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Robert C. Morgan (SBN 46348) ROPES & GRAY LLP 1211 Avenue of the Americas New York, New York 10036-8704 Tel.: (212) 596-9000 Fax: (212) 596-9090 [email protected] Clinton L. Conner (SBN 244244) ROPES & GRAY LLP 525 University Avenue Palo Alto, California 94301 Tel.: (650) 617-4000 Fax: (650) 617-4090 [email protected] Terry Kearney (SBN 160054) Matthew A. Argenti (SBN 240954) WILSON SONSINI GOODRICH & ROSATI 650 Page Mill Road Palo Alto, California 94303 Tel.: (650) 493-9300 Fax: (650) 493-6811 [email protected] [email protected] Attorneys for Defendant LUXIM CORPORATION UNITED STATES DISTRICT COURT

16 FOR THE NORTHERN DISTRICT OF CALIFORNIA 17 SAN FRANCISCO DIVISION 18 19 CERAVISION, LIMITED, 20 Plaintiff, 21 v. 22 LUXIM CORPORATION, 23 Defendant. 24 25 26 27 28
DECLARATION OF M. ARGENTI IN SUPPORT OF LUXIM'S MOTION TO DISMISS CASE NO.: CV 08 2575 SI

) ) ) ) ) ) ) ) ) ) ) ) )

Civil Action No. CV 08-2575-SI DECLARATION OF MATTHEW A. ARGENTI IN SUPPORT OF LUXIM'S MOTION TO DISMISS CLAIMS OF THE FIRST AMENDED COMPLAINT FOR LACK OF SUBJECT MATTER JURISDICTION Date: Oct. 10, 2008 Time: 9:00 a.m. Judge: Honorable Susan Illston

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1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 I, Matthew A. Argenti, declare: 1. I am an attorney at the law firm of Wilson Sonsini Goodrich & Rosati in Palo

Alto, California. I am admitted to practice before the courts of the State of California and before the Northern District of California. I have personal knowledge regarding, and if called as a witness could testify to, the facts contained in this declaration. 2. Attached as Exhibit A is a true and correct copy of an April 8, 2008 press release

available on Ceravision's website at http://www.ceravision.com/news/news_luxim-apr-08.php. 3. Attached as Exhibit B is a true and correct copy of Paper No. 2 entered in

Interference No. 105,393 on January 24, 2006, entitled "Standing Order." 4. Attached as Exhibit C is a true and correct copy of Paper No. 1 entered in

Interference No. 105,393 on January 24, 2006, entitled "Notice to Declare Interference." 5. Attached as Exhibit D is a true and correct copy of Paper No. 6 entered in

Interference No. 105,393 on February 4, 2006, entitled "Notice of Related Proceedings." 6. Attached as Exhibit E is a true and correct copy of Paper No. 25 entered in

Interference No. 105,393 on March 20, 2006, entitled "Espiau Revised List of Proposed Motions." 7. Attached as Exhibit F is a true and correct copy of Paper No. 26 entered in

Interference No. 105,393 on March 20, 2006, entitled "Guthrie Amended Motions List Before Conference." 8. Attached as Exhibit G is a true and correct copy of Paper No. 27 entered in

Interference No. 105,393 on March 23, 2006, entitled "Order Motion Times Bd.R. 104(a)." 9. Attached as Exhibit H is a true and correct copy of Paper No. 28 entered in

Interference No. 105,393 on March 31, 2006, entitled "Espiau Motion 1 for Rehearing." 10. Attached as Exhibit I is a true and correct copy of Paper No. 29 entered in

Interference No. 105,393 on April 4, 2006, entitled "Decision­Rehearing­Bd.R. 125(c)." 11. Attached as Exhibit J is a true and correct copy of Paper No. 83 entered in

Interference No. 105,393 on February 27, 2007, entitled "Decision­Motions­Bd.R. 125(a)."
DECLARATION OF M. ARGENTI IN SUPPORT OF LUXIM'S MOTION TO DISMISS CASE NO.: CV 08 2575 SI

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12.

Attached as Exhibit K is a true and correct copy of Paper No. 88 entered in

Interference No. 105,393 on March 13, 2007, entitled "Miscellaneous Motion 6 (Request for Rehearing)." 13. Attached as Exhibit L is a true and correct copy of Paper No. 89 entered in

Interference No. 105,393 on March 20, 2007, entitled "Decision­On Rehearing­Bd.R. 125(c)." 14. Attached as Exhibit M is a true and correct copy of Paper No. 109 entered in

Interference No. 105,393 on June 15, 2007, entitled "Guthrie Priority Motion 7." 15. Attached as Exhibit N is a true and correct copy of Paper No. 118 entered in

Interference No. 105,393 on August 2, 2007, entitled "Espiau Substitute Motion 7 for Priority." 16. Attached as Exhibit O is a true and correct copy of Paper No. 254 entered in

Interference No. 105,393 on January 7, 2008, entitled "Record of Oral Hearing." 16. Attached as Exhibit P is a true and correct copy of Paper No. 256 entered in

Interference No. 105,393 on March 24, 2008, entitled "Decision on Priority Bd.R. 125(a)." 17. Attached as Exhibit Q is a true and correct copy of the transcript of a telephonic

conference before Administrative Patent Judge Medley, held on March 21, 2006, in the matter of Interference No. 105,393. 18. Attached as Exhibit R is a true and correct copy of Paper No. 86 entered in

Interference No. 105,393 on March 13, 2007, entitled "Decision­Interlocutory Motions­Bd.R. 125(b)." 19. Attached as Exhibit S is a true and correct copy of Paper No. 223 entered in

Interference No. 105,393 on September 20, 2007, entitled "Decision­Interlocutory Motions." 20. Attached as Exhibit T is a true and correct copy of Paper No. 51 entered in

Interference No. 105,393 on July 18, 2007, entitled "Guthrie Opposition to Espiau Motion 3." 21. Attached as Exhibit U is a true and correct copy of Paper No. 222 entered in

Interference No. 105,393 on September 12, 2007, entitled "Hearing Transcript September 11, 2007 Espiau Claims."

DECLARATION OF M. ARGENTI IN SUPPORT OF LUXIM'S MOTION TO DISMISS CASE NO.: CV 08 2575 SI

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22.

Attached as Exhibit V is a true and correct copy of the transcript of a telephonic

conference before Administrative Patent Judge Medley, held on March 8, 2008, in the matter of Interference No. 105,393. I declare under penalty of perjury under the laws of the United States of America that the foregoing is true and correct. Executed this 15th day of August, 2008. /s/ Matthew A. Argenti Matthew A. Argenti

DECLARATION OF M. ARGENTI IN SUPPORT OF LUXIM'S MOTION TO DISMISS CASE NO.: CV 08 2575 SI

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EXHIBIT A

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EXHIBIT B

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Paper ____ UNITED STATES PATENT AND TRADEMARK OFFICE BEFORE THE BOARD OF PATENT APPEALS AND INTERFERENCES 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 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 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 2.2 Trial Procedures Section . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 2.3 Trial Merits Section . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 2.4 Board staff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 1 2 2

¶ 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 ¶ 4.2 Settlement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

¶ 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 ¶ 7.3 Reference to earlier filed paper . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

¶ 8 Mandatory notices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
¶ 8.1 Real party-in-interest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 ¶ 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
¶ 10.1 Default mode - electronic mail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 ¶ 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 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 11.2 Other forms of communications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 11.3 Permissible contacts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 11.4 Refusal to participate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 11 11 11

¶ 12 Citation of authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
¶ 12.1 Copies of authority cited . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 12.2 Parallel citation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 12.3 Binding authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 12.4 Primary authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 12 12 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 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 105.2 Electronic filing procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 105.3 Service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 105.4 Format . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 105.5 Signature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 105.6 Exhibits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 17 18 19 20 20

¶ 106 Filing and service generally; in paper . . . . . . . . . . . . . . . . . . . . . . 20
¶ 106.1 General format of papers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 106.2 Combined papers and incorporation not permitted . . . . . . . . . . . . . . . . . ¶ 106.3 Transmittal sheets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 106.4 Service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 106.5 Filing in paper . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 22 22 22 23

¶ 108 Lead and backup counsel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 ¶ 109 Request for file copies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
¶ 109.1 Filing the request . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 109.2 Filling record requests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 109.3 Notification on non-receipt . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 109.4 Record of contested case . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 109.5 Access to paper files at Board . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 25 27 27 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 ¶ 121.3 Burden of proof . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30 iii

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¶ 121.4 Format . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 ¶ 121.5 Appendices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 ¶ 121.6 Claim chart alternative . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33

¶ 122 Oppositions and replies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
¶ 122.1 Numbering oppositions and replies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 122.2 Page limits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 122.3 Format . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 122.4 Appendices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 122.5 New issues in replies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33 33 34 35 36

¶ 123 Miscellaneous motions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
¶ 123.1 Mandatory conference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37 ¶ 123.2 Timeliness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37 ¶ 123.3 Recording conference calls . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37

¶ 124 Oral argument . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
¶ 124.1 Request for oral argument . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 124.2 Attendance; special needs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 124.3 Security; access . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 124.4 Demonstrative exhibits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 124.5 Transcription of oral argument . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37 38 38 38 39

¶ 125 Rehearing of decisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
¶ 125.1 Time for filing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 125.2 Format for request for rehearing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 125.3 Number of requests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 125.4 New evidence on rehearing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39 40 40 40

¶ 126 Settlement discussions required . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
¶ 126.1 Last-named party initiates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 126.2 Initial conference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 126.3 Subsequent conferences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 126.4 Filing notice of conferences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40 41 41 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 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 154.2 Exhibit labels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 154.3 Filing of exhibits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 154.4 Exhibit list . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 154.5 Evidence on DVD digital disc . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46 47 47 48 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 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 157.2 Required paragraph for affidavits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 157.3 Cross examination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 157.4 Order of cross examination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 157.5 Cross examination guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 157.6 Transcript . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 157.7 Observations on cross examinations . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52 52 53 54 54 55 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 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 208.2 Adding or substituting a count . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 208.3 Claim correspondence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 208.4 Benefit motions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 208.5 Responsive motions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 208.6 Priority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶ 208.7 Inequitable conduct . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60 60 61 62 63 65 66

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
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-- # the Trial Procedures Section and # 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, including but not limited to-- # declaration of interferences, # setting times for taking action, and # 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 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
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-- # in a motion, opposition, or reply, or # 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 filing date of the party's involved patent or application. If there are no such applications or patents the notice must state this fact. If, during the course of the proceeding, a party files an application claiming, or which may claim, the benefit of the filing date of an involved application or patent, a notice of the filing, including the application number, must be promptly served and filed. The Board may order a party to serve on an opponent a copy of any application or patent identified under this paragraph. ¶ 8.3 Notice of judicial review A party seeking judicial review must notify the Board of the complaint or notice of appeal within 20 days. Bd.R. 8(b). After a contested case ends, administrative tasks remain for the United States Patent and Trademark Office [Office] generally and for the Board particularly. Files need to be distributed, applications need to be allowed or abandoned, and notices of patent claim cancellation need to be published. If the Board

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does not receive timely, effective notice of judicial review, it proceeds on the assumption that no review has been sought. The Office may deem an application abandoned or may issue a patent to the opponent. At best, this leaves the litigant with a problem to correct. Failure to provide adequate notice may result in sanctions under Bd.R. 128.

¶ 9 Ownership determined from Office assignment record
In the absence of an assignment of record, the inventor is the presumptive owner of an involved patent or application. It is the responsibility of each party to ensure that its assignments are properly recorded at the Office. Failure to record an assignment can lead to adverse judgment in a contested case. Cases involving a United States government interest may be referred to the Civil Division of the United States Department of Justice. 28 C.F.R. § 0.45(f).

¶ 10 Communications with the Board
¶ 10.1 Default mode - electronic mail Electronic mail is the default mode of filing papers in a contested case. See SO ¶ 105. Papers authorized to be filed electronically must be electronically mailed as an attachment to: [email protected]. No papers unrelated to the contested case may be filed at this address. Papers relating to the contested case must not be mailed to any other USPTO.GOV address.

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The subject line may contain only the case number and the assigned administrative patent judge's initials in parentheses, e.g., in Patent Interference 105,000 before Administrative Patent Judge John Doe the subject line would be "105,000 (JD)". ¶ 10.2 Any United States Postal Service, including EXPRESS MAIL If mailed correspondence is authorized in a contested case, it must be addressed: Mail Stop INTERFERENCE Board of Patent Appeals and Interferences United States Patent and Trademark Office PO Box 1450 Alexandria Virginia 22313-1450 Caveat: Any delay resulting from an improper address (including any address provided in SO ¶¶ 10.3 & 10.4) will be attributed to the party. ¶ 10.3 Hand filing If hand-filed correspondence is authorized in a contested case, the filer must bear in mind that the delivery point lies inside the security zone on the first floor of: Madison East Building 600 Dulany Street Alexandria, Virginia The courier must pass through a magnetometer, and the correspondence must pass through an X-ray sensor. For authorized hand-filed correspondence other than boxes, the correspondence may be deposited in a drop-off box inside the security zone at the first floor lobby of the Madison East Building.

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¶ 10.3.1 Boxes Boxed correspondence cannot be deposited in the drop-off box. Instead, it must be delivered to Madison East, Room 9B55-A. Access to Room 9B55-A is available on business days from 8:30 a.m to 4:45 p.m. (Eastern Time, SO ¶ 100.2) only. The courier should approach the security guard station on the first floor of Madison East (near the elevators) and ask the security guard to call the Board at 571-272-9797 to obtain authorization to enter the building for a delivery to Room 9B55-A. ¶ 10.3.2 Correspondence filed after 4:45 p.m. Authorized hand-filed correspondence filed after 4:45 p.m. (Eastern Time, SO ¶ 100.2) will receive the next business day's filing date. If the Board receives the paper by 10 a.m. that next business day, it will be deemed to have been timely filed provided the paper was properly served the previous business day. ¶ 10.3.3 Stamped receipt If a stamped return receipt is required, the courier must personally deliver the correspondence and postcard receipt to Room 9B55-A between 8:30 a.m to 4:45 p.m. (Eastern Time, SO ¶ 100.2) only, or leave the postcard with the correspondence in the drop-off box. If the postcard is left in the drop-off box, it must include correct postage and the address where the postcard is to be mailed. ¶ 10.4 Overnight delivery services Papers authorized to be filed using a commercial overnight delivery service (see SO ¶ 10.2 for United States Postal Service) must be addressed:

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Board of Patent Appeals and Interferences Madison Building East, 9th Floor 600 Dulany Street Alexandria, Virginia 22313 Properly addressed papers filed are deemed filed on the date they are delivered to the overnight delivery service. ¶ 10.5 Telephone calls Telephone calls to the Board regarding a contested case must be directed to 571-272-9797. A telephone call requesting a conference call must be directed to Trial Division support staff. When arranging a conference call, be prepared to discuss with a Trial Division paralegal why the call is needed and what materials should be before the Board participant during the call. ¶ 10.6 Facsimile The facsimile number for contested cases is 571-273-0042. Do not send papers exceeding five (5) pages in length without prior permission from Trial Division support staff. Do not file a confirmation copy. Such copies tend to cause duplicate entries (in violation of Bd.R. 7(b)) among other problems.

¶ 11 Ex parte communications
The prohibition on ex parte communications is strictly enforced. ¶ 11.1 Papers A properly served paper should not result in an ex parte communication.

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¶ 11.2 Other forms of communications Improper communications typically arise in telephone calls, electronic mail messages, or public meetings. Telephone calls should be conference calls with each opposing party included. Electronic mail messages, when authorized, should include the opposing party in the "To" line or the "Cc" line. Discussion of specific pending contested cases should not occur at public meetings. ¶ 11.3 Permissible contacts The following types of contacts are not ex parte communications-- # contact of a ministerial nature directed to support staff, # contact of a general nature directed to Board management, or # contact under a rule requiring reference to a different contested case, provided the contact does not involve the merits of the other contested case. A call to a Trial Division paralegal to arrange a telephone conference is a typical example of a ministerial contact with support staff. SO ¶ 10.5. A general comment, made apart from a particular contested case, on a Board rule with examples drawn from actual experiences is an example of the second kind of permissible contact. Identification of a related case pursuant to Bd.R. 8(b) and SO ¶ 8.2 is an example of the third kind of contact. ¶ 11.4 Refusal to participate The Board may permit a hearing or conference call to take place even if a party refuses to participate. In such instances, the Board may require additional safeguards,

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such as the recording of the communication and the entry of the recording into the record.

¶ 12 Citation of authority
¶ 12.1 Copies of authority cited A party must file and serve a copy of any authority on which it relies. A party must not assume that the opponent or the Board has access to the authority. An authority reported in (1) United States Reports or West Publishing Company's Supreme Court Reporter, (2) the second or third series of West's Federal Reports, or (3) the Bureau of National Affairs' United States Patents Quarterly is exempt from the requirement to file and serve a copy. ¶ 12.2 Parallel citation Examples of proper parallel citation as required under Bd.R. 12(a)(2)-- # Aelony v. Arni, 547 F.2d 566, 192 USPQ 486 (CCPA 1977). # In re Deckler, 977 F.2d 1449, 24 USPQ2d 1448 (Fed. Cir. 1992). ¶ 12.3 Binding authority The following types of decisions are binding precedent-- # Decisions of the United States Supreme Court. # Decisions of the Federal Circuit, the former Court of Customs and Patent Appeals and the former Court of Claims announced before the close of business on 30 September 1982. # Decisions of the Director of the United States Patent and Trademark Office (formerly the Commissioner of Patents and Trademarks).

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# Decisions of the Board of Patent Appeals and Interferences that have been determined to be binding precedent in accordance with established Board procedures. # Trial Division decisions that have been designated as precedential. Decisions of other federal courts and non-precedential decisions of the Board may be cited, but are not binding precedent. ¶ 12.4 Primary authority Only primary authority should be cited. Secondary authorities summarizing primary authority are never binding and are inherently less persuasive. Primary authority includes: (1) the United States Code, (2) the Code of Federal Regulations, (3) notices published in the Federal Register or the Official Gazette, and (4) binding precedent. The Manual of Patent Examining Procedure, a guide for patent examiners prepared by the Office of the Commissioner for Patents, is not itself primary authority except as a statement of patent examining practices.

¶ 20 Fees
No fees are charged for papers filed in the ordinary course of a contested case. Occasionally, a paper filed in a contested case must also comply with another rule. Bd.R. 121(c)(2). Compliance with the other rule may require payment of a fee. If so, then payment must be made at the time the paper is filed.

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¶ 100 Days and times
¶ 100.1 Business day The Board is officially open for business on business days. Occasionally the Board may act or may expressly require a party to act on a day that is not a business day. ¶ 100.2 Time standard All times stated in the Standing Order and other Board orders (except as expressly provided) are for Eastern Time, the local time for the Board of Patent Appeals and Interferences­either Eastern Standard Time or Eastern Daylight Savings Time, as appropriate.

¶ 101 Notice of proceeding
¶ 101.1 Declaration of interference The notice initiating an interference is called a Declaration. See 35 U.S.C. 135(a) ("an interference may be declared"). ¶ 101.2 Maintaining proper address While the Board is authorized to provide notice by means other than mailing to the correspondence address of record, it is ultimately the responsibility of the application or patent owner to maintain a proper correspondence address. Ray v. Lehman, 55 F.3d 606, 610, 34 USPQ2d 1786, 1788 (Fed. Cir. 1995).

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¶ 102 Completion of examination
In most cases the public interest is best served by completion of examination before any contested case is initiated. Exceptions may occur on a case-by-case basis, but the Board may then require parties to address such issues. For example, an applicant might be required to cancel and refile claims that do not correspond to an interference count because such claims are not entitled to a patent term adjustment.

¶ 103 Jurisdiction over related files
¶ 103.1 Access to related files The Board temporarily may restrict public access to related files, such as paper files for accorded benefit applications, to ensure that the parties can obtain timely copies of such files. See SO ¶ 109. ¶ 103.2 Action in related files The Board does not ordinarily take action in a file not involved in the proceeding, but occasionally a decision on a motion will require action in a related file.

¶ 104 Modification of the Standing Order
¶ 104.1 Modification of Standing Order An administrative patent judge may modify the terms of the Standing Order.

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¶ 104.2 Times for motions phases The Board generally initiates a conference call to set times for the motion periods. For interferences, the date and time for the conference call typically appear in Part D of the Declaration. ¶ 104.2.1 Motions list A list of proposed motions (see Bd.R. 204(c) and SO ¶ 204) must typically be filed no later than four business days prior to the conference call to set dates. This requirement improves the administration of justice by-- # helping the Board and counsel arrive at an appropriate schedule for taking action, # permitting the Board to determine whether the listed motions are both necessary and sufficient to resolve the issues raised, and # revealing the possibility that there may be a dispositive motion, see, e.g., Bd.R. 201 (threshold issue). With prior Board approval a party may be permitted to file an unlisted motion, but the set times are not likely to be changed to accommodate the unlisted motion. Sample orders setting times for the preliminary motion (Form 2) and priority motion (Form 3) phases of an interference are reproduced in the Appendix of Forms. The parties should discuss the appropriate order prior to the conference call and try to agree on dates for taking action. Note that in each order, the parties may usually stipulate changes to the first six times, but not to the last three times.

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¶ 104.2.2 Additional discovery If additional discovery will be needed to support a proposed motion, the movant should include a miscellaneous motion for such discovery in the list of proposed motions. Bd.R. 121(a)(3); SO ¶ 123.

¶ 105 Electronic filing
¶ 105.1 Filing in paper Filing in paper is not permitted unless expressly authorized. A party that is unable to comply with the electronic filing requirement must promptly arrange a telephone conference using the procedure for an opposed miscellaneous motion, Bd.R. 123(b)(1)(ii); SO ¶ 123. ¶ 105.2 Electronic filing procedures ¶ 105.2.1 Time to file A paper must be filed no later than 5:00 p.m. (Eastern Time, SO ¶ 100.2) on the day the paper is due. ¶ 105.2.2 Separate files Each paper (not each page) must be a separate ADOBE® portable document format [pdf] file. ¶ 105.2.3 Papers as an attachment no greater than 1 megabyte A paper that is not larger than 1 megabyte in size must be electronically mailed as an attachment to: [email protected].

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No information other than the title of the attachment may appear in the message body, for example, "Jones Motion 1". The file name of the attachment must concisely identify the document, for example, "Jones Motion 1.pdf". ¶ 105.2.4 Sender A paper may only be filed from an address at the domain name of the party's counsel of record (or, if no counsel is appointed, the electronic mail address of record for the party). ¶ 105.2.5 Paper larger than 1 megabyte; collections of exhibits A paper larger than 1 megabyte, or a collection of exhibits, may not be electronically mailed as provided above. Instead, it must be delivered as provided in SO ¶¶ 10.2-10.4 on a compact disc or a 3¼ inch diskette that is compatible with MICROSOFT® WINDOWS XP®. If a hearing has been requested, four copies of the disc or diskette must be filed. ¶ 105.3 Service A paper must be served via electronic mail. ¶ 105.3.1 Simultaneous filing and service If, when the paper is electronically filed with the Board, the opposing party is included as an addressee, then no additional certificate of service is required. The electronic mail message will function as the certificate of service.

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¶ 105.3.2 Delayed service If the paper is not served via the electronic mail message in which the paper is filed, then the paper must be served in a separate electronic mail message no later than 6:00 p.m. (Eastern Time SO ¶ 100.2) the day the paper is due. The paper as filed must include a certificate of service stating the time of service in addition to the date and manner of service. Bd.R. 106(f)(3). ¶ 105.4 Format ¶ 105.4.1 Portable document format required All papers, excluding exhibits, must be filed in ADOBE® portable document format [pdf]. Papers must be filed in text-searchable pdf whenever reasonably possible. Each party is responsible for the accuracy of its pdf files. ¶ 105.4.2 Paper size Each paper created for the contested case should be formatted for printing on 8½ inch × 11 inch paper. ¶ 105.4.3 Waiver of requirements The following paper formatting requirements in the Board rules are waived for electronically filed papers-- # Bd.R. 106(b)(2) - two-hole punch; and # Bd.R. 106(c) - working copy.

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¶ 105.5 Signature ¶ 105.5.1 Papers other than exhibits A paper other than an exhibit must be signed using an S-signature (see 37 C.F.R. § 1.4(d)(2)). Board papers will only be signed using an S-signature. ¶ 105.6 Exhibits An exhibit with a handwritten signature in the exhibit must be scanned to preserve the appearance of the signature even if other portions of the exhibit are converted to a text-searchable format. An affidavit must have an original signature.

¶ 106 Filing and service generally; in paper
A paper or exhibit that is not timely filed and properly served will not ordinarily be considered. One consequence may be that the relief sought is not granted for failure to move or for failure to prove. Cf. SO ¶ 121.3. ¶ 106.1 General format of papers ¶ 106.1.1 Caption The heading shown in Part G of the Declaration must be used in all papers other than non-affidavit exhibits. Affidavits other than deposition transcripts must use the heading, but other exhibits do not need to use the heading. Form 1 in the Appendix of Forms shows a sample caption for an interference.

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¶ 106.1.2 Style The style of each paper must appear on a single line and must not use the words "et al". Styles for papers other than motions, oppositions, and replies must be simple and descriptive. Examples for papers other than motions, oppositions and replies include-- # JONES DESIGNATION OF LEAD ATTORNEY # SMITH DESIGNATION OF REAL PARTY IN INTEREST # JONES REQUEST FOR FILE COPIES # SMITH PRIORITY STATEMENT # JONES SERVICE OF REFERENCES # SMITH CLEAN COPY OF CLAIMS (with drawing numerals) # SMITH CLEAN COPY OF CLAIMS (means-plus-function annotation) ¶ 106.1.3 Paper size The Board's facilities for maintaining paper records are designed to work best with 8½" x 11" paper. Occasionally an exhibit must be reproduced on a larger paper size to preserve detail. In such instances, a larger paper format is permitted, but the paper should be folded to permit entry as a 8½" x 11" paper. ¶ 106.1.4 Line Numbering For papers other than exhibits, every page (not including the cover sheet, any table of contents, any table of authorities, required appendices, and the certificate of service) must have line numbering to facilitate precise citation between papers. See, e.g., SO ¶ 122.3.

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¶ 106.1.5 Footnotes The use of footnotes is discouraged. Footnotes must be double-spaced. ¶ 106.2 Combined papers and incorporation not permitted An opposition must respond to only a single motion and a reply must respond to only a single opposition. Incorporation by reference and combined papers are prohibited to reduce the chance risk of overlooking an argument and to improve the efficiency of decision making. Incorporation of arguments by reference amounts to a self-help increase in the length of the brief and a pointless imposition on the Board's time. Each motion, opposition, and reply must make all arguments accessible to readers, rather than ask them to play archeologist with the record. DeSilva v. DiLeonardi, 181 F.3d 865, 866-67 (7th Cir 1999). The ban on incorporation by reference does not mean that relief in a paper cannot be made expressly contingent on some result arising out of another paper. Indeed, noting such contingencies is strongly encouraged. ¶ 106.3 Transmittal sheets Do not file a transmittal sheet listing papers being filed except an exhibit list may be filed when more than one exhibit is being filed. ¶ 106.4 Service ¶ 106.4.1 Certificate of service Each paper (other than an exhibit) must have a separate certificate of service, incorporated as the last page of the paper, to permit the Board to verify that each paper has been served.

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¶ 106.4.2 Alternatives to EXPRESS MAIL For service in paper or of electronic media, any mode of service that accomplishes same-day or overnight delivery of the paper (e.g., by hand, facsimile, or a commercial overnight delivery service) may be substituted for EXPRESS MAIL service. ¶ 106.4.3 Papers served but not filed The following papers must be served on an opponent, but should not be filed with the Board at the time of service-- # An objection to the admissibility of evidence, # A notice requesting cross-examination, and # Automatic discovery pursuant to Bd.R. 150(b)(1). Such papers may be filed later as exhibits if a dispute arises with respect to the paper served. For instance, an objection to the admissibility of evidence may be filed as an exhibit for a motion to exclude. Bd.R. 155(c). ¶ 106.5 Filing in paper Electronic filing is the default filing mode. SO ¶¶ 10.1 & 105. The following provisions apply only in the unusual situation that paper filing is authorized-- # The first page of each paper must be pink. Bd.R. 106(b)(1)(ii). # The paper must have the two holes required in Bd.R. 106(b)(2). # A working copy must also be filed and must be marked "APJ COPY" at the top first page. Bd.R. 106(c).

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¶ 108 Lead and backup counsel
The notice identifying counsel under Bd.R. 108(b) must identify both a lead counsel and a backup lead counsel, and must provide for each the contact information specified in Bd.R. 108(b)(1)-(b)(5). If lead counsel or backup counsel are not counsel of record (37 CFR §§ 1.32 and 1.34) in the involved application or patent, then a power of attorney must be filed with the Board for entry in the involved patent or application file within the fourteen (14) day period of Bd.R. 108(b).

¶ 109 Request for file copies
¶ 109.1 Filing the request ¶ 109.1.1 Time for filing request A party seeking copies of an involved or benefit file mentioned in the Declaration must, within fourteen (14) days of the date of the Declaration, file with the Board (not another part of the Office) a separate paper styled [Name of party] REQUEST FOR FILE COPIES to which is attached a completed FILE COPY REQUEST. See Form 4 in the Appendix of Forms. Failure to request copies of files at the beginning of the contested case will rarely constitute a basis for granting an extension of time (Bd.R. 4(a)). Thus, a party should not expect an extension of time based on nonreceipt of a requested file if the party did not timely place an order for copies or timely advise the Board of non-receipt of a file.

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¶ 109.1.2 Deposit Account A party may charge the cost of the file request against its deposit account. If so, the party should keep the following points in mind. ¶ 109.1.2.1 Authorization to charge Deposit Account The individual requesting the file must be authorized to charge a fee to the identified deposit account. "Authorized" means authorized by the records of the Office. "Authorized" to charge a deposit account is not the same thing as being an attorney of record in the case-- # the authorized individual does not have to be a registered practitioner, and # a registered practitioner is not automatically authorized to charge a deposit account. If the individual is not authorized, the Office of Public Records [OPR] will not fill an order even if the Deposit Account has sufficient funds. ¶ 109.1.2.2 Adequate Deposit Account balance If the balance in a Deposit Account is not sufficient to cover the costs of the requested copies, the order will not be filled. 37 C.F.R. § 1.25. ¶ 109.2 Filling record requests There are at least three kinds of records-- # Image File Wrappers [IFW], which are downloaded to a disk and sent to the individual who requested a file copy. # Paper files, which are copied and sent in paper form to the individual who requested a file copy. # "Artifacts", which includes such things as colored documents, plant patent drawings, or video tapes.

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Paper files are copied in one part of OPR and IFW files are downloaded to disks in another part of OPR. An order is considered "filled" when-- # An IFW is downloaded, or # A paper file is copied. Consequently, for the same "file", an IFW portion, an artifact portion, and a paper file portion of the same order may be filled at different times. A party receiving a record from the Office should not be surprised if, for instance, the IFW portion arrives before the paper file portion or the artifact portion. Patent Cooperation Treaty [PCT] applications If a benefit or potential benefit application is a PCT application that was filed in the Office, there may be a paper file, but no IFW at this time. If there is a paper file and it is transmitted to OPR, they will copy the PCT paper file and fill an order. The Office does not have copies (IFW or paper) of PCT applications filed elsewhere in the world. Foreign benefit applications Foreign benefit applications generally appear as a certified copy in an involved or benefit file. The Office generally does not maintain a separate file for the foreign benefit application. Consequently, before notifying the Board that it has not received a foreign benefit application, a party should first confirm that the application has not been delivered as part of an involved or benefit file. Copies of a United States patent mentioned in an IFW file The IFW files generally do not include copies of U.S. Patents cited by the examiner or the applicant. A party receiving a copy of an IFW file should not be surprised that

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copies of any U.S. patent cited in the IFW record are not included. Copies of any U.S. patent may be obtained through the PTO's website: http://www.uspto.gov/patft/index.html ¶ 109.3 Notification on non-receipt Within twenty-one (21) days of the date of the Declaration, the Board forwards all timely requests and necessary files to the Office of Public Records [OPR]. The Trial Division enters an order notifying the parties that their respective orders have been transmitted to OPR. OPR makes the copies, which are shipped via overnight commercial courier within fourteen days of receipt of the order. The shipment may be separated into more than one package. See SO ¶ 109.2. The transmittal order instructs parties to advise the Board promptly if complete copies are not received consistent with this schedule. ¶ 109.4 Record of contested case The record for the contested case does not include any involved application or patent or any accorded benefit files, all of which are maintained as separate files. Ordering the record for the contested case will not result in receipt of copies of the involved files. There should rarely be any need for a party to order the record for the contested case during the pendency of the contested case before the Board. ¶ 109.5 Access to paper files at Board During the pendency of a contested case, involved files (other than files that are maintained as Image File Wrapper records) may be inspected only at the Board. Moreover, paper files are unavailable while OPR is making copies.

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¶ 110 Copies of claims
A movant seeking to add a claim must comply with the requirements of Bd.R. 110(c) for the proposed claim. A movant seeking to have a claim designated as corresponding to a count must provide a clean copy, and where applicable an annotated copy, of the claim as an appendix to the motion unless such copies have already been filed for the claim. Clean copies of claims and of biotechnology sequences are required because claims and sequences are often spread throughout an application file. In patents, there are often certificates of correction. The filing also provides an early opportunity to identify any divergence between what the party believes its claims to be and what the record actually shows. Annotated copies of the involved claims allow all parties and the Board to understand the precise meaning of limitations in the claims. An example follows: An apparatus comprising a first valve { Fig. 2, item 25 }, means for printing { page 5, line 8 through page 6, line 1; Fig. 3, items 45 and 46 }, and a second valve { Fig. 3, item 98 } * * *.

¶ 120 Types of notices of basis for requesting relief
The principal types of notices under Bd.R. 120 in interferences are priority statements and motions lists. More detail is provided in Bd.R. 204 and SO ¶ 204. The Trial Procedures Section will be more flexible in accepting changes in the motions list 28

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than in the priority statement; however, the practice under Bd.R. 120 is intended to be more rigorous than it was prior to the adoption of the current rules on 13 September 2004. An accurate motions list is necessary to provide the Board and the opposing parties adequate notice to plan for the proceeding. Facially inadequate motions lists can no longer be cured by filing whatever motion a party may please whether it was listed or not.

¶ 121 Motions
Relief on the merits of a case must be sought through a substantive or responsive motion. Miscellaneous motions are for seeking procedural relief. All motions require prior Board authorization except unopposed miscellaneous motions, SO ¶ 123. ¶ 121.1 Title and numbering of motions Each motion of each party must be numbered consecutively, start