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Foreword |
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Post-Grant Proceedings Before the Patent Trial and Appeal Board Table of Contents |
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Chapter 1: |
Introduction |
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- § 1:1 : Evolution of the Leahy-Smith America Invents Act2
- § 1:1.1 : Recommendations for Patent System Reform2
- [A] : The FTC Report and NRC Report3
- [B] : Patent Reform Bills4
- § 1:1.2 : The Patent Reform Act of 20056
- § 1:2 : Evolution of AIA’s New Post-Issuance Patent Challenge Procedures8
- § 1:2.1 : Addressing the Limitations of the Ex Parte Reexamination Process8
- § 1:2.2 : Different Approaches of Proposed Legislation to Key Issues11
- [A] : Threshold11
- [B] : Timing12
- [C] : Scope of Review13
- [D] : Estoppel14
- [E] : Discovery15
- [F] : Sanctions15
- § 1:3 : New Post-Grant Patent Procedures Under the AIA15
- § 1:3.1 : Overview of Inter Partes Review, Post-Grant Review, and Transitional Program for Covered Business Methods16
- [A] : Threshold16
- [B] : Effective Date16
- [C] : Scope17
- [D] : Timing of Filing17
- [E] : Estoppel18
- [F] : Procedures18
- [F][1] : Discovery18
- [F][2] : Sanctions18
- [F][3] : Evidentiary Burden19
- [F][4] : Oral Hearing19
- [F][5] : Three-Judge Panels19
- [F][6] : Preliminary Response19
- [F][7] : Twelve- to Eighteen-Month Deadline19
- § 1:3.2 : Example of Post-Grant Proceedings Timeline19
- § 1:4 : History and Structure of the Board21
- § 1:4.1 : Organizational History21
- [A] : Names and Designations21
- [B] : Examiners/Judges22
- [C] : Board Duties and Responsibilities22
- § 1:4.2 : Historical Timeline23
- § 1:4.3 : Current Structure of the Patent Trial and Appeal Board (PTAB)36
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Chapter 2: |
Prefiling Considerations |
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- § 2:1 : Overview38
- § 2:2 : Stay of Co-Pending Litigation42
- § 2:2.1 : Generally42
- § 2:2.2 : Specific Considerations in a Court’s Decision to Grant a Stay43
- [A] : Stage of Litigation43
- [B] : Simplification of Issues44
- [C] : Are Parties Competitors?45
- [D] : Duration of Proceedings46
- § 2:2.3 : Stays in International Trade Commission Proceedings50
- § 2:2.4 : Grant Rate Statistics in Specific Courts51
- § 2:3 : Statutory Estoppel53
- § 2:4 : Evidence and Admissions54
- § 2:5 : Claim Construction55
- § 2:6 : Invalidity Arguments56
- § 2:6.1 : Existence of Invalidity Arguments that Are Not Subject to IPR56
- § 2:6.2 : Technical Complexity of Invalidity Arguments57
- § 2:7 : Circumventing Invalidity Arguments via Claim Amendments58
- § 2:8 : Intervening Rights and Design-Arounds58
- § 2:9 : Threat of Injunction60
- § 2:10 : Predictable Versus Unpredictable Arts62
- § 2:11 : Asymmetry of Discovery-Related Burdens63
- § 2:12 : Impact on International Trade Commission Proceedings63
- § 2:13 : Evidence Concerning Willful Infringement and Inequitable Conduct65
- § 2:14 : Ability of Declarants to Withstand Cross-Examination66
- § 2:15 : Filing Fees and Page Limits67
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Chapter 3: |
Petition for Inter Partes Review |
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- § 3:1 : Overview69
- § 3:2 : Petition Requirements70
- § 3:2.1 : Fee Calculation and Payment71
- § 3:2.2 : Parties in Interest and Mandatory Notices72
- § 3:2.3 : Claims Challenged and Grounds75
- [A] : Standing75
- [B] : Identification of Challenge(s)77
- [C] : Threshold Standard80
- [D] : Service83
- [E] : Other Filing Requirements and Considerations84
- [F] : Claim Charts86
- § 3:3 : Filing Date and Correction of Errors86
- § 3:3.1 : Filing Date86
- § 3:3.2 : Threshold Requirements for Institution of Review86
- § 3:3.3 : Correcting an Incomplete Petition87
- § 3:4 : Expert Witness Testimony88
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Chapter 4: |
Patent Owner Preliminary Response |
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- § 4:1 : Overview91
- § 4:2 : Timing and Waiver93
- § 4:3 : Content of a Preliminary Response94
- § 4:3.1 : General Rule94
- § 4:3.2 : New Testimonial Evidence Exception95
- § 4:3.3 : Limited Discovery Exception96
- § 4:3.4 : Page Limitations96
- § 4:3.5 : Examples of Acceptable Preliminary Response Arguments96
- § 4:3.6 : Other Inclusion Rules99
- § 4:4 : Strategic Considerations99
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Chapter 5: |
Institution of Inter Partes Review |
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- § 5:1 : Statutory Deadline101
- § 5:2 : Issuance of Decision102
- § 5:3 : Entry of Preliminary Scheduling Order103
- § 5:4 : Motions List104
- § 5:5 : Scope of Issues Decided105
- § 5:6 : Estoppel Effect of Decision106
- § 5:7 : Requests for Reconsideration106
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Chapter 6: |
Discovery |
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- § 6:1 : Overview110
- § 6:2 : Historical Perspective: Discovery in Interference Practice112
- § 6:3 : PTAB’s Expected Narrow View of Discovery When Defining the Scope of Relevant Materials115
- § 6:4 : Mandatory/Routine Disclosures119
- § 6:4.1 : Initial Disclosures119
- § 6:4.2 : Routine Discovery121
- § 6:5 : Disclosure of Inconsistent Information122
- § 6:5.1 : When to Submit Required Inconsistent Information124
- § 6:5.2 : Scope of Required Relevant Inconsistent Information125
- § 6:6 : Requests for Additional Discovery127
- § 6:6.1 : Requests for Additional Discovery “In the Interests of Justice” and “Good Cause”127
- § 6:6.2 : Initial Request for Authorization Versus Formal Motions for Additional Discovery or Other Matters130
- § 6:6.3 : Requests for Additional Discovery During Cross-Examination131
- § 6:7 : Third-Party Discovery134
- § 6:8 : Depositions—Mechanics and Practice136
- § 6:8.1 : General Deposition Framework137
- § 6:8.2 : Interference Deposition/Testimony Guidelines and the BPAI’s Application of Same139
- § 6:8.3 : The BPAI’s Direct Rejection of Additional Common Litigation Objections and Practices142
- [A] : “Blanket” Objections Insufficient and Waived, Even If Subject of a Stipulation Between Parties142
- [B] : Objections Not Made on the Record at the Time of Deposition Waived, and Not “Reserved Until the Time of Trial,” Despite Stipulation Between Parties to the Contrary143
- [C] : Objections to the “Form of the Question” Additionally Improper, Since They Are Not Included within the Federal Rules of Evidence143
- [D] : Objections to Questions As “Vague,” “Unclear”/”Not Clear” and “Ambiguous” Likewise Improper in Interference Cross-Examinations, Since They Are Not Included within the Federal Rules of Evidence144
- [E] : Objections that Questions “Mischaracterize” or “Misstate” Prior Testimony Improper144
- § 6:8.4 : Best Practices for Defending and Taking Cross-Examinations145
- § 6:8.5 : Preparing Witnesses for Cross-Examination146
- § 6:9 : Document Requests147
- § 6:10 : Objections, Admissibility, and Motions in Limine148
- § 6:11 : Protective Orders and Confidentiality Designations150
- § 6:12 : Need for Litigation Hold for Parties to Avoid Spoliation and Sanctions151
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Chapter 7: |
Sanctions |
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- § 7:1 : Introduction154
- § 7:2 : Sanctioning Power Under AIA154
- § 7:3 : Historical Perspective156
- § 7:3.1 : Legislative History of Sanctions Provision156
- [A] : House Judiciary Committee Hearings156
- [B] : House and Senate Debates158
- § 7:3.2 : Comparison with Past Provisions158
- § 7:4 : PTO’s Historical Experience162
- § 7:4.1 : BPAI Experience162
- [A] : Measuring Sanctionable Behavior163
- [B] : Determining Appropriate Sanctions164
- [C] : Defining a “Frivolous” Position164
- [D] : Best Practices in Seeking Sanctions165
- § 7:4.2 : TTAB Experience166
- § 7:5 : Risks Associated with Various Common District Court Litigation Tactics168
- § 7:5.1 : Discovery Abuses168
- § 7:5.2 : Depositions169
- § 7:5.3 : Requests for Extensions of Time171
- § 7:5.4 : Spoliation172
- § 7:6 : Pursuing Sanctions173
- § 7:6.1 : Procedure173
- § 7:6.2 : Timing175
- § 7:6.3 : What Sanctions Are Available?175
- [A] : Mandated Sanctions175
- [B] : Informal Sanctions176
- § 7:7 : Appealing Sanctions177
- § 7:7.1 : Rehearing177
- § 7:7.2 : Appeal177
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Chapter 8: |
Patent Owner Discovery Period, Response and Proposed Amendments |
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- § 8:1 : Patent Owner Discovery Period180
- § 8:1.1 : Cross-Examination of Petitioner ’s Declarant(s)182
- § 8:1.2 : Seeking “Additional” Discovery183
- [A] : Impermissible Uses of “Additional” Discovery184
- [B] : Use of “Additional” Discovery to Explore Secondary Indicia of Non-Obviousness185
- § 8:1.3 : Discovery of Third Parties by Way of Subpoena
Issued Under the Authority of an Appropriate District Court186
- § 8:2 : Patent Owner Response Requirements187
- § 8:3 : Amendments to Claims and Substitute Claims188
- § 8:3.1 : Requirements188
- § 8:3.2 : No Broadening Amendments189
- § 8:3.3 : Establishing that an Amendment Is Responsive to Ground of Patentability at Issue190
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Chapter 9: |
Petitioner Discovery Period, Reply and Opposition to Proposed Amendments |
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- § 9:1 : Petitioner Discovery Period191
- § 9:1.1 : Routine Discovery192
- § 9:1.2 : Production of Cited Exhibits192
- § 9:1.3 : Cross-Examination of Patent Owner’s Declarant192
- § 9:1.4 : Information that Is Inconsistent with a Position
Advanced During the Proceeding194
- § 9:2 : Petitioner’s Reply to the Patent Owner’s Opposition195
- § 9:3 : Petitioner’s Opposition to the Patent Owner’s Proposed Amendments197
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Chapter 10: |
Patent Owner Supplemental Discovery and Reply to Opposition to Proposed Amendments |
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- § 10:1 : Supplemental Patent Owner Discovery199
- § 10:1.1 : Timing199
- § 10:1.2 : Scope200
- [A] : Routine Discovery by Patent Owner200
- [B] : Additional Discovery by Patent Owner201
- § 10:2 : Patent Owner Reply to Opposition to Proposed Patents201
- § 10:2.1 : Petitioner’s Observations on Cross-Examination202
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Chapter 11: |
Motions |
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- § 11:1 : In General206
- § 11:2 : Filing Motions206
- § 11:2.1 : Timing206
- § 11:2.2 : Procedure for Filing Motions207
- § 11:2.3 : Content of Motions207
- § 11:2.4 : Opposition to Motion209
- § 11:2.5 : Reply to Opposition209
- § 11:2.6 : Affidavits in Support of Motions, Oppositions, or Replies210
- § 11:3 : Board Action on a Motion and Request for Rehearing210
- § 11:4 : Types of Motions211
- § 11:4.1 : Motions to Exclude Evidence211
- § 11:4.2 : Motion to Seal212
- § 11:4.3 : Motions to Expunge215
- § 11:4.4 : Motions for Joinder215
- § 11:4.5 : Motions to File Supplemental Information216
- § 11:4.6 : Motion for Judgment Based on Supplemental Information216
- § 11:4.7 : Motions for Observations on Cross-Examination217
- § 11:4.8 : Motions to Compel217
- § 11:4.9 : Motions to Amend the Patent219
- § 11:4.10 : Motions for Additional Discovery219
- § 11:4.11 : Motions in Limine219
- § 11:4.12 : Motion to Waive Page Limits220
- § 11:4.13 : Motion for Correction of Notice of Basis for Relief220
- § 11:4.14 : Motions to Correct Petition221
- § 11:4.15 : Motion for Paper Filing221
- § 11:4.16 : Motions for Admission Pro Hac Vice221
- § 11:4.17 : Motion to React to the Exclusion of an Inventor or Co-Owner222
- § 11:4.18 : Motions for Relief on Grounds Not Identified in the Rules223
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Chapter 12: |
Hearing |
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- § 12:1 : Request for a Hearing225
- § 12:2 : The Hearing Panel226
- § 12:3 : Order of Proceeding226
- § 12:4 : Exhibits227
- § 12:4.1 : Content227
- § 12:4.2 : Format228
- § 12:4.3 : Numbering228
- § 12:4.4 : Filing Deadlines and Other Requirements229
- § 12:5 : Depositions Versus Live Testimony230
- § 12:6 : New Evidence and Arguments231
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Chapter 13: |
Final Written Decision and Rehearing Requests |
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- § 13:1 : Requirement and Definition233
- § 13:1.1 : Timing234
- § 13:1.2 : Content234
- § 13:2 : Impact: Estoppel234
- § 13:2.1 : Certificate235
- § 13:3 : Rehearing Requests236
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Chapter 14: |
Appeals to the Federal Circuit |
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- § 14:1 : Filing the Notice of Appeal239
- § 14:2 : Standard of Review242
- § 14:3 : Preservation of Issues for Appeal244
- § 14:4 : Strategic Considerations245
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Chapter 15: |
Parallel Litigation |
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- § 15:1 : Introduction248
- § 15:2 : Background on PTAB Proceedings Relevant to Concurrent Litigation249
- § 15:2.1 : Timing249
- § 15:2.2 : Limited Discovery250
- § 15:2.3 : The Quality of Adjudication Under the PTAB250
- § 15:3 : Practical Impact of the Change to Inter Partes Review on Litigation—Estoppel251
- § 15:4 : The New Landscape—PTAB Proceedings As Alternatives to Litigation254
- § 15:4.1 : Timing—Use It or Lose It254
- § 15:4.2 : PTAB Proceedings in Relation to Declaratory Judgments255
- § 15:4.3 : Post-Grant Proceedings in Relation to Stays256
- § 15:5 : The New Landscape—PTAB Proceedings Concurrent or Prior to Litigation258
- § 15:6 : Pre-Trial Reexamination Strategies (Historic)259
- § 15:6.1 : Stay of District Court Litigation259
- [A] : Decision to Stay—Factors-Based Analysis259
- [A][1] : Prejudice259
- [A][2] : Simplification260
- [A][3] : Timing261
- [B] : Pending Preliminary Injunctions261
- [B][1] : Creative Stay Tactics—Defendants: Motion to Transfer Followed by a Motion to Stay(“Texas Two-Step”)262
- [B][2] : Creative Stay Tactics—Plaintiffs: Stay Calculus Relating to the ITC (“ITC End-Around”)264
- [B][3] : Can You Appeal a Stay Determination?265
- § 15:6.2 : Intervening Rights267
- [A] : The Substantially Identical Standard268
- [B] : Types of Intervening Rights271
- [C] : Claim Construction and Intervening Rights272
- [D] : Amended in Effect?273
- § 15:6.3 : Enhanced Claim Construction275
- [A] : Using the Proceeding As an Ongoing Prosecution History276
- [B] : Self-Serving Statements277
- § 15:6.4 : Inequitable Conduct (Materiality Analysis)279
- § 15:6.5 : Willfulness281
- § 15:7 : Post-Trial Strategies283
- § 15:7.1 : Avoiding Injunctive Relief283
- [A] : Enforcement of Injunction Stayed in View of PTO Determination283
- § 15:7.2 : Avoiding Judgment/Impacting Invalidity285
- [A] : When Inter Partes Estoppel Applies287
- [B] : The Reach of the Estoppel287
- [C] : Inter Partes Patent Estoppel May Not Apply to Prior Art Deemed “Unavailable”288
- § 15:8 : Conclusion289
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Chapter 16: |
Transitional Program for Covered Business Method Patents |
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- § 16:1 : Introduction291
- § 16:2 : Historical Background292
- § 16:3 : Intent295
- § 16:4 : Unique Features of the TPCBMP296
- § 16:4.1 : Scope296
- § 16:4.2 : Timing and Sunset296
- § 16:4.3 : Standing297
- § 16:4.4 : Requests for Stay298
- § 16:4.5 : Prior Art limitations299
- § 16:4.6 : Estoppel300
- § 16:4.7 : Subject Matter Eligibility300
- § 16:5 : Implementation: PTAB Rules for CBM307
- § 16:6 : Strategies310
- § 16:6.1 : Patent Owner Strategy310
- § 16:6.2 : Petitioner Strategy311
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Chapter 17: |
Preview of Post-Grant Review Procedures |
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- § 17:1 : Introduction313
- § 17:2 : Applicability of the Rules Governing Practice Before the PTAB315
- § 17:3 : Eligibility317
- § 17:4 : Window for Filing317
- § 17:5 : Scope of Defenses Considered319
- § 17:6 : Scope of Estoppel321
- § 17:7 : Discovery323
- § 17:8 : Strategic Considerations323
- § 17:9 : Other Provisions324
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Appendix A: |
Leahy-Smith America Invents Act |
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Appendix B: |
Rules of Practice Before the Board of Patent Appeals and Interferences in Ex Parte Appeals |
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Index to Post-Grant Proceedings Before the Patent Trial and Appeal Board |
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