Mail Stop Interference
`P.O. Box 1450
`Alexandria Va 22313-1450
`Tel: 571-272-4683
`Fax: 571-273-0042
`
`Paper 1
`
`Filed 2 February 2010
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`BEFORE THE BOARD OF PATENT APPEALS
`AND INTERFERENCES
`
`PAUL J. CARTER AND LEONARD G. PRESTA
`Junior Party
`(Patent 6,407,213),
`
`v.
`
`JOHN ROBERT ADAIR, DILJEET SINGH ATHWAL,
`AND JOHN SPENCER EMTAGE
`Senior Party
`(Application No. 11/284,261),
`
`Patent Interference No. 105,744
`(Technology Center 1600)
`
`DECLARATION - Bd.R. 203(b)1
`
`Part A. Declaration of interference
`
`An interference is declared (35 U.S.C. § 135(a)) between the above-identified
`
`parties. Details of the application(s), patent (if any), reissue application (if any), count(s)
`
`and claims designated as corresponding or as not corresponding to the count(s) appear
`
`in Parts E and F of this DECLARATION.
`
`1 "Bd.R. x" may be used as shorthand for "37 C.F.R. (cid:139) 41.x". 69 Fed. Reg. 49960, 49961 (12 Aug. 2004).
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`Part B. Judge managing the interference
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`Administrative Patent Judge Sally Gardner Lane has been designated to manage
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`the interference. Bd. R. 104(a).
`
`Part C. Standing order
`
`A Trial Section STANDING ORDER [SO] (Paper 2) accompanies this
`
`DECLARATION. The STANDING ORDER applies to this interference.
`
`Part D.
`
`Initial conference call
`
`A telephone conference call to discuss the interference is set for 2:00 p.m. on 16
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`March 2010 (the Board will initiate the call).
`
`No later than four business days prior to the conference call, each party shall
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`file and serve (SO ¶¶ 10.1 & 105) a list of the motions (Bd. R. 120; Bd. R. 204;
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`SO ¶¶ 104.2.1, 120 & 204) the party intends to file.
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`A sample schedule for taking action during the motion phase appears as Form 2
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`in the STANDING ORDER. Counsel are encouraged to discuss the schedule prior to
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`the conference call and to agree on dates for taking action. A typical motion period
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`lasts approximately eight (8) months. Counsel should be prepared to justify any request
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`for a shorter or longer period.
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`Part E.
`
`Identification and order of the parties
`
`Named inventors:
`
`Junior Party
`
`Paul J. Carter
`San Francisco, CA
`
`Leonard G. Presta
`San Francisco, CA
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`Involved Patent:
`
`Title:
`
`Assignee:
`
`6,407,213, issued 18 June 2002, from application
`08/146,206, which was filed 17 November 1993, and was
`based on international application PCT/US92/05126, filed 15
`June 1992.
`
`METHOD FOR MAKING HUMANIZED ANTIBODIES
`
`Genentech, Inc.
`
`Senior Party
`
`Named Inventors:
`
`John Robert Adair
`High Wycombe, United Kingdom
`
`Diljeet Singh Athwal
`London, United Kingdom
`
`John Spencer Emtage
`Marlow, United Kingdom
`
`Involved Application:
`
`11/284,261, filed 21 November 2005
`
`Title:
`
`Assignee:
`
`HUMANISED ANTIBODIES
`
`Celltech R & D Limited
`
`The senior party is assigned exhibit numbers 1001-1999. The junior party is
`
`assigned exhibit numbers 2001-2999. Bd. R. 154(c)(1); SO ¶ 154.2.1. The senior party
`
`is responsible for initiating settlement discussions. SO ¶ 126.1.
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`Part F. Count and claims of the parties
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`Count 1
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`A humanized antibody heavy chain variable domain comprising
`
`non-human Complementarity Determining Region (CDR) amino acid
`
`residues which bind antigen incorporated into a human antibody variable
`
`domain, and further comprising a Framework Region (FR) amino acid
`
`substitution at a site selected from the group consisting of: 24H, 71H, 73H,
`
`and 78H, utilizing the numbering system set forth in Kabat.
`
`The claims of the parties are:
`
`Carter:
`
`Adair:
`
`1-82
`
`24
`
`The claims of the parties which correspond to Count 1 are:
`
`Carter:
`
`Adair:
`
`30, 31, 60, 62, 63, 66, 67, 70, 73, 77-81
`
`24
`
`The claims of the parties which do not correspond to Count 1, and therefore are
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`not involved in the interference, are:
`
`Carter:
`
`Adair:
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`1-29, 32-59, 61, 64, 65, 68, 69, 71, 72, 74-76, 82
`
`None
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`The parties are accorded the following benefit for Count 1:
`
`Carter:
`
`Adair:
`
`PCT/US92/05126, filed 15 June 1992; and
`07/715,272, filed 14 June 1991, now abandoned.
`
`08/846,658, filed 01 May 1997;
`08/303,569, filed 07 September 1994, issued as 5,859,205
`on 12 January 1999;
`07/743,329, filed on 17 September 1991;
`PCT/GB90/02017, filed 21 December 1990; and
`GB 8928874.0, filed 21 December 1989.
`
`Part G. Heading to be used on papers
`
`The following heading must be used on all papers filed in this interference, see
`SO (cid:10) 106.1.1:
`
`PAUL J. CARTER AND LEONARD G. PRESTA
`Junior Party
`(Patent 6,407,213),
`
`v.
`
`JOHN ROBERT ADAIR, DILJEET SINGH ATHWAL,
`AND JOHN SPENCER EMTAGE
`Senior Party
`(Application No. 11/284,261),
`
`Patent Interference No. 105,744
`(Technology Center 1600)
`
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`Part H. Order form for requesting file copies
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`When requesting copies of files, use of SO Form 4 will greatly expedite
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`processing of the request. Please attach a copy of Parts E and F of this
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`DECLARATION with a hand-drawn circle around the patents and applications for which
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`a copy of a file wrapper is requested.
`
`/Sally Gardner Lane/
`Administrative Patent Judge
`
`Enc:
`
`Copy of STANDING ORDER
`Form PTO-850
`Copy U.S. Patent 6,407,213
`Copy of claims of 11/284,261
`
`cc (via overnight delivery):
`
`Attorney for Carter:
`
`Sidley Austin, LLP
`Attn: DC Patent Docketing
`1501 K Street, N.W.
`Washington, DC 20005
`
`Attorney for Adair:
`
`Cozen O’Connor, P.C.
`1900 Market Street
`Philadelphia, PA 19103-3508
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`UNITED STATES PATENT AND TRADEMARK OFFICE
`BEFORE THE BOARD OF PATENT APPEALS AND INTERFERENCES
`
`Paper ____
`
`ENTERED: 3 January 2006
`
`STANDING ORDER
`This Standing Order is entered in, and governs, contested cases assigned to the Trial
`
`Division of the Board of Patent Appeals and Interferences. Parties are expected to be
`
`familiar with it. The rules reproduced in the Standing Order are current as of the issue
`
`date of the Standing Order, but are subject to change.
`
`In the event of a change to a
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`rule, the changed rule will control, the Standing Order notwithstanding.
`
`CONTENTS
`
`¶ 1 Applicability of 37 CFR part 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
`
`¶ 2 Board organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
`¶ 2.1 Trial Division . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
`¶ 2.2 Trial Procedures Section . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
`¶ 2.3 Trial Merits Section . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
`. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
`¶ 2.4 Board staff
`
`¶ 3 Petitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
`¶ 3.1 Procedural relief sought through miscellaneous motion . . . . . . . . . . . . . . . . . 2
`¶ 3.2 Petition affecting the merits in a contested case . . . . . . . . . . . . . . . . . . . . . . 3
`¶ 3.3 Petitions under 35 U.S.C. 135(c) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
`
`¶ 4 Good cause requirement for untimeliness . . . . . . . . . . . . . . . . . . . . . 3
`¶ 4.1 High standard . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
`. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
`¶ 4.2 Settlement
`
`¶ 5 Pro hac vice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
`
`¶ 6 Publication of opinions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
`¶ 6.1 Most opinions are publicly available . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
`¶ 6.2 Notice of confidential information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
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`¶ 7 Record management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
`¶ 7.1 Letters between counsel not to be filed . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
`¶ 7.2 No duplicate papers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
`. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
`¶ 7.3 Reference to earlier filed paper
`
`¶ 8 Mandatory notices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
`. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
`¶ 8.1 Real party-in-interest
`¶ 8.2 Related proceedings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
`¶ 8.3 Notice of judicial review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
`
`¶ 9 Ownership determined from Office assignment record . . . . . . . . 7
`
`¶ 10 Communications with the Board . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
`. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
`¶ 10.1 Default mode - electronic mail
`¶ 10.2 Any United States Postal Service, including EXPRESS MAIL . . . . . . . . . . . 8
`¶ 10.3 Hand filing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
`¶ 10.4 Overnight delivery services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
`¶ 10.5 Telephone calls . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
`¶ 10.6 Facsimile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
`
`¶ 11 Ex parte communications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
`¶ 11.1 Papers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
`¶ 11.2 Other forms of communications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
`¶ 11.3 Permissible contacts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
`¶ 11.4 Refusal to participate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
`
`¶ 12 Citation of authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
`¶ 12.1 Copies of authority cited . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
`¶ 12.2 Parallel citation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
`¶ 12.3 Binding authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
`¶ 12.4 Primary authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
`
`¶ 20 Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
`
`¶ 100 Days and times . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
`¶ 100.1 Business day . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
`¶ 100.2 Time standard . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
`
`¶ 101 Notice of proceeding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
`¶ 101.1 Declaration of interference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
`¶ 101.2 Maintaining proper address . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
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`¶ 102 Completion of examination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
`
`¶ 103 Jurisdiction over related files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
`¶ 103.1 Access to related files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
`¶ 103.2 Action in related files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
`
`¶ 104 Modification of the Standing Order . . . . . . . . . . . . . . . . . . . . . . . . . 15
`¶ 104.1 Modification of Standing Order . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
`¶ 104.2 Times for motions phases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
`
`¶ 105 Electronic filing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
`¶ 105.1 Filing in paper . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
`¶ 105.2 Electronic filing procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
`¶ 105.3 Service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
`. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
`¶ 105.4 Format
`¶ 105.5 Signature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
`¶ 105.6 Exhibits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
`
`¶ 106 Filing and service generally; in paper . . . . . . . . . . . . . . . . . . . . . . 20
`¶ 106.1 General format of papers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
`¶ 106.2 Combined papers and incorporation not permitted . . . . . . . . . . . . . . . . . 22
`¶ 106.3 Transmittal sheets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
`¶ 106.4 Service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
`¶ 106.5 Filing in paper . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
`
`¶ 108 Lead and backup counsel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
`
`¶ 109 Request for file copies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
`. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
`¶ 109.1 Filing the request
`¶ 109.2 Filling record requests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
`. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
`¶ 109.3 Notification on non-receipt
`¶ 109.4 Record of contested case . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
`¶ 109.5 Access to paper files at Board . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
`
`¶ 110 Copies of claims . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
`
`¶ 120 Types of notices of basis for requesting relief . . . . . . . . . . . . . . 28
`
`¶ 121 Motions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
`¶ 121.1 Title and numbering of motions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
`¶ 121.2 Page limits in motions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
`. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
`¶ 121.3 Burden of proof
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`¶ 121.4 Format
`¶ 121.5 Appendices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
`¶ 121.6 Claim chart alternative . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
`
`¶ 122 Oppositions and replies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
`¶ 122.1 Numbering oppositions and replies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
`¶ 122.2 Page limits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
`. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
`¶ 122.3 Format
`¶ 122.4 Appendices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
`¶ 122.5 New issues in replies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
`
`¶ 123 Miscellaneous motions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
`¶ 123.1 Mandatory conference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
`¶ 123.2 Timeliness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
`¶ 123.3 Recording conference calls . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
`
`¶ 124 Oral argument
`. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
`. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
`¶ 124.1 Request for oral argument
`¶ 124.2 Attendance; special needs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
`¶ 124.3 Security; access . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
`¶ 124.4 Demonstrative exhibits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
`¶ 124.5 Transcription of oral argument . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
`
`¶ 125 Rehearing of decisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
`¶ 125.1 Time for filing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
`¶ 125.2 Format for request for rehearing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
`¶ 125.3 Number of requests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
`¶ 125.4 New evidence on rehearing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
`
`¶ 126 Settlement discussions required . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
`¶ 126.1 Last-named party initiates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
`¶ 126.2 Initial conference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
`¶ 126.3 Subsequent conferences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
`¶ 126.4 Filing notice of conferences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
`
`¶ 127 Estoppel; rehearing of judgment . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
`¶ 127.1 Estoppel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
`¶ 127.2 Rehearing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
`
`¶ 128 Sanctions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
`
`¶ 150 Discovery . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
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`¶ 150.1 Automatic discovery . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
`¶ 150.2 Requesting additional discovery . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
`
`¶ 151 Challenging admissibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
`
`¶ 152 Rules of evidence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
`¶ 152.1 Official notice not automatic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
`¶ 152.2 Hearsay . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
`
`¶ 153 Certification of Office records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
`
`¶ 154 Form of evidence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
`¶ 154.1 Records of the Office . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
`¶ 154.2 Exhibit labels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
`¶ 154.3 Filing of exhibits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
`¶ 154.4 Exhibit list . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
`¶ 154.5 Evidence on DVD digital disc . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
`
`¶ 155 Challenging admissibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
`¶ 155.1 Objections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
`¶ 155.2 Motion to exclude evidence; motion in limine . . . . . . . . . . . . . . . . . . . . . . 51
`¶ 155.3 Time to file objections and motions to exclude . . . . . . . . . . . . . . . . . . . . . 51
`
`¶ 156 Compelled testimony and production . . . . . . . . . . . . . . . . . . . . . . 51
`¶ 156.1 Form of motion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
`¶ 156.2 Alternative procedures for compelled testimony . . . . . . . . . . . . . . . . . . . . 52
`¶ 156.3 Admissibility of compelled testimony and production . . . . . . . . . . . . . . . . 52
`
`¶ 157 Direct testimony; cross examination . . . . . . . . . . . . . . . . . . . . . . . 52
`¶ 157.1 Direct testimony as affidavit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
`¶ 157.2 Required paragraph for affidavits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
`¶ 157.3 Cross examination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
`¶ 157.4 Order of cross examination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
`¶ 157.5 Cross examination guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
`¶ 157.6 Transcript . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
`¶ 157.7 Observations on cross examinations . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
`
`¶ 158 Expert testimony; tests and data . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
`¶ 158.1 Expert testimony . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
`¶ 158.2 Tests and data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
`
`¶ 200 Interference procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
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`¶ 200.1 Patent claim scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
`¶ 200.2 Pendency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
`
`¶ 203 Suggesting another interference; adding an application or a
`patent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
`¶ 203.1 Suggesting another interference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
`¶ 203.2 Adding an application or a patent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
`
`¶ 204 Motions list . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58
`
`¶ 205 Settlement agreements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58
`¶ 205.1 Notice under 35 U.S.C. 135(c) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58
`¶ 205.2 Petitions under 35 U.S.C. 135(c) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
`
`¶ 206 Common interests in the invention . . . . . . . . . . . . . . . . . . . . . . . . . 59
`
`¶ 207 Applicability of prior art . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
`
`¶ 208 Specific substantive motions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60
`¶ 208.1 Obviousness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60
`. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60
`¶ 208.2 Adding or substituting a count
`¶ 208.3 Claim correspondence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
`¶ 208.4 Benefit motions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62
`¶ 208.5 Responsive motions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
`¶ 208.6 Priority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65
`. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66
`¶ 208.7 Inequitable conduct
`
`Appendix of Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
`
`Form 1. Standard caption for an interference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
`
`Form 2. Typical schedule for motions other than interference priority . . . . . . . . . . . . 69
`
`Form 3. Typical schedule for priority motions in an interference . . . . . . . . . . . . . . . . 70
`
`Form 4. File copy request
`
`. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
`
`Cross Examination Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72
`
`Index of Times . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
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`¶ 1 Applicability of 37 CFR part 1
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`Part 1 of 37 CFR was drafted principally with patent prosecution in mind, while
`
`37 CFR Part 41 is directed to proceedings before the Board.
`
`If Part 41 or the Standing
`
`Order expressly requires different procedure than Part 1, then Part 41 or the Standing
`
`Order, respectively, will govern. A party that perceives a conflict between Part 1 and
`
`either Part 41 or the Standing Order must promptly raise the issue with the Board.
`
`¶ 2 Board organization
`
`¶ 2.1 Trial Division
`
`The Chief Administrative Patent Judge has designated administrative patent judges
`
`to constitute the Trial Division, who decide most contested cases, as well as appeals
`
`involving patent reexaminations and reissue applications or applications relating to
`
`interferences. The Trial Division consists of two sections—
`
`(cid:7) the Trial Procedures Section and
`
`(cid:7) the Trial Merits Section.
`
`¶ 2.2 Trial Procedures Section
`
`Within the Trial Division, the Chief Administrative Patent Judge has designated
`
`administrative patent judges to constitute the Trial Procedures Section. The principal
`
`function of the Trial Procedure Section is to ready interference cases for a merits
`
`decision on substantive motions, including interference priority motions. Accordingly,
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`administrative patent judges will handle all interlocutory matters in contested cases,
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`including but not limited to—
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`(cid:7) declaration of interferences,
`
`(cid:7) setting times for taking action, and
`
`(cid:7) administering discovery.
`
`¶ 2.3 Trial Merits Section
`
`Within the Trial Division, the Chief Administrative Patent Judge has designated
`
`administrative patent judges to constitute the Trial Merits Section. The principal
`
`function of the Trial Merits Section is to prepare opinions on the merits of substantive
`
`motions, including interference priority motions.
`
`¶ 2.4 Board staff
`
`Board staff other than administrative patent judges may administer some tasks
`
`during contested cases. For instance, Trial Division paralegal assistants enter orders
`
`authorizing access to files under Bd.R. 109 and authorizing the filing of facsimile
`
`transmissions in excess of the five pages permitted under SO ¶ 10.6. Staff actions are
`
`controlling unless countermanded by an administrative patent judge or a Board panel.
`
`¶ 3 Petitions
`
`¶ 3.1 Procedural relief sought through miscellaneous motion
`
`A request for a procedural remedy must be made in the form of a miscellaneous
`
`motion. Bd.R. 121(a)(3); SO ¶ 123. A petition is not appropriate. No fee is required.
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`¶ 3.2 Petition affecting the merits in a contested case
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`Any relief affecting the merits of a contested case must be sought in the form of a
`
`motion. Bd.R. 121.
`
`If the relief would otherwise require the granting of a petition, the
`
`petition, including any required fee, must be filed with the motion. Bd.R. 121(c)(2). A
`
`party filing a petition in violation of this subparagraph may be subject to sanctions.
`
`Bd.R. 128.
`
`¶ 3.3 Petitions under 35 U.S.C. 135(c)
`
`Petitions based on 35 U.S.C. 135(c) are not part of a contested case. Bd.R. 3(b)
`
`and Bd.R. 205.
`
`¶ 4 Good cause requirement for untimeliness
`
`¶ 4.1 High standard
`
`The standard for showing good cause under Bd.R. 4(a) is high. Times are set
`
`to facilitate the rendering of timely decisions. There are few, if any, circumstances
`
`where good cause can be based on the press of other business arising after a time is
`
`set by a Board order, particularly where a time period is set or maintained after a
`
`conference with counsel.
`
`¶ 4.2 Settlement
`
`An attempt to settle will rarely constitute good cause. Settlement is encouraged,
`
`and the administrative patent judge designated to handle a contested case is available
`
`to assist in settlement efforts where appropriate, but parties should expect either to
`
`settle the contested case or, in the absence of settlement, to meet each deadline.
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`¶ 5 Pro hac vice
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`Contested cases can be technically, legally, and procedurally complex.
`
`Consequently, a motion to appear pro hac vice will rarely be granted unless the counsel
`
`is an experienced litigating attorney and has an established familiarity with the subject
`
`matter at issue in the contested case.
`
`The Board may authorize a person other than a registered practitioner to appear as
`
`counsel in a specific proceeding.
`
`¶ 6 Publication of opinions
`
`¶ 6.1 Most opinions are publicly available
`
`Most opinions in contested cases will be available for publication during the
`
`proceeding. Virtually all become available at the end of the proceeding. The recent
`
`experience in contested cases is that redactions are almost never requested.
`
`¶ 6.2 Notice of confidential information
`
`Some opinions are selected for publication to promote public understanding of Trial
`
`Division practice or to create uniform practices.
`
`If a party believes that its application
`
`contains information not otherwise publicly available that should be redacted from any
`
`opinion, the party must within two (2) months of the initiation of the contested case file
`
`as a separate paper a notice specifically identifying such information.
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`If additional information not otherwise publicly available is introduced into a
`
`contested case that a party believes should be redacted from any opinion, the party
`
`must promptly file a notice specifically identifying the information.
`
`If, after filing such notice, specifically identified information becomes publicly
`
`available (for example, through publication of a collateral application), the party must
`
`promptly notify the Board of this change in the status of the information.
`
`¶ 7 Record management
`
`¶ 7.1 Letters between counsel not to be filed
`
`No letter between counsel may be filed unless it is filed as an exhibit cited—
`
`(cid:7) in a motion, opposition, or reply, or
`
`(cid:7) during cross-examination.
`
`¶ 7.2 No duplicate papers
`
`A party may not file (not even as an appendix or exhibit) a copy of a paper
`
`previously filed in the same contested case.
`
`¶ 7.3 Reference to earlier filed paper
`
`A party referring to an earlier filed paper should identify the paper by title and paper
`
`number or, if the paper number is not known, by the filing date.
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`¶ 8 Mandatory notices
`
`¶ 8.1 Real party-in-interest
`
`Within fourteen (14) days of the date of the Declaration, each party must file as a
`
`separate paper a notice of any and all right, title, or interest in any application or patent
`
`involved in the contested case.
`
`¶ 8.2 Related proceedings
`
`Within fourteen (14) days of the initiation of a contested case, each party must file
`
`and serve as a separate paper a notice identifying the application or patent number of
`
`every United States application or patent claiming, or which may claim, the benefit of
`
`priority of the fi