<div dir="ltr"><div>Oh. Here's my longer essay on declarations/affidavits.</div><div><br></div><div>
<p>
A "declaration" is a statement opining to facts that ends with a
penalty-of-perjury or 18 U.S.C. § 1001 paragraph. An "affidavit" is
that plus a notarized signature.
</p>
<p>
The dominant concern in declarations/affidavits, overshadowing and
governing everything else, is inequitable conduct. The Federal Circuit
has zero tolerance for error in declarations/affidavits--if something is
provably wrong, then the Federal Circuit all but says that both
materiality and intent are established. So if you are thinking about a
declaration/affidavit, the first thing you must do is choose a path that
guarantees zero risk of error, no matter what you don't know.
</p>
<p>
If you were ever an engineer for Boeing, or if you were a compiler
writer, or had some similar engineering role where small errors have
outsize costs, you have the mindset and developed some techniques to
ensure zero-defect engineering. You have to think the same way here.
</p>
<ul><li>
Be sure you're spot on with the specific fact to hit the examiner's
ground -- never use a declaration/affidavit to opine on something that's
a millimeter off hitting the exact, smallest, most-precise nail exactly
on the head. All declarations/affidavits are risky. An
declaration/affidavit that addresses the wrong point, or that misses the
right point by a millimeter is risk with no return. An
declaration/affidavit has to inflict a mortal wound via a single thrust
of a short, sharp stilletto into a vital organ , not 1000 hacks with a
machete.
</li><li>
You can only use an declaration/affidavit for issues of FACT, not issues of LAW.
</li><li>
(Almost) never use an declaration/affidavit where attorney argument is
legally sufficient (unless you have an examiner that is totally dug in
to a factual error and doesn't understand the concept of "burden of
proof" and you don't want to appeal). Attorney argument won't get you
in inequitable conduct trouble.
</li><li>
Declarations/affidavits are especially warranted on issues where you
have the burden of proof, and rarely worth the risk on issues where you
don't.
</li><li>
Declarations/affidavits can be useful to say "Examiner Jones's Action
states x. Examiner Jones is wrong." If you don't have the burden of
proof, your affiant doesn't have to opine on the true fact, only explain
falsity of the examiner's. Especially if the burden of proof is in
your favor, if you have an declaration/affidavit to say the examiner is
wrong, then your attorney argument controls the field.
</li><li>
Choose wisely whether a declaration/affidavit is or is not the right
tool -- not every fact is suitable for treatment by
declaration/affidavit. Some are very low risk, some are very high.
</li></ul>
<p style="margin-left:1.25in">
<span style="font-size:10pt;font-family:Symbol">·</span><span style="font-size:7pt"> </span>Declarations/affidavits
are generally safe on issues where the examiner has all the same
information the declarant has. The danger with a declaration/affidavit
is where there's some possibility that during discovery some doc will
show up that contradicts the declaration.
</p>
<p style="margin-left:1.25in">
<span style="font-size:10pt;font-family:Symbol"><span>·<span style="font:7pt "Times New Roman""> </span></span></span>An expert's opinion on the ordinary usage of terms of art is low risk.
</p>
<p style="margin-left:1.25in">
<span style="font-size:10pt;font-family:Symbol">·</span><span style="font-size:7pt"> </span>An expert's opinion on the interpretation of an ambiguity in a technical document is low risk.
</p>
<p style="margin-left:1.25in">
<span style="font-size:10pt;font-family:Symbol">·</span><span style="font-size:7pt"> </span>An
affidavit interpreting some other evidence, where all the relevant
information is there on the face of the page, and the question is what
it means, is almost always safe -- your affiant can't be accused of
hiding or distorting, just offering an opinion.
</p>
<p style="margin-left:1.25in">
<span style="font-size:10pt;font-family:Symbol">·</span><span style="font-size:7pt"> </span>An
affidavit that opines that something didn't happen, and there's a
micro-chance that, in discovery, some document will show that it
actually did, is a high-risk affidavit. <i>eSpeed, Inc. v. BrokerTec USA, LLC</i>, 480 F. 3d 1129 (Fed. CIr. 2007) <a href="https://scholar.google.com/scholar_case?case=11175138575348740529" rel="external nofollow noopener" target="_blank">https://scholar.google.com/scholar_case?case=11175138575348740529</a>
</p>
<p style="margin-left:1.25in">
<span style="font-size:10pt;font-family:Symbol">·</span><span style="font-size:7pt"> </span>An affidavit on a fact where there might be a contradictory document that comes out in discovery is <i>extremely</i> dangerous.
</p>
<ul><li>
Choose an affiant with first-hand knowledge -- NEVER rely on one affiant to report knowledge of some other person. See <em>eSpeed.</em>
</li><li>
Proceed with great respect and fear of your own fallibility, and things you might not know.
</li></ul>
<p>
Then the content of the affidavit (See 16/278,112 Reply of June 16,
2023, Exhibits A and B starting at pages 19 and 26. for examples):
</p>
<ul><li>
Establish expertise or basis to testify.
</li><li>
If there's a milligram of potential conflict of interest, disclose it.
</li><li>
Be 1000% accurate. Affidavit error very quickly becomes affidavit fraud, and that makes the whole patent <em>family</em> unenforceable.
</li><li>
State enough basis (hard to give guidelines), and not one word more.
Know who has the burden of proof on that fact, and say enough, and then
stop. What you <em><strong>don't</strong></em> say is as important as
what you do. Often, the point is "Examiner Jones is wrong" and you
don't have to say very much about what's right. Usually, the less you
say the better.
</li><li>
Word the statement using the relevant standard of proof. For example,
if your affidavit is directed to an examiner's misreading of a claim,
you have to address "broadest reasonable interpretation:" "In my
opinion, Examiner Jones' interpretation is not just wrong, it it
entirely unreasonable." or "In my opinion, no person [in my field] would
reasonably understand the language as Examiner Jones posits." If you
are opining on the <em>Wands</em> factors for enablement, use the very words of those factors, and walk through them one by one.
</li><li>
If something is the affiant's opinion, state it as "my opinion" --
subjective opinion is unassailable fact, even if the opinion turns out
to be wrong!
</li><li>
Nail the fact you need to nail. No dancing around it. Many patent
attorneys, when confronting a plain old error by an examiner, dive deep
into non-confrontational, deferential language. NOT HERE. In most
cases, the purpose of an affidavit is to rebut an examiner's mistake.
Use a hard-edged word in a short sentence that leaves no wiggle room:
"in my opinion, Examiner Jones is wrong." Not "Few people would agree
with Examiner Jones."
</li><li>
Close with the section 1001 paragraph.
</li></ul>
<p>
If you do a google search, you'll
find good articles. E.g. <a href="https://www.foley.com/en/insights/publications/2018/01/three-things-to-know-about-rule-130-declarations" rel="external nofollow noopener" target="_blank">https://www.foley.com/en/insights/publications/2018/01/three-things-to-know-about-rule-130-declarations</a> and <a href="https://www.aipla.org/docs/default-source/committee-documents/bcp-files/bcp-130-declarations_kfonda.pdf?sfvrsn=7eea5de_2" rel="external nofollow noopener" target="_blank">https://www.aipla.org/docs/default-source/committee-documents/bcp-files/bcp-130-declarations_kfonda.pdf?sfvrsn=7eea5de_2</a>
</p>
<p>
Examples:
</p>
<ul><li>
09/611,548, January 25, 2018 (understanding of terms to one of ordinary skill)
</li><li>
11/024,729, November 16, 2008 (definitions, interpretation of a reference)
</li><li>
15/068,899, June 7, 2022 (enablement)
</li><li>
16/658,072, November 8, 2021 (obviousness secondary indicia)
</li><li>
16/278,112 Reply of June 16, 2023, Exhibits A and B starting at pages
19 and 26 (ordinary meaning of claim terms, interpretation of
references)
</li></ul>
</div></div><br><div class="gmail_quote"><div dir="ltr" class="gmail_attr">On Thu, Jan 11, 2024 at 5:42\u202fPM Andrew Berks via Patentcenter <<a href="mailto:patentcenter@oppedahl-lists.com">patentcenter@oppedahl-lists.com</a>> wrote:<br></div><blockquote class="gmail_quote" style="margin:0px 0px 0px 0.8ex;border-left:1px solid rgb(204,204,204);padding-left:1ex"><div dir="ltr"><div>If anyone has filed a declaration under 37 CFR 1.130 to overcome a rejection under 35 USC §102(a)(1) or §102(a)(2) (or has seen such a declaration) (see also MPEP 2152.06), please send me a serial no. that I can pull from Patent Center. <br></div><div><br></div><div>Thanks<br></div><div><div><div dir="ltr" class="gmail_signature"><div dir="ltr"><span><div dir="ltr" style="margin-left:0pt" align="left"><table style="border:medium none;border-collapse:collapse"><colgroup><col width="136"><col width="488"></colgroup><tbody><tr style="height:0pt"><td 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