Full Description
A concise resource for practitioners actively involved in managing the unique aspects of PTAB trials, this guide is written by attorneys who have handled hundreds of PTAB proceedings. They share their practical experience in this developing aspect of patent law, and provide a unique perspective for lawyers advising clients and planning strategy during PTAB trials.
Trials before the Patent Trial and Appeal Board (PTAB), introduced to U.S. patent law by the Leahy-Smith America Invents Act, are a hybrid of conventional patent prosecution and patent litigation practices. Successfully navigating a PTAB trial may entail tasks ranging from analyzing highly technical prior art to deposing scientific experts, drafting patent-claim amendments, and arguing at an oral hearing before an expert panel. Now updated and significantly expanded, the new Third Edition of The Practitioner's Guide to Trials Before the Patent Trial and Appeal Board is a concise resource for practitioners actively involved in managing the unique aspects of PTAB trials. Having handled several hundred PTAB proceedings, the authors share their practical experience in this developing area and provide a unique perspective for practitioners advising clients and planning strategy during PTAB trials. Organized for ease of use, the book's practice-focused information includes:
A quick reference for PTAB statutes and rules, including recent updates and rule changes
Lessons learned from the growing body of Federal Circuit case law reviewing final PTAB decisions
Strategic considerations for coordinating PTAB trials with your litigation strategy
A detailed description of a PTAB trial from petition preparation to appeals to the Court of Appeals for the Federal Circuit
Handy references synthesizing supporting laws, rules, and regulations
The "Practical Tools" chapter compiles, in one place, all of the statutes, rules, and PTAB guidance covering PTAB trials, organized by topic. A busy practitioner can look up a topic, such as discovery, claim construction, or joinder, and have all of the collected guidance in one place. These are organized using a simple, standard framework including CFR citations; PTO comments during rulemaking; PTAB orders and decisions; references to the PTAB trial practice guide; and informal guidance such as PTAB training presentations.
Contents
Contents
About the
Authors xi
Chapter 1
Introduction
1
Disclaimer 2
Chapter 2
Prefiling
Considerations and Relationship between Proceedings 5
A. Preliminary
Considerations 5
1. Timing 6
2. Considerations
for Parallel Proceedings 8
3. Appellate
Standing 11
B. Stays of
Parallel Proceedings 14
1. District Courts
14
2. ITC 19
3. Other Considerations
20
C. Claim
Construction 21
1. Claim
Construction Standards 21
2. Impact of Claim
Construction in and
on Other
Proceedings 23
D. Discretionary
Denials 27
1. Previous
Consideration by the Office—35 U.S.C.
§ 325(d) 29
2. Procedural
Denials—35 U.S.C. § 314 32
E. Estoppel 40
1. Statutory and
Regulatory Estoppel 41
a. Introduction 41
b. Statutory
Estoppel in District Courts and the ITC 42
i. Predicate
Elements of Statutory Estoppel 43
ii. Scope of
Estoppel 44
iii. Joined Parties
48
iv. Burden of Proof
49
c. Statutory and
Regulatory Estoppel at the Patent Office 50
i. Patent Owner
Estoppel 50
ii. Petitioner
Estoppel 52
2. Other Estoppels
55
a. Judicial
Estoppel 55
b. Collateral
Estoppel 56
c. Assignor
Estoppel 57
F. Joinder 58
G. Real Parties in
Interest 61
Chapter 3
Petition
Preparation 65
A. Petition
Requirements 65
1. Anyone but the
Patent Owner May File 65
2. Based on Patents
or Printed Publications 65
3. Standing and
Timing for Filing 66
4. Page-Length and
Formatting Requirements 67
5. Petitioner's
Mandatory Notices 67
a. Identify All
Real Parties in Interest 68
b. Related Matters 69
c. Lead and Backup
Counsel 70
6. Requirements of
Sections 312 and 42.104 70
a. Identify Each
Claim Challenged and
the Statutory
Ground for Each Challenge 70
b. Identify How the
Claim Should Be Construed 71
c. Identify the
Statutory Grounds and Evidence
Supporting the
Challenge 72
7. Service of
Petition 72
8. Incomplete
Petition 72
B. Confidential
Information and Protective Orders 73
1. Petition and
Supporting Evidence Generally
Made Public
(Section 312(b)) 73
2. Motion to Seal
and Protective Order (Sections
42.14, 42.54) 73
3. Default
Protective Order in Trial Practice Guide and
Potential
Modifications 74
C. Demonstrating
Prior Art Status 75
1. Qualifying
Nonpatent Literature as Prior Art 75
2. Qualifying Patents
or Published Applications
as Prior Art as of
an Earlier Filing Date 77
D. Expert
Declarations 78
E. Addressing
Potential Bases for Discretionary Denial
of Institution 78
F. Multiple
Petitions 79
1. Challenging
Related Patents 79
2. Challenging a
Single Patent 80
3. Multiple
Petitioners 80
4. Serial Petitions—General Plastic Factors 81
5. Joinder of
Multiple Proceedings 82
G. Potential
Authorization for a Petitioner Reply
to Patent Owner's
Preliminary Response 84
Chapter 4
Preliminary
Response to a Petition 85
A. Optional to File
85
B. Who Can File 86
C. Requirements for
Filing 86
D. Types of
Arguments 87
1. Arguments
against Institution 87
a. Section 325(d)
(Substantially the Same Arguments) 87
b. Section 314 (Fintiv and General Plastic) 90
c. Failure to
Identify Real Party in Interest 93
d. One-Year Time
Bar 96
2. Arguments
against the Merits 97
a. Pointing Out
Nonpatent Literature Is Not Prior Art 97
b. Claim
Construction Arguments 100
c. Missing Claim
Element(s) 101
d. Legally
Insufficient Motivation to Combine 101
e. New Testimonial
Evidence (e.g., Declaration) 103
f. Strategic
Disclaimer of Challenged Claims 104
E. Practice Tips
104
1. Whether to File
a Patent Owner Preliminary
Response 104
2. Which Arguments
to Include or Hold Back 105
3. Increase in
Section 325(d) Denials (Substantially
the Same Arguments)
106
4. Increase in
Section 314 Denials
(Fintiv and General Plastic) 108
5. Be Careful of
Preinstitution Replies 109
Chapter 5
Postinstitution:
Briefing and Discovery 111
A. Schedule 111
1. Timing and
Extensions of Time 111
2. Telephone
Conferences with the Board 113
B. Merits Briefing
and Strategy 114
1. Patent Owner
Response 114
2. Petitioner Reply
116
3. Patent Owner
Sur-Reply 117
C. Discovery 117
1. Mandatory
Initial Disclosures 118
a. Option 1 118
b. Option 2 119
2. Routine
Discovery 119
a. Exhibits Cited 120
b.
Cross-Examination 120
c. Inconsistent
Information 120
3. Additional
Discovery 121
4. Third-Party
Discovery 124
5. E-Discovery
(Model Order in PTAB Guide Appendix) 126
6. Protective
Orders 127
7. Sanctions 129
D. Testimony 131
1.
Cross-Examination 131
a. Timing and
Logistics 132
b. Objections,
Attorney Conduct, Witness
Communication 134
E. Forms of
Evidence, Objections, Motions to Exclude,
and Motions to
Strike 135
1. Forms of
Evidence 136
2. Objections 137
3. Motions to
Exclude 137
4. Motions to
Strike 138
Chapter 6
Postinstitution:
Motions to Amend 139
A. Introduction 139
1. Overview and
Brief History 139
2. Strategic
Considerations 140
a. Impact on
Briefing Schedule 141
b. Intervening
Rights 142
c. Availability of
Other Proceedings 144
B. Statute and
Regulations 146
C. Burdens of
Persuasion 150
1. Overview of
Patent Office Rules 151
2. Patent Owner and
Petitioner Burdens of Proof
and Persuasion 151
3. The Board's
Discretion 152
4. Major Decisions
(Federal Circuit and Board) 153
D. Pilot Program
157
1. Procedure and
Timeline 158
2. Evidentiary
Considerations 161
E. Other Issues 161
1. Written
Description, Enablement, Indefiniteness,
and Patent
Eligibility 161
2. Antedating
References 164
Chapter 7
Postinstitution:
Oral Argument, Rehearing, Precedential
Opinion
Panel 167
A. Oral Argument
167
1. Argument
Procedures 167
2. Demonstratives
171
3. Legal Experience
Advancement Program 173
B. Rehearing
Procedures 174
C. Precedential
Opinion Panel 176
Chapter 8
Appeals 181
A. Standing and
Jurisdiction to Appeal 181
1. Standing to
Appeal 181
a. General Legal
Standards 182
b. Proving or
Challenging Injury in Fact 183
i. Potential
Infringement Liability 184
ii. Economic Harm 187
iii. Estoppel
Injury 188
iv. Other Types of
Injury 189
c. Timing
Considerations 191
2. Decisions to
Institute 192
3. PTAB Motion
Rulings 194
4. Final
Determinations 195
5. Constitutional
Challenges 195
B. Considerations
on Appeal 196
1. Selecting Issues
and Requested Relief for Appeal 196
2. Requirements for
Filing a Notice of Appeal 197
3. Appeal Schedule
197
4. Motion Practice
on Appeal 198
C. Standards of
Review 199
1. Standard of
Review of Claim Construction 199
2. Standard of
Review of Invalidity Determinations 199
3. Standard of
Review of Office Rules 200
4. Standard of
Review for Constitutional Challenges 200
D. Other Strategic
Considerations 200
1. Making a Record
for Appeal 200
2.
Third-Party/Government Participation 201
3. The Preclusive
Effect of Divergent District Court
and Office
Decisions 202
E. En Banc Review
203
Chapter 9
Other
Motions Practice 205
A. Motions Practice
205
B. Settlement and
Termination 207
C. Supplemental
Briefing 208
Index 211
