America Invents Act Association of Corporate Counsel美國(guó)發(fā)明法案企業(yè)法律顧問(wèn)協(xié)會(huì)

1AmericaInventsAct:

Creating“RocketDocket〞PatentTrialsinthePatentOffice

AgendaOverviewoftheoldandnewtoolsNewtoolsTimingStrategicconsiderationsCostsCasestudiesexploringeffectivenessofthenewtoolsStatusofRulesGoverningProcedures2Pre-9/16/12PTOToolsExParteReexaminationInterPartesReexaminationPatents/printedpublicationsSubstantialnewquestionNodiscovery,nooralhearingNoestoppelNosettlementeffectPatentownermayrequestPatents/printedpublicationsReasonablelikelihoodofprevailingNodiscovery,nooralhearingEstoppel(PTOandD/C)Nosettlementeffect3Post-9/16/12PTOToolsExParteReexaminationInterPartesReexaminationPostGrantReviewPatents/printedpublicationsSubstantialnewquestionNodiscovery,oralhearingNoestoppelNosettlementeffectPatentownermayrequestPatents/printedpublicationsReasonablelikelihoodrequesterprevailsDiscovery,oralhearingEstoppel(PTO,D/CandITC)Settlementterminates,noestoppelAvailable9/16/12,ifnoPGRWithin12monthsoflitigationAnyinvaliditygroundMorelikelythannot1+claimunpatentable;and/ornovel/unsettledlegalquestionDiscovery,oralhearingEstoppel(PTO,D/CandITC)Settlementterminates,noestoppelPatentsfiledafter3/16/13Within9monthsofissuance45SummaryofMajorAreasofChangeProceedingPurpose&TimingIssues&PriorArtStrategicConsiderationsPost-GrantReview3rdPartychallengeofpatentwithin9monthsofissuanceAnygroundofinvalidity(§§101,102,103,112,251)–notlimitedtopatentsorprintedpublicationsBalancingLitigationDefenseswithEstoppelProvisionsInterPartesReview3rdPartychallengeofpatentafterPGRwindoworconclusionofPGR*Limitedtonovelty,obviousness(§§102,103)–limitedtopatentsandprintedpublicationsBalancingLitigationDefenseswithEstoppelProvisions* PGRonlyavailableforpatentsfiledonorafter3/16/2021.Practically,PGRwillnotbeimplementeduntilapproximately2021.Timing67PGRPatentapp.filedafter3/16/13Patentissues(likely2021

orlater)Patentexpires9mos.RequestforPGRfiledPGRcompleted2yearsInvaliditybasedon:PatentsPrintedpublicationsPrioruse/saleInsufficientdisclosureEtc.Estoppel“Raisedorreasonablycouldhaveraised〞Challenger’spriorDJlawsuitforfeitsreviewentirely8IPR:ScenarioA(noPGR,nolawsuit)Invaliditybasedon:PatentsPrintedpublicationsDoublepatenting9mos.IPRFiled2yearsIPRCompletedPatentissuesPatentexpiresEstoppelChallenger’spriorDJlawsuitforfeitsreviewentirelyNoPGRfiled“Raisedorreasonablycouldhaveraised〞9NoPGRfiled,>9mos.elapsedPatenteelawsuit1yearIPRmustbefiledwithin1yearPatentissuesPatentexpiresEstoppelIPR:ScenarioB(lawsuit)Invaliditybasedon:PatentsPrintedpublicationsDoublepatentingIPRCompleted2years“Raisedorreasonablycouldhaveraised〞10USPTOProposedTimelineforConductingPGRandIPRProposedTrialPracticeGuide:FederalRegister77(27):6868,09-Feb-2021PetitionFiledPOPreliminaryResponseDecisiononPetitionPOResponse&MotiontoAmendClaimsPetitionerReplytoPOResponse&OppositiontoAmendmentPOReplytoOppositiontoAmendmentOralHearingFinalWrittenDecision2months3months4months2months1monthHearingSetonRequestNomorethan12monthsPODiscoveryPeriodPetitionerDiscoveryPeriodPODiscoveryPeriodPeriodforObservations&MotionstoExcludeEvidence11Procedures–“RocketDocket〞PatentOfficeTrialsSampleSchedulingOrder4monthsforPOresponsetopetitionandamendmentproposal,2monthsforPetitionerreply,1monthforPOreplytoPetitioner’sopposition,2-3monthsformotionstoexcludeevidenceandoralhearing,and2monthsforfinalwrittendecision.StrategicConsiderations1213MaximizingOptionsProactiveApproachOtherOpportunitiesNoticeletterfrompatenteeStalledpre-litigationnegotiationsPriorartsearchrevealsnewinvalidatingartLitigationfiledLicenseexpirationPatentMonitoringPost-GrantChallengeFreedomtoOperateAnalysis14BenefitstoChallengerCancellationofclaims--AvoidinfringementFreedomtooperateAmendmentofclaimsInterveningrightsPatenteeadmissionsProsecutionhistory

estoppelCreate

intrinsic

evidence15StrategicProsAndConsProsConsExParte

ReexamFaster/lessexpensivethanlitigationNoestoppelAnonymityMultiplereexamsLowerburdenofproofTechnicallysophisticatedOnlypatents/printedpublicationsNoinvolvementafterrequest$17,760Filingfee1616StrategicProsAndConsProsConsInterPartesReviewLessexpensivethanlitigationDiscovery,oralhearingSomeinvaliditygroundsremainforlitigationLowerburdenofproofTechnicallysophisticatedOnlypatents/printedpublicationsEstoppelonpatentsandprintedpublicationsthatcouldhavebeenraisedEffectivelypreventsexpartereexam17StrategicProsAndConsProsConsPostGrantReviewLessexpensivethanlitigationDiscovery,oralhearingLowerburdenofproofTechnicallysophisticatedBroadinvaliditybasesEstoppelonallinvaliditygroundsthatcouldhavebeenraisedEffectivelypreventsIPRandexpartereexam18Estoppel-InterPartesReviewParallelLitigationPTODeterminesPatentValidParallel

LitigationDistrictCourtHoldsPatentValidWhenEstoppel

AttachesInterPartesReexamEstoppedfromvaliditydefense(raisedorcouldhaveraisedinInterPartes

Reexam).DistrictCourtOnlyInterPartes

ReexamVacated-EstoppedFinalDecision-

Appeals

ExhaustedInterPartesReviewEstoppedfromvaliditydefense(raisedorreasonablycouldhaveraised)ITC&DistrictCourtNoEstoppel**PracticalEstoppel

forInterPartesReviewfiledbypartymorethanoneyearafterbeingsuedforpatentinfringement.§315(b).(PTAB)

Written

Decision19StrategicTiming:InterPartesReexamv.IPRInterPartes

Reexam(pre-9/16/12)IPR(post-9/16/12)Standard:reasonablelikelihoodofprevailingStandard:reasonablelikelihoodofprevailing(buteffectivelymaybehighertoeaseburdenonPTAB)IfnotconvertedtoIPRprocedure,longertimetodecision,estoppelFastertimetodecision,estoppelCanfileevenifalreadyinDJlitigationorlitigation>1yearCannotfileifDJlitigationbeforeIPR;cannotfileifinlitigation>1yearLongdelayoftenafactorindenyingstaymotionsUnknownimpactofshortertimetodecision–moreinclinedtostay?GreaterabilityofPOtoamendMorerestrictedamendments20StrategicIssues:PTOvs.LitigationFactorsPost-GrantReviewInterPartesReviewLitigationBurdenofProofPreponderanceofEvidenceClearandConvincingEvidencePresumptionofValidityNoYesClaimscopeBroadestreasonableinterpretation(Suitco)Contextual(narrow)construction(Phillips)ComplexityandnatureofattackAnybasisotherthanbestmodeReferenceslimitedtoprintedpublications,butmustpickbestAnyreferences,butlimitedtobestAnybasisbutbestmodeDecisionmakerPTAB3JudgePanelAverageJurorPracticalConsiderationsandtheGoverningRules2122Procedures–“RocketDocket〞PatentOfficeTrialsGoaltoimprovetimingoverInterPartesReexaminations.Mayincreaselikelihoodofautomaticstay“sticking.〞ProjectedTimingInterPartesReexam5+yearstoBPAIdecisionInterPartesReviewAIAindicates12to18monthstoPTABdecision23Procedures–“RocketDocket〞PatentOfficeTrialsLitigation/Trial-LikeClaimConstructionLimitedDiscoveryProtectiveOrdersSettlementHearingProsecution/ReexaminationAmendmentstoClaims1asmatterofright1byjointmotionClaimChartsAppealbyeitherpartytotheCAFC24Procedures–PetitionforanInterPartesReviewPetition=SummaryJudgmentMotion,Plus:Identifyallrealpartiesininterest.Identifyallclaimschallengedandgroundsonwhichthechallengetoeachclaimisbased.Provideaclaimconstructionandshowhowtheconstruedclaimisunpatentable.Includestatementoffacts,identifytheexhibitnumberofthesupportingevidencereliedupontosupportthechallengeandstatetherelevanceoftheevidence.Providecopiesofevidencereliedupon,includinganydeclarations.PagelimitsforIPR(50)andPGR(70).25Procedures–PetitionforanInterPartesReviewBoardwillconducttheproceedingsoastoreducetheburdens:Institutingatrialonaclaim-by-claim,ground-by-groundbasis.Conferencecallswithajudgehandlingthecasetodecideissuesquicklyandefficientlyandtoavoidtheburdensassociatedwithfilingrequestsforrelief.26Procedures–“RocketDocket〞PatentOfficeTrialsPost-GrantReview“Evidencedirectlyrelatedtofactualassertionsadvancedbyeitherpartyintheproceeding.〞Depositionsnotexpresslyidentified.InterPartesReviewDepositionsofwitnessessubmittingaffidavitsordeclarations.Whatisotherwisenecessaryintheinterestofjustice.U.S.DistrictCourtAnynonprivilegedmatterthatisrelevanttoanyparty’sclaimordefense.Includesanydocumentsorothertangiblethingsandtheidentityandlocationofpersonswhoknowofanydiscoverablematter.Depositionsofinventors,prosecutingattorneys,experts,employees.27Procedures–“RocketDocket〞PatentOfficeTrialsRoutineDiscoveryDocumentscited.Cross-examinationforsubmittedtestimony.Informationinconsistentwithpositionsadvancedduringtheproceeding.AdditionalDiscoveryAnydiscoverybeyondroutinediscovery.Canincludeadditionallivetestimony.Request

byanypartyforadditionaldiscovery** ApartyseekingadditionaldiscoveryinIPRandderivationmustdemonstratethattheadditionaldiscoveryisintheinterestsofjustice.ApartyseekingadditionaldiscoveryinPGRwillbesubjecttothelowergoodcausestandard.28ProposedFilingFees(SinglePatent)PostGrantProcedurePTOPetitionFees(base)ExParte$17,760IPR$27,200PGR$47,10029CommentsontheRules–LegalOrganizationsLegalOrganizationsABAAIPLAIPOAssociationofCorporateCounselInternationalFederationofIPAttorneysFilingofaPetitionwithoptiontofile“SupplementalInformation〞PreliminaryresponseusingtestimonialevidenceInitialevidentiarydisclosuresMotionstoamendclaims-reasonablenumberProHacVicenotfreelygranted“Reasonablycouldhaveraised〞estoppelStandardforclaimconstruction-“BroadestReasonableConstruction〞FeesPagelimitsTimingofPOresponse30CommentsontheRules–CompaniesCompaniesIntelMicrosoftVerizonGoogleCiscoPageLimitsDiscoveryScopeofdirectexaminationPreliminaryresponsebyPOwithtestimonialevidenceFees31PotentialPitfallsPatenteePetitionerShortResponse

TimeRespondtoclaimconstructionAnalyzepriorartConsiderexpert&secondaryconsiderationsDiscovery4monthsExtensionsunlikelyRamificationsofclaimamendmentsDraftingPetitionGroundstoraise?Impactofstandardofreview?Impactofclaimconstructionsonlitigation?Discovery2monthsExtensionsunlikelyRespondingtoamendments&secondaryconsiderationsCaseStudies3233CaseStudy#1:PGR(“AllIn〞)FTOanalysisidentifiespatentX,issued3monthsago,andmultipleinvalidityargumentsPGR(allinvaliditybases)FileDJaction(stayed)LosePGR:litigationresumesWinPGR:freedomtooperate,litigationoverEstoppel“Raised/reasonablycouldhaveraised〞EffectivelyinfringementonlyBestcircumstancesforuse:Strong,butcomplexinvaliditypositionsStrongprioruse/sale,101,112argumentsStrong103,no102,argumentsDecentnon-infringementpositionCaseStudy#2:IPR(“TheHedge〞)FTOanalysisidentifiespatentX,issued12monthsago,strongprintedartandprioruse/saleIPR(patents/printedpubs.)FileDJaction(stayed)LoseIPR