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<p class="MsoNormal"><span style="font-size:11.0pt;font-family:"Calibri",sans-serif;color:#1F497D">Thanks David!<o:p></o:p></span></p>
<p class="MsoNormal"><span style="font-size:11.0pt;font-family:"Calibri",sans-serif;color:#1F497D"><o:p> </o:p></span></p>
<p class="MsoNormal"><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:#1F497D">CONFIDENTIALITY NOTICE--This email is intended only for the person(s) named in the message header. Unless otherwise indicated, this email contains information
that is confidential, privileged and/or exempt from disclosure under applicable law. If you have received this message in error, please notify the sender of the error and delete the message. Even if you are an intended recipient of this E-Mail, the author
requests that you not forward it to any other person without written prior consent. E-Mail is covered by the Electronic Communications Privacy Act, 18 U.S.C. Section 2510-2521 and is legally privileged. Thank you.</span><span style="font-size:11.0pt;font-family:"Calibri",sans-serif;color:#1F497D"><o:p></o:p></span></p>
<p class="MsoNormal"><span style="font-size:11.0pt;font-family:"Calibri",sans-serif;color:#1F497D"><o:p> </o:p></span></p>
<p class="MsoNormal"><b><span style="font-size:11.0pt;font-family:"Calibri",sans-serif">From:</span></b><span style="font-size:11.0pt;font-family:"Calibri",sans-serif"> Patentcenter [mailto:patentcenter-bounces@oppedahl-lists.com]
<b>On Behalf Of </b>David Boundy via Patentcenter<br>
<b>Sent:</b> Thursday, January 11, 2024 3:33 PM<br>
<b>To:</b> For bug reports, feature requests, and tips and tricks about Patent Center. <patentcenter@oppedahl-lists.com><br>
<b>Cc:</b> David Boundy <DavidBoundyEsq@gmail.com>; Andrew Berks <andrew@berksiplaw.com><br>
<b>Subject:</b> Re: [Patentcenter] Declarations under 37 CFR 1.130 to Overcome 35 USC 102(a) rejections<o:p></o:p></span></p>
<p class="MsoNormal"><o:p> </o:p></p>
<div>
<div>
<p class="MsoNormal">Oh. Here's my longer essay on declarations/affidavits.<o:p></o:p></p>
</div>
<div>
<p class="MsoNormal"><o:p> </o:p></p>
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<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.
<o:p></o:p></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.
<o:p></o:p></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. <o:p></o:p></p>
<ul type="disc">
<li class="MsoNormal" style="mso-margin-top-alt:auto;mso-margin-bottom-alt:auto;mso-list:l0 level1 lfo1">
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. <o:p></o:p></li><li class="MsoNormal" style="mso-margin-top-alt:auto;mso-margin-bottom-alt:auto;mso-list:l0 level1 lfo1">
You can only use an declaration/affidavit for issues of FACT, not issues of LAW. <o:p>
</o:p></li><li class="MsoNormal" style="mso-margin-top-alt:auto;mso-margin-bottom-alt:auto;mso-list:l0 level1 lfo1">
(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. <o:p></o:p></li><li class="MsoNormal" style="mso-margin-top-alt:auto;mso-margin-bottom-alt:auto;mso-list:l0 level1 lfo1">
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.
<o:p></o:p></li><li class="MsoNormal" style="mso-margin-top-alt:auto;mso-margin-bottom-alt:auto;mso-list:l0 level1 lfo1">
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.
<o:p></o:p></li><li class="MsoNormal" style="mso-margin-top-alt:auto;mso-margin-bottom-alt:auto;mso-list:l0 level1 lfo1">
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.
<o:p></o:p></li></ul>
<p style="margin-left:1.25in"><span style="font-size:10.0pt;font-family:Symbol">·</span><span style="font-size:7.0pt">
</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. <o:p></o:p></p>
<p style="margin-left:1.25in"><span style="font-size:10.0pt;font-family:Symbol">·</span><span style="font-size:7.0pt">
</span>An expert's opinion on the ordinary usage of terms of art is low risk. <o:p>
</o:p></p>
<p style="margin-left:1.25in"><span style="font-size:10.0pt;font-family:Symbol">·</span><span style="font-size:7.0pt">
</span>An expert's opinion on the interpretation of an ambiguity in a technical document is low risk.
<o:p></o:p></p>
<p style="margin-left:1.25in"><span style="font-size:10.0pt;font-family:Symbol">·</span><span style="font-size:7.0pt">
</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.
<o:p></o:p></p>
<p style="margin-left:1.25in"><span style="font-size:10.0pt;font-family:Symbol">·</span><span style="font-size:7.0pt">
</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" target="_blank">
https://scholar.google.com/scholar_case?case=11175138575348740529</a> <o:p></o:p></p>
<p style="margin-left:1.25in"><span style="font-size:10.0pt;font-family:Symbol">·</span><span style="font-size:7.0pt">
</span>An affidavit on a fact where there might be a contradictory document that comes out in discovery is
<i>extremely</i> dangerous. <o:p></o:p></p>
<ul type="disc">
<li class="MsoNormal" style="mso-margin-top-alt:auto;mso-margin-bottom-alt:auto;mso-list:l3 level1 lfo2">
Choose an affiant with first-hand knowledge -- NEVER rely on one affiant to report knowledge of some other person. See
<em>eSpeed.</em> <o:p></o:p></li><li class="MsoNormal" style="mso-margin-top-alt:auto;mso-margin-bottom-alt:auto;mso-list:l3 level1 lfo2">
Proceed with great respect and fear of your own fallibility, and things you might not know.
<o:p></o:p></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):
<o:p></o:p></p>
<ul type="disc">
<li class="MsoNormal" style="mso-margin-top-alt:auto;mso-margin-bottom-alt:auto;mso-list:l1 level1 lfo3">
Establish expertise or basis to testify. <o:p></o:p></li><li class="MsoNormal" style="mso-margin-top-alt:auto;mso-margin-bottom-alt:auto;mso-list:l1 level1 lfo3">
If there's a milligram of potential conflict of interest, disclose it. <o:p></o:p></li><li class="MsoNormal" style="mso-margin-top-alt:auto;mso-margin-bottom-alt:auto;mso-list:l1 level1 lfo3">
Be 1000% accurate. Affidavit error very quickly becomes affidavit fraud, and that makes the whole patent
<em>family</em> unenforceable. <o:p></o:p></li><li class="MsoNormal" style="mso-margin-top-alt:auto;mso-margin-bottom-alt:auto;mso-list:l1 level1 lfo3">
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
<strong><i>don't</i></strong> 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.
<o:p></o:p></li><li class="MsoNormal" style="mso-margin-top-alt:auto;mso-margin-bottom-alt:auto;mso-list:l1 level1 lfo3">
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.
<o:p></o:p></li><li class="MsoNormal" style="mso-margin-top-alt:auto;mso-margin-bottom-alt:auto;mso-list:l1 level1 lfo3">
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!
<o:p></o:p></li><li class="MsoNormal" style="mso-margin-top-alt:auto;mso-margin-bottom-alt:auto;mso-list:l1 level1 lfo3">
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."
<o:p></o:p></li><li class="MsoNormal" style="mso-margin-top-alt:auto;mso-margin-bottom-alt:auto;mso-list:l1 level1 lfo3">
Close with the section 1001 paragraph. <o:p></o:p></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" 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" target="_blank">
https://www.aipla.org/docs/default-source/committee-documents/bcp-files/bcp-130-declarations_kfonda.pdf?sfvrsn=7eea5de_2</a>
<o:p></o:p></p>
<p>Examples: <o:p></o:p></p>
<ul type="disc">
<li class="MsoNormal" style="mso-margin-top-alt:auto;mso-margin-bottom-alt:auto;mso-list:l2 level1 lfo4">
09/611,548, January 25, 2018 (understanding of terms to one of ordinary skill) <o:p>
</o:p></li><li class="MsoNormal" style="mso-margin-top-alt:auto;mso-margin-bottom-alt:auto;mso-list:l2 level1 lfo4">
11/024,729, November 16, 2008 (definitions, interpretation of a reference) <o:p></o:p></li><li class="MsoNormal" style="mso-margin-top-alt:auto;mso-margin-bottom-alt:auto;mso-list:l2 level1 lfo4">
15/068,899, June 7, 2022 (enablement) <o:p></o:p></li><li class="MsoNormal" style="mso-margin-top-alt:auto;mso-margin-bottom-alt:auto;mso-list:l2 level1 lfo4">
16/658,072, November 8, 2021 (obviousness secondary indicia) <o:p></o:p></li><li class="MsoNormal" style="mso-margin-top-alt:auto;mso-margin-bottom-alt:auto;mso-list:l2 level1 lfo4">
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)
<o:p></o:p></li></ul>
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<p class="MsoNormal"><o:p> </o:p></p>
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<p class="MsoNormal">On Thu, Jan 11, 2024 at 5:42 PM Andrew Berks via Patentcenter <<a href="mailto:patentcenter@oppedahl-lists.com">patentcenter@oppedahl-lists.com</a>> wrote:<o:p></o:p></p>
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<p class="MsoNormal">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.
<o:p></o:p></p>
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<p class="MsoNormal"><o:p> </o:p></p>
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<p class="MsoNormal">Thanks<o:p></o:p></p>
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<p style="margin:0in;margin-bottom:.0001pt"><b><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:black">Andrew Berks, Ph.D., J.D.</span></b><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:#0079AC">
</span><b><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:black">| Partner</span></b><o:p></o:p></p>
<p style="margin:0in;margin-bottom:.0001pt"><b><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:black">Patent Attorney and IP Licensing</span></b><o:p></o:p></p>
<p style="margin:0in;margin-bottom:.0001pt"><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:black">FRESH</span><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:#444444">
</span><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:#242424">IP PLC</span><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:#444444"> </span><o:p></o:p></p>
<p style="margin:0in;margin-bottom:.0001pt"><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:#444444">28 Liberty St 6th Fl</span><o:p></o:p></p>
<p style="margin:0in;margin-bottom:.0001pt"><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:black">New York NY 10005 (US)</span><o:p></o:p></p>
<p style="margin:0in;margin-bottom:.0001pt"><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:black">Main office: 11710 Plaza America Drive, Suite 2000, Reston, VA 20190 USA<br>
<b>e:</b> </span><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:#0563C1"><a href="mailto:andrew@freship.com" target="_blank">andrew@freship.com</a></span><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:#444444"> |
</span><b><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:black">w:
</span></b><a href="http://www.freship.com/" target="_blank"><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:#1155CC">www.freship.com</span></a> <a href="https://berksiplaw.com/" target="_blank">berksiplaw.com</a><o:p></o:p></p>
<p style="margin:0in;margin-bottom:.0001pt"><b><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:#242424">Direct</span></b><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:#242424">: +1-845-558-7245</span><o:p></o:p></p>
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<p class="MsoNormal">-- <br>
Patentcenter mailing list<br>
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<a href="http://oppedahl-lists.com/mailman/listinfo/patentcenter_oppedahl-lists.com" target="_blank">http://oppedahl-lists.com/mailman/listinfo/patentcenter_oppedahl-lists.com</a><o:p></o:p></p>
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<p style="margin:0in;margin-bottom:.0001pt;text-align:start"><b><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:#606E9A">David Boundy </span></b><span style="font-size:10.0pt;font-family:"Arial",sans-serif;color:#7C869A">| Partner <span style="background:white">| </span>Potomac Law
Group, PLLC</span><span style="font-size:11.5pt;font-family:"Arial",sans-serif;color:#323130"><o:p></o:p></span></p>
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