1. Board of Patent Appeals and Interferences Ex Parte Appeal Rules Michael R. Fleming Chief Administrative Patent Judge United States Patent and Trademark Office Roundtable – Ex Parte Appeal Rules of Practice January 20, 2010

2. 1-20-2010 Roundtable - Ex Parte Appeal Rules of Practice 2 Board of Patent Appeals and Interferences  Our Accomplishments  Our Challenge

3. 1-20-2010 Roundtable - Ex Parte Appeal Rules of Practice 3 Major Accomplishments Ex Parte Appeals FY2008FY2009 FY2010 (First Quarter) Pendency6.4 months7.7 months9.9 months Disposals4,9406,8621,381 Docketed6,38515,4832,178 Inventory3,95612,57717,297

4. 1-20-2010 Roundtable - Ex Parte Appeal Rules of Practice 4 Challenge  Provide timely ex parte appeal decisions

5. 1-20-2010 Roundtable - Ex Parte Appeal Rules of Practice 5 Provide Timely Decisions FY2007 Actual FY2008 Actual FY2009 Actual FY2010 Projected Appeals Docketed4,6396,38515,48311,100 Appeals Decided3,4854,9406,8627,200 Pendency (months)5.46.47.714.0 Inventory2,5113,95612,57716,500 Board Production Months Inventory 8.69.622.028.0

6. 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

7. 1-20-2010 Roundtable - Ex Parte Appeal Rules of Practice 7 Provide Timely Decisions FY2005FY2006FY2007FY2008FY2009 # of Examiners4,2584,8835,4776,0556,242 # of Answers3,2815,5977,46410,6389,758 Answers per Examiner 0.81.11.41.71.6

8. 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.

9. 1-20-2010 Roundtable - Ex Parte Appeal Rules of Practice 9 Opening statements from participants

10. 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))?

11. 1-20-2010 Roundtable - Ex Parte Appeal Rules of Practice 11 Topic 2 Arguments to explain Examiner error (41.37(o)).

12. 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)).

13. 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)?

14. 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?

15. 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))?

16. 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))?

17. 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?

18. 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)?

19. 1-20-2010 Roundtable - Ex Parte Appeal Rules of Practice 19 Open floor for discussion of other topics