Detailed Table of Contents - BNA · Detailed Table of Contents ... 1. Section 102(a) of the America Invents Act ... 1-22 a. Sub(A) Exceptions—Inventor-Originated

xli

Detailed Table of Contents

ForeWorD ......................................................................................... vii

preFace .............................................................................................. ix

acKnoWleDgMents .......................................................................... xi

aBout tHe autHors ....................................................................... xiii

conventions—HoW to use tHis treatise................................. xvii

sHortHanD reFerences useD in Footnotes .............................. xxv

suMMary taBle oF contents ....................................................... xxxix

cHapter 1: overvieW oF tHe aMerica invents act anD tHis treatise ................................................. 1-1

I. Introduction ........................................................................... 1-3 II. The Three Major Changes in the America Invents Act ..... 1-5 III. United States Patent and Trademark Office

Fee-Setting Authority ............................................................ 1-6A. Initial Fee Setting for 2013 ............................................. 1-7B. Micro Entity Status for 75-Percent Fee Reduction ....... 1-8

IV. The New First-Inventor-to-File System ................................. 1-9A. The Innovation Process and Terminology Used

in This Treatise ............................................................... 1-111. Invention Defined ..................................................... 1-112. Stages of the Innovation Process ............................. 1-123. Conceived Subject Matter Defined .......................... 1-134. Described Subject Matter Defined .......................... 1-145. Enabled Subject Matter Defined ............................. 1-146. Claimed Subject Matter/Claimed Invention

Defined ...................................................................... 1-147. Embodied Subject Matter Defined .......................... 1-158. Convey, Disclose, and Communicate Defined ........ 1-159. Levels of Similarity/Differences of Subject Matter ... 1-16

B. America Invents Act Definitions of What Is Prior Art ........................................................................... 1-18

xlii Patents After the AIA

1. Section 102(a) of the America Invents Act ............. 1-182. Only Two Kinds of Prior Art—(a)(1) Prior Art

and (a)(2) Prior Art .................................................. 1-19C. American Invents Act Definitions of “Exceptions”

to Prior Art ...................................................................... 1-201. Section 102(b) of the America Invents Act ............. 1-212. Three Different Kinds of Exceptions to Prior Art ... 1-22

a. Sub(A) Exceptions—Inventor-Originated Exceptions ........................................................... 1-22

b. Sub(B) Exceptions—First-to-Disclose Exceptions ........................................................... 1-22

c. Sub(C) Exception—Same Team Exception ...... 1-23D. The Three Major Differences in What Is Now

Prior Art After the America Invents Act ....................... 1-241. Loss of Swearing Behind Option ............................. 1-242. Removal of Any Geographic Limits for Prior Art ... 1-243. Eliminations of Secret Prior Art That Was

Commercialized ........................................................ 1-25E. The Broad Versus Narrow Debate Over

the First-to-Disclose Grace Period for Sub(B) Exceptions for Third-Party Intervening Art ................. 1-261. Triggered First-to-Disclose Grace Periods

for Sub(B) Exceptions .............................................. 1-262. Subject Matter Disclosed That Triggers a

Sub(B) Exception Must Be Mostly Effectively Identical to Prior Art That Is the Subject of a Sub(B) Exception ...................................................... 1-27

F. Comparing Post-AIA Law and Pre-AIA Law ................. 1-281. When Does First-Inventor-to-File Standard

Apply to an Application ........................................... 1-302. If First-Inventor-to-File Standard Applies

to One Application, It Applies to All Future Patent Family Members ............................................ 1-30

V. The Revamped Processes for Challenging Patentability .... 1-31A. Review Proceedings ......................................................... 1-32

1. Three Different Kinds of Review Proceedings ....... 1-332. Process for Review Proceedings ............................... 1-333. Estoppel for Review Proceedings ............................. 1-344. Impact of Review Proceedings on Prosecution

of Applications After the America Invents Act ...... 1-35B. Derivation Proceedings .................................................. 1-36C. Supplemental Examination ............................................ 1-37D. Third-Party Preissuance Submissions ............................ 1-38

VI. Organization of This Treatise .............................................. 1-39

List of Figures

Fig. 1.1. Comparison of Pre-AIA Patent Fees Versus 2013 Post-AIA Fees .................................................... 1-8

Fig. 1.2. Post-AIA Section 102 Prior Art and Exceptions ..... 1-10

Detailed Table of Contents xliii

Fig. 1.3. The Innovation Process ............................................ 1-12 Fig. 1.4. Terminology Used for the Stages of Invention

in the Innovation Process ......................................... 1-13 Fig. 1.5. The Private/Public Continuum

for Communications of Information ....................... 1-15 Fig. 1.6. The Similarity/Difference Relationships for

Content of Subject Matter ........................................ 1-16 Fig. 1.7. Prior Art Date Overlap of (a)(2) Prior Art and

(a)(1) Prior Art .......................................................... 1-20

List of Tables

Table 1.1. Comparison of Pre-AIA and Post-AIA Section 102 ... 1-29

cHapter 2: Historical perspective on tHe leaHy-sMitH aMerica invents act .................... 2-1

I. Patent Law—The Concept .................................................... 2-3 II. A Patent System and Public Policy ....................................... 2-6 III. Venetian Statute on Industrial Brevets ................................ 2-6

A. Who? ................................................................................ 2-8B. What? ............................................................................... 2-8C. Where? ............................................................................. 2-9D. Why? ................................................................................. 2-10E. How? ................................................................................. 2-10F. When? .............................................................................. 2-10G. Reservation of Rights ...................................................... 2-11

IV. Statute of Monopolies ........................................................... 2-11A. Who? ................................................................................ 2-13B. How? ................................................................................. 2-14C. Where? ............................................................................. 2-14D. What? ............................................................................... 2-15E. Reservation of Rights ...................................................... 2-15

V. A New World .......................................................................... 2-17 VI. The Declaration of Independence (July 4, 1776) ............... 2-18 VII. The Constitution of the United States of America ............ 2-19 VIII. Patent Act of 1790 ................................................................. 2-23 IX. Patent Act of 1793—Registration Patent System ................ 2-24 X. Modifications to the Patent Act of 1793 .............................. 2-26

A. Patent Act of 1800 ........................................................... 2-26B. Interpretation of Scope of Prior Art in 1829 ................ 2-27C. Patent Act of 1832 ........................................................... 2-27

XI. Patent Act of 1836—First-to-Invent Examination Patent System ......................................................................... 2-28

XII. Modifications to the Patent Act of 1836 .............................. 2-30A. Patent Act of 1839 ........................................................... 2-30B. Patent Act of 1861 ........................................................... 2-31C. Patent Act of 1870 ........................................................... 2-32D. Patent Act of 1939 ........................................................... 2-34

XIII. Patent Act of 1952 ................................................................. 2-34

xliv Patents After the AIA

XIV. The Post-1952 Revisions ........................................................ 2-38 XV. Conclusions ............................................................................ 2-42

List of Figures

Fig. 2.1. What Is a “Patent”? .................................................... 2-3 Fig. 2.2. Genesis 1:26, G-d Gives Dominion Over

All Things .................................................................. 2-4 Fig. 2.3. Venetian Statute on Industrial Brevets,

Venice (1474) .............................................................. 2-7 Fig. 2.4. Declaration of Independence (1776) ...................... 2-19 Fig. 2.5. Constitution of the United States ............................ 2-20 Fig. 2.6. The Patent Act of 1790 ............................................. 2-23 Fig. 2.7. X-Patents ..................................................................... 2-28 Fig. 2.8. Section 6 of the Patent Act of 1836 ......................... 2-29

List of Tables

Table 2.1. Structure of the Patent Act of 1952 (Public Law No. 82-593, July 19, 1952) ................... 2-39

cHapter 3: legislative History oF tHe leaHy-sMitH aMerica invents act ............................................ 3-1

I. Legislative Process ................................................................. 3-6A. The Committee System ................................................... 3-7B. Types of Legislative Proposals ........................................ 3-8

1. Bills ............................................................................ 3-82. Resolutions ................................................................ 3-8

a. Simple Resolutions .............................................. 3-9b. Concurrent Resolutions ...................................... 3-9c. Joint Resolutions ................................................. 3-9

C. General Progression of a Bill in the House of Representatives ................................................................ 3-101. Introduction of a Bill ................................................ 3-102. Referral ...................................................................... 3-103. Committee Consideration ........................................ 3-114. Markup ....................................................................... 3-115. Final Committee Action ........................................... 3-126. Committee Reports ................................................... 3-137. Contents of Reports .................................................. 3-148. Placement on the Calendar ...................................... 3-149. Second Reading ........................................................ 3-1710. The Committee “Rises” ............................................ 3-1711. House Action ............................................................. 3-1712. Motion to Recommit ................................................. 3-1813. Passage ....................................................................... 3-18

D. The Senate Process ......................................................... 3-181. Numbering of a Bill .................................................. 3-192. Order of Business ..................................................... 3-19

Detailed Table of Contents xlv

3. Senate Debate ........................................................... 3-204. Senate Amendatory Process ..................................... 3-21

E. Presidential Action—Approval or Veto ......................... 3-21F. The Bill Becomes Law .................................................... 3-22G. Steps After Passage ......................................................... 3-22H. Summary .......................................................................... 3-24

II. Precursor Legislative History to the Leahy-Smith Act ....... 3-24A. What Is a “Legislative History”? ..................................... 3-24B. Where to Start? ............................................................... 3-28

1. Federal Trade Commission and National Academy of Sciences Reports ................................... 3-29

2. The 109th to 112th Congresses and H.R. 2795 (109th Congress) ....................................................... 3-30a. Transition to a First-Inventor-to-File System ..... 3-35b. Change in Inventor’s Oath Requirement .......... 3-37c. Apportionment of Damages ............................... 3-37d. Willful Infringement .......................................... 3-39e. Prior User Rights ................................................ 3-39f. Reexamination .................................................... 3-40g. Post Grant Review ............................................... 3-41h. Eighteen-Month Publication of All Patent

Applications ......................................................... 3-43i. Prior Submissions by Third Parties ................... 3-43j. Tax Patents .......................................................... 3-44k. Venue ................................................................... 3-44l. Interlocutory Appeals ......................................... 3-44m. Disclosure Requirements .................................... 3-45n. Inequitable Conduct ........................................... 3-46o. Best Mode ............................................................ 3-47p. United States Patent and Trademark Office

Regulatory Authority .......................................... 3-48C. Summary .......................................................................... 3-50

III. The Legislative History of the Leahy-Smith Act (112th Congress) ................................................................... 3-50A. The 112th Congress—Senate Bill (S. 23) ..................... 3-51B. The 112th Congress—House Bill (H.R. 1249) ............. 3-58

1. House Consideration of H.R. 1249 .......................... 3-582. Senate Consideration of H.R. 1249 ......................... 3-65

C. Passage of the Leahy-Smith Act ..................................... 3-70 IV. Legislation After the Leahy-Smith Act ................................ 3-71

a. Public Law 112-274—An Act to Correct and Improve Certain Provisions of the Leahy-Smith America Invents Act ........................................................ 3-71

B. Public Law 112-211—Patent Law Treaties Implementation Act of 2012 ........................................... 3-72

C. Other Legislation on Patent Reform (2011–2015) ........ 3-73 V. Section-by-Section Summary of the Leahy-Smith Act ....... 3-75

A. Short Title; Table of Contents (Section 1) .................... 3-75

xlvi Patents After the AIA

B. Definitions (Section 2) ................................................... 3-75C. First-Inventor-to-File System (Section 3) ....................... 3-75

1. Definitions (Section 3(a)) ......................................... 3-752. Conditions for Patentability (Section 3(b)) ............ 3-77

a. Globalization of Prior Art .................................. 3-77b. Grace Periods Under a First-Inventor-to-File

System .................................................................. 3-78c. Otherwise Available to the Public ..................... 3-79d. Patents and Published Applications

Effective as Prior Art .......................................... 3-803. Nonobvious Subject Matter (Section 3(c)) .............. 3-824. Repeal of Requirements for Inventions Made

Abroad (Section 3(d)) ............................................... 3-835. Statutory Invention Registration Eliminated

(Section 3(e)) ............................................................. 3-836. Earlier Filing Date for Inventor and Joint

Inventor (Section 3(f)) ............................................. 3-837. Conforming Amendments (Section 3(g)) ............... 3-838. Derivations Replace Interferences (Section

3(h), (i), and (j)) ....................................................... 3-839. Statute of Limitations (Section 3(k)(1)) .................. 3-8410. Studies and Reports (Section 3(k)(2), (l),

and (m)) ..................................................................... 3-8411. Effective Date (Section 3(n)) ................................... 3-8412. Sense of Congress (Section 3(o) and (p)) .............. 3-86

D. Inventor’s Oath or Declaration (Section 4) .................. 3-87E. Defense to Infringement Based on Prior

Commercial Use (Section 5) .......................................... 3-87F. Review Proceedings (Section 6) ..................................... 3-88

1. Historical Perspective ............................................... 3-902. Differences in the Estoppel Provision

Language ................................................................... 3-91G. Patent Trial and Appeal Board (Section 7) .................. 3-92H. Preissuance Submissions by Third Parties

(Section 8) ....................................................................... 3-92I. Venue (Section 9) ............................................................ 3-93J. Fee Setting Authority (Section 10) ................................ 3-93K. Fees for Patent Services (Section 11) ............................. 3-95L. Supplemental Examination (Section 12) ...................... 3-96M. Funding Agreements (Section 13) ................................. 3-97N. Tax Strategies Deemed Within the Prior Art

(Section 14) ..................................................................... 3-97O. Best Mode Requirement (Section 15) ........................... 3-98P. Marking (Section 16) ...................................................... 3-99Q. Advice of Counsel (Section 17) ..................................... 3-101R. Transitional Program for Covered Business

Method Patents (Section 18) .......................................... 3-102S. Jurisdiction and Procedural Matters (Section 19) ....... 3-103

Detailed Table of Contents xlvii

T. Technical Amendments (Section 20) ............................ 3-103U. Travel Expenses and Payment of Administrative

Judges (Section 21) ......................................................... 3-104V. Patent and Trademark Office Funding (Section 22) ... 3-104W. Satellite Offices (Section 23) ......................................... 3-105X. Designation of Detroit Satellite Office (Section 24) .... 3-105Y. Priority Examination for Important Technologies

(Section 25) ..................................................................... 3-106Z. Studies Mandated by Congress (Sections 3(k)(2),

3(l), 3(m), 26, 27, 29, 31, and 34) .................................. 3-1061. Report on Disciplinary Hearings Before

the USPTO (Section 3(k)(2)) ................................... 3-1072. Small Business Study (Section 3(l)) ........................ 3-1073. Report on Prior User Rights (Section 3(m)) .......... 3-1084. Study on Implementation (Section 26) ................... 3-1085. Study on Genetic Testing (Section 27) ................... 3-1086. Establishment of Methods for Studying

the Diversity of Applicants (Section 29) ................. 3-1107. Study on International Patent Protections

for Small Business (Section 31) ............................... 3-1108. Study on Patent Litigation (Section 34) ................. 3-110

AA. Patent Ombudsman Program for Small Business Concerns (Section 28) .................................................... 3-111

BB. Sense of Congress (Section 30) ..................................... 3-112CC. Pro Bono Program (Section 32) .................................... 3-112DD. Limitation on Issuance of Patents (Section 33) ........... 3-112EE. Effective Date (Section 35) ............................................ 3-114FF. Budgetary Effects (Section 36) ...................................... 3-115GG. Calculation of 60-Day Period for Application

of Patent Term Extension (Section 37) ......................... 3-116 VI. Appendix to Chapter 3: Additional Tables ........................... 3-117

List of Tables

Table 3.1. Resources for Records of a Legislative History ...... 3-26 Table 3.2. Selected Studies and Activities That Preceded

the Leahy-Smith Act Legislative History ................ 3-28 Table 3.3. Section-by-Section Summary of H.R. 2795

(109th Congress) ....................................................... 3-31 Table 3.4. Comparison of Policy Provision Sections of

H.R. 1908 (110th Congress) and H.R. 1249 (112th Congress) ....................................................... 3-35

Table 3.5. Major Senate Actions on S. 23 (112th Congress) ... 3-52 Table 3.6. Summary of Amendments to S. 23 Considered

by the U.S. Senate ..................................................... 3-53 Table 3.7. Major House Actions on H.R. 1249 (112th

Congress) .................................................................... 3-60 Table 3.8. Amendments Advanced to H.R. 1249 as

Reported ..................................................................... 3-61

xlviii Patents After the AIA

Table 3.9. Amendments Advanced to H.R. 1249 in the Senate ......................................................................... 3-67

Table 3.10. Major Legislative Actions of the Leahy-Smith Act ............................................................................... 3-70

Table 3.11. Structure of Public Law 112-274: The Leahy-Smith America Invents Technical Corrections Act ........................................ 3-72

Table 3.12. Structure of Public Law 112-211: Patent Law Treaties Implementation Act of 2012 ...................... 3-73

Table 3.13. Selected Bills Directed to Patent Reform Since the Leahy-Smith Act ....................................... 3-74

Table 3.14. Implementation Dates for the Leahy-Smith Act .... 3-114 Table 3.15. Selected Bills Directed to Patent Reform Prior

to the Leahy-Smith Act (109th–112th Congresses) ................................................................ 3-117

Table 3.16. Selected Hearings Precedent to the Development of the Leahy-Smith Act ..................... 3-119

Table 3.17. Structure of the Leahy-Smith Act ........................... 3-121 Table 3.18. The Leahy-Smith Act Concordance Table:

Act/Section/Statutes Affected ................................. 3-128

cHapter 4: regulatory FraMeWorK oF tHe aMerica invents act ............................... 4-1

I. Introduction ........................................................................... 4-4 II. The Legal Hierarchy for Patents ......................................... 4-5

A. The Constitution ............................................................. 4-6B. The Patent Laws .............................................................. 4-6

1. In General ................................................................. 4-62. Title 35 of the United States Code .......................... 4-63. Uncodified Laws and Statutes ................................. 4-7

C. Administrative Actions .................................................... 4-71. In General ................................................................. 4-72. The Administrative Procedure Act .......................... 4-8

a. Patent Regulations .............................................. 4-9i. United States Patent and Trademark

Office Authority ............................................ 4-9ii. Exceptions ..................................................... 4-10iii. The America Invents Act ............................. 4-11

b. Congressional Oversight ..................................... 4-11i. In General ..................................................... 4-11ii. United States Patent and Trademark

Office Budget ................................................ 4-12c. Judicial Review .................................................... 4-12

3. Guidelines and Guidance ......................................... 4-144. Memoranda ............................................................... 4-16

D. Manual of Patent Examining Procedure ...................... 4-17

Detailed Table of Contents xlix

III. The Rulemaking Process ...................................................... 4-17A. Formal Rulemaking ........................................................ 4-18B. Informal Rulemaking ..................................................... 4-18

1. In General ................................................................. 4-182. Negotiated Rulemaking ............................................ 4-183. The Notice and Comment Process .......................... 4-19

C. Rulemaking for the America Invents Act ...................... 4-221. The Patent Reform Coordinator ............................. 4-222. The Implementation Steps ....................................... 4-22

a. Initiating Event ................................................... 4-23b. Determination of Whether a Rule Is Needed ... 4-23c. Advanced Notice of Proposed Rulemaking ...... 4-24

i. Group 1 Activity ............................................ 4-25ii. Group 2 Activity ............................................ 4-27iii. Group 3 Activity ............................................ 4-28

d. Preparation of the Proposed Rule .................... 4-28e. Review Within Government, Including

the Office of Management and Budget ............ 4-29f. Publication of the Proposed Rule ..................... 4-30g. Public Comments ................................................ 4-32

i. Timing ........................................................... 4-33ii. Formal Comments ........................................ 4-34iii. Off-the-Record Communications ................ 4-34iv. Agency Solicitations ...................................... 4-35

h. Preparation of the Final Rule ............................ 4-35i. Public Comments .......................................... 4-35ii. Format ........................................................... 4-36iii. Dates .............................................................. 4-36iv. Effective Date Provisions .............................. 4-37

i. Office of Management and Budget Review ...... 4-37j. Publication of the Final Rule ............................ 4-38k. Iterate ................................................................... 4-40

D. Guidelines and the America Invents Act ...................... 4-40 IV. United States Patent and Trademark Office

Funding and Fee Setting ...................................................... 4-42A. Key Fiscal Issues .............................................................. 4-42

1. Funding ..................................................................... 4-422. Fee Diversion ............................................................. 4-43

a. Considered Solutions .......................................... 4-44b. The Leahy-Smith Act Solution—Section 22 ..... 4-45c. Further Initiatives ............................................... 4-45

B. Fee Setting by Rulemaking ............................................. 4-461. The Leahy-Smith Act Section 10 ............................. 4-462. Fee Setting Authority ................................................ 4-46

a. The Statute .......................................................... 4-46b. The Role of the Patent Public Advisory

Committee ........................................................... 4-47

l Patents After the AIA

i. Consultation, Hearings, and Public Comment ....................................................... 4-48

ii. Time Periods ................................................. 4-49iii. Report ............................................................ 4-49

3. The Rulemaking Process .......................................... 4-50a. Stated Purpose .................................................... 4-50b. Statutory Requirements ...................................... 4-50c. Notice of Proposed Rulemaking ....................... 4-51d. Final Rule ............................................................ 4-51

i. Incentivize Innovation .................................. 4-52ii. Incentivize Behavior ..................................... 4-52iii. Balance Aggregate Costs and Revenues ..... 4-52iv. Achieve Quality and Timeliness .................. 4-53

e. Congressional Comment .................................... 4-53f. Final Rule Process .............................................. 4-53

C. Additional Fee Provisions—Section 11 ......................... 4-541. Interim Fee Setting ................................................... 4-542. Fifteen Percent Surcharge ........................................ 4-553. Prioritized Examination Fee .................................... 4-55

V. Conclusions ............................................................................ 4-55

List of Figures

Fig. 4.1. The Reg Map: Informal Rulemaking Under the Administrative Procedure Act ........................... 4-20

Fig. 4.2. USPTO 17-Month Timeline for Fee-Setting Process ........................................................................ 4-54

List of Tables

Table 4.1. USPTO Group 1 Leahy-Smith Act Rulemaking .... 4-25 Table 4.2. USPTO Group 2 Leahy-Smith Act Rulemaking .... 4-27 Table 4.3. USPTO Group 3 Leahy-Smith Act Rulemaking .... 4-28 Table 4.4. Selected Leahy-Smith Act–Related Rules

Packages: Proposed Rules ......................................... 4-31 Table 4.5. Selected Leahy-Smith Act–Related Rules

Packages: Final Rules ................................................ 4-38

cHapter 5: prior art, grace perioDs, anD exceptions aFter tHe aMerica invents act: gloBal consiDerations ...................................................... 5-1

I. Introduction ........................................................................... 5-3 II. Prior Art in Patent Systems .................................................. 5-5

A. Novelty .............................................................................. 5-51. What Does “Absolute Novelty” Mean? ..................... 5-72. Exceptions to Absolute Novelty ............................... 5-73. Invoking Exceptions to Absolute Novelty ................ 5-10

B. Nonobviousness or Inventive Step ................................. 5-11C. Grace Periods and Exceptions ....................................... 5-14

1. What Is a Grace Period? ........................................... 5-14

Detailed Table of Contents li

2. “Strong” Versus “Weak” Grace Periods ................... 5-17a. How Long Is the Grace Period? ........................ 5-18b. From When Is the Grace Period Measured? .... 5-18c. Who Is the Disclosing Party? ............................. 5-20d. What Type of Disclosure Qualifies and

Where? ................................................................. 5-21e. Submission Requirements for Invoking

a Grace Period .................................................... 5-233. Academic Exceptions ................................................ 5-24

III. First-to-File Patent System ..................................................... 5-26 IV. First-to-Invent Patent System ................................................ 5-27

A. What Jurisdictions Have or Had This Standard? .......... 5-28B. The First-to-Invent Patent System in the

United States ................................................................... 5-28C. Impact of International Agreements ............................. 5-32

V. First-Inventor-to-File Patent System ...................................... 5-34A. Changes to 35 U.S.C. §§102 and 103 ............................. 5-34

1. Post-AIA 35 U.S.C. §102(a)(1) and (b)(1) ................ 5-372. Post-AIA 35 U.S.C. §102(a)(2), (b)(2)(A),

and (b)(2)(B) ............................................................. 5-383. Post-AIA 35 U.S.C. §102(a)(2) and (b)(2)(C) .......... 5-414. Post-AIA 35 U.S.C. §103 ........................................... 5-42

B. Applications Subject to the Leahy-Smith America Invents Act ........................................................ 5-43

VI. International Considerations and Harmonization ............. 5-46A. Diversity of Grace Period Provisions Globally .............. 5-46B. Grace Period as One Cornerstone

to Harmonization ............................................................ 5-481. Early Harmonization Activities ................................ 5-48

a. The Patent Law Harmonization Treaty ............ 5-48i. World Intellectual Property

Organization Activity ................................... 5-49ii. United States Congressional Activity .......... 5-51iii. User Activity .................................................. 5-52

b. Trade-Related Aspects of Intellectual Property Rights Agreement ............................... 5-52

c. The Substantive Patent Law Treaty ................... 5-532. Current Harmonization Initiatives .......................... 5-54

a. International Governmental Considerations .... 5-55i. The Tegernsee Study .................................... 5-55ii. The Group B+ ............................................... 5-56iii. The Trilateral Consideration of

Harmonization .............................................. 5-56iv. The IP5 Consideration of Harmonization ... 5-57

b. Stakeholder Activity ............................................ 5-58i. International Association for the

Protection of Intellectual Property ............. 5-58ii. Industry Trilateral/Industry IP5 ................. 5-58

VII. Conclusions ............................................................................ 5-60

lii Patents After the AIA

cHapter 6: prior art, grace perioDs, anD exceptions aFter tHe aMerica invents act: practical consiDerations ...................................................... 6-1

I. Introduction ........................................................................... 6-4 II. Definition of Prior Art After the America Invents Act ...... 6-7

A. Relevance of the Effective Filing Date of the Claimed Invention ........................................................... 6-91. Cutover Date for the First-Inventor-to-File System ... 6-102. Claim-by-Claim Analysis for Determination

of Effective Filing Date ............................................. 6-133. Application-by-Application Analysis

for Determining Which Law Applies ...................... 6-134. Effective Filing Date Can Be a Foreign

Priority Date .............................................................. 6-16B. Two Categories of Prior Art ........................................... 6-19

1. The (a)(1) Prior Art .................................................. 6-23a. “Patented” (a)(1) Prior Art ................................. 6-24b. “Described in a Printed Publication” (a)(1)

Prior Art .............................................................. 6-25c. “In Public Use” (a)(1) Prior Art ......................... 6-28d. “On Sale” (a)(1) Prior Art .................................. 6-30e. “Otherwise Available to the Public” (a)(1)

Prior Art .............................................................. 6-322. The (a)(2) Prior Art .................................................. 6-33

a. Meaning of “Described” ..................................... 6-34b. Another Inventor Required ............................... 6-35c. Meaning of “Effectively Filed” ........................... 6-35d. Meaning of “Deemed Published” ...................... 6-39e. Published Patent Cooperation Treaty

Applications ......................................................... 6-39f. Elimination of Hilmer Doctrine ......................... 6-40

III. Exceptions to Prior Art After the America Invents Act ..... 6-42A. Meaning of Terms Used to Define the Exceptions ...... 6-42

1. Meaning of “Disclosure” ........................................... 6-432. Meaning of “Obtained” . . . “Directly or

Indirectly” .................................................................. 6-433. Meaning of “Subject Matter Disclosed”

and “Publicly Disclosed” ........................................... 6-44B. Three Categories of Exceptions ..................................... 6-45

1. Sub(A) Exceptions .................................................... 6-452. Sub(B) Exceptions .................................................... 6-463. Sub(C) Exception ...................................................... 6-524. Choosing Which Exception to Apply ...................... 6-53

C. Two Types of Grace Periods ........................................... 6-541. Fixed Grace Period ................................................... 6-542. Triggered Grace Period ............................................ 6-55

D. The (b)(1) Exceptions Apply to (a)(1) Prior Art .......... 6-57

Detailed Table of Contents liii

1. The Sub(A) Exception for (a)(1) Prior Art ............. 6-58a. The Fixed Grace Period for Public

Disclosures “By” the Inventor ............................ 6-58b. The Fixed Grace Period for Inventor-

Originated Public Disclosures Directly or Indirectly “For” or “From” the Inventor ....... 6-60

2. The Sub(B) Exception for (a)(1) Prior Art ............. 6-61E. The (b)(2) Exceptions for (a)(2) Prior Art ................... 6-63

1. The Sub(A) Exception for (a)(2) Prior Art ............. 6-652. The Sub(B) Exception for (a)(2) Prior Art ............. 6-663. The Sub(C) Common Ownership Exception

to (a)(2) Prior Art ..................................................... 6-67a. Pre-AIA Section 103(c) Exception ..................... 6-67b. Post-AIA Section 102(b)(2)(C) Exception ......... 6-68

i. The Sub(C) Exception Removes Only (a)(2) Prior Art ............................................. 6-70

ii. Timing of Common Ownership .................. 6-71iii. Timing of a Joint Research Agreement ...... 6-72iv. Invoking the Sub(C) Exception ................... 6-73

F. USPTO Practices for Establishing Prior Art, Grace Periods, and Exceptions ...................................... 6-741. Inventor-Originated Disclosures .............................. 6-762. Third-Party Disclosures Not Obtained From

the Inventor ............................................................... 6-76 IV. Changes to Prior Art Under 35 U.S.C. §103 ....................... 6-78 V. Key Features of Pre-AIA and Post-AIA Grace Periods ....... 6-79 VI. Conclusions ............................................................................ 6-81

List of Figures

Fig. 6.1. Block Diagram of Post-AIA Section 102 Prior Art and Exceptions .......................................... 6-7

Fig. 6.2. Triggering Species Disclosure DisqualifiesIntervening Species Disclosure .................................. 6-49

Fig. 6.3. Triggering Genus Disclosure DisqualifiesIntervening Genus Disclosure ................................... 6-49

Fig. 6.4. Triggering Species Disclosure DisqualifiesIntervening Genus Disclosure ................................... 6-50

Fig. 6.5. Triggering Genus Disclosure Does NOTDisqualify Intervening Species Disclosure ................ 6-50

Fig. 6.6. Triggering Species-1 Disclosure Does NOTDisqualify Intervening Patentably Distinct Species-2 Disclosure ..................................................... 6-51

Fig. 6.7. Triggering Species-1 Disclosure Does NOTDisqualify Intervening Patentably Indistinct Disclosure ................................................................... 6-51

Fig. 6.8. Post-AIA Fixed Grace Period and Variable, Triggered First-to-Disclose Grace Period ................ 6-56

liv Patents After the AIA

cHapter 7: tHe aMerica invents act—applicant versus inventor, anD inventor oatH or Declaration ..................................................... 7-1

I. Introduction ........................................................................... 7-5 II. Applicant Versus Inventor ..................................................... 7-7

A. Historical Perspective ...................................................... 7-71. Rights Granted to Persons in Early Venice and

England ...................................................................... 7-72. Patent Rights Granted to Persons in the United

States Prior to 1952 ................................................... 7-83. Patent Rights Granted to Inventors in the 1952

Patent Act .................................................................. 7-94. Legislative Proposals Before the America

Invents Act ................................................................. 7-105. Leahy-Smith America Invents Act ........................... 7-116. Reasons for Change in Who Can File an

Application ................................................................ 7-12B. Statutory Definition of Inventor After the America

Invents Act ....................................................................... 7-141. Post-AIA 35 U.S.C. §100 ........................................... 7-142. Elimination of Pre-AIA 35 U.S.C. §102(f) .............. 7-15

C. Definition of Applicant After the America Invents Act .................................................................................... 7-16

III. The Application for a Patent ................................................ 7-17A. Ownership of the Invention ........................................... 7-17

1. The Statute ................................................................ 7-172. United States Patent and Trademark Office

Regulations and Guidance ....................................... 7-17B. Making an Application by the Inventor ........................ 7-18


Regulations and Guidance ....................................... 7-19C. Making an Application by Joint Inventors .................... 7-20


Regulations and Guidance ....................................... 7-21D. Making an Application on Behalf of a Deceased

or Incapacitated Inventor ............................................... 7-231. The Statute ................................................................ 7-232. United States Patent and Trademark Office

Regulations and Guidance ....................................... 7-23E. Making an Application by Other Than Inventor

or Representative ............................................................. 7-241. The Statute ................................................................ 7-24

a. Relaxation of Filing Requirements for Noninventor ........................................................ 7-24i. Elimination of “Cannot Be Found or

Reached” Requirements ............................... 7-24

Detailed Table of Contents lv

ii. “Preserve Rights” Requirement ................... 7-25iii. Relaxed Justification for Filing .................... 7-25

b. Grant to the “Real Party in Interest” ................ 7-25c. National Stage Application ................................ 7-26

2. United States Patent and Trademark Office Regulations and Guidance ....................................... 7-26a. Requirements for Filing by Noninventor .......... 7-26

i. Application Data Sheet ................................ 7-27ii. Assignee or Obligated Assignee .................. 7-29iii. Person With Sufficient Proprietary

Interest ........................................................... 7-30b. Grant to the “Real Party in Interest” ................ 7-31

3. Advantages and Disadvantages of Filing an Application by Other Than Inventor ...................... 7-32a. Advantages ........................................................... 7-32b. Disadvantages ...................................................... 7-33

F. Changing Applicant and Inventorship After the America Invents Act ........................................................ 7-331. The Statute ................................................................ 7-332. United States Patent and Trademark Office

Regulations and Guidance ....................................... 7-34a. Changing Applicant ............................................ 7-34

i. Changing From Inventor to Noninventor .... 7-35ii. Changing From One Noninventor to

Another Noninventor ................................... 7-36b. Changing Inventorship in an Application ........ 7-37

i. Changing Inventorship Eased by Post-AIA Requirements ................................ 7-38

ii. Changing Legal Name or Order of Inventors ........................................................ 7-39

iii. Changing Inventorship of a Provisional Application .................................................... 7-39

iv. Diligence ........................................................ 7-40c. Changing Inventorship in an Issued Patent ..... 7-40d. United States Patent and Trademark Office

Guidance and Forms .......................................... 7-41G. Power of Attorney ............................................................ 7-41

IV. Inventor Oath or Declaration .............................................. 7-42A. Introduction .................................................................... 7-42


Regulations and Guidance ....................................... 7-433. United States Patent and Trademark Office

Guidance and Forms ................................................ 7-45B. Post-AIA 35 U.S.C. §115 .................................................. 7-46

1. Oath or Declaration—Naming and Signature of Inventor(s) ............................................................. 7-46a. The Statute .......................................................... 7-46

lvi Patents After the AIA

b. United States Patent and Trademark Office Regulations and Guidance ................................. 7-47

c. United States Patent and Trademark Office Guidance and Forms .......................................... 7-48i. The Oath or Declaration Forms .................. 7-48ii. Use and Timing of the Application

Data Sheet ..................................................... 7-493. Required Statements in the Oath or Declaration .... 7-51

a. The Statute .......................................................... 7-51b. United States Patent and Trademark Office

Regulations and Guidance ................................. 7-52i. Filings Prior to September 16, 2012 ............ 7-52ii. Filings on or After September 16, 2012 ...... 7-52

c. United States Patent and Trademark Office Procedures and Forms ........................................ 7-54i. Standard Forms ............................................ 7-54ii. Noncompliant Oath or Declaration ............ 7-54

4. Additional Requirements ......................................... 7-55a. The Statute .......................................................... 7-55b. United States Patent and Trademark Office

Regulations and Guidance ................................. 7-55i. Identification of or Appending to the

Application .................................................... 7-55ii. Inventor Address ........................................... 7-56iii. Duty of Disclosure Statement ...................... 7-56iv. Reviewed and Understands Statement ........ 7-56v. Required Acknowledgments ........................ 7-57

c. United States Patent and Trademark Office Guidance and Forms .......................................... 7-57

5. Substitute Statements ................................................ 7-58a. The Statute .......................................................... 7-58b. United States Patent and Trademark Office

Regulations and Guidance ................................. 7-58i. Content of the Substitute Statement ........... 7-58ii. Joint Inventors ............................................... 7-59iii. Diligent Effort to Obtain Signature ............ 7-59


6. Required Statements in an Assignment .................. 7-60a. The Statute .......................................................... 7-60b. United States Patent and Trademark Office

Regulations and Guidance ................................. 7-60i. Required Statements .................................... 7-61ii. Recording of Assignment ............................. 7-61iii. Obligation of Assignment ............................ 7-61


7. Time for Filing Oath or Declaration ...................... 7-62

Detailed Table of Contents lvii


Regulations and Guidance ................................. 7-63i. Critical Date—Payment of the Issue Fee .... 7-63ii. Technical Corrections Act Changes ............ 7-63iii. Timing for National Stage Applications ..... 7-63


8. Reuse of Previously Filed Statements ...................... 7-65a. The Statute .......................................................... 7-65b. United States Patent and Trademark Office

Regulations and Guidance ................................. 7-65c. United States Patent and Trademark Office

Guidance and Forms .......................................... 7-679. Supplemental and Corrected Statements ................ 7-67


Regulations and Guidance ................................. 7-68c. United States Patent and Trademark Office

Guidance and Forms .......................................... 7-6810. Acknowledgment of Penalties .................................. 7-68


Regulations .......................................................... 7-69c. United States Patent and Trademark Office

Guidance and Forms .......................................... 7-69 V. Conclusions ............................................................................ 7-70

cHapter 8: Filing a patent application aFter tHe aMerica invents act .................................... 8-1

I. Introduction ........................................................................... 8-4 II. Types of Applications ............................................................ 8-4

A. Provisional Application and Its Contents ...................... 8-51. General Requirements After the Patent Law

Treaties Implementation Act .................................... 8-62. No Claims Required ................................................. 8-83. Best Mode Still Technically Required ..................... 8-94. Time Period for Filing a Corresponding

Nonprovisional Application ..................................... 8-9B. Nonprovisional Application and Its Contents ............... 8-10

1. Nonprovisional Application Filed Directly in the United States ....................................................... 8-10a. General Requirements for a Complete

Nonprovisional Application ............................... 8-11i. Transmittal Form .......................................... 8-11ii. Appropriate Fees ........................................... 8-12iii. Application Data Sheet ................................ 8-12

lviii Patents After the AIA

iv. Specification ................................................. 8-12v. Drawings ........................................................ 8-13vi. Oath or Declaration ..................................... 8-13

b. Best Mode Still Technically Required ............... 8-14c. Micro Entity Status ............................................. 8-15

2. A Nonprovisional Application Filed as an International Application ......................................... 8-19a. Entering the National Stage Under 35

U.S.C. §371 .......................................................... 8-21b. Entering the National Stage Through the

“Bypass” Route .................................................... 8-22 III. The Filing Process ................................................................. 8-22

A. Overview of Filing ........................................................... 8-231. Paper Filing Versus Electronic Filing ...................... 8-23

a. Paper Filing ......................................................... 8-23b. Electronic Filing ................................................. 8-24

2. Application Filing Date ............................................ 8-26a. Relevance of the Effective Filing Date of

the Claimed Invention ....................................... 8-26b. Claims Not Required for Obtaining

Filing Date After the Patent Law Treaties Implementation Act ............................................ 8-28

c. Missing Parts Practice and Time Periods for Action by the Applicant ............................... 8-30i. Application Filed Without Claims

Treated Same as Application Filed Without Fees ................................................. 8-31

ii. Application Filed Without Oath or Declaration—Application Data Sheet Required ........................................................ 8-31

d. Reference Filing .................................................. 8-34i. The Statute .................................................... 8-34ii. United States Patent and Trademark

Office Regulations ........................................ 8-35iii. United States Patent and Trademark

Office Guidance and Forms ........................ 8-37e. The Date/Time That Controls—

Washington, D.C. Versus Satellite Offices ........ 8-383. Revival of Abandoned Application—

Unintentional Standard ............................................ 8-384. Restoration of Priority Rights .................................. 8-39

B. Advancement of Examination ........................................ 8-401. Petition to Make Special Without a Fee .................. 8-41

a. Applicant’s Age/Health ...................................... 8-41b. Environmental Quality/Conservation

Energy/Counter-Terrorism ................................. 8-422. Petition to Make Special With a Fee ....................... 8-443. Accelerated Examination ......................................... 8-44

Detailed Table of Contents lix

4. Prioritized Examination ........................................... 8-46a. General Requirements for Prioritized

Examination ........................................................ 8-48b. Nonpublication Request ..................................... 8-48c. Additional Requirements for Track I

Prioritized Examination ..................................... 8-50d. Additional (or Alternative) Requirements

for Prioritized Examination for Requests for Continued Examination ............................... 8-50

e. Relaxed Deadlines and Warnings ..................... 8-515. Patent Prosecution Highway .................................... 8-52

a. Background ......................................................... 8-52b. Requirements ...................................................... 8-53

6. Priority of Examination for Important Technologies .............................................................. 8-55

7. Pilot Programs ........................................................... 8-56 IV. Application Drafting Tips ..................................................... 8-56

A. Title of Invention ............................................................ 8-56B. Government Rights ......................................................... 8-57C. Cross-Reference to Related Applications ...................... 8-57D. Field of the Invention ..................................................... 8-58E. Background of the Invention ......................................... 8-58F. Summary of the Invention ............................................. 8-58G. Drawings .......................................................................... 8-59H. Brief Description of Drawings ....................................... 8-60I. Detailed Description of the Invention .......................... 8-60J. Examples .......................................................................... 8-62K. Claims .............................................................................. 8-63L. Abstract of the Disclosure .............................................. 8-66

V. Conclusions ............................................................................ 8-66

cHapter 9: aMerica invents act patentaBility stanDarDs—issues anD coMMentary ................ 9-1

I. Introduction, Caveats, and Qualifiers ................................. 9-5 II. Interpreting the America Invents Act .................................. 9-7

A. Categories of Changes Made by the America Invents Act ....................................................................... 9-8

B. Interpreting Changes to the Law .................................. 9-101. Agency Implementation of the Leahy-Smith Act ... 9-112. Judicial Deference to Agency Rulemaking and

Interpretations—In General .................................... 9-12a. Stare Decisis ........................................................ 9-13b. Chevron Deference ............................................... 9-14c. Skidmore Deference .............................................. 9-16

3. Judicial Deference for United States Patent and Trademark Office Rulemaking and Interpretations ........................................................... 9-16

lx Patents After the AIA

a. Substantive Versus Procedural Authority .......... 9-17b. Procedural Versus Interpretative/

Substantive Rules ................................................ 9-18c. United States Patent and Trademark Office

Notice and Comment Rule Promulgation ........ 9-19C. Different Deference Options Depending Upon

the Statutory Section ...................................................... 9-20D. Agency Deference Analysis—Section-by-Section

Considerations ................................................................. 9-221. 35 U.S.C. §1—Establishment .................................... 9-222. 35 U.S.C. §2—Powers and Duties ............................ 9-223. 35 U.S.C. §41—Patent Fees; Patent and

Trademark Search Systems ....................................... 9-234. 35 U.S.C. §100—Definitions .................................... 9-235. 35 U.S.C. §101—Inventions Patentable ................... 9-246. 35 U.S.C. §102—Conditions for Patentability;

Novelty ....................................................................... 9-247. 35 U.S.C. §103—Conditions for Patentability;

Nonobvious Subject Matter ...................................... 9-258. 35 U.S.C. §112—Specification ................................. 9-259. 35 U.S.C. §115—Inventor’s Oath or Declaration ... 9-2510. 35 U.S.C. §118—Filing by Other Than the

Inventor ...................................................................... 9-2611. 35 U.S.C. §119—Benefit of Earlier Filing Date;

Right of Priority ........................................................ 9-2612. 35 U.S.C. §135—Derivation Proceedings ................ 9-26

III. Patentability Considerations After the America Invents Act ............................................................................. 9-26A. 35 U.S.C. §102—Anticipation Requirements ................ 9-27

1. Congressional Characterization of the Amendments to Post-AIA 35 U.S.C. §102 ............... 9-27

2. Deconstructing Post-AIA 35 U.S.C. §102(a) ............ 9-273. Pools of Prior Art Under Post-AIA 35 U.S.C.

§102(a) ........................................................................ 9-284. A Synthesized Construction of the United

States Patent and Trademark Office View of the Pools of Post-AIA Prior Art ........................... 9-29

5. Construction Challenges for the United States Patent and Trademark Office View of (a)(1) Prior Art .................................................................... 9-29a. Extra Comma Construction Challenge

for (a)(1) Prior Art .............................................. 9-29b. Missing Comma Construction Challenge

for (a)(1) Prior Art .............................................. 9-31c. What Constitutes “Otherwise Available

to the Public” ...................................................... 9-31i. Traditional Knowledge ................................. 9-32ii. Transitory Knowledge .................................. 9-33iii. Language Requirements .............................. 9-34

Detailed Table of Contents lxi

6. Other Construction Considerations for (a)(1) Prior Art .................................................................... 9-34a. What Constitutes a “Printed Publication” ......... 9-34b. Elimination of Secret Commercial

Exploitation as Prior Art .................................... 9-367. Exceptions to Pools of Prior Art Under

Post-AIA 35 U.S.C. §102(b) ...................................... 9-37a. Exceptions Under the America Invents Act

Partly Incentivize Early Public Disclosures ....... 9-38b. United States Patent and Trademark

Office Effectively Identical Standard for Triggering the Sub(B) Exception ...................... 9-39

c. Broad Versus Narrow Debate for Sub(B) Exceptions ........................................................... 9-40

d. Construction Challenges for United States Patent and Trademark Office View of a Narrow Interpretation of the Sub(B Exceptions .............................................................. 9-42i. Statutory Interpretation of the Sub(B)

Exceptions ..................................................... 9-43ii. Inconsistent Phrase Construction of

“Subject Matter” Versus “Subject Matter Disclosed” ...................................................... 9-45

iii. Improper Focus on Only the “Differences” Instead of the Disclosures as a Whole ........... 9-50

iv. Narrow Standard Renders the Sub(B) Exceptions Superfluous and Forces Use of the Sub(A) Exceptions and Proof of Access to Inventor-Originated Triggering Disclosure ................................... 9-51

e. Policy Consideration Favoring a Broader Interpretation of the Sub(B) Exceptions .......... 9-51

f. Conservative or Liberal Policy Interpretations of Broad Versus Narrow Grace Periods ...................................................... 9-53

8. Commentary Regarding Post-AIA 35 U.S.C. §102 ... 9-54B. 35 U.S.C. §103—Obviousness Requirements ................ 9-55

1. Changes to 35 U.S.C. §103 ....................................... 9-552. Consequences of the Changes to 35 U.S.C. §103 ... 9-56

C. 35 U.S.C. §112—Best Mode Requirement ..................... 9-571. What Effect Does the Best Mode Requirement

of 35 U.S.C. §112(a) Have on Patentability Determinations Within the United States Patent and Trademark Office? ................................. 9-59

2. Patent Enforcement .................................................. 9-603. Conflict Between the Patent Professional

and the Inventor(s) ................................................... 9-61 IV. Patent Eligibility—Noncodified Changes to Patent

Eligibility ................................................................................ 9-62

lxii Patents After the AIA

A. 35 U.S.C. §101 ................................................................. 9-62B. Patent Eligibility .............................................................. 9-63

1. Leahy-Smith Act Section 14—Tax Methods ........... 9-64a. Claim Analysis for the Tax Method

Exclusion of Leahy-Smith Act Section 14 ......... 9-66b. USPTO Guidelines for Considering Claims

to Tax Avoidance Strategies ............................... 9-682. Leahy-Smith Act Section 33—Human

Organisms .................................................................. 9-69a. The Emergence of Biotechnology ..................... 9-69b. Early Response to Biotechnology

Innovations .......................................................... 9-70c. Expansion of Patent Subject Matter

Eligibility to Include Life Forms ....................... 9-71d. What Is a Human Being? ................................... 9-73e. Cloning ................................................................ 9-73f. Theoretical and Actual Policy Questions .......... 9-74g. Legal Legerdemain ............................................. 9-75h. What Does It Mean to “Not Issue” a Patent? .... 9-75i. Discussion of the Congressional Approach

to Barring Human Organism Patenting ........... 9-76 V. Additional Commentary and Issues ..................................... 9-77

A. Is the AIA’s First-Inventor-to-File System Constitutional? ................................................................ 9-77

B. Double Patenting ............................................................ 9-781. Statutory Double Patenting ...................................... 9-782. Obviousness-Type Double Patenting ....................... 9-78

C. Trade Secrets and Patents—A Sensitive Balancing Act .................................................................................... 9-79

D. Harmonization and Filing Dates ................................... 9-801. Standard Filing Formats ........................................... 9-802. What Is Needed to Establish an Effective

Filing Date? ............................................................... 9-80E. Statutory Construction: Words, Words, and More

Words ............................................................................... 9-81F. Additional Questions for Thought and Discussion ...... 9-81

VI. Conclusions ............................................................................ 9-82

List of Figures

Fig. 9.1. Timeline Scenario Illustrating Narrow Interpretation of the Sub(B) Exception for Triggering Disclosed Subject Matter Different From the Intervening Art ......................................... 9-43

Fig. 9.2. Timeline Scenario Illustrating Narrow Interpretation of the Sub(B) Exception for Triggering Disclosed Subject Matter More Than Intervening Art ..................................... 9-43

Fig. 9.3. The Innovation Process ............................................ 9-48

Detailed Table of Contents lxiii

List of Tables

Table 9.1. Categories of Changes to U.S. Patent Laws by the AIA Concerning Patentability Standards ......... 9-8

cHapter 10: ex parte appeals aFter tHe aMerica invents act ............................................................ 10-1

I. Introduction to Ex Parte Appeals ........................................ 10-5A. The Choices for Challenging an Examiner .................. 10-6

1. Taking Allowed Claims Instead of Appealing ........ 10-62. Potential Issues With the Late-Claiming

Doctrine When Taking Allowed Claims ................. 10-63. Matters That Are Appealable Versus Petitionable ... 10-7

B. The Patent Trial and Appeal Board .............................. 10-81. The Name of the Patent Trial and Appeal

Board ......................................................................... 10-92. The Organization of the Patent Trial and

Appeal Board ............................................................ 10-9C. Ex Parte Appeal Statistics ............................................... 10-10

1. Notice of Appeal Statistics and Results ................... 10-112. Ex Parte Appeal Statistics and Results .................... 10-11

D. Ex Parte Appeal Timing ................................................. 10-121. Ex Parte Appeal Backlog .......................................... 10-122. Patent Term Adjustment for Delays in Ex Parte

Appeal ........................................................................ 10-13E. Expedited Patent Appeal Pilot Program ....................... 10-15F. Other Alternatives to and Options for Appeal ............. 10-16

1. Internal United States Patent and Trademark Office Reviews ........................................................... 10-16

2. Quality Review Procedures ...................................... 10-173. Filing Continuing Applications While Appealing .... 10-17

II. The Ex Parte Appeal Process ............................................... 10-18A. Notice of Appeal ............................................................. 10-19

1. Appeal for Claims Twice Rejected ........................... 10-192. No Further Amendments or Evidence

as a Matter of Right .................................................. 10-193. Identification of Appealed Claims .......................... 10-204. Grouping of Appealed Claims ................................. 10-205. Appeals in Ex Parte Reexaminations ...................... 10-21

B. Pre-Appeal Brief Conference Program ......................... 10-211. Pre-Appeal Brief Request for Review ...................... 10-222. Pre-Appeal Brief Conference Program Process ..... 10-223. Pre-Appeal Brief Conference Program Results ...... 10-234. Reopening of Prosecution After a Pre-Appeal

Brief Request for Review .......................................... 10-255. Conclusions About the Pre-Appeal Brief

Conference Program ................................................ 10-26

lxiv Patents After the AIA

C. Appeal Brief ..................................................................... 10-261. Deadlines and Fees ................................................... 10-262. Evidence and Amendments After Notice of

Appeal ........................................................................ 10-27a. Limited Entry of Amendments .......................... 10-27b. Limited Entry of Evidence ................................. 10-28c. Petitioning a Refusal to Enter Amendment

or Evidence .......................................................... 10-283. Content Requirements .............................................. 10-29

a. Required Sections in an Appeal Brief .............. 10-29i. Real Party in Interest ................................... 10-29ii. Related Appeals, Interferences, and Trial .... 10-30iii. Summary of Claimed Subject Matter .......... 10-30iv. Argument: Grounds, Waiver, Heading,

and Grouping ................................................ 10-30v. Claims Appendix .......................................... 10-31

b. Evidence Appendix Not Required ..................... 10-31c. Additional Materials Permitted

in the Appeal Brief ............................................. 10-32d. Arguments Must Respond to Each Ground

of Rejection ......................................................... 10-324. Presentation and Advocacy Considerations ............ 10-32

a. Use of Figures ..................................................... 10-33b. Claim Construction ............................................ 10-33c. Standards of Review ........................................... 10-33d. Order and Presentation of Arguments ............. 10-34

D. Jurisdiction, Papers, and the Record in an Appeal ..... 10-351. Transfer of Jurisdiction Over the Application ........ 10-352. Compliance of Appeal Documents .......................... 10-353. The Record and Evidence on Appeal ..................... 10-36

E. Examiner’s Answer .......................................................... 10-381. Timing of the Examiner’s Answer ........................... 10-382. Content of the Examiner’s Answer .......................... 10-38

a. Grounds of Rejection Reviewed on Appeal ...... 10-39b. Examiner Answer to Grounds of Rejection ...... 10-39

3. New Ground of Rejection in the Examiner’s Answer ....................................................................... 10-39

4. Petitioning the Failure to Designate a New Ground of Rejection ................................................. 10-40

F. Reply Brief ....................................................................... 10-411. Additional Evidence or Time to File the Reply

Brief ........................................................................... 10-412. Arguments Permitted and Not Permitted in

the Reply Brief .......................................................... 10-413. Examiner Does Not Acknowledge the Reply

Brief ........................................................................... 10-41G. Forwarding Appeal to the Patent Trial

and Appeal Board ........................................................... 10-42

Detailed Table of Contents lxv

1. Authority to Remand to the Examiner ................... 10-422. Appeal Forwarding Fee ............................................ 10-42

H. Request for Oral Hearing ............................................... 10-431. Advantages of Not Requesting an Oral Hearing ... 10-442. Determination That Oral Hearing Is Not

Necessary ................................................................... 10-443. Oral Hearing Notice and Scheduling ..................... 10-44

I. Oral Hearing ................................................................... 10-451. A Panel of Administrative Patent Judges

Conduct the Oral Hearing ....................................... 10-452. Oral Hearing Logistics and Decorum .................... 10-453. Evidence, Arguments, and Demonstratives

at the Oral Hearing .................................................. 10-46 III. The Decision by the Patent Trial

and Appeal Board ................................................................. 10-46A. Withdrawal or Suspension of Appeal ............................ 10-47B. Request for Rehearing .................................................... 10-48

1. Request for Rehearing Must Present Points Overlooked in Decision ............................................ 10-48

2. New Arguments Are Limited to New Decisions and New Grounds of Rejection .............. 10-48

3. Rehearing Is Only on a Written Record ................. 10-49C. New Ground of Rejection in the Decision .................... 10-49

1. Request for Rehearing After a New Ground of Rejection .................................................................... 10-49

2. Request for Reopening Prosecution After a New Ground of Rejection ..................................... 10-49

D. Examiner Reversed in the Decision .............................. 10-50E. Examiner Upheld in Full or in Part

in the Decision ................................................................ 10-511. Opportunity to Request Rehearing or Pursue

Judicial Appeal .......................................................... 10-512. Handling of Any Remaining Claims That Are

Allowable ................................................................... 10-513. Handling of Any Remaining Claims That Are

Nonelected ................................................................. 10-52F. Judicial Appeal or Civil Action for the Decision .......... 10-52

1. Judicial Appeal of an Ex Parte Appeal ................... 10-522. Judicial Appeal of an Ex Parte Reexamination ...... 10-523. Judicial Appeal of an Inter Partes

Reexamination .......................................................... 10-524. Deadlines for Filing a Judicial Appeal .................... 10-535. Successful Judicial Appeals Are Rare ...................... 10-54

IV. Conclusions ............................................................................ 10-56

List of Figures

Fig. 10.1. Ways to Challenge an Examiner’s Action During Ex Parte Prosecution ................................... 10-6

lxvi Patents After the AIA

Fig. 10.2. Organizational Structure of the Board .................. 10-10 Fig. 10.3. Ex Parte Appeal Decision Breakout FY2014 ........... 10-11 Fig. 10.4. Ex Parte Pending Appeal Backlog

FY2009–FY2015 ......................................................... 10-13 Fig. 10.5. Sequence and Process for Ex Parte Appeals .......... 10-18 Fig. 10.6. Distribution of Pre-Appeal Brief Program

Decisions ..................................................................... 10-23 Fig. 10.7. Distribution of Pre-Appeal Brief Program

Decisions by Technology Center .............................. 10-24 Fig. 10.8. Status After Pre-Appeal Brief Program

Decisions ..................................................................... 10-25 Fig. 10.9. Outcome of All Federal Circuit Appeals from

the USPTO ................................................................. 10-54 Fig. 10.10. Breakdown of Outcomes of Federal Circuit

Appeals from the USPTO ........................................ 10-55

cHapter 11: Derivations aFter tHe aMerica invents act ... 11-1

I. Introduction to Derivations After the America Invents Act ............................................................................. 11-5A. Rationale for Derivations After the America

Invents Act ....................................................................... 11-6B. Two Types of Derivations After the America

Invents Act—Derivation Actions and Derivation Proceedings ..................................................................... 11-71. Differences in Burden of Proof ............................... 11-72. Derivation Proceedings Require Allowable

Subject Matter ........................................................... 11-73. Derivation Actions Require Issued Patents ............. 11-8

C. Derivations After the America Invents Act Are Rare .... 11-81. Interferences Had a Bad Reputation, But Were

Reformed Prior to the America Invents Act ........... 11-82. Interferences Were a Statistical Rarity .................... 11-93. Allegations of Derivation in an Interference

Were Even Rarer ....................................................... 11-94. Expectations Are That Derivations Will Be

Equally as Rare ......................................................... 11-9D. Derivations After the America Invents Act Are

Limited to Post-America Invents Act Patents and Applications ............................................................. 11-101. Involved Patents or Applications That Are

All After the America Invents Act ........................... 11-102. Involved Patents and Applications That Are

All Before the America Invents Act ......................... 11-113. Involved Patents and Applications That Are

Both Before and After the America Invents Act .... 11-11E. Derivations After the America Invents Act Must

Commence Within One-Year Time Limit ..................... 11-12

Detailed Table of Contents lxvii

1. Congress Needed Multiple Attempts to Get the Time Limits Enacted Properly .......................... 11-13

2. The One-Year Time Limit for Derivation Actions Versus Derivation Proceedings ................... 11-13

3. Multiple Time Limits When Claims Are Amended During Prosecution ................................. 11-14

4. Derivation Time Limits May Be Used to Overcome Grace Period Expiring for Inventor-Originated Works as Prior Art ................. 11-15

F. Derivations After the America Invents Act Compared to Derivation in Interferences Before the America Invents Act ................................................. 11-161. Derivation Requires a Showing of Both

Prior Conception and Communication .................. 11-162. Derivation Also Requires Corroboration

of Conception and Communication ........................ 11-173. Proof of Communication for Derivation Is

Based on an “Obviousness” Standard, Not an “Anticipation” Standard ............................................ 11-18

4. Similarities and Differences Between Interferences and Derivation Proceedings ............. 11-19

II. Derivation Proceedings Before the Patent Trial and Appeal Board ......................................................................... 11-20A. Derivation Petitions and Institution of Derivation

Proceedings by the Director .......................................... 11-211. Derivation Proceedings Are Trial Proceedings

Focused on Derivation, Not Patentability Issues .... 11-212. Definitions ................................................................. 11-22

a. What Is Meant by Claimed Inventions That Are the “Same or Substantially the Same” ....... 11-22

b. Assessing Whether Claimed Inventions Have No Material Difference, and the “One-Way” and “Two-Way” Tests of Patentably Indistinct ........................................... 11-23

3. Only Patent Applicants May File a Petition for a Derivation Proceeding ..................................... 11-24

4. Time Limit for Filing a Petition .............................. 11-25a. Regulations Implement the Time Limit

as Corrected by Congress ................................... 11-25b. Example Timeline Showing the Time

Limits for Filing a Petition ................................. 11-26c. The Time Limits Do Not Run for Claims

That Could Have Been Made ............................ 11-275. Derivation Petition Fee ............................................. 11-276. Content of a Petition ................................................ 11-28

a. The Regulatory Requirements for Standing, Derivation, Same or Similar Claimed Subject Matter, and Sufficiency of Showings .... 11-28

lxviii Patents After the AIA

b. Sufficiency of Showings Uses a Substantial Evidence Standard .............................................. 11-29

c. Rationale for Using the Substantial Evidence Standard .............................................. 11-30

7. Service of Petition ..................................................... 11-308. Filing Date Accorded to a Petition .......................... 11-31

a. Defective or Incomplete Petitions Are Not Accorded a Filing Date ....................................... 11-32

b. The Board Has Some Leniency on Compliance With the Rules ............................... 11-32

9. Institution of Derivation Proceeding ...................... 11-32B. Derivation Proceeding Trial by the Patent Trial

and Appeal Board ........................................................... 11-351. Derivation Proceeding Trial Conducted by

Panel of Administrative Patent Judges .................... 11-352. Motion Practice in the Derivation Proceeding

Trial ............................................................................ 11-363. Discovery in the Derivation Proceeding Trial ........ 11-374. Proofs and Evidence in the Derivation

Proceeding Trial ....................................................... 11-38a. Proofs for Derivation—Conception,

Communication, and Authorization ................. 11-38b. Additional Proofs for Patentability .................... 11-38

5. Inventorship Issues in the Derivation Proceeding Trial ....................................................... 11-38

C. Deferral of the Final Decision by the Patent Trial and Appeal Board .................................................. 11-391. Discretion to Defer a Decision If Claims

Not in Condition for Allowance .............................. 11-392. Discretion to Defer or Stay a Decision

in Favor of Another Post-Issuance Proceeding ....... 11-40D. Effect of the Final Decision by the Patent Trial

and Appeal Board ........................................................... 11-401. Cancellation of Claims That Are Finally

Refused in a Derivation Proceeding ....................... 11-412. Patentee Estoppel Arising From Finally

Refused or Cancelled Claims ................................... 11-413. Patentee Estoppel Turns Cancelled Claims

Into Prior Art ............................................................ 11-42E. Settlement ........................................................................ 11-42

1. Settlements of Derivation Proceedings Are Encouraged ........................................................ 11-43

2. Settlements of Derivation Proceedings Require Approval by the Patent Trial and Appeal Board .... 11-44

F. Arbitration ....................................................................... 11-441. Arbitration Decisions Cannot Be Kept

Confidential .............................................................. 11-452. The Patent Trial and Appeal Board Is Not

Required to Abide by an Arbitration Decision ...... 11-46

Detailed Table of Contents lxix

G. Miscellaneous Rules ........................................................ 11-461. Derivation Petitions Involving Overlapping

Ownership Interests .................................................. 11-462. Public Availability of Record of the Patent

Trial and Appeal Board ........................................... 11-46 III. Appeal of a Final Decision of the Patent Trial and

Appeal Board ......................................................................... 11-47A. Appeal to the Federal Circuit ........................................ 11-48B. Appeal to District Court ................................................. 11-48

1. New Evidence May Be Admitted in an Appeal to District Court ........................................................ 11-49

2. The Venue for an Appeal to District Court Is Changed After the America Invents Act ................. 11-49

3. United States Patent and Trademark Office Is Not a Party to an Appeal to District Court ............ 11-49

C. Issues Subject to Appeal ................................................. 11-49 IV. Derivation Actions in District Court ................................... 11-49 V. Conclusions ............................................................................ 11-51

List of Figures

Fig. 11.1. One-Year Time Limits for Derivations .................... 11-13 Fig. 11.2. One-Year Time Limits When Claims

Are Amended ............................................................. 11-15 Fig. 11.3. Timeline for Filing a Derivation Petition ............... 11-26

cHapter 12: interactions WitH tHirD parties aFter tHe aMerica invents act .................................... 12-1

I. Introduction ........................................................................... 12-4A. Terminology Used to Describe Interactions

Concerning Subject Matter Related to an Invention ... 12-5B. Types of Entities Involved in Interactions

Concerning Subject Matter Related to an Invention ... 12-6C. Use of Agreements for Interactions Concerning

Subject Matter Related to an Invention ........................ 12-7 II. Issues Arising in Interactions with Third Parties ............... 12-8

A. Communication Timing Issues ...................................... 12-81. Communication Before Filing an Application ....... 12-82. Communication After Filing an Application .......... 12-9

B. Relationship Issues .......................................................... 12-91. Nonconfidential Communication ............................ 12-102. Confidential Communication .................................. 12-10

a. Breach of Confidentiality Obligations .............. 12-10b. Exceptions to Confidentiality Obligations ........ 12-11

3. Disputed Inventorship and Right to a Patent ......... 12-114. Mistrust and Other Ongoing Relationship Issues .... 12-12

C. Ownership Issues ............................................................. 12-131. Common Ownership—Based Disqualification

of Prior Art ................................................................ 12-14

lxx Patents After the AIA

a. Before the AIA—Disqualification Limited to Obviousness Rejections .................................. 12-14

b. After the AIA—Disqualification Applied to Anticipation and Obviousness Rejections .... 12-15

2. Required Timing of Common Ownership .............. 12-163. Requirements for Reporting and Recording

Ownership ................................................................. 12-16D. Joint Research Under the Cooperative Research

and Technology Enhancement Act ................................ 12-171. Disqualified Art—Anticipation and Obviousness .... 12-182. Required Timing and Scope of Joint Research

Agreements ................................................................ 12-18a. Pre-AIA Joint Research Agreements ................. 12-18b. Post-AIA Joint Research Agreements ................ 12-18c. Terminal Disclaimers .......................................... 12-19

E. Exemplary Fact Patterns for Interactions With Third Parties .......................................................... 12-201. Subject Matter Related to an Invention

Communicated to a Third Party, and Third Party Files an Application First ............. 12-20

2. Subject Matter Related to an Invention Communicated to a Third Party, and Third Party Discloses the Subject Matter Before an Application Is Filed ................................................... 12-20

3. Subject Matter Related to an Invention Communicated to a Third Party, and Third Party Provides Additional Subject Matter Before an Application Is Filed ................................. 12-21

4. Issues With Third Parties and Subsequently Filed Applications ..................................................... 12-21

III. Prosecution and Enforcement Strategies After the America Invents Act for Situations Involving Communications With Third Parties .................................. 12-22A. The Grace Periods .......................................................... 12-22B. Proof of Prior Invention ................................................. 12-23C. Pre-AIA 35 U.S.C. §102(f) Art ....................................... 12-24D. Interference and Derivation Proceedings ..................... 12-25

1. Before the America Invents Act ............................... 12-262. After the America Invents Act ................................. 12-26

E. Prior Invention as Prior Art ........................................... 12-27F. Confidential Activities as Prior Art ............................... 12-28G. Prior User Rights ............................................................. 12-29

1. Risks of Prefiling Disclosures ................................... 12-292. Considerations for Joint Research Agreements ...... 12-30

H. Patent Marking ................................................................ 12-30I. Obviousness-Type Double Patenting .............................. 12-31

1. Commonly Owned Inventions ................................. 12-312. Noncommonly Owned Inventions ........................... 12-32

Detailed Table of Contents lxxi

3. Effect of a Terminal Disclaimer to Obviate an Obviousness-Type Double Patenting Rejection ...... 12-33

J. Research and Development Contracting With the United States Government and Changes to the Bayh-Dole Act After the America Invents Act ... 12-331. Research and Development Contracting

With the United States Government ....................... 12-332. Changes to the Bayh-Dole Act After

the America Invents Act ........................................... 12-33 IV. Agreement Types With Non–United States

Government Parties ............................................................... 12-37A. Nondisclosure Agreements ............................................. 12-37

1. In General ................................................................. 12-372. Statutory Obligations ................................................ 12-38

B. Employee Agreements .................................................... 12-391. In General ................................................................. 12-392. Statutory Obligations ................................................ 12-39

C. Consulting Agreements .................................................. 12-39D. Joint Development Agreements ...................................... 12-40E. Contract Research Agreements ...................................... 12-41F. Sponsored Research Agreements ................................... 12-42G. Assignments ..................................................................... 12-42H. License Agreements ........................................................ 12-43I. Purchase Orders and Other Commercial

Agreements for Procuring Products and Services ....... 12-45 V. United States Government Research

and Development Agreements ............................................. 12-45A. Types of United States Government Research and

Development Agreements and Issuing Federal Agencies ........................................................................... 12-451. Cooperative Research and Development

Agreements ................................................................ 12-462. Procurement Contracts ............................................ 12-463. Grants ........................................................................ 12-464. Cooperative Agreements .......................................... 12-475. Space Act Agreements .............................................. 12-476. Other Transaction Agreements ............................... 12-477. Funds-In Agreements ............................................... 12-49

B. Subject Inventions ........................................................... 12-49C. Patent Rights Clause ....................................................... 12-51

1. Reporting a Subject Invention ................................. 12-512. Ownership of a Subject Invention ........................... 12-52

a. Domestic Small Business Concern or Domestic Nonprofit Organization ..................... 12-52

b. Domestic Large For-Profit Business Concern ... 12-53c. United States Competitiveness Requirements .... 12-53d. Other Transaction Agreements ......................... 12-54

3. Filing an Application on a Subject Invention ......... 12-55

lxxii Patents After the AIA

4. Contractor Patent Rights .......................................... 12-555. Government Purpose License .................................. 12-566. Bayh-Dole Act ............................................................ 12-567. March-In Rights ........................................................ 12-598. Flow-Down Provisions ............................................... 12-60

VI. Conclusions ............................................................................ 12-60

List of Figures

Fig. 12.1. The Private/Public Continuum for Communications of Information ............................. 12-6

cHapter 13: tHirD-party suBMissions anD patent-oWner stateMents aFter tHe aMerica invents act .... 13-1

I. Direct Third-Party Submissions ........................................... 13-5A. Third-Party Preissuance Submissions in Applications ... 13-6

1. The Third Party ........................................................ 13-62. Preissuance Submissions Before and After the

America Invents Act .................................................. 13-73. The Statute ................................................................ 13-84. Timing of Submissions ............................................. 13-8

a. Before Notice of Allowance ............................... 13-8b. Six Months After Publication or First

Rejection .............................................................. 13-9c. Due Dates ............................................................ 13-10d. Other Events Affecting Timing of

Submissions ......................................................... 13-10i. Abandoned Applications .............................. 13-10ii. Request for Continued Examination .......... 13-10

5. Content and Format ................................................. 13-10a. Document List ..................................................... 13-11

i. United States Patents and United States Patent Application Publications .................. 13-12

ii. Foreign Patents and Published Foreign Patent Applications ....................................... 13-12

iii. Other Printed Publications .......................... 13-12iv. Documents Must Be Publications ................ 13-13v. Nonpublished Documents ............................ 13-14vi. Documents Need Not Be Prior Art ............. 13-15vii. Cumulative Documents ................................ 13-15

b. Concise Description of Relevance ..................... 13-15i. No Argument Concerning Patentability ..... 13-16ii. Bare Submission Not Permitted .................. 13-16iii. Examples of Compliant Concise

Descriptions in Narrative Format ................ 13-17iv. Examples of Noncompliant Concise

Descriptions in Narrative Format ................ 13-17v. Examples of Compliant Concise

Descriptions in Claim Chart Format .......... 13-18

Detailed Table of Contents lxxiii

vi. Examples of Noncompliant Concise Descriptions in Claim Chart Format .......... 13-19

vii. Concise Description of Relevancy Is Not Evidence ........................................................ 13-21

c. Preissuance Submissions Must Be in Writing ... 13-22d. Preissuance Submissions Must Be in English ... 13-22e. Statement by the Party Making the

Preissuance Submission ...................................... 13-23i. Submitter Cannot Have a Duty of

Disclosure ...................................................... 13-23ii. Real Party in Interest Can Be Anonymous ... 13-23

f. Fee ........................................................................ 13-246. Filing Preissuance Submissions ................................ 13-267. Noncompliant Preissuance Submissions ................. 13-26

a. Requirements of Post-AIA 35 U.S.C. §122(e) ... 13-26b. Requirements of 37 C.F.R. §1.290 ..................... 13-26

8. Notification Regarding Preissuance Submissions ... 13-27a. Notification of Compliant Preissuance

Submission ........................................................... 13-27b. Notification of Noncompliant Preissuance

Submission ........................................................... 13-27c. Applicant Not Required to Reply to

Preissuance Submission ...................................... 13-289. United States Patent and Trademark Office

Consideration of Compliant Preissuance Submission ................................................................. 13-28

10. Advantages, Disadvantages, and Strategic Use of Third-Party Preissuance Submissions ................. 13-29a. Advantages ........................................................... 13-29b. Disadvantages ...................................................... 13-30c. Strategic Use ....................................................... 13-30

B. Submissions in Patents .................................................... 13-311. The Statute ................................................................ 13-312. Purpose ...................................................................... 13-323. Person Submitting and Timing ............................... 13-334. Consideration in an Ex Parte Reexamination

Proceeding ................................................................. 13-345. Content and Format ................................................. 13-34

a. Explanation of the Pertinence and Applicability of Prior Art and Written Statement ............................................................. 13-35

b. Permitted Additional Information .................... 13-36c. Copies and Other Documents ........................... 13-36d. Proper Proof of Service ...................................... 13-37e. Identification of Patent ...................................... 13-37f. Fee ........................................................................ 13-38g. Confidentiality of Submission ............................ 13-38h. Example Submission Letters .............................. 13-38

6. Filing of Submission ................................................. 13-38

lxxiv Patents After the AIA

7. Entry of a Post-AIA 35 U.S.C. §301 Submission ..... 13-38a. Handling of a Third-Party Submission

Under Post-AIA 35 U.S.C. §301 ......................... 13-39b. Reasons for Nonentry of a Third-Party

Submission ........................................................... 13-39c. Handling of a Patent-Owner Submission

Under Post-AIA 35 U.S.C. §301 ......................... 13-408. Advantages, Disadvantages, and Strategic Use

of Post-AIA 35 U.S.C. §301 Submissions by Third Parties ............................................................. 13-40a. Advantages ........................................................... 13-40b. Disadvantages ...................................................... 13-40c. Strategic Use ....................................................... 13-41

9. Advantages, Disadvantages, and Strategic Use of Post-AIA 35 U.S.C. §301 Submissions by the Patent Owner ............................................................. 13-41a. Advantages ........................................................... 13-41b. Disadvantages ...................................................... 13-41c. Strategic Use ....................................................... 13-42

C. Entry of Court Decision in Patent File .......................... 13-421. The Statute ................................................................ 13-422. Person Submitting and Timing ............................... 13-423. Permitted Court Decision Papers for Submission .... 13-424. Court Decision Papers Not Permitted for

Submission ................................................................. 13-435. Submission Limited to Notification of the

Court Decision .......................................................... 13-436. Fee .............................................................................. 13-437. Entry of Submission .................................................. 13-438. Advantages, Disadvantages, and Strategic Use

of Post-AIA 35 U.S.C. §290 Submissions by Third Parties ............................................................. 13-43a. Advantages ........................................................... 13-43b. Disadvantages ...................................................... 13-43c. Strategic Use ....................................................... 13-44

9. Advantages, Disadvantages, and Strategic Use of Post-AIA 35 U.S.C. §290 Submissions by Patent Owners ........................................................... 13-44a. Advantages ........................................................... 13-44b. Disadvantages ...................................................... 13-44c. Strategic Use ....................................................... 13-44

II. Indirect Material Information Submissions ........................ 13-45A. Patent Application Owner’s or Identified Patent

Professional’s Obligation Under 37 C.F.R. §1.56 .......... 13-45B. Advantages ....................................................................... 13-45C. Disadvantages .................................................................. 13-45D. Strategic Use .................................................................... 13-46

III. Prior Art Crowd Sourcing .................................................... 13-46 IV. Conclusions ............................................................................ 13-46

Detailed Table of Contents lxxv

List of Figures

Fig. 13.1. Timing Diagram for Third-Party Submission Windows ..................................................................... 13-9

List of Tables

Table 13.1. Examples of Evidence of Publication ...................... 13-14 Table 13.2. Example of Compliant Concise Description

in Claim Chart Format ............................................. 13-18 Table 13.3. Example of Compliant Concise Description

in Claim Chart Format ............................................. 13-19 Table 13.4. Example of Noncompliant Concise Description

in Claim Chart Format ............................................. 13-20 Table 13.5. Example of Noncompliant Concise Description

in Claim Chart Format ............................................. 13-21

cHapter 14: saMple scenarios aFter tHe aMerica invents act ............................................................ 14-1

I. Introduction ........................................................................... 14-8A. Perspective for Analyzing the Scenarios ....................... 14-9B. More Advanced and Complex Scenarios ...................... 14-9C. Assumptions for Each Set of Scenarios ......................... 14-11D. Differences Between Successive Scenarios .................... 14-11E. Analysis for the Scenarios .............................................. 14-12F. Additional Explanations for Certain Scenarios ............ 14-13G. Understanding and Working With the Scenarios ........ 14-13

II. Timeline Scenarios Set 1: Simple Examples for One Inventor (X) ............................................................ 14-14A. Background for Set 1 of the Timeline Scenarios ......... 14-14B. Assumptions for Set 1 of the Timeline Scenarios ........ 14-15C. Set 1 of the Timeline Scenarios ..................................... 14-15

1. Scenario 1A: X Files Before Publishing A+B .......... 14-152. Scenario 1B: X Files More Than One Year

After Publishing A+B ................................................ 14-163. Scenario 1C: X Files Less Than One Year After

Publishing A+B .......................................................... 14-164. Scenario 1D: X Files Less Than One Year After

Publishing A+B’ ......................................................... 14-17 III. Timeline Scenarios Set 2: Simple Examples

for Two Inventors (X and Y) ................................................ 14-18A. Background for Set 2 of the Timeline Scenarios ......... 14-18B. Assumptions for Set 2 of the Timeline Scenarios ........ 14-19C. Set 2 of the Timeline Scenarios ..................................... 14-19

1. Scenario 2A: X Conceives and Files Before Y Publishes .................................................................... 14-19

2. Scenario 2B: X Conceives and Files After Y Publishes .................................................................... 14-19

3. Scenario 2C: X Conceives Before Y but Files After Y Publishes ....................................................... 14-20

lxxvi Patents After the AIA

4. Scenario 2D: X and Y Both Publish, but Y Publishes First ........................................................... 14-21

5. Scenario 2E: X and Y Both Publish, but X Publishes First ........................................................... 14-21

6. Scenario 2F: X Conceives and Files Before Y ......... 14-227. Scenario 2G: X Conceives First but Y Files First .... 14-228. Scenario 2H: X Conceives First but X and Y

File on the Same Day ............................................... 14-239. Scenario 2I: Y Files First Before X Publishes

and Before X Files .................................................... 14-2410. Scenario 2J: X Publishes First but Y Files First ....... 14-2511. Scenario 2K: X and Y Both Publish and File,

but X Publishes and Files First ................................ 14-2512. Scenario 2L: X and Y Both Publish and File,

but X Publishes First and Files Second ................... 14-2613. Scenario 2M: X Sells and Then Y Publishes,

Both File but X Files First ........................................ 14-2614. Scenario 2N: X Publicly Uses and Then Y

Publishes, Both File but X Files First ...................... 14-2715. Scenario 2O: Y Files First but Then Abandons ...... 14-28

IV. Timeline Scenarios Set 3: Advanced Examples for Two Inventors and Different Claim Elements ............................. 14-28A. Background for Set 3 of the Timeline Scenarios ......... 14-28B. Assumptions for Set 3 of the Timeline Scenarios ........ 14-29C. Set 3 of the Timeline Scenarios ..................................... 14-29

1. Scenario 3A: X Conceives and Files for A, A+B Before Y Conceives and Files for A, A+C ................. 14-29

2. Scenario 3B: X Conceives A, A+B After Y Conceives A, A+C, but X Files First ......................... 14-29

3. Scenario 3C: X Conceives A, A+B After Y Conceives A, A+B’, but X Files First ......................... 14-30

4. Scenario 3D: X Publishes First and Files First for A+B, Y Publishes Second and Files Second for A+B’ ...................................................................... 14-30

5. Scenario 3E: X Publishes A+B and Y Publishes A+B’, Both File for A+B and A+B’ on Same Day ..... 14-31

6. Scenario 3F: X Conceives A+C1 After Y Conceives A+C2, but X Files First for A+C1 (Patentably Distinct Species) and A+C (Genus) ..... 14-32

7. Scenario 3G: X Conceives A+C1 After Y Conceives A+C1’ (Patentably Indistinct Species), but X Files First for A+C1 and A+C (Genus) ............ 14-33

8. Scenario 3H: X Conceives A+C1 After Y Conceives A+C2, X Files First for A+C1 (Species) but Not for A+C (Genus) .......................................... 14-34

9. Scenario 3I: X Conceives A+C1 Before Y Conceives A+C1’ and X Files First for A+C1 (Species) but Not for A+C (Genus) .......................... 14-34

Detailed Table of Contents lxxvii

10. Scenario 3J: X Conceives A+C (Genus) After Y Conceives A+C1, A+C2 (Patentably Distinct Species), X Files First for A+C .................................. 14-35

11. Scenario 3K: X Conceives A+C (Genus) After Y Conceives A+C1, A+C1’ (Patentably Indistinct Species), X Files First for A+C .................................. 14-36

12. Scenario 3L: X Publishes A+C1, Then Y Publishes A+C2 (Patentably Distinct Species), X Files First for A+C1 and A+C (Genus) ....................... 14-36

13. Scenario 3M: X Publishes A+C1, Then Y Publishes A+C1’ (Patentably Indistinct Species), X Files First for A+C1 and A+C (Genus) ................... 14-40

14. Scenario 3N: X Publishes A+C1, Then Y Publishes A+C2 (Patentably Distinct Species), Y Files First for A+C2 and A+C (Genus) ....................... 14-40

15. Scenario 3O: X Publishes A+C1, Then Y Publishes A+C1’ (Patentably Indistinct Species), Y Files First for A+C (Genus) and A+C1’ .................. 14-42

16. Scenario 3P: X Publishes A+C1 (Patentably Distinct Species) Before Y Publishes A+C (Genus), Both File for Genus/Species ..................... 14-43

17. Scenario 3Q: X Publishes A+C1 (Patentably Indistinct Species) Before Y Publishes A+C (Genus), X Files First for Genus/Species ................ 14-44

18. Scenario 3R: X Publishes A+C (Genus) Before Y Publishes A+C2 (Patentably Distinct Species), X Files First for Genus/Species ............................... 14-44

19. Scenario 3S: X Publishes A+C (Genus) Before Y Publishes A+C1’ (Patentably Indistinct Species), X Files First for Genus/Species ............................... 14-45

V. Timeline Scenarios Set 4: Two Inventors Plus Foreign Priority Filings ......................................................... 14-46A. Background for Set 4 of the Timeline Scenarios ......... 14-46B. Assumptions for Set 4 of the Timeline Scenarios ........ 14-47C. Set 4 of the Timeline Scenarios ..................................... 14-47

1. Scenario 4A: X Conceives Before and Files After Y’s Foreign Priority (PCT in English) ........... 14-47

2. Scenario 4B: X Conceives and Files After Y’s Foreign Priority (PCT in English) ........................... 14-48

3. Scenario 4C: X Files After Y’s Foreign Priority (PCT but No U.S. National Stage) .......................... 14-48

4. Scenario 4D: X Files After Y’s Foreign Priority (PCT Not in English) ............................................... 14-48

5. Scenario 4E: X Files After Y’s U.S. Filing for A+B but Y’s Foreign Priority Is for A+CNot A+B ...................................................................... 14-49

6. Scenario 4F: X Files After Y’s U.S. Filing for A+B but Y’s Foreign Priority Is for A+B’ Not A+B ... 14-49

lxxviii Patents After the AIA

7. Scenario 4G: X Files After Y’s Foreign Priority (Y Files Directly in United States Not Through PCT) ........................................................................... 14-50

8. Scenario 4H: X Files After Y’s Foreign Priority (but Y Abandons U.S. Filing Before Publication) .... 14-50

VI. Timeline Scenarios Set 5: Examples for Two Inventors, One or Both Having Multiple U.S. Priority Filings ............ 14-51A. Background for Set 5 of the Timeline Scenarios ......... 14-51B. Assumptions for Set 5 of the Timeline Scenarios ........ 14-52C. Set 5 of the Timeline Scenarios ..................................... 14-52

1. Scenario 5A: Y Conceives A+B Before X, X Files Provisional Before Y, and X Files Nonprovisional Before Y ........................................... 14-52

2. Scenario 5B: Y Files After X’s Provisional for A but Before X’s Nonprovisional for A+B ................... 14-53

3. Scenario 5C: Y Files for A+C Between X’s Provisional for A and Nonprovisional for A and A+B ............................................................................. 14-53

4. Scenario 5D: Y Files for A+B’ After X’s Provisional for A, but Before X’s Nonprovisional for A+B ............................................ 14-53

5. Scenario 5E: Y Files After X’s Provisional for A and Publication of A, but Before X’s Nonprovisional Application for A+B ........................ 14-54

VII. Timeline Scenarios Set 6: Complex Examples for Two Inventors With Various Combinations of Different Claim Elements, Publications, and Priority Filings ............ 14-54A. Background for Set 6 of the Timeline Scenarios ......... 14-54B. Assumptions for Set 6 of the Timeline Scenarios ........ 14-55C. Set 6 of the Timeline Scenarios ..................................... 14-55

1. Scenario 6A: X Publishes A, X Publishes A+D1, Y Files A+D2, Then X Files A, A+D1, A+D2, and A+D ............................................................................. 14-55

2. Scenario 6B: X Publishes A+D1, Y Files Provisional for A+D2, Then Y Files for A+D, A+D1, and A+D2, Then X Files for A+D, A+D1, and A+D2 .................................................................... 14-55

3. Scenario 6C: X Publishes A+D1, Y Files Provisional for A+D2, Then Y Files for A+D, A+D1, and A+D2, Then X Files for A+D, A+D1, and A+D3 .................................................................... 14-56

4. Scenario 6D: X Publishes A+D1, Y Files Provisional for A+D1, Then Y Files for A+D, A+D1, and A+D2, Then X Files for A+D, A+D1, and A+D2 .................................................................... 14-57

5. Scenario 6E: X Publishes A+D1 and Then Publishes A+D2, Y Files Provisional for A+D2, Then Y Files for A+D, A+D1, and A+D2 Before X ..... 14-58

Detailed Table of Contents lxxix

6. Scenario 6F: X Files Provisional for A Before Y Files for A+D and Before X Files for All Combinations of A+B+D ........................................... 14-58

7. Scenario 6G: X Files Provisional for A, Then Publishes A+D1 Before Y Files for A+D1’ and Before X Files All Combinations of A+D ................ 14-59

8. Scenario 6H: X Conceives A+B First but X and Y Publish on Same Day ............................................. 14-59

9. Scenario 6I: X Conceives A+B First but X and Y Publish on Same Day and File on Same Day ......... 14-59

10. Scenario 6J: X Conceives First, X Publishes A+C1, Y Publishes A+C2 on Same Day, Then X Files A+C (Genus) and A+C1 (Species) Before Y ..... 14-60

11. Scenario 6K: X Files Multiple Provisionals That Add New Disclosures and Change the Best Mode .................................................................. 14-60

VIII. Timeline Scenarios Set 7: Complex Examples Involving Situations of a Conveyance of Information to a Third Party and Possible Derivation or Misuse of That Information .................................................................. 14-61A. Background for Set 7 of the Timeline Scenarios ......... 14-61B. Assumptions for Set 7 of the Timeline Scenarios ........ 14-62C. Set 7 of the Timeline Scenarios ..................................... 14-62

1. Scenario 7A: X Files for A+B After X Informally Conveys A+B to Z Without Any Formal Obligation of Confidentiality ...................... 14-62

2. Scenario 7B: X Files for A+B More Than One Year After X Informally Conveys A+B to Z Without Any Formal Obligation of Confidentiality .......................................................... 14-62

3. Scenario 7C: X Files for A+B Less Than One Year After X Informally Conveys A+B to Z and Z Publishes A+B ......................................................... 14-63

4. Scenario 7D: X Files for A+B More Than One Year After X Informally Conveys A+B to Z and Z Publishes A+B ......................................................... 14-64

5. Scenario 7E: Z Files First for A+B but Z Derived A+B From X and X Files Before Z’s Filing Publishes ......................................................... 14-64

6. Scenario 7F: Z Files First for A+B but Z Derived A+B From X and X Files After Z’s Filing Publishes .................................................................... 14-65

7. Scenario 7G: Z Files First for A+B but Z Derived A+B From X and X Files More Than One Year After Z’s Filing Publishes ......................... 14-66

8. Scenario 7H: X Files for A+B, but Z Derived A+B From X and Files First, Although Only for A+B’ ............................................................................ 14-67

lxxx Patents After the AIA

9. Scenario 7I: Z Files First for A+B+C but Z Derived A+B From X, X Files for A+B After Z Files ............................................................................ 14-67

10. Scenario 7J: Z Files First for A+B After A+B Conveyed by X to Z but Z Previously Conceived A+B ............................................................................. 14-68

IX. Timeline Scenarios Set 8: Complex Examples Involving the Team Exception for Patent Filings of Third Parties .......................................................................... 14-68A. Background for Set 8 of the Timeline Scenarios ......... 14-68B. Assumptions for Set 8 of the Timeline Scenarios ........ 14-69C. Set 8 of the Timeline Scenarios ..................................... 14-70

1. Scenario 8A: X Conceives A+B Before Y Conceives A+B’, Y Files First, and Both X and Y Work for Same Company ......................................... 14-70

2. Scenario 8B: X and Y Separately Conceive A+B, Y Files First, and Both X and Y Work for Same Company .................................................................... 14-71

3. Scenario 8C: X Files First for A, A+B, Then Y Files for A+B’, Both X and Y Work for Same Company .................................................................... 14-71

4. Scenario 8D: X Files First for A+B Then Y Files for A+B’, Both X and Y Work Under a Common JDA ............................................................ 14-72

5. Scenario 8E: X Conceives A+B Before Y Conceives A+B’, but Y Files First, Both X and Y Work for Same Company as of Earlier Filing ......... 14-72

6. Scenario 8F: X Conceives A+B Before Y Conceives A+B’, and X Files First, Both X and Y Work for Same Company Only as of Later Filing .......................................................................... 14-73

7. Scenario 8G: X Conceives A+B Before Y Conceives A+B’, but Y Files First, Both X and Y Work Under Common JDA as of Earlier Filing ...... 14-73

8. Scenario 8H: X Conceives A+B Before Y Conceives A+B’, and X Files First, Both X and Y Work Under Common JDA Only as of Later Filing .......................................................................... 14-74

X. Timeline Scenarios Set 9: Complex Examples Involving Transition Applications ........................................ 14-75A. Background for Set 9 of the Timeline Scenarios ......... 14-75B. Assumptions for Set 9 of the Timeline Scenarios ........ 14-75C. Set 9 of the Timeline Scenarios ..................................... 14-75

1. Scenario 9A: X Files Provisional for A Before Cutover and Nonprovisional for A and A+B After Cutover ............................................................. 14-75

2. Scenario 9B: X Files Provisional for A Before Cutover and Nonprovisional for A+B After Cutover, Then Files Continuation for A .................. 14-76

Detailed Table of Contents lxxxi

3. Scenario 9C: X Files Provisional for A Before Cutover and Nonprovisional for A After Cutover, Then Files Continuation for A+B .............. 14-76

4. Scenario 9D: Y Files for A+B Between X’s Provisional for A and Nonprovisional for A, A+B ... 14-77

5. Scenario 9E: Y Files for A,A+C Between X’s Provisional for A and Nonprovisional for A, A+B ... 14-77

6. Scenario 9F: Y Files for A+B After X’s Provisional for A and Publication of A+B but Before X’s Nonprovisional for A, A+B ..................... 14-78

7. Scenario 9G: Y Files First for A+B After the Cutover and X’s Provisional for A and Publication of A+B That Are Before the Cutover .... 14-78

8. Scenario 9H: Y Files for A+B’ After X’s Provisional for A and Publication of A+B and the Cutover, but Before X’s Filing for A, A+B ......... 14-79

XI. Conclusions ............................................................................ 14-80 XII. Timeline Scenarios ................................................................. 14-81

List of Figures

Fig. 14.1. Graphic for Fixed One-Year Grace Period for the Sub(A) Exception ......................................... 14-15

Fig. 14.2. Graphic for Triggered Grace Period for the Sub(B) Exception ...................................................... 14-19

Fig. 14.3. Graphic for Foreign Priority Time Periods ............ 14-46 Fig. 14.4. Graphic for One-Year Period for Provisional

Applications ............................................................... 14-52 Fig. 14.5. Graphic for Conveyance of Derived Subject

Matter ......................................................................... 14-61 Fig. 14.6. Graphic for Unauthorized Derivation

of Derived Subject Matter ......................................... 14-61 Fig. 14.7. Graphic for Employees/Contractors of the

Same Company .......................................................... 14-69 Fig. 14.8. Graphic for Employees/Contractors of a

Common JDA ............................................................. 14-69

cHapter 15: ex parte post-issuance proceDures aFter tHe aMerica invents act .................................... 15-1

I. Administrative Remedies for Recognized Imperfections in the Patent System ..................................... 15-6A. Available Administrative Remedies ............................... 15-8B. Focus on Reissue, Ex Parte Reexamination,

and Supplemental Examination .................................... 15-9 II. Reissue .................................................................................... 15-11

A. The Statute ...................................................................... 15-11B. Types of Errors Correctable by Reissue ........................ 15-11

1. Errors in the Claims ................................................. 15-112. Other Correctable Errors ......................................... 15-13

lxxxii Patents After the AIA

3. Broadening Reissue—Two-Year Limit ..................... 15-144. Recapture Rule Restricts Broadening ..................... 15-15

a. Recapture Analysis .............................................. 15-18b. No Recapture for Reissue to Take

Advantage of Pre–America Invents Act Section 103(b) ..................................................... 15-19

c. No Recapture for Broadening Reissue for Functional Descriptive Material Stored on a Computer Readable Medium .................... 15-19

C. Types of Errors Not Correctable by Reissue ................. 15-191. Errors Not Correctable During Original

Prosecution ................................................................ 15-202. Patent Practitioner’s Mistake .................................... 15-203. Changes in Wording ................................................. 15-204. Need for an Actual Error ......................................... 15-21

D. Requirements for the Reissue Application .................... 15-211. Pre–America Invents Act and Post–America

Invents Act Requirements ........................................ 15-212. Limit on Parties to the Proceeding ......................... 15-223. The Same Invention ................................................. 15-234. New Matter Prohibited ............................................. 15-245. Timing of Filing ........................................................ 15-25

E. Form and Content of the Reissue Application ............. 15-251. Specification, Drawings, and Claims ....................... 15-252. Reissue Oath or Declaration .................................... 15-25

a. Content of the Reissue Oath or Declaration .... 15-25b. Who Can Sign the Oath or Declaration ........... 15-26c. Reuse of the Reissue Oath or Declaration ....... 15-27

3. Surrender of Original Letters Patent ...................... 15-274. Assent of Assignee .................................................... 15-285. Duty of Disclosure ..................................................... 15-28

F. Prosecution of a Reissue Application ............................ 15-291. Strategic Considerations for the Patent Owner ..... 15-292. Amendments to the Original Text .......................... 15-313. Applicable Prior Art Usually Depends

on the Filing Date for the Original Patent ............. 15-31a. General Rule for Reissue Applications ............. 15-31b. Exceptions ........................................................... 15-32

4. Divisional and Continuation Reissue Applications ............................................................... 15-32

G. Third-Party Post-Issuance Protest .................................. 15-331. Who Can Protest—Anonymous Protest .................. 15-332. Content of Protest ..................................................... 15-34

a. Information Adverse to Patentability ................ 15-34b. Identity of the Application ................................. 15-34c. List of Documents ............................................... 15-34d. Concise Explanation of Relevance .................... 15-35e. Other Information .............................................. 15-35

Detailed Table of Contents lxxxiii

3. Limited Participation by Petitioner ......................... 15-354. Full Participation by Patent Owner ......................... 15-35

H. Appeals ............................................................................. 15-36I. Grant by the United States Patent and

Trademark Office After Reissue Proceedings .............. 15-36J. Effect of the Reissued Patent ......................................... 15-37

1. Effect of the First Paragraph of Section 252— Original Claims ......................................................... 15-37

2. Effect of the Second Paragraph of Section 252—Intervening Rights ........................................... 15-38

K. Conclusions ...................................................................... 15-39 III. Ex Parte Reexamination ....................................................... 15-39

A. The Statute ...................................................................... 15-40B. Requirements for the Reexamination Request ............. 15-41

1. Format of the Request .............................................. 15-412. Who Can File ............................................................ 15-413. Timing of a Request for Ex Parte

Reexamination .......................................................... 15-424. Basic Content of an Ex Parte Reexamination

Request ...................................................................... 15-42a. The Substantial New Question of

Patentability ......................................................... 15-43b. Application of Cited Prior Art to Claims ......... 15-44c. Each Substantial New Question of

Patentability Must Be Identified ........................ 15-44d. A Copy of Every Prior Art Reference ................ 15-44e. Other Evidence ................................................... 15-45f. A Copy of the Patent .......................................... 15-45g. Fee ........................................................................ 15-45h. Curing Deficiencies in the Request .................. 15-46

5. Other Content of an Ex Parte Reexamination Request by a Patent Owner ...................................... 15-47

6. Other Aspects of an Ex Parte Reexamination Request by a Third Party .......................................... 15-47

7. Director Initiated Ex Parte Reexaminations .......... 15-488. Applicable Law .......................................................... 15-49

C. Decision to Institute an Ex Parte Reexamination Proceeding ....................................................................... 15-49

D. Conduct of the Ex Parte Reexamination Proceeding ... 15-501. The Patent Owner’s Statement ................................ 15-502. Ordinary Prosecution ............................................... 15-50

a. Examination by the Central Reexamination Unit ...................................................................... 15-51

b. Office Actions ..................................................... 15-51c. Amendments ....................................................... 15-51d. Prohibition of Broadened Claims and New

Matter .................................................................. 15-523. Proceeding With Special Dispatch .......................... 15-52

lxxxiv Patents After the AIA

4. Interviews ................................................................... 15-525. Duty of Disclosure ..................................................... 15-526. Appeal ........................................................................ 15-537. Procedural Flow Chart ............................................. 15-53

E. Grant by the United States Patent and Trademark Office After the Proceeding: A Certificate of Reexamination ............................................................ 15-55

F. Effect of the Reexamined Patent ................................... 15-551. Enhanced Presumption of Validity .......................... 15-552. Intervening Rights .................................................... 15-56

G. Strategic Considerations ................................................. 15-561. Limited Scope of Review .......................................... 15-572. Limited Participation ................................................ 15-583. Estoppel ..................................................................... 15-584. Cost Versus Uncertainty ........................................... 15-59

H. Conclusions ...................................................................... 15-59 IV. Supplemental Examination .................................................. 15-60

A. The Statute ...................................................................... 15-60B. Types of Errors Correctable by Supplemental

Examination .................................................................... 15-61C. Types of Errors That May Not Be Correctable ............. 15-62D. Requirements for the Supplemental

Examination Request ...................................................... 15-631. Only the Patent Owner May File a Request ........... 15-632. Timing of the Filing ................................................. 15-643. Content of the Request ............................................. 15-64

a. Fee ........................................................................ 15-65b. Required Information and Documentation ..... 15-66c. Limitation on Claims Considered ..................... 15-67

4. Correction of a Request ........................................... 15-685. Restrictions on the Supplemental Examination

Process ....................................................................... 15-69a. Interviews Prohibited .......................................... 15-69b. Amendments Prohibited .................................... 15-69c. No Public Access or Participation ..................... 15-69

6. General Procedure for Supplemental Examination .............................................................. 15-70a. Statutory Deadlines ............................................ 15-70b. The Substantial New Question

of Patentability Test ............................................ 15-70i. Previous Decisions ........................................ 15-71ii. Reasonable Examiner Standard .................. 15-71

c. Procedural Flow Chart ....................................... 15-727. The Supplemental Examination Certificate ........... 15-72

a. Where No Substantial New Question of Patentability Is Found .................................... 15-74

Detailed Table of Contents lxxxv

b. Where the Request Includes Factual Information to Be Corrected ............................. 15-74

c. Where a Substantial New Question of Patentability Is Found .................................... 15-74

E. Initiation and Conduct of Ex Parte Reexamination .... 15-741. Similarities Between an Ex Parte

Reexamination Proceeding Ordered Pursuant to 35 U.S.C. §257 and an Ex Parte Reexamination Proceeding Ordered Pursuant to 35 U.S.C. §302 ...................................................... 15-74

2. Differences Between an Ex Parte Reexamination Proceeding Ordered Pursuant to 35 U.S.C. §257 and an Ex Parte Reexamination Proceeding Ordered Pursuant to 35 U.S.C. §302 ...................................................... 15-75

F. Identification of Possible Fraud ..................................... 15-76G. Effect on the Reexamined Patent .................................. 15-76

1. Advantages and Disadvantages of Ex Parte Reexamined Patents ................................................. 15-77

2. Resulting Preclusion of Inequitable Conduct in Litigation ............................................................... 15-77a. Retention of Other Defenses ............................. 15-77b. Statutory Exceptions to Immunity .................... 15-77

H. Conclusions ...................................................................... 15-78 V. Inter Partes Reexamination .................................................. 15-78 VI. Concurrent United States Patent and Trademark

Office and Court Proceedings ............................................. 15-79A. General Authority ........................................................... 15-79B. Specific Post-Issue Administrative Proceedings ............ 15-80

1. Ex Parte Reexamination .......................................... 15-802. Supplemental Examination ...................................... 15-803. Other Post-Issue Administrative Proceedings ......... 15-814. Patent Claim Amendment Strategies ...................... 15-81

C. Concurrent District Court and USPTO Ex Parte Proceedings ..................................................................... 15-82

VII. Conclusions ............................................................................ 15-82

List of Figures

Fig. 15.1. Flow Chart for Ex Parte Reexamination ................ 15-54 Fig. 15.2. Flow Chart for Supplemental Examination ............ 15-73

List of Tables

Table 15.1. Comparison of Reissue, Ex Parte Reexamination, Supplemental Examination, Disclaimer, and Certificate of Correction .............. 15-10

Table 15.2. Reasons for Seeking Reissue of a Patent ................ 15-12

lxxxvi Patents After the AIA

cHapter 16: patenting strategies in response to tHe revieW proceeDings aFter tHe aMerica invents act .................................... 16-1

I. Introduction to Review Proceedings After the America Invents Act ....................................................... 16-5A. Timeline for Review Proceedings .................................. 16-6

1. Petition Phase ............................................................ 16-82. Trial Phase ................................................................. 16-83. Time Periods for Different Kinds of Review

Proceedings ............................................................... 16-9B. Comparison of Review Proceedings

and Reexaminations ....................................................... 16-11C. Review Proceedings Filings and Results ........................ 16-14

1. Petition Filings .......................................................... 16-142. Settlement Rates ........................................................ 16-153. Overall Results .......................................................... 16-16

D. Comparison of the “Kill Rate” Statistics in Final Written Decisions .............................................. 16-171. Final Written Decision Statistics on

Cancellation Rates .................................................... 16-182. Patent Trial and Appeal Board View on

Cancellation Rates .................................................... 16-193. Possible “Silver Lining” Seen From the

Cancellation Rates .................................................... 16-21E. Comparison of Results for Reviews,

Reexaminations, and Litigation ..................................... 16-211. Total Loss Rates in Completed Review

Proceedings, Reexaminations, and Litigation ........ 16-222. Lessons Learned From Comparison

of Total Loss Rates in Different Forums ................. 16-23 II. Overview of the Review Proceeding Process ....................... 16-24

A. The Overall Process of a Review Proceeding ............... 16-241. Statutes and Regulations .......................................... 16-252. A Two-Phase Process—Petition Phase and Trial

Phase .......................................................................... 16-26B. Petition ............................................................................. 16-26

1. Statutory Requirements ............................................ 16-262. Regulatory Requirements ......................................... 16-273. Effective Requirements for a Petition ..................... 16-284. Declarations Accompanying a Petition ................... 16-285. Size Limits for Petitions ........................................... 16-296. Common Problems With Petitions .......................... 16-30

C. Patent Owner Preliminary Response ............................. 16-301. Statutory Requirements ............................................ 16-302. Regulatory Requirements ......................................... 16-313. Evidentiary Limits—Limits on Declarations .......... 16-31

a. Potential for Submission of Preemptive Declarations During Prosecution ...................... 16-32

Detailed Table of Contents lxxxvii

b. Possible Changes to Allow Submission of New Declaration Evidence ............................. 16-32

4. Strategic Choices on Filing a Patent Owner Preliminary Response ............................................... 16-33

D. Decision to Institute Trial .............................................. 16-341. Statutory Requirements ............................................ 16-342. Regulatory Requirements ......................................... 16-353. Who Decides to Institute a Trial ............................. 16-354. Decision to Institute Includes Claim

Constructions ............................................................ 16-36a. Claim Construction Standard—Broadest

Reasonable Interpretation .................................. 16-36b. Criticisms and Potential Changes

to the Claim Construction Standard ................ 16-375. Decision to Institute a Review Trial Is Not

Appealable ................................................................. 16-38E. Trial .................................................................................. 16-38

1. Statutory Requirements ............................................ 16-392. Regulatory Requirements ......................................... 16-403. One-Year Time Limit for Trial Phase ...................... 16-404. Trial Management ..................................................... 16-405. Discovery Requests .................................................... 16-416. Patent Owner Response ............................................ 16-41

a. Three-Month Time Limit for Patent Owner Response .............................................................. 16-41

b. Expert Declarations Need to Anticipate Rebuttal Arguments ........................................... 16-42

7. Evidentiary Standard for Unpatentability—Preponderance of the Evidence ............................... 16-42

F. Motion to Amend ............................................................ 16-431. Statutory Requirements ............................................ 16-432. Regulatory Requirements ......................................... 16-443. Further Guidance on Motions to Amend ............... 16-444. Strategic Considerations for Prosecuting

Patents in Response to the Limited Opportunity to Amend Claims ................................ 16-45

G. Oral Hearing ................................................................... 16-461. Statutory Requirements ............................................ 16-462. Regulatory Requirements ......................................... 16-463. Oral Hearing Is Limited .......................................... 16-46

H. Final Written Decision .................................................... 16-461. Statutory Requirements ............................................ 16-462. Regulatory Requirements ......................................... 16-483. Patent Owner Estoppel Considerations

for a Final Written Decision ..................................... 16-49I. Appeal .............................................................................. 16-50

1. Statutory Requirements ............................................ 16-502. Appellate Strategies .................................................. 16-50

lxxxviii Patents After the AIA

III. Strategic Considerations for Prosecuting Applications Before a Review Proceeding ................................................. 16-51A. Different Evidentiary Standards for the Burden

of Proof ............................................................................ 16-51B. Different Claim Construction Standards ...................... 16-51C. Limited Opportunity to Amend Claims ........................ 16-52D. Claiming Strategies in View of Review

Proceedings ..................................................................... 16-541. Increase the Number of Claims ............................... 16-542. Draft More Thorough Specifications

With Multiple Embodiments .................................... 16-543. Draft Detailed Independent Claims

and Meaningful Dependent Claims ........................ 16-554. Draft Means-Plus-Function Independent Claims ... 16-555. Draft Independent Claims With Definitions

and Different Terminology ...................................... 16-56 IV. Strategic Considerations and Consequences

After a Review Proceeding ................................................... 16-57A. Concurrent Proceedings at the United States

Patent and Trademark Office ........................................ 16-57B. Settlement and Claim Cancellation ............................... 16-58C. Patentee Estoppel ............................................................ 16-59D. Petitioner Estoppel .......................................................... 16-60

V. Conclusions ............................................................................ 16-60

List of Figures

Fig. 16.1. Timeline for Review Proceedings ............................ 16-7 Fig. 16.2. Time Periods for Post-AIA Patents for Using

the Different Review Proceedings ........................... 16-10 Fig. 16.3. Filing Rates of All Review Petitions ......................... 16-15 Fig. 16.4. Settlement Rates of All Review Petitions ................ 16-16 Fig. 16.5. Results for Inter Partes Reviews ............................... 16-17 Fig. 16.6. Final Written Decision Cancellation Rates ............. 16-18 Fig. 16.7. USPTO Chart for Rates of Unpatentability

in Final Written Decisions ........................................ 16-19 Fig. 16.8. Rate of All Claims Being Cancelled in Final

Decisions in Review Proceedings, Reexaminations, and Litigation ............................... 16-22

List of Tables

Table 16.1. Comparison of EPX, SE, IPX, IPR, PGR, and CBM Proceedings .............................................. 16-12

cHapter 17: patent MarKing .................................................... 17-1

I. Applicable Public Policy ........................................................ 17-3A. Requirement for Notice .................................................. 17-3

1. Historical Development ............................................ 17-4

Detailed Table of Contents lxxxix

2. Notice from Publication ........................................... 17-53. Copying of Patented Articles ................................... 17-54. Mismarking of Articles ............................................. 17-65. Notice of Specific Patent and Specific Products .... 17-6

B. The Marking Requirement ............................................. 17-71. Marking—Serving the Purpose of Notice .............. 17-7

a. Exceptions to Marking—Patent Owner Does Not Manufacture ....................................... 17-8

b. Exceptions to Marking—Method and Process Patents .................................................... 17-8i. General Rule ................................................. 17-8ii. Exception for Imported Products ............... 17-9

c. Exceptions to Marking—Pending and Published Patent Applications .................... 17-10

2. Marking—The Benefit of Statutory Notice ............. 17-113. Traditional Practices, Problems, and Risks ............. 17-12

a. Strict Requirement for Comprehensive Marking ............................................................... 17-12

b. Burden of Proof Is on the Patent Owner ......... 17-12c. Practical Challenges of Marking ....................... 17-12

4. The False Marking Penalty ....................................... 17-13a. Counterfeiting or Imitating a Patent

Owner’s Mark ...................................................... 17-13b. Deceptive Marking Products as Patented ......... 17-14c. Deceptive Marking of Products With Patent

Pending ................................................................ 17-14C. Abuses Arising From the False Marking Penalty .......... 17-14

II. Statutory Provisions ............................................................... 17-15A. The Statute—America Invents Act Changes

to the Marking Requirement ......................................... 17-161. What Constitutes Proper Virtual Marking? ............ 17-16

a. Words Required .................................................. 17-17b. Effective Internet Address .................................. 17-17

i. Types of Addresses ....................................... 17-17ii. Proprietor of the Address ............................ 17-17iii. Listing Services ............................................. 17-18

c. Association of Patented Article With Patent Number .................................................... 17-18

d. Disadvantages of Associating Patents and Products ....................................................... 17-19

2. Effective Notice Is Required .................................... 17-19a. Standard for Effective Notice by Virtual

Marking ............................................................... 17-20b. Litigation-Oriented Issues .................................. 17-20

3. Strategic Use of and Practical Perspectives for Virtual Patent Marking ............................................. 17-21

4. Patent Marking Internationally ................................ 17-22B. The Required Report to Congress ................................ 17-23

xc Patents After the AIA

1. Public Comment on Virtual Marking ..................... 17-232. The Report on Virtual Marking .............................. 17-233. Continuing Issues With Virtual Marking ................ 17-24

C. The Statute—Changes to the False Marking Provisions ......................................................................... 17-241. The Change to Section 292 ..................................... 17-252. Elimination of Qui Tam Jurisdiction ...................... 17-253. Creation of a Right to Compensation

for Competitive Injury .............................................. 17-264. Suit for Statutory Penalty by the United States ...... 17-26

III. Conclusions ............................................................................ 17-27

cHapter 18: prior user rigHts ................................................ 18-1

I. Prior User Rights Defense: Seldom Used But of Critical Importance ................................................... 18-4A. What Is the Prior User Rights Defense? ........................ 18-4

1. Rights of a Prior Inventor ........................................ 18-52. Legal or Equitable Defense ...................................... 18-53. Value .......................................................................... 18-6

B. The Case for and Against the Prior User Rights Defense ............................................................................ 18-8

C. Balance Between the Prior User Rights Defense and Trade Secrets ........................................................... 18-9

D. Historical Origins ........................................................... 18-111. Foreign First-to-File Systems ..................................... 18-122. United States Policy Considerations ........................ 18-13

a. Adoption of a First-to-File System ..................... 18-13b. Protection for Specific Technologies ................ 18-14c. Threat From Foreign Owners of

United States Patents .......................................... 18-15d. University Interests ............................................. 18-15

II. Statutory Provisions ............................................................... 18-17A. The Statute—Grant of Rights ........................................ 18-17

1. Qualified Subject Matter .......................................... 18-17a. Process, Machine, Manufacture,

or Composition of Matter .................................. 18-17b. Exclusion of End Products ................................. 18-18

i. A Historical Limitation ................................ 18-18ii. Examples of End Product Exclusion ........... 18-19

c. Prior Use in a Commercial Process .................. 18-21d. Otherwise Infringing ......................................... 18-22

i. Indirect Infringement .................................. 18-22ii. Direct Infringement ..................................... 18-23

2. Limitation on Beneficiary ........................................ 18-24a. The “Person” ....................................................... 18-24b. Availability to Others .......................................... 18-25

3. Required Prior Activity—Commercial Use ............. 18-25

Detailed Table of Contents xci

a. Internal Commercial Use ................................... 18-26b. Actual Transaction Involving a Useful

End Result ........................................................... 18-27i. Actual Arm’s Length Sale of the End

Result ............................................................. 18-28ii. Arm’s Length Commercial Transfer

of the End Result .......................................... 18-28iii. Beyond Substantial Preparation .................. 18-28

c. Useful End Result ............................................... 18-30d. In the United States ........................................... 18-30e. Additional Commercial Uses ............................. 18-30

i. Premarketing Regulatory Review ................ 18-31ii. Nonprofit Laboratory or University Use ..... 18-31

4. One-Year Minimum .................................................. 18-32a. Measured Based on the Claimed Invention ..... 18-34b. Measurement Baseline ........................................ 18-35

i. Effective Filing Date ..................................... 18-35ii. Prior Public Disclosure ................................ 18-35

5. Establishment of a Legal Defense ........................... 18-36B. Limitations and Exceptions ............................................ 18-36

1. Personal Defense ....................................................... 18-36a. Transfer of Rights ............................................... 18-37b. Restriction on Sites ............................................. 18-38

2. Derivation .................................................................. 18-383. No General License .................................................. 18-394. Abandonment of Use ................................................ 18-435. Exhaustion of Rights ................................................ 18-44

a. Beneficiaries Beyond the Person ....................... 18-44b. The Useful End Result ....................................... 18-45c. The Affected Patents .......................................... 18-45

6. Effective Date ............................................................ 18-467. Examples of Limitations ........................................... 18-47

C. University Exception ....................................................... 18-501. Existing Rights of a University or Technology

Transfer Organization .............................................. 18-512. Exceptions ................................................................. 18-52

D. Unreasonable Assertion of the Defense ........................ 18-53E. Invalidity .......................................................................... 18-54F. The United States Patent and Trademark

Office Study ..................................................................... 18-57 III. International Considerations—Harmonization .................. 18-59

A. Diversity of Prior Use Provisions in Other Countries ......................................................................... 18-591. Common Features ..................................................... 18-592. Differences ................................................................. 18-60

B. Prior User Rights as One Cornerstone to Harmonization ................................................................ 18-601. Early Harmonization Activities ................................ 18-61

xcii Patents After the AIA

a. The Patent Law Harmonization Treaty ............ 18-61i. World Intellectual Property

Organization Activity ................................... 18-61ii. United States Congressional Activity .......... 18-62iii. User Activity .................................................. 18-63

b. Agreement on Trade-Related Aspects of Intellectual Property Rights .......................... 18-64

c. The Substantive Patent Law Treaty and Group B+ ............................................................. 18-64

2. Current Harmonization Initiatives .......................... 18-65a. International Governmental Considerations .... 18-66

i. The Tegernsee Study .................................... 18-66ii. The IP5 Offices Consideration of

Harmonization .............................................. 18-68b. Stakeholder Activity ............................................ 18-69

i. International Association for the Protection of Intellectual Property ............. 18-69

ii. Industry Trilateral/Industry IP5 ................. 18-70 IV. Conclusions ............................................................................ 18-72

List of Figures

Fig. 18.1. Example of Prior User Rights for End Product Manufacture and Sale ............................................... 18-19

Fig. 18.2. Comparison of Prior Use Activity After the AIA With International Practice .............................. 18-33

Fig. 18.3. Limitation of the Prior User Rights Defense for Later Improvements ............................................ 18-41

Fig. 18.4. Background Example of Entitlement to Prior User Rights Defense .................................................. 18-47

Fig. 18.5. Example of Applications of the Prior User Rights (PUR) Defense ............................................... 18-48

cHapter 19: Miscellaneous issues aFter tHe aMerica invents act ............................................................ 19-1

I. Leahy-Smith Act Mandated Studies and Programs ............ 19-2A. International Patent Protection for Small Businesses .... 19-3B. Prior User Rights ............................................................. 19-7C. Genetic Testing ................................................................ 19-9D. Effects of First-Inventor-to-File System on Small

Businesses ........................................................................ 19-11E. Patent Litigation .............................................................. 19-13F. Misconduct Before the United States Patent and

Trademark Office ............................................................ 19-20G. Satellite Offices ............................................................... 19-22H. Virtual Marking ............................................................... 19-25

II. Travel Expenses and Payment of Administrative Judges ... 19-28

Detailed Table of Contents xciii

III. Patent Ombudsman Program for Small Business Concerns ................................................................................ 19-29

IV. Establishment of Methods for Studying the Diversity of Applicants .............................................................................. 19-30

V. Pro Bono Program ................................................................ 19-31 VI. Public Law 112-211—Patent Law Treaties

Implementation Act of 2012 ................................................. 19-32A. Brief Overview of the Patent Law Treaty ...................... 19-33B. Highlights of the Patent Law Treaties

Implementation Act ........................................................ 19-341. Application Filing Date ............................................ 19-342. Reference Filing ........................................................ 19-363. Revival of Abandoned Application—

Unintentional Standard ............................................ 19-374. Restoration of Rights ................................................ 19-375. Recordation of Ownership Interests ....................... 19-38

VII. Public Law 112-274—An Act to Correct and Improve Certain Provisions of the Leahy-Smith America Invents Act ............................................................................. 19-38A. Advice of Counsel ........................................................... 19-39B. Dead Zones ...................................................................... 19-39C. Inventor’s Oath or Declaration ...................................... 19-40D. Patent Term Adjustments ............................................... 19-40E. Improper Applicant ........................................................ 19-41F. Derivation Proceedings .................................................. 19-41G. Patent and Trademark Public Advisory Committees ... 19-42

VIII. Conclusions ............................................................................ 19-42

cHapter 20: transitional consiDerations For tHe aMerica invents act ............................................ 20-1

I. Introduction ........................................................................... 20-5 II. Transition Applications ......................................................... 20-6

A. Transition Applications—The Law ................................ 20-6B. Transition Applications—The Basics ............................. 20-7

1. What Is a Transition Application? ........................... 20-82. Which Prior Art Law Governs Examination

of an Application? ..................................................... 20-8a. All Filings Before March 16, 2013—

Pre-AIA Applications .......................................... 20-8b. All Filings On or After March 16, 2013—

Post-AIA Applications ......................................... 20-8c. Filings Bridging March 16, 2013—

Transition Applications ...................................... 20-8i. Transition Applications for Which

Pre-AIA Prior Art Law Applies— Pre-AIA Transition Applications ................. 20-9

xciv Patents After the AIA

ii. Transition Applications for Which Post-AIA Prior Art Law Applies— Post-AIA Transition Applications ................ 20-10

3. United States Patent and Trademark Office Terminology .............................................................. 20-11a. United States Patent and Trademark Office

AIA Blog .............................................................. 20-11b. United Stated Patent and Trademark Office

AIA Roadshow ..................................................... 20-12c. Manual of Patent Examining Procedure .......... 20-13

4. Does It Matter Which Prior Art Law Governs Examination of an Application? .............................. 20-15a. Advantages of Pre-AIA Prior Art Law ............... 20-15b. Disadvantages of Pre-AIA Prior Art Law .......... 20-16c. Advantages of Post-AIA Prior Art Law .............. 20-16d. Disadvantages of Post-AIA Prior Art Law ......... 20-17

5. Applicability of Pre-AIA 35 U.S.C. §102(g) to a Post-AIA Transition Application .............................. 20-17a. Pre-AIA Section 102(g) ...................................... 20-18

i. Pre-AIA Section 102(g)(1)—Interferences ... 20-18ii. Pre-AIA Section 102(g)(2)—Prior Art ........ 20-19

b. Pre-AIA Section 102(g) Still Applies to a Post-AIA Transition Application Otherwise Governed by Post-AIA Prior Art Law ................ 20-19

c. Use of Pre-AIA Section 102(g)(2)—Prior Art in an Obviousness Rejection ....................... 20-20

C. Determining Which Prior Art Law Applies to a Transition Application ............................................ 20-201. Claim-by-Claim Analysis for Determination of

Effective Filing Date ................................................. 20-202. Application-by-Application Analysis for

Determining Which Prior Art Law Applies ............ 20-213. Determining the Effective Filing Date of a Claim ... 20-23

a. Changes to the Description That Change the Scope of “Means-Plus-Function” or “Step-Plus-Function” Claims .............................. 20-23

b. Changes to the Description That Change the Scope of Genus Claims ................................ 20-24

c. Applications With New Claims Presented When the Application Is Filed ........................... 20-25

d. Transition Application Families With Mixed Priority Claims .................................................... 20-26

4. Effective Filing Date Can Be a Foreign Priority Date ............................................................................ 20-27

5. Even One Claim Can Change the Applicable Prior Art Law for All Claims .................................... 20-27

Detailed Table of Contents xcv

6. Determination of Applicable Prior Art Law for an Application ..................................................... 20-28a. All Filings Before March 16, 2013 ..................... 20-28b. All Filings On or After March 16, 2013 ............ 20-28c. Applicant Statement to Aid the United

States Patent and Trademark Office in Determining the Applicable Prior Art Law for a Transition Application ............................... 20-29i. Sample Rule 1.55/1.78 Statements .............. 20-29ii. Statement in the Application Data

Sheet or Transmittal Letter ......................... 20-29iii. Failure to File a Correct or Timely Rule

1.55/1.78 Statement ...................................... 20-30iv. Filing a Rule 1.55/1.78 Statement

in a Family of Applications .......................... 20-30d. United States Patent and Trademark Office

Determination of Applicable Prior Art Law ..... 20-31e. Correction of Prior Art Law Designation

for an Application ............................................... 20-31i. Filing Receipt ................................................ 20-31ii. Office Action ................................................. 20-32

D. Retaining Pre-AIA Prior Art Law or Triggering Post-AIA Prior Art Law ................................................... 20-321. During Examination of a Pre-AIA Transition

Application ................................................................ 20-32a. Ensuring Retention of Pre-AIA Prior

Art Law ................................................................ 20-32b. Intentionally Triggering a Change in Prior

Art Law ................................................................ 20-332. When Filing a Continuing Application

of a Pre-AIA Transition Application ....................... 20-333. Provisional Application to Nonprovisional

Transition Application .............................................. 20-344. National Stage Entry Into the United States

via 35 U.S.C. §371 ..................................................... 20-355. Ex Parte Post-Issuance Procedures and

Post-Issuance Proceedings ........................................ 20-35a. No New Matter Post-Issuance ............................ 20-36b. Reissue ................................................................. 20-36c. Ex Parte Reexamination .................................... 20-36d. Supplemental Examination ................................ 20-36e. Certificate of Correction .................................... 20-37f. Inter Partes Review ............................................. 20-37g. Post Grant Review ............................................... 20-37h. Transitional Program for Covered Business

Methods ............................................................... 20-37

xcvi Patents After the AIA

E. Post-Issuance Impact of Examination Under the Wrong Law ................................................................ 20-381. Error Leading to the Application of the Wrong

Prior Art Law During Examination ........................ 20-38a. Applicant Error ................................................... 20-38

i. Improperly Completing, or Not Completing, a Rule 1.55/1.78 Statement .... 20-38

ii. Cleaning Up Text of an Earlier-Filed Application .................................................... 20-38

iii. Translation of a Foreign Application .......... 20-38b. United States Patent and Trademark Office

Error .................................................................... 20-39i. United States Patent and Trademark

Office Error in Designation Based on Facts ............................................................... 20-39

ii. United States Patent and Trademark Office Error Due to Misinterpretation of Law ............................................................ 20-39

c. Post-Issuance Correction .................................... 20-392. Material Consequences of Having the Wrong

Prior Art Law Govern Examination of a Transition Application .............................................. 20-40a. Patentability Result Is Different Under

Different Prior Art Law ...................................... 20-40b. 37 C.F.R. §1.56 .................................................... 20-40

i. Duty of Disclosure ........................................ 20-40ii. Rule 1.55/1.78 Statement ............................. 20-40

F. Cautions in Creating and Handling Transition Applications ..................................................................... 20-411. Filing a Nonprovisional Application Before

March 16, 2013, With Benefit of and/or Priority to at Least One Earlier-Filed Application ................ 20-42

2. Filing a Nonprovisional Application On or After March 16, 2013, With Benefit of and/or Priority to Only Provisional, Foreign, and/or International Applications ........................... 20-42

3. Filing a Continuing Application On or After March 16, 2013 .......................................................... 20-43

4. Change in Prior Art Law Status of a Priority Nonprovisional Application Can Affect Prior Art Law of Its Progeny Applications ........................ 20-44

5. Once a Transition Application is a Post-AIA Transition Application, It Cannot Return to a Pre-AIA Transition Application ............................... 20-44

6. Use of a Jepson Claim in a Pre-AIA Application Without Creating a Post-AIA Application ............... 20-45

III. Transition Concerns for Oaths and Declarations ............... 20-46

Detailed Table of Contents xcvii

A. Post-AIA Oaths and Declarations .................................. 20-461. Required for New Nonprovisional Applications

Filed On or After September 16, 2012 .................... 20-462. “Transition Applications” ......................................... 20-47

B. Administrative Burden ................................................... 20-471. Post-AIA Oaths and Declarations for

Continuing Applications Claiming Priority to U.S. Applications Filed Before September 16, 2012 ...................................................................... 20-47

2. Legislative Efforts to Ease the Administrative Burden ....................................................................... 20-48

IV. Conclusions ............................................................................ 20-48

List of Figures

Fig. 20.1. Graphical Representation of Definition of Transition Applications ........................................ 20-11

Fig. 20.2. Graphical Representation of Definition of Transition Applications ........................................ 20-13

cHapter 21: practical consiDerations aFter tHe aMerica invents act ............................................ 21-1

I. Introduction ........................................................................... 21-3 II. Invention Creation and Identification ................................. 21-4

A. The Innovation Process .................................................. 21-4B. Documenting the Innovation Process ........................... 21-5C. Prefiling Timing and Confidentiality ............................ 21-6D. Assigning the Invention .................................................. 21-8E. Working Together on Inventions ................................... 21-9

III. To File or Not to File an Application .................................. 21-10A. Evaluation of Potential Inventions ................................. 21-11B. Patentability ..................................................................... 21-12

IV. Application Preparation ....................................................... 21-13A. Overall Application Strategies ....................................... 21-14B. Strategies and Considerations for the Claims .............. 21-15

V. Application Filing .................................................................. 21-16A. Filing Logistics and Requirements ................................ 21-17B. Filing Options ................................................................. 21-19C. Continuing Applications ................................................. 21-20D. Filing Transition Applications ........................................ 21-21

VI. Prosecution of Applications ................................................. 21-23A. Pre-AIA or Post-AIA Prior Art Law ............................... 21-23

1. Post-AIA Prior Art Considerations .......................... 21-242. Post-Issuance Considerations ................................... 21-24

B. Prosecuting Transition Applications ............................. 21-25C. Reliance on a Grace Period ........................................... 21-26

1. Using Post-AIA Grace Periods in General .............. 21-27

xcviii Patents After the AIA

2. The First-to-Disclose Triggered Grace Period for the Sub(B) Exception ......................................... 21-28

D. Affidavits and Declarations ............................................ 21-291. Affidavits and Declarations Under 37 C.F.R.

§1.130 for Applications Governed by Post-AIA Prior Art Law ............................................................ 21-29

2. Affidavits and Declarations Under 37 C.F.R. §1.131 for Applications Governed by Post-AIA Prior Art Law ............................................................ 21-30

E. Petitions and Appeals ..................................................... 21-31F. Derivation Proceedings .................................................. 21-32

VII. Post-Issuance Procedures, Proceedings, Submissions, and Third-Party Challenges at the United States Patent and Trademark Office .............................................. 21-34A. Reissues ............................................................................ 21-34B. Ex Parte Reexaminations ............................................... 21-35C. Supplemental Examinations ........................................... 21-35D. Third-Party Preissuance Submissions ............................ 21-37E. Submissions in Patents by Any Party ............................. 21-38F. Third-Party Challenges—Post-Issuance Review

Proceedings ..................................................................... 21-39 VIII. Conclusions ............................................................................ 21-41

cHapter 22: patent HarMonization, WorK-sHaring, collaBoration, anD tHe Way ForWarD ............ 22-1

I. Introduction ........................................................................... 22-8 II. Early Patent Harmonization ................................................. 22-9

A. Background—Substantive and Procedural Harmonization ................................................................ 22-9

B. The Paris Convention ..................................................... 22-11C. The European Conventions ........................................... 22-12D. The Patent Cooperation Treaty and the World

Intellectual Property Organization ............................... 22-14E. The Patent Law Harmonization Treaty (the Basic

Proposal) .......................................................................... 22-161. Background ............................................................... 22-162. United States Interests .............................................. 22-19

a. Government ......................................................... 22-19b. Users .................................................................... 22-20

F. The Agreement on Trade-Related Aspects of Intellectual Property Rights ........................................... 22-201. Background ............................................................... 22-202. United States Interests .............................................. 22-22


G. The Patent Law Treaty .................................................... 22-241. Background ............................................................... 22-24

Detailed Table of Contents xcix

2. United States Interests .............................................. 22-26a. Government ......................................................... 22-26b. Users .................................................................... 22-26

H. The Substantive Patent Law Treaty ............................... 22-271. Background ............................................................... 22-272. United States Interests .............................................. 22-28


III. Recent Harmonization Initiatives ........................................ 22-29A. Background ..................................................................... 22-29

1. Governments ............................................................. 22-302. Users ........................................................................... 22-31

B. International Governmental Activity ............................. 22-311. Trilateral/Industry Trilateral ................................... 22-31

a. Background ......................................................... 22-31b. United States Interests ........................................ 22-32

2. The Group B+ ........................................................... 22-32a. Background ......................................................... 22-32b. United States Interests ........................................ 22-34

3. The Tegernsee Group ............................................... 22-34a. Background ......................................................... 22-34b. The Tegernsee Report ........................................ 22-35

i. Grace Period ................................................. 22-35ii. Conflicting Applications .............................. 22-36iii. 18-Month Publication ................................... 22-38iv. Prior User Rights .......................................... 22-38v. Future Considerations .................................. 22-39

4. The IP5/Industry IP5 ............................................... 22-40a. Background ......................................................... 22-40b. The Patent Harmonization Experts Panel ........ 22-41c. Future Harmonization Discussions ................... 22-41

C. Stakeholder Activity ........................................................ 22-41D. A Timeline Perspective of Harmonization

Developments .................................................................. 22-42 IV. The Reduction and Refinement of Patent Law

Harmonization Issues ........................................................... 22-42A. Background ..................................................................... 22-42B. Progress With the Substantive Content

of the Basic Proposal ...................................................... 22-431. Patentability and Right to a Patent ......................... 22-43

a. First-to-File Patent System .................................. 22-43i. The Basic Proposal—Right to a Patent

(Article 9) ...................................................... 22-43ii. The Substantive Patent Law Treaty Drafts ... 22-44iii. Other Treaties ............................................... 22-44iv. The America Invents Act ............................. 22-44v. Subsequent Initiatives ................................... 22-45

b. Applicant and Inventor ...................................... 22-45

c Patents After the AIA

i. The Basic Proposal—Identification and Mention of Inventor; Declaration Concerning the Entitlement of the Applicant (Article 6) .................................... 22-45

ii. The Substantive Patent Law Treaty Drafts ... 22-45iii. Other Treaties ............................................... 22-45iv. The America Invents Act ............................. 22-46v. Subsequent Initiatives ................................... 22-47

2. Patent Application and Patent Examination .......... 22-47a. Disclosure ............................................................ 22-47

i. The Basic Proposal—Disclosure and Description (Article 3) ......................... 22-47


b. Claims .................................................................. 22-48i. The Basic Proposal—Claims (Article 4) ..... 22-48ii. The Substantive Patent Law Treaty Drafts ... 22-49iii. Other Treaties ............................................... 22-49iv. The America Invents Act ............................. 22-49v. Subsequent Initiatives ................................... 22-50

c. Unity of Invention ............................................... 22-50i. The Basic Proposal—Unity of Invention


d. Restoration of Priority Claims ........................... 22-51i. The Basic Proposal—Belated Claiming

of Priority (Article 7) ................................... 22-51ii. The Substantive Patent Law Treaty Drafts ... 22-51iii. Other Treaties ............................................... 22-51iv. The America Invents Act ............................. 22-52v. Subsequent Initiatives ................................... 22-53

e. Filing Date ........................................................... 22-53i. The Basic Proposal—Filing Date


f. Patentable Subject Matter .................................. 22-54i. The Basic Proposal—Fields of

Technology (Article 10) ............................... 22-54ii. The Substantive Patent Law Treaty Drafts ... 22-54iii. Other Treaties ............................................... 22-55iv. The America Invents Act ............................. 22-55

Detailed Table of Contents ci

v. Subsequent Initiatives ................................... 22-56g. Conditions of Patentability ................................ 22-56

i. The Basic Proposal—Conditions of Patentability (Article 11) ......................... 22-56


h. Grace Period ....................................................... 22-58i. The Basic Proposal—Disclosures

Not Affecting Patentability (Article 12) ...... 22-58ii. The Substantive Patent Law Treaty Drafts ... 22-59iii. Other Treaties ............................................... 22-59iv. The America Invents Act ............................. 22-59v. Subsequent Initiatives ................................... 22-59

i. Conflicting Applications .................................... 22-59i. The Basic Proposal—Prior Art Effect

of Certain Applications (Article 13) ........... 22-59ii. The Substantive Patent Law Treaty Drafts ... 22-60iii. Other Treaties ............................................... 22-60iv. The America Invents Act ............................. 22-60v. Subsequent Initiatives ................................... 22-60

j. Amendment or Correction ................................ 22-61i. The Basic Proposal—Amendment

or Correction of Application (Article 14) .... 22-61ii. The Substantive Patent Law Treaty Drafts ... 22-61iii. Other Treaties ............................................... 22-61iv. The America Invents Act ............................. 22-62v. Subsequent Initiatives ................................... 22-62

k. 18-Month Publication ......................................... 22-62i. The Basic Proposal—Publication

of Application (Article 15) ........................... 22-62ii. The Substantive Patent Law Treaty Drafts ... 22-62iii. Other Treaties ............................................... 22-62iv. The America Invents Act ............................. 22-63v. Subsequent Initiatives ................................... 22-63

l. Search and Examination .................................... 22-63i. The Basic Proposal—Time Limits

for Search and Substantive Examination (Article 16) .................................................... 22-63


3. Patent Rights and Enforcement ............................... 22-64a. Correction of Mistakes in a Patent .................... 22-64

i. The Basic Proposal—Changes in Patents (Article 17) ....................................... 22-64

ii. The Substantive Patent Law Treaty Drafts ... 22-65

cii Patents After the AIA

iii. Other Treaties ............................................... 22-65iv. The America Invents Act ............................. 22-65v. Subsequent Initiatives ................................... 22-65

b. Scope of Patent Rights ....................................... 22-65i. The Basic Proposal—Rights Conferred

by the Patent (Article 19) ............................ 22-65ii. The Substantive Patent Law Treaty Drafts ... 22-66iii. Other Treaties ............................................... 22-66iv. The America Invents Act ............................. 22-66v. Subsequent Initiatives ................................... 22-66

c. Scope and Meaning of Claims ........................... 22-66i. The Basic Proposal—Extent

of Protection and Interpretation of Claims (Article 21) ................................... 22-66


d. Patent Term ......................................................... 22-68i. The Basic Proposal—Term of Patents

(Article 22) .................................................... 22-68ii. The Substantive Patent Law Treaty Drafts ... 22-68iii. Other Treaties ............................................... 22-68iv. The America Invents Act ............................. 22-68v. Subsequent Initiatives ................................... 22-68

e. Patent Enforcement ............................................ 22-68i. The Basic Proposal—Enforcement

of Rights (Article 23) ................................... 22-68ii. The Substantive Patent Law Treaty Drafts ... 22-69iii. Other Treaties ............................................... 22-69iv. The America Invents Act ............................. 22-69v. Subsequent Initiatives ................................... 22-69

f. Burden of Proof .................................................. 22-70i. The Basic Proposal—Reversal of

Burden of Proof (Article 24) ....................... 22-70ii. The Substantive Patent Law Treaty Drafts ... 22-70iii. Other Treaties ............................................... 22-70iv. The America Invents Act ............................. 22-70v. Subsequent Initiatives ................................... 22-70

4. Rights of Third Parties ............................................. 22-70a. Post Grant Proceedings ...................................... 22-70

i. The Basic Proposal—Administrative Revocation (Article 18) ................................ 22-70


b. Prior User Rights ................................................ 22-71

Detailed Table of Contents ciii

i. The Basic Proposal—Prior User (Article 20) .................................................... 22-71


c. Obligations of the Rights Holder ...................... 22-73i. The Basic Proposal—Obligations

of the Rights Holder (Article 25) ................ 22-73ii. The Substantive Patent Law Treaty Drafts ... 22-73iii. Other Treaties ............................................... 22-73iv. The America Invents Act ............................. 22-73v. Subsequent Initiatives ................................... 22-74

d. Compulsory Licenses and Other Remedies ...... 22-74i. The Basic Proposal—Remedial

Measures Under National Legislation (Article 26) .................................................... 22-74


C. Remaining Issues for Harmonization ............................ 22-75 V. Work-Sharing and Collaboration ......................................... 22-75

A. Work-Sharing Initiatives ................................................. 22-751. The Patent Cooperation Treaty ............................... 22-752. New Route ................................................................. 22-783. TRIWAY ..................................................................... 22-784. SHARE ....................................................................... 22-795. Patent Prosecution Highway .................................... 22-79

a. Background ......................................................... 22-79b. Current Requirements ........................................ 22-81c. Experience of the United States Patent

and Trademark Office as OSF/OLE ................. 22-826. Regional Work-Sharing Initiatives ........................... 22-847. WIPO CASE .............................................................. 22-85

B. Collaboration ................................................................... 22-851. ePCT .......................................................................... 22-852. Global Dossier ........................................................... 22-873. Collaborative Search and Examination Pilots ........ 22-90

VI. Conclusions ............................................................................ 22-91

List of Figures

Fig. 22.1. Timeline of Significant Global Patent Harmonization Events .............................................. 22-42

List of Tables

Table 22.1. Historical Resolution of Basic Proposals for Harmonization .................................................... 22-76

civ Patents After the AIA

glossary .......................................................................................... gl-1

online appenDices ......................................................................... app-1

taBle oF cases ............................................................................... tc-1

inDex ................................................................................................ iDx-1