Board of Patent Appeals and Interferences

Ex Parte Appeal Rules

Michael R. FlemingChief Administrative Patent JudgeUnited States Patent and Trademark Office

Roundtable – Ex Parte Appeal Rules of Practice

January 20, 2010

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Board of Patent Appeals and Interferences

Our Accomplishments Our Challenge

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Major Accomplishments

Ex Parte Appeals

FY2008 FY2009 FY2010 (First Quarter)

Pendency 6.4 months 7.7 months 9.9 months

Disposals 4,940 6,862 1,381

Docketed 6,385 15,483 2,178

Inventory 3,956 12,577 17,297

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Challenge

Provide timely ex parte appeal decisions

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Provide Timely Decisions

FY2007 Actual

FY2008 Actual

FY2009 Actual

FY2010 Projected

Appeals Docketed 4,639 6,385 15,483 11,100

Appeals Decided 3,485 4,940 6,862 7,200

Pendency (months) 5.4 6.4 7.7 14.0

Inventory 2,511 3,956 12,577 16,500

Board Production Months Inventory

8.6 9.6 22.0 28.0

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Provide Timely Decisions

Why an increase in appeals docketed in FY 2009 compared to FY 2008 of 15,483 compared to 6,385?• Added new status codes to assist with application

tracking• Increase in the size of the Corps • Increase in the number of examiner’s answers per

examiner

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Provide Timely Decisions

FY2005 FY2006 FY2007 FY2008 FY2009

# of Examiners 4,258 4,883 5,477 6,055 6,242

# of Answers 3,281 5,597 7,464 10,638 9,758

Answers per Examiner

0.8 1.1 1.4 1.7 1.6

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Provide Timely Decisions

Factors contributing to the number of examiner’s answers per examiner

(1) Changes in appellate practice- Genuine dispute- Inability of examiner and applicant to understand each other’s

position

(2) Landmark changes in patent law

For example:

- KSR Inter. Co. v. Teleflex Inc.- Bilski v. Kappos- Ariad Pharmaceuticals, Inc. v. Eli Lilly & Co.

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Opening statements from participants

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Topic 1

Should jurisdiction pass to the Board upon filing a notice of appeal (41.35(a))?

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Topic 2

Arguments to explain Examiner error (41.37(o)).

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Topic 3

No longer dictating appeal strategy of Appellants:

(a) Acceptance of arguments and evidence of record presented;

(b) Rule changes include defaults, thereby reducing returns (41.37(f), 41.37(g), 41.37(o)(1), 41.37(r), 41.37(s), 41.37(t), and 41.37(u));and

(c) Elimination of summary of invention section and clarifying requirements for claim support and drawing analysis section, thereby reducing returns (41.37(r)).

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Topic 4

Should the Board have briefing requirements similar to other appellate tribunals (e.g., page limits, jurisdictional statement, table of contents, and table of authorities)?

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Topic 5

Should the Board allow examiners and/or appellants to present arguments not presented during prosecution?

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Topic 6

Should examiners be allowed to make new grounds of rejection in an answer (41.39(a)(2))?

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Topic 7

Should the Board be allowed to enter new grounds of rejection (41.50(d))?

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Topic 8

Should the rules be more specific as to the Examiner’s requirements for appeal?

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Topic 9

Should the rule regarding the Director’s sanction powers for appellate matters be more specific (41.56)?

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Open floor for discussion of other topics