in route. Mr. Robertson requires research, documentation,
preparation of applications for a patent for this mechanism, and cost estimation/documentation.

High-level Project Description and Boundaries:

The IDC BI team shall conduct research, documentation, and preparation of applications for a patent to
allow the new IDC product a significantly easier process of obtaining a patent and making the product
Mr. Robertson protected legally.

The research portion of this project will include searching for related products that exist, related
products/designs that have already been patented or attempted to, and research of potentially
competing products. Documentation will include identifying the best process for this particular product
to be patented / protected legally and the steps required to do so correctly.

The documentation process will also include explanations for each part / component. Why it is
necessary and previous successful ways this has been done. After the initial two parts are complete the
actual writing, designing, and filing of the patent application can be done. This will be done in a high-
level manner and not submitted unless by the client or with the client’s approval which bring us to our
final point.

As patent applications frequently require certain costs from processing to review and in some cases
even submission we will be estimating and documenting costs for each step of the application for our
client.

35
Looking at the post patent timeline, there are numerous options that can be taken by IDC. Whether it be
selling the patent, allowing another company to manufacture and sell the product for a fee, or IDC doing
the manufacturing and sales themselves. We will be reviewing the benefits and potential downfalls of
various options and documenting them so the client may make a more informed decision.

In-scope items for this project: researching and documenting existing / competing products and patents;
researching, documenting and explaining the various components required to adequately submit the
IDC product patent; work on each component and process of the actual patent application to be
submitted; cost estimation based on each step of the patent process necessary for the IDC product
patent; research, analysis, and documentation of possible options for the client to pursue after the
patent has been filed.

Out-of-scope items for this project: Additional web development, additional professionally done
designs, the complete submission of the patent with all payments made.

Objectives and Success Criteria:

● Objective 1: Research of existing patents, products, and potential competitors to IDC’s new
product.
o All existing patents, products, and potential competitors are accounted for and
documented in a report.
● Objective 2: Research, understand, document, and explain process of patent application
necessary for IDC product.
○ All steps necessary, reasons for each step, and submission process for each step
documented in report.
● Objective 3: Work towards application in objective 2.
○ For each step in Objective 2 the necessary component, documentation, and designs will
be done to the best of student capability and attached in separate document.
● Objective 4: Cost estimation and documentation for patent application/submission.
○ For each step and part of application process requiring payment or potential cost to
finalize the IDC patent application there will be documentation of the price and
explanation of reason in the report.
● Objective 5: Post patent option analysis.
○ This component will focus on the analysis of what would be most beneficial to the client
after the patent is processed. Including PROs/CONs of various possibilities from selling
the patent, entering a contract with a manufacturer, IDC manufacturing it, etc.

High-level requirements:

● The IDC Report/Application will include a documentation stating what existing products could be
competitors, basic information about each product and similarities/differences. The report will

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 also include existing patents that would be viewed as similar or potential points that need to be
discussed in the IDC patent application and why.
● The IDC Application Report will include a step-by-step process of what is necessary for the IDC
product to be filed and patented along with each document/ design necessary for each step and
the potential costs that would exist for each step.
● The IDC Product Patent Application will include all necessary documents filled out to the best of
the BI teams ability. This document will be ordered, designed, and filled out as mentioned in the
Application Report steps provided as well as having all necessary client actions highlighted so
the process may be executed as easily as possible by IDC.

Assumptions:

● Assumption 1: The IDC product can be patented and isn’t close to existing / similar patents or
products.
● Assumption 2: The IDC product designs are sufficient to use for the patent process
● Assumption 3: The patent application necessary for the IDC product can be sufficiently worked
on by a third party (our BI team) without cause future legal issues.
Constraints:

● Constraint 1: The patent process could be put completely on hold if there is a product / patent
too similar or the IDC product design itself is not deemed patentable.
● Constraint 2: Each objective is reliant on the success of the previous making the timeline very
limited and future objectives potentially hindered by limitations/issues of the first objectives.

High-level Risks:

● Risk 1 Scope
o The IDC BI team’s objectives may take longer than originally designed. If the objective
becomes too difficult to complete in the desired timeframe, then the scope of the
project must change.
o Probability: Medium
o Impact: Medium
o Planned mitigation actions: The IDC BI team will meet with the client and discuss a
change in the scope of the desired objective and project.
● Risk 2 Dependency
o The IDC BI Team is not able to successfully file the patent due to similarities of current
product design to existing patents.
o Probability: Low
o Impact: Medium
o Planned mitigation actions: The IDC BI team will address existing designs and/or
similarities of other products in application notes section.
● Risk 3 Design

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 o The IDC BI team’s reports and application draft do not meet the needs of the client. If
team members' reports do not meet the needs of the client, then the work provided will
not be useful to the client.
o Probability: Low
o Impact: High
o Planned Mitigation Actions: Each report will be shown to the client every two weeks If
the client does not feel the report/application meets the desired requirements, a
change in action will be implemented before the next review.
● Risk 4 Benefit
o The IDC BI team meets the required objectives for the semester but fails to provide any
benefit to the client. If the objectives do not provide a benefit to the client, then IDC
may not see any improvements.
o Probability: Low
o Impact: High
o Planned Mitigation: While meeting with the client every other week, ensure that the
project is always on track and provides some form of benefit to the client at each step.

Summary Milestone Schedule:

● Milestone 1 Identify Project Deliverables

o The IDC BI team final deliverables at the end of the semester will be decided with the
client.
o Sept 13, 2020
● Milestone 2 Project Charter Client Approval
o The IDC BI team final Project Charter document will be approved by the client after it
has already been approved by team members.
o Sept 17, 2020
● Milestone 3 Deliver Reports
o The IDC BI team application and reports will be delivered to the client.
o December 10, 2020

Stakeholder List:

● Jim Robertson
o BI Fall 2020 client and owner of IDC.
● Madelyn Rodriguez
o BI Fall 2020 team lead and project manager.
● Jono Schwan
o BI Fall 2020 team lead and project manager.
● Avery Kurtz
o BI Fall 2020 team member.
● Dylan Emerson
o BI Fall 2020 team member.
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 ● Kalyne McEady
o BI Fall 2020 team member.
● Richard Patterson
o BI Fall 2020 team member.

Approvals: By signature below, the project team and the client agree to this project charter:

Sept 15, 2020

Sept 15, 2020

Sept 15, 2020

Sept 15, 2020

Sept 15, 2020

Sept 15, 2020

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 Appendix B

Resources

https://internationalpatentservice.com/Selling-Your-Patent-How-Much-You-Can-Expect.html
https://www.legalzoom.com/articles/selling-your-patent-what-you-need-to-know
https://articles.bplans.com/6-ways-to-profit-from-your-patent/
https://www.tynax.com/PDFDocs/Guide_To_Selling_Your_Patent.pdf
https://www.greyb.com/marketplaces-buy-sell-patents/
https://www.rocketlawyer.com/article/how-to-sell-patent-idea-ps.rl
https://ocpatentlawyer.com/business-selling-licensing-patent/
https://www.rpxcorp.com/platform/patent-sales/
https://www.ipwatchdog.com/2015/07/18/top-5-mistakes-inventors-make-invention/id=59286/
https://www.upcounsel.com/how-much-can-you-sell-a-patent-for
https://www.forbes.com/sites/forbesbusinesscouncil/2019/12/10/how-to-sell-a-
patent/#507614574d3d
https://www.upcounsel.com/how-to-sell-a-patent

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