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AIA Strategies

AIA Strategies. First-To-File. Changes take effect March 16, 2013 Apply to any application having a priority claim falling on or after March 16, 2013 Significantly expands the scope of applicable prior art. First-To-File. Critical date for any application is its “effective filing date”

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AIA Strategies

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  1. AIA Strategies

  2. First-To-File • Changes take effect March 16, 2013 • Apply to any application having a priority claim falling on or after March 16, 2013 • Significantly expands the scope of applicable prior art

  3. First-To-File • Critical date for any application is its “effective filing date” • The effective filing date of a US nonprovisional application is the earlier of: (a) the actual US filing date; or (b) the filing date of any earlier application from which the US nonprovisional application claims priority benefits (German, European, US provisional, etc.)

  4. First-To-FileEffective Filing Date Appl. A US Non-Prov Filing Date Effective Filing Date Appl. B German Priority Date US Non-Prov Filing Date

  5. First-to-File New § 102 defines lack of novelty: The invention lacks novelty if: (a) the invention was “available to the public” before the effective filing date; or (b) the invention was described in a US patent or published US patent application that names another inventor and has an earlier effective filing date.

  6. First-To-FileNew § 102 Appl. A US Non-Prov Filing Date Effective Filing Date Literature published prior to the effective filing date will be prior art Literature Pub Date

  7. First-To-FileNew § 102 Appl. A German Priority Date US Non-Prov Filing Date Effective Filing Date Literature published prior to the effective filing date will be prior art Literature Pub Date

  8. First-To-FileNew § 102 Appl. A German Priority Date US Non-Prov Filing Date Effective Filing Date A PCT or other patent published prior to the effective filing date will be prior art PCT Pub Date

  9. First-To-FileNew § 102 Appl. A US Non-Prov Filing Date A US application claiming a priority date prior to the effective filing date will be prior art Effective Filing Date Appl. B German Priority Date US Non-Prov Filing Date

  10. First-To-FileNew § 102 Appl. A German Priority Date US Non-Prov Filing Date A US application claiming a priority date prior to the effective filing date will be prior art Effective Filing Date Appl. B German Priority Date US Non-Prov Filing Date

  11. First-To-FileNew § 102 Appl. A German Priority Date US Non-Prov Filing Date A US application claiming a priority date prior to the effective filing date will be prior art Effective Filing Date Appl. B German Priority Date PCT Nationalized in US Filing Date

  12. First-To-File The new definition of lack of novelty in new §102 significantly expands the applicable prior art: • Publications published less than a year before the actual US filing date and published before any priority date claimed cannot be antedated (old: can antedate) • PCT applications designating the US but not published in English will be prior art as of their earliest priority dates (old: prior art upon publication) • US applications claiming priority to non-US applications will be prior art as of their earliest non-US priority dates (old: prior art as of earliest US filing date)

  13. First-To-File Potential Gaps in New § 102: The following would appear according to present understanding not to be prior art until publication: • A PCT application that is not nationalized and published in the US • A non-US application for which no corresponding application is filed in the US

  14. First-To-File Grace Periods: New §102 contains two exceptions: (1) A rejection based on a disclosure less than one year before the effective filing date can be overcome by: • (A) showing the disclosure was that of the inventor or someone who derived from the inventor; or • (B) showing the inventor or someone who derived from the inventor publicly made the same disclosure previously.

  15. First-To-FileGrace Period Appl. A US Non-Prov Filing Date Effective Filing Date Earlier disclosure can be overcome by showing disclosure was by A or Deriv A/Deriv < 1 year before EFD Literature Pub Date

  16. First-To-FileGrace Period Appl. A US Non-Prov Filing Date Effective Filing Date < 1 year before EFD B Earlier disclosure by B can be overcome by showing A or Deriv prepublished Literature Pub Date A/Deriv Literature Pub Date

  17. First-To-File Exceptions continued: (2) A rejection based on a disclosure in a US patent or published US patent application can be overcome by: • (A) showing the disclosure is that of the inventor or someone who derived from the inventor; • (B) showing the inventor or someone who derived from the inventor had publicly disclosed before the effective filing date of the cited reference; or • (C) showing the reference and the application being examined were commonly owned or subject to assignment to the same person/entity.

  18. First-To-FileGrace Period Appl. A German Priority Date US Non-Prov Filing Date Second US application with priority date less than one year earlier can be overcome by showing disclosure was by A or Deriv Effective Filing Date Appl. A/Deriv < 1 year before EFD German Priority Date US Non-Prov Filing Date

  19. First-To-FileGrace Period Appl. A German Priority Date US Non-Prov Filing Date Effective Filing Date < 1 year before EFD Appl. B German Priority Date US Non-Prov Filing Date US application by B with priority date less than one year earlier can be overcome by showing A or Deriv prepublished A/Deriv Literature Pub Date

  20. First-To-FileGrace Period Appl. A German Priority Date US Non-Prov Filing Date Effective Filing Date < 1 year before EFD Appl. B German Priority Date PCT Filing Date US application by B with priority date less than one year earlier can be overcome by showing common ownership

  21. First-To-File All of the prior art available to show lack of novelty under new §102 will also be available to show lack of inventive step/obviousness under §103 This includes even prior US patent applications that were unpublished at the time of your filing

  22. Recommendations • File new German/European priority applications if practicable before March 16, 2013 (to avoid First-To-File provisions) • Nationalize and publish even unimportant applications in the US to establish prior art • Avoid the use of continuations-in-part that “straddle” the March 16, 2013 date (combination claims of old + new matter will be subject to First-To-File provisions)

  23. Recommendations • Retain Laboratory Notebooks/Records • Detail cooperations with third-parties: • To support a derivation claim: • What exactly was disclosed? • Exactly to whom was it disclosed? • When was it disclosed? • To defend a derivation claim: • Record inventor’s individual/group efforts • Unexpected results

  24. Third-Party Submissions • Takes effect on September 16, 2012, and applies to any application pending on that date or filed thereafter • Third-party can submit patents, published patent applications or other printed publications • Submission can be electronic; USPTO will not list in PAIR until compliance with applicable rules is confirmed

  25. Third-Party Submissions Must be made before earlier of: (a) Mailing of Notice of Allowance; or (b) Later of: (i) 6 months from first publication of the application by USPTO; or (ii) Mailing of First Office Action on the Merits (FOAM)

  26. Third-Party Submissions 6 months from publication FOAM Third-party submission will be timely if filed by this later date (unless in the situation below the Notice of Allowance has issued) 6 months from publication FOAM

  27. Third Party Submissions • Proposed fees are €139 ($180) for every 10 documents submitted or fraction thereof • An exemption from fees is proposed for: • A submission of 3 or fewer documents • Where the submission is the third-party’s first submission

  28. Supplemental Examination • Takes effect on September 16, 2012 • Applies to any patent in force on or after September 16, 2012

  29. Supplemental Examination • Requested by Patentee • To consider, reconsider or correct information believed to be relevant to the patent • The information that may be presented is not limited to patents and printed publications • Information includes, for example, also patentability under §§ 101 and 112

  30. Supplemental Examination • Instituted by Patentee’s filing of Request for Supplemental Examination • Within 3 months, USPTO will determine whether there is a “substantial new question of patentability” • If a substantial new question of patentability is raised, the USPTO will order ex parte reexamination

  31. Supplemental Examination • With two exceptions, a patent that cures a defect through supplemental examination will not be held unenforceable in subsequent litigation • Exception 1: Cure will not apply if the defect had been pleaded in a civil action before the Request was filed • Exception 2: Cure will not apply if the defect is defense raised in a civil action and supplemental examination and any ex parte reexamination are not concluded before the action is brought

  32. Supplemental Examination Examples of Defects that Can be Cured by Supplemental Examination: • A prior art reference that was not submitted during the original prosecution or, if submitted, was inadequately considered • Comparison data later found to be erroneous • An erroneous priority benefit claim

  33. Supplemental Examination • As with most cures, Supplemental Examination will be expensive • USPTO proposes: • Fee for filing Request €3 916 ($5180) • Conducting Reexam subsequent to Request €12 188 ($16,120) • For each document over 20 pages long to be considered €125+ ($166+)

  34. Trial Proceedings:Litigation Alternatives • Post-Grant Review • Inter Partes Review • Derivation

  35. Post-Grant Review • Takes effect on September 16, 2012 • Applies to patents that issue from applications subject to First-To-File provisions • First-To-File provisions take effect on March 16, 2013, and apply to any patent application having a priority date after March 16, 2013

  36. Post-Grant Review • Provides a vehicle for challenging the validity of any patent on any prosecution grounds (utility, enablement, indefiniteness, anticipation, obviousness) • Petition to institute Post-Grant review can be by anyone other than the patentee • Petition must be filed within 9 months of the issue date of the patent

  37. Inter Partes Review • Takes effect on September 16, 2012 • Applies to any patent in force on or after September 16, 2012 • Converts present inter partes reexamination from an examination to an adjudication

  38. Inter Partes Review • Challenge is limited to lack of novelty (§102) and obviousness (§103) grounds • Challenge is based on patents and printed publications only • Petition to institute Inter Partes review can be by anyone other than the patentee • Petition may be filed upon issuance of the patent.

  39. Derivation • Takes effect on March 16, 2013 • Applies to patents that issue from applications subject to First-To-File provisions • First-To-File provisions take effect on March 16, 2013, and apply to any patent application having a priority date after March 16, 2013

  40. Derivation • Provides a vehicle to challenge any person who has derived/stolen the invention from you and attempted to patent it him/herself • Must be filed on the earlier of 1) within one year after grant of the derived claim or 2) within one year after publication of the earlier application containing a claim to the same or substantially the same invention (US PGPub or PCT designating US)

  41. Trial Proceedings:Overview PetitionerReply toPO Response& Oppositionto Amendment POPreliminaryResponse DecisiononPetition PO Response& Motion toAmend Claims PO Replyto Oppositionto Amendment FinalWrittenDecision PetitionFiled OralHearing 2 months 5 months 4 months PODiscoveryPeriod 2 months PetitionerDiscoveryPeriod 1 month PODiscoveryPeriod Hearing SetOn Request Period for Observations & Motions to Exclude Evidence No more than 12 months PO = Patent Owner

  42. Trial Proceedings:Common Attributes • Quick: Final Written Decision issued within one year of instituting trial, which can be extended once for 6 months on good cause • Expensive: For example, USPTO proposed filing fee for PGR petition of 20 or fewer claims is €27 068 ($35,800); estimated cost to prepare that PGR petition is €46 373 ($61,333) • Estoppel: Petitioner is barred from later raising in the USPTO, any district court action or any ITC proceeding, any ground that was raised or reasonably could have been raised

  43. Trial Proceedings:The Petition • Filed on time • Identifies claims challenged and the grounds for challenge • Includes the evidence the Petitioner intends to rely upon • Shows how the requisite standard for instituting the trial are met

  44. Trial Proceedings:Institution of Trial • Once the Petition is filed, Patentee has 2 months to file optional Preliminary Response • Within 3 months of the date such Preliminary Response was due, the Board will determine whether to institute trial • Board will narrow the issues for final determination by authorizing the trial to proceed as to specific claims and on specific grounds for which the threshold requirements for proceeding have been met

  45. Trial Proceedings:Discovery • Direct examination proceeds in the form of Declarations • Cross-examination will be live • Discovery is in Sequenced Fashion: • Patentee can begin deposing Petitioner’s declarants as soon as trial is instituted • Petitioner can depose Patentee’s declarants as soon as Patentee files a response including declarations

  46. Best Mode • Took effect on September 16, 2011 • Applies to litigation proceedings commenced on our after that date

  47. Best Mode • Best mode will cease to be a litigation defense • This does not affect examination practice • USPTO has indicated that best mode will continue to be evaluated as set forth in MPEP § 2165

  48. Best Mode • Compliance with the best mode requirement is a two-pronged test: • (1) Did the inventor have a best mode at the time the application was filed? • (2) If so, does the specification disclose the best mode such that persons skilled in the art can practice it? • Under the MPEP, the examiner will presume the best mode is disclosed until evidence of concealment is submitted, which is rare

  49. Thank You! If you have questions or need further information, please contact Kurt Briscoe at kgbriscoe@nmmlaw.com; or Dr. Christa Hildebrand at childebrand@nmmlaw.com.

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