TreatiseTreatise

Post-Grant Proceedings Before the Patent Trial and Appeal Board

 by Oblon Spivak Maier Neustadt, Stephen G. Kunin, Scott McKeown, Greg H. Gardella
 
 Copyright: 2013

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Product Details

  • ISBN Number: 9781402418419
  • Page Count: 526
  • Number of Volumes: 1
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The America Invents Act created the Patent Trial and Appeal Board which is akin to the Board of Patent Appeals and Interferences and which will preside over various new proceedings designed to provide parties with a more effective venue in which to litigate patent validity. The most commonly used procedure will be inter partes review, which effectively replaces inter partes reexamination as of September 16, 2012.  Other post-grant proceeding include Post-Grant Review and the Transitional Program for Covered Business Method Patents.

Post-Grant Proceedings Before the Patent Trial and Appeal Board guides readers through the process of initiating a post-grant proceeding, taking discovery, seeking sanctions, proposing and opposing claim amendments, effectively advocating at the oral hearing, appealing to the Federal Circuit, and handling a wide array of issues involving co-pending district court litigation.

Updated at least once a year, Post-Grant Proceedings Before the Patent Trial and Appeal Board is a comprehensive and indispensable resource for anyone involved in a proceeding before the Patent Trial and Appeal Board.

Table of Contents:

Foreword
About the Authors and Editors
1. Introduction
2. Pre-filing considerations
3. Petition for Inter Partes Review
4. Preliminary Response by Patent Owner
5. Institution of Inter Partes Review
6. Discovery
7. Sanctions
8. Patent Owner Discovery Period 
9. Patent Owner Response and Proposed Amendments
10. Petitioner Discovery Period
11. Petitioner Reply and Opposition to Proposed Amendments
12. Supplemental Patent Owner Discovery 
13. Reply Concerning Proposed Amendments
14. Motions
15. Hearing
16. Final Written Decision 
17. Appeals to the Federal Circuit
18. Post-Grant USPTO Patent Proceedings & Concurrent Litigation
19. Legislative Anomalies and Expected Technical Amendments 
20. Transitional Program for Covered Business Methods
21. Preview of Post-Grant Review Procedures
Appendix A: Consolidated Proposed Rules
Appendix B: America Invents Act

  Foreword
  Table of Contents
Chapter 1: Introduction
  • § 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
Chapter 2: Prefiling Considerations
  • § 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
Chapter 3: Petition for Inter Partes Review
  • § 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
Chapter 4: Patent Owner Preliminary Response
  • § 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
Chapter 5: Institution of Inter Partes Review
  • § 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
Chapter 6: Discovery
  • § 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
Chapter 7: Sanctions
  • § 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
Chapter 8: Patent Owner Discovery Period, Response and Proposed Amendments
  • § 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
Chapter 9: Petitioner Discovery Period, Reply and Opposition to Proposed Amendments
  • § 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
Chapter 10: Patent Owner Supplemental Discovery and Reply to Opposition to Proposed Amendments
  • § 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
Chapter 11: Motions
  • § 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
Chapter 12: Hearing
  • § 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
Chapter 13: Final Written Decision and Rehearing Requests
  • § 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
Chapter 14: Appeals to the Federal Circuit
  • § 14:1 : Filing the Notice of Appeal239
  • § 14:2 : Standard of Review242
  • § 14:3 : Preservation of Issues for Appeal244
  • § 14:4 : Strategic Considerations245
Chapter 15: Parallel Litigation
  • § 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
Chapter 16: Transitional Program for Covered Business Method Patents
  • § 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
Chapter 17: Preview of Post-Grant Review Procedures
  • § 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
Appendix A: Leahy-Smith America Invents Act
Appendix B: Rules of Practice Before the Board of Patent Appeals and Interferences in Ex Parte Appeals
  Index

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