![Page 1: Board of Patent Appeals and Interferences Ex Parte Appeal Rules Michael R. Fleming Chief Administrative Patent Judge United States Patent and Trademark](https://reader036.vdocuments.us/reader036/viewer/2022062318/551c2f18550346ad4f8b6244/html5/thumbnails/1.jpg)
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
![Page 2: Board of Patent Appeals and Interferences Ex Parte Appeal Rules Michael R. Fleming Chief Administrative Patent Judge United States Patent and Trademark](https://reader036.vdocuments.us/reader036/viewer/2022062318/551c2f18550346ad4f8b6244/html5/thumbnails/2.jpg)
1-20-2010 Roundtable - Ex Parte Appeal Rules of Practice
2
Board of Patent Appeals and Interferences
Our Accomplishments Our Challenge
![Page 3: Board of Patent Appeals and Interferences Ex Parte Appeal Rules Michael R. Fleming Chief Administrative Patent Judge United States Patent and Trademark](https://reader036.vdocuments.us/reader036/viewer/2022062318/551c2f18550346ad4f8b6244/html5/thumbnails/3.jpg)
1-20-2010 Roundtable - Ex Parte Appeal Rules of Practice
3
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
![Page 4: Board of Patent Appeals and Interferences Ex Parte Appeal Rules Michael R. Fleming Chief Administrative Patent Judge United States Patent and Trademark](https://reader036.vdocuments.us/reader036/viewer/2022062318/551c2f18550346ad4f8b6244/html5/thumbnails/4.jpg)
1-20-2010 Roundtable - Ex Parte Appeal Rules of Practice
4
Challenge
Provide timely ex parte appeal decisions
![Page 5: Board of Patent Appeals and Interferences Ex Parte Appeal Rules Michael R. Fleming Chief Administrative Patent Judge United States Patent and Trademark](https://reader036.vdocuments.us/reader036/viewer/2022062318/551c2f18550346ad4f8b6244/html5/thumbnails/5.jpg)
1-20-2010 Roundtable - Ex Parte Appeal Rules of Practice
5
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
![Page 6: Board of Patent Appeals and Interferences Ex Parte Appeal Rules Michael R. Fleming Chief Administrative Patent Judge United States Patent and Trademark](https://reader036.vdocuments.us/reader036/viewer/2022062318/551c2f18550346ad4f8b6244/html5/thumbnails/6.jpg)
1-20-2010 Roundtable - Ex Parte Appeal Rules of Practice
6
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
![Page 7: Board of Patent Appeals and Interferences Ex Parte Appeal Rules Michael R. Fleming Chief Administrative Patent Judge United States Patent and Trademark](https://reader036.vdocuments.us/reader036/viewer/2022062318/551c2f18550346ad4f8b6244/html5/thumbnails/7.jpg)
1-20-2010 Roundtable - Ex Parte Appeal Rules of Practice
7
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
![Page 8: Board of Patent Appeals and Interferences Ex Parte Appeal Rules Michael R. Fleming Chief Administrative Patent Judge United States Patent and Trademark](https://reader036.vdocuments.us/reader036/viewer/2022062318/551c2f18550346ad4f8b6244/html5/thumbnails/8.jpg)
1-20-2010 Roundtable - Ex Parte Appeal Rules of Practice
8
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.
![Page 9: Board of Patent Appeals and Interferences Ex Parte Appeal Rules Michael R. Fleming Chief Administrative Patent Judge United States Patent and Trademark](https://reader036.vdocuments.us/reader036/viewer/2022062318/551c2f18550346ad4f8b6244/html5/thumbnails/9.jpg)
1-20-2010 Roundtable - Ex Parte Appeal Rules of Practice
9
Opening statements from participants
![Page 10: Board of Patent Appeals and Interferences Ex Parte Appeal Rules Michael R. Fleming Chief Administrative Patent Judge United States Patent and Trademark](https://reader036.vdocuments.us/reader036/viewer/2022062318/551c2f18550346ad4f8b6244/html5/thumbnails/10.jpg)
1-20-2010 Roundtable - Ex Parte Appeal Rules of Practice
10
Topic 1
Should jurisdiction pass to the Board upon filing a notice of appeal (41.35(a))?
![Page 11: Board of Patent Appeals and Interferences Ex Parte Appeal Rules Michael R. Fleming Chief Administrative Patent Judge United States Patent and Trademark](https://reader036.vdocuments.us/reader036/viewer/2022062318/551c2f18550346ad4f8b6244/html5/thumbnails/11.jpg)
1-20-2010 Roundtable - Ex Parte Appeal Rules of Practice
11
Topic 2
Arguments to explain Examiner error (41.37(o)).
![Page 12: Board of Patent Appeals and Interferences Ex Parte Appeal Rules Michael R. Fleming Chief Administrative Patent Judge United States Patent and Trademark](https://reader036.vdocuments.us/reader036/viewer/2022062318/551c2f18550346ad4f8b6244/html5/thumbnails/12.jpg)
1-20-2010 Roundtable - Ex Parte Appeal Rules of Practice
12
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)).
![Page 13: Board of Patent Appeals and Interferences Ex Parte Appeal Rules Michael R. Fleming Chief Administrative Patent Judge United States Patent and Trademark](https://reader036.vdocuments.us/reader036/viewer/2022062318/551c2f18550346ad4f8b6244/html5/thumbnails/13.jpg)
1-20-2010 Roundtable - Ex Parte Appeal Rules of Practice
13
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)?
![Page 14: Board of Patent Appeals and Interferences Ex Parte Appeal Rules Michael R. Fleming Chief Administrative Patent Judge United States Patent and Trademark](https://reader036.vdocuments.us/reader036/viewer/2022062318/551c2f18550346ad4f8b6244/html5/thumbnails/14.jpg)
1-20-2010 Roundtable - Ex Parte Appeal Rules of Practice
14
Topic 5
Should the Board allow examiners and/or appellants to present arguments not presented during prosecution?
![Page 15: Board of Patent Appeals and Interferences Ex Parte Appeal Rules Michael R. Fleming Chief Administrative Patent Judge United States Patent and Trademark](https://reader036.vdocuments.us/reader036/viewer/2022062318/551c2f18550346ad4f8b6244/html5/thumbnails/15.jpg)
1-20-2010 Roundtable - Ex Parte Appeal Rules of Practice
15
Topic 6
Should examiners be allowed to make new grounds of rejection in an answer (41.39(a)(2))?
![Page 16: Board of Patent Appeals and Interferences Ex Parte Appeal Rules Michael R. Fleming Chief Administrative Patent Judge United States Patent and Trademark](https://reader036.vdocuments.us/reader036/viewer/2022062318/551c2f18550346ad4f8b6244/html5/thumbnails/16.jpg)
1-20-2010 Roundtable - Ex Parte Appeal Rules of Practice
16
Topic 7
Should the Board be allowed to enter new grounds of rejection (41.50(d))?
![Page 17: Board of Patent Appeals and Interferences Ex Parte Appeal Rules Michael R. Fleming Chief Administrative Patent Judge United States Patent and Trademark](https://reader036.vdocuments.us/reader036/viewer/2022062318/551c2f18550346ad4f8b6244/html5/thumbnails/17.jpg)
1-20-2010 Roundtable - Ex Parte Appeal Rules of Practice
17
Topic 8
Should the rules be more specific as to the Examiner’s requirements for appeal?
![Page 18: Board of Patent Appeals and Interferences Ex Parte Appeal Rules Michael R. Fleming Chief Administrative Patent Judge United States Patent and Trademark](https://reader036.vdocuments.us/reader036/viewer/2022062318/551c2f18550346ad4f8b6244/html5/thumbnails/18.jpg)
1-20-2010 Roundtable - Ex Parte Appeal Rules of Practice
18
Topic 9
Should the rule regarding the Director’s sanction powers for appellate matters be more specific (41.56)?
![Page 19: Board of Patent Appeals and Interferences Ex Parte Appeal Rules Michael R. Fleming Chief Administrative Patent Judge United States Patent and Trademark](https://reader036.vdocuments.us/reader036/viewer/2022062318/551c2f18550346ad4f8b6244/html5/thumbnails/19.jpg)
1-20-2010 Roundtable - Ex Parte Appeal Rules of Practice
19
Open floor for discussion of other topics