US Patent Proceeding

Transcription

1 Chapter Eight Appendices: 1

2 Chapter Eight Appendices: 1. USPTO Fee Schedule for FY USPTO Allowance Rate for patent examination ( ) 3. State Street Bank (Fed. Cir. July 23, 1998) 4A Semiconductor Energy Lab. v. Samsung Elec. (Fed. Cir. March 02, 2000) 4B Dayco Product v. Total Containment (Fed. Cir. March 23, 2003) 4C STAR Scientific v. RJR (Fed.Cir. Aug. 25, 2008) 5. Phillips v. AWH (en banc Fed. Cir. July 12, 2005) 6A. Festo v. Shoketsu Kinzoku Kogyo (Sup Ct. May 28, 2002) 6B. Festo v. Shoketsu Kinzoku Kogyo (en banc Fed. Cir. Nov. 29, 2000) 7. Johnson & Johnston v. R.E. Service (en banc Fed. Cir. March 28, 2002) 8. Warner Jenkinson v. Hilton Davis Chemical Co (Sup Ct. March 03, 1997) 9A. KSR v. Teleflex ( : April 06, 2005) 9B. KSR v. Teleflex (Sup. Ct. Oral Heating: Nov ) 9C. KSR v. Telelex (Sup. Ct. Apr. 30, 2007) 10 Liebel v. Medrad (Fed.Cir. Mar 22, 2007) 11 Arisocrat Tech. v. Int l Game Tech. (Fed. Cir. March 28, 2008) 12 12A 12B S3818Aug (S1145 & H.R. 1908) Apr Taltech Limited v. Esquel Apparel (Fed. Cir. May 22, 2008) 15. ebay v. MercExchange (Sup Ct. May 15, 2006) 16. PAICE LCC v. Toyota Motor Corp. (Fed. Cir. Oct. 18, 2006) 17. Fed Reg (July 23, 2008) Scope of Foreign Lisences Notice 18. Ulead Syste, v. Lex Computer (Fed. Cir. Dec. 09, 2003) 19. In re Bilski (Fed. Cir. en banc Oct. 30, 2008) 2

3 UNITED STATES PATENT AND TRADEMARK OFFICE FY 2009 FEE SCHEDULE Effective October 2, 2008 The filing fee (or national fee), search fee, and examination fee are due on filing. The fees subject to reduction for small entities that have established status (37 CFR 1.27) are shown in a separate column. For additional information, please call the USPTO Contact Center at (571) or (800) Payments from foreign countries must be payable and immediately negotiable in the United States for the full amount of the fee required. Patent USPTO Fee Schedule, effective October 02, 2008 Fee Code 37 CFR Description Fee Patent Application Filing Fees 1011/ (a)(1) (a)(1) 1001/ (a)(2) 1201/ (h) 1202/ (i) 1203/ (j) 1051/ (f) 1081/ (s) Basic filing fee - Utility filed on or after December 8, 2004 Basic filing fee - Utility filed on or after December 8, 2004 Basic filing fee - Utility filed before December 8, 2004 Small Entity Fee (if applicable) n/a Independent claims in excess of three Claims in excess of twenty Multiple dependent claim Surcharge - Late filing fee, search fee, examination fee or oath or declaration Utility Application Size Fee - for each additional 50 sheets that exceeds 100 sheets / (b)(1) Basic filing fee - Design

4 1002/ (b)(2) 1017/ (b)(1) 1007/ (b)(2) 1082/ (s) 1013/ (c)(1) 1003/ (c)(2) 1083/ (s) 1014/ (e)(1) 1004/ (e)(2) 1019/ (e)(1) 1009/ (e)(2) filed on or after December 8, 2004 Basic filing fee - Design filed before December 8, 2004 Basic filing fee - Design (CPA) filed on or after December 8, 2004 Basic filing fee - Design (CPA) filed before December 8, 2004 Design Application Size Fee - for each additional 50 sheets that exceeds 100 sheets Basic filing fee - Plant filed on or after December 8, 2004 Basic filing fee - Plant filed before December 8, 2004 Plant Application Size Fee - for each additional 50 sheets that exceeds 100 sheets Basic filing fee - Reissue filed on or after December 8, 2004 Basic filing fee - Reissue filed before December 8, 2004 Basic filing fee - Design Reissue (CPA) filed on or after December 8, 2004 Basic filing fee - Design Reissue (CPA) filed before December 8, / (h) Reissue independent claims in excess of three / (i) Reissue claims in excess of / (s) Reissue Application Size Fee - for each additional 50 sheets that exceeds 100 sheets / (d) Provisional application filing fee / (s) Provisional Application Size Fee - for each additional 50 sheets that exceeds 100 sheets / (g) Surcharge - Late provisional filing fee or cover sheet (i) Non-English specification The 4000 series fee code may be used via EFS-Web at / (k) Patent Search Fees Utility Search Fee / (l) Design Search Fee / (m) Plant Search Fee / (n) Reissue Search Fee / (o) Patent Examination Fees Utility Examination Fee / (p) Design Examination Fee

5 1313/ (q) Plant Examination Fee / (r) Reissue Examination Fee / (a) Patent Post-Allowance Fees Utility issue fee 1, / (b) Design issue fee / (c) Plant issue fee 1, / (a) Reissue issue fee 1, (d) Publication fee for early, voluntary, or normal publication (d) Publication fee for republication Patent Maintenance Fees 1551/ (e) Due at 3.5 years / (f) Due at 7.5 years 2, , / (g) Due at 11.5 years 4, , / (h) Surcharge year - Late payment within 6 months / (h) Surcharge year - Late payment within 6 months / (h) (i)(1) (i)(2) 1801/ (e) Surcharge year - Late payment within 6 months Surcharge after expiration - Late payment is unavoidable Surcharge after expiration - Late payment is unintentional Miscellaneous Patent Fees Request for continued examination (RCE) (see 37 CFR 1.114) , (i) Processing fee, except in provisional applications (i) Request for voluntary publication or republication (k) (n) (o) Request for expedited examination of a design application Request for publication of SIR - Prior to examiner s action Request for publication of SIR - After examiner s action * 1,840.00* (p) Submission of an Information Disclosure Statement (q) Processing fee for provisional applications / (r) 1810/ (s) Filing a submission after final rejection (see 37 CFR 1.129(a)) For each additional invention to be examined (see 37 CFR 1.129(b)) / (d) Statutory disclaimer

6 * Reduced by basic filing fee paid. Post Issuance Fees (a) Certificate of correction (c)(1) (c)(2) 1821/ (c)(3) 1822/ (c)(4) Request for ex parte reexamination Request for inter partes reexamination Reexamination independent claims in excess of three and also in excess of the number of such claims in the patent under reexamination Reexamination claims in excess of 20 and also in excess of the number of claims in the patent under reexamination 2, , / (d) Statutory disclaimer / (a)(1) 1252/ (a)(2) 1253/ (a)(3) Patent Extension of Time Fees Extension for response within first month 1 Extension for response within second month Extension for response within third month , / (a)(4) Extension for response within fourth month 1, / (a)(5) Extension for response within fifth month 2, , / (b)(1) Patent Appeals/Interference Fees Notice of appeal / (b)(2) Filing a brief in support of an appeal / (b)(3) Request for oral hearing 1, (f) (g) (h) Patent Petition Fees Petitions requiring the petition fee set forth in 37 CFR 1.17(f) (Group I) Petitions requiring the petition fee set forth in 37 CFR 1.17(g) (Group II) Petitions requiring the petition fee set forth in 37 CFR 1.17(h) (Group III) (j) Petition to institute a public use proceeding 1, / (l) 1453/ (m) (t) Petition to revive unavoidably abandoned application Petition to revive unintentionally abandoned application Acceptance of an unintentionally delayed claim for priority, or for filling a request for the restoration of the right of priority , , (e) Filing an application for patent term adjustment

7 (f) Request for reinstatement of term reduced (j)(1) Extension of term of patent 1, (j)(2) (j)(3) Initial application for interim extension (see 37 CFR 1.790) Subsequent application for interim extension (see 37 CFR 1.790) PCT Fees - National Stage / (a) Basic National Stage Fee / (b)(1) National Stage Search Fee - U.S. was the ISA or IPEA and all claims satisfy PCT Article 33(1)-(4) / (b)(2) National Stage Search Fee - U.S. was the ISA / (b)(3) National Stage Search Fee - search report prepared and provided to USPTO / (b)(4) National Stage Search Fee - all other situations / (c)(1) National Stage Examination Fee - U.S. was the ISA or IPEA and all claims satisfy PCT Article 33(1)-(4) / (c)(2) National Stage Examination Fee - all other situations / (d) Claims - extra independent (over three) / (e) Claims - extra total (over 20) / (f) Claims - multiple dependent / (j) 1617/ (h) (i) National Stage Application Size Fee - for each additional 50 sheets that exceeds 100 sheets Search fee, examination fee or oath or declaration after thirty months from priority date English translation after thirty months from priority date PCT Fees - International Stage (a)(1) Transmittal fee (a)(2) (a)(3) Search fee - regardless of whether there is a corresponding application (see 35 U.S.C. 361(d) and PCT Rule 16) Supplemental search fee when required, per additional invention 1, , (a)(1) Preliminary examination fee - U.S. was the ISA (a)(1) Preliminary examination fee - U.S. was not the ISA (a)(2) Supplemental examination fee per additional invention Late payment fee variable (a)(4) Transmitting application to Intl. Bureau to act as receiving office PCT Fees to Foreign Offices ** International filing fee (first 30 pages - filed in paper 1,

8 1710 with PCT EASY zip file or electronically without PCT EASY zip file ) International filing fee (first 30 pages) - filed electronically with PCT Easy zip file 1, International filing fee (first 30 pages) 1, Supplemental fee (for each page over 30) International search (EPO) 2, International search (KIPO) Handling fee Handling Fee - 90% reduction, if applicants meets criteria specified at: Sequence listing and/or sequence-related table on electronic medium only (PCT AI Section 801) , ** PCT Fees to Foreign Offices subject to periodic change due to fluctuations in exchange rate. Refer to the Official Gazette of the United States Patent and Trademark Office for current amounts 8

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11 CAFC July 23, 1998 State Street Bank State Street Bank & Trust Co., Signature Financial Group, Inc. Partially Translated By Tatsuo YABE on Sep. 23,

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17 Semiconductor Energy Lab. (SEL) v. Samsung Electronics Co., CAFC Nos , Virginia : 17

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20 DISCUSSION 20

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23 Dayco Products, Inc., v. Total Containment, Inc., CAFC Decided: May 23, 2003 Commented by Tatsuo YABE on July 22, 2003 IDS IDS IDS 102 IDS IDS (i) (ii) IDS Dayco 23

24 IDS 56 (d) 56 IDS Dayco OA Dayco IDS (Example) Dayco decision (Decided: May 23, 2003; Federal Circuit ) made clear that the rejections made by another examiner examining an application having similar claims to the present application is material under 37CFR1.56. Thus, you are hereby encouraged to review the necessity of informing another examiner who is handling a separate application having similar claims with the present application about the present rejections in the outstanding office action. If you believe there is/are related application(s) having claims similar to or substantially the same as the claims in the present application and is/are 24

25 being examined by another patent examiner, please inform the examiner about the existence of the present application and the rejections in the outstanding office action. 25

26 Dayco Products, Inc., v. Total Containment, Inc., 26

27 Dayco Product Inc. (Dayco) Total Containment, Inc. (TCI) CAFC Decided: May 23, 2003 IDS Dayco Dayco

28 31 32 Dayco

29 196 DavidArola 196 EricNicolson 196 Nicholson Arola Nicolson 196 Oetilker Wilson Nicholson Wilson Oetiker Arola Wilson Arola Discussion: I. (Inequitable Conduct) TCI Purdue Pharma L.P. v. Boehringer Ingelheim GMBH, 237 F.3d 57 USPQ2d (Fed. Cir. 2001) clear and convincing evidence 29

30 Driscoll v. Cebalo 221 USPQ 745, 750 (Fed. Cir. 1982). Fox Indus., Inc. v. Structural Pres. Sys., Inc., 17 USPQ2d (Fed. Cir. 1990); Gardco Mfg., Inc. v. Herst Lighting Co., 820 USPQ2d (Fed. Cir. 1987) Akron Polymer Container Corp. v. Exxel Container, Inc., 47 USPQ2d 1533, 1534 Fed. Cir. 1998) 37CFR1.56(a) (1991) CFR1.56(1992) (Rule 56) Arola MPEP (b) 30

31 196 Arola TCI Akron 2 1 Akron 196 Arola Wilson 2 Wilson Wilson Wilson Nicholson Wilson Wilson 31

32 Wilson Wilson Wilson 196 Golden Valley Microwave Foods, Inc. v. Weaver Popcorn Co., 837 F. Supp. 1444, 1474 (N.D. Ind. 1992) ABA Section of Intellectual Property Law, Annual Report (1994). Akron Polymer (148 F.3d at 1382, 47 USPQ2d at 1534)

33 37 CFR 1.56 (b) (2) (2002) 37 C.F.R. 1.56(b) (2003) 1.56 (b) (2003) information is material to patentability when it is not cumulative to information already of record or being made of record in the application, and 1. it establishes, by itself or in combination with other information, a prima facie case of unpatentability of a claim; or 2. it refutes, or is inconsistent with, a position the applicant takes in i. Opposing an argument of unpatentability relied on by the Office, or ii. Asserting an argument of patentability (i) (ii) A prima facie case of unpatentability is established when the information compels a conclusion that a claim is unpatentable under the preponderance of evidence, burden-of-proof standard, giving each term in the claim its broadest reasonable construction consistent with the specification, and before any consideration is given to evidence which may be submitted in an attempt to establish a contrary conclusion of patentability

34 II III IV II-IV Dayco

35 STAR SCIENTIFIC v. RJR (RJR TABACCO COMPANY: NC Corp & NJ Corp) CAFC Decision : Decided on August 25, 2008 Tatsuo YABE on Sep 28,

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41 Inference 41

42 g{ á Ñtzx ãtá ÇàxÇà ÉÇtÄÄç Äxyà uätç~a 42

43 Phillips v. AWH Corp. Fed. Cir. En Banc July 12, 2005 Summarized By Tatsuo Yabe On July 16, 2005 (Revised on July 21, 2005) 43

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45 Texas Digital Systems. Inc. v. Telegenix, Inc 45

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49 A FESTO CORP. V. SHOKETSU KINZOKU KOGYO KABUSHIKI CO., LTD., ET AL Supreme Court Decided: Summarized by Tatsuo YABE on June 08,

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53 B Festo Corporation v. Shoketsu Kogyo Kabushiki Co., Ltd. CAFC By Tatsuo YABE December 06,

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57 Johnson & Johnston Associates Inc., v. R.E. Service Co., Inc. and Mark Frater 57

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67 Warner-Jenkinson Co. v. Hilton Davis Chem Co., Decided on March 03,

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75 A KSR International Co., (Petitioner) v. Teleflex In, and Technology Holding Co., (Respondents) 75

76 4. A vehicle control pedal apparatus (12) comprising: a support (18) adapted to be mounted to a vehicle structure (20); an adjustable pedal assembly (22) having a pedal arm (14) moveable in force and aft directions with respect to said support (18); a pivot (24) for pivotally supporting said adjustable pedal assembly (22) with respect to said support (18) and defining a pivot axis (26); and an electronic control (28) attached to said support (18) for controlling a vehicle system; 76 said apparatus (12) characterized by said electronic control (28) being responsive to said pivot (24) for providing a signal (32) that corresponds to pedal arm position as said pedal arm (14) pivots about said pivot axis (26) between rest and applied positions wherein the position of said pivot (24) remains constant while said pedal arm (14) moves in fore and aft directions with respect to said pivot (24).

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81 B KSR v. Teleflex (Supreme Court, Oral Arguments) 81

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87 C KSR v. Teleflex (Supreme Court Decision) 2143: Basic Requirement of a Prima Facie Case of Obviousness To establish a prima facie case of obviousness, three basic criteria must be met. First, there must be some suggestion or motivation, either in the references themselves or in the knowledge generally available to one of ordinary skill in the art, to modify the reference or to combine reference teachings. Second, there must be a reasonable expectation of success. Finally, the prior art reference (or references when combined) must teach or suggest all the claim limitations. 87

88 KSR 88

89 4. A vehicle control pedal apparatus (12) comprising: a support (18) adapted to be mounted to a vehicle structure (20); an adjustable pedal assembly (22) having a pedal arm (14) moveable in force and aft directions with respect to said support (18); a pivot (24) for pivotally supporting said adjustable pedal assembly (22) with respect to said support (18) and defining a pivot axis (26); and an electronic control (28) attached to said support (18) for controlling a vehicle system; said apparatus (12) characterized by said electronic control (28) being responsive to said pivot (24) for providing a signal (32) that corresponds to pedal arm position as said pedal arm (14) pivots about said pivot axis (26) between rest and applied positions wherein the position of said pivot (24) remains constant while said pedal arm (14) moves in fore and aft directions with respect to said pivot (24). 89

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91 United States v. Adams 383 U.S. (1966) Anderson s Black Rock, Inc. v. Pavement Salvage Co., 396 U.S. (1969) Sakraida v. AG Pro, Inc., 425 U.S. (1976) 91

92 A person of ordinary skill is also a person of ordinary creativity, not an automaton DyStar Textifarben GmbH & Co. Deutschland KG v. H. Patrick Co., 464 F. 3d (2006) 92

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95 LIEBEL-FLARSHEIM COMPANY and MALLINCKRODT, INC., v. MEDRAD. INC., CAFC Decided on March 22, 2007 Summarized by Tatsuo YABE On April 02, 2007 CAFC CAFC CAFC 95

96 As we have held previously, where the specification teaches against a purported aspect of an invention, such a teaching is itself evidence that at least a significant amount of experimentation would have been necessary to practice the claimed invention AK Steel, 344 F.3d at 1244 Liebel 4 CAFC Liebel v. Medrad 358 F.3d 898 Fed. Cir Liebel USP USP USP USP Liebel MEDRAD 96

97 : pressure jacket 669 MEDRAD Liebel SP : Jacket Assembly 31: Pressure Jacket 32: Syringe MEDRAD Liebel 97

98 CAFC Liebel Liebel ( ) Medrad CAFC Liebel Wands Liebel Medrad Liebel CAFC CAFC Medrad AK Steel, 344 F.3d at 1244; Also Wands, 858 F.2d at

99 CAFC psi 669 In the injection phase where the plunger is driven forward, pressures are developed in the syringe that range from, for example, 25 psi for some applications to over 1000 to 1200 psi for other applications. Syringes that will contain fluid under such pressures are expensive and therefore impractical where the syringes are to be disposable. Accordingly, many such injectors, such as angiographic injectors, for example, have been provided with pressure jackets fixed to the injector units and into which the syringes are inserted. The pressure jackets contact the outer surfaces of the syringe to restrain the walls of the syringe against the internal pressures. 99

100 Liebel Liebel CAFC Spectra (Spectra-Physics., Inc. v. Coherent Inc., Fed Cir. 1987) CAFC Liebel Spectra Spectra attachment means Spectra AK STEEL AK STEEL AKSTEEL 1 CAFC AK STEEL 100

101 Liebel 101

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103 Arisocrat Tech. v. International Game Tech. (CAFC decided on March 28, 2008) Tatsuo YABE on April 08, 2008 revised on April 12,

104 Claim 1 of USP 6,093,102 A gaming machine having display means arranged to display a plurality of symbols in a display format having an array of N rows and M columns of symbol positions, game control means arranged to control images displayed on the display means, the game control means being arranged to pay a prize when a predetermined combination of symbols is displayed in a predetermined arrangement of symbol positions selected by a player, playing a game, including one and only one symbol position in each column of the array, the gaming machine being characterized in that selection means are provided to enable the player to control a definition of one or more predetermined arrangements by selecting one or more of the symbol positions and winning combination the control means defining a set of predetermined arrangements for a current game comprising each possible combination of the symbol positions selected by the player which have one and only one symbol position in each column of the display means, wherein the number of said predetermined arrangements for any one game is a value which is the product of k1... x... ki... x... km where ki is a number of symbol positions which have been selected by the player in an ith column of the N rows by M columns of symbol positions on the display (0 < i <_ M and ki <_N). 104

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107 A Patent Reform Act of 2006 (S3818) By Tatsuo YABE Summarized on August 19,

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111 Patent Reform Act of 2007 (S1145 & H.R. 1908) By Tatsuo YABE Summarized on April 22,

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123 By Tatsuo YABE Revised on October 25, 2008 Summarized on August 19,

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127 By Tatsuo YABE Summarized on August 19, 2006 MPEP708.02(a) 127

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131 USPTOWebsite Summarized by Tatsuo YABE on January 15, USPTO CA 2 RCE ESD E PTO CAFC OA FINAL RCE RCE 131

132 2 1.78(d)(1) (i) (ii) (iii) (iv) (c) 1.17(f) 111 (a) (f): Applications and patents naming at least one inventor in common. 1.78(f)(1) 1.78(f)(1) (f)(2) 1. 78(f)(2) 132

133 1.78(f)(2)(i) 1.78(f)(3) Request for continued examination (RCE): 1.114(a) ( 1.17(e)) 1.114(f) 1.17(f) (f) USPTO PTO CAFC 133

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135 11 1 USPTO CA 2 RCE ESD E PTO CAFC 135

136 ) 136

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139 East.-Dist. Court of Virginia Invalidates USPTO's New Rules! A victory to Plaintiffs Dr. Tafas and Company GlaxoSmithKline USPTO CA 2 RCE ESD USPTO CAFC( 30 5 CAFC 1 30 PTO Watching Tatsuo YABE on April 02, 2008 revised on April 08, 2008 USPTO 2 PTO 139

140 Chrysler Corp v. Brown, 441 U.S. 281 (1979) CA RCE GSK Tafas) CA RCE 120 RCE 132 USPTO ESD) PTO GSK Tafas PTO ESD Because the USPTO s rulemaking authority under 35 U.S.C. 2(b)(2) does not extend to substantive rules, and because the Final Rules are substantive in nature, the Court finds that the Final Rules are void as otherwise not in accordance with law and in excess of statutory jurisdiction [and] authority. 140

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143 Taltech Limited v. Esquel Apparel: Fed. Cir. May 22,

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147 ebay v. MercExchange Supreme Court Decision on May 15,

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149 PAICE LLC. v. TOYOTA MOTOR Corp. CAFC CAFC Parice Parice 25 CAFC CAFC 149

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151 7Scope of Foreign Filing Licenses, Notice [PDF] (23Jul2008) 151

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153 ULEAD SYSTEM v. LEX Computer Decided small entity small entity status non-small entity small entity status CAFC Lex 1.28(c) 153

154 Lex United States Patent 4,538,188 Barker, et al. August 27, 1985 Inventors: Barker; Ronald C. (Weston, MA); Schuler; Chester L. (Sudbury, MA) Assignee: Montage Computer Corporation (West Concord, MA) Appl. No.: File d: December 22, 1982 Video composition method and apparatus Abstract 154

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159 CAFC en banc Decision Fed.Cir. In re Bernard L. BILSKI Decided on October 30, 2008 Tatsuo YABE on Nov. 01,

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