post-grant review in japan · pre-grant opposition patent law 1921 patent law 1994 patent law 2003...

Post-Grant Review in Japan

Toshifumi OnukiInternational Activities Center

Japan Patent Attorneys Association

Peter SchechterPartner

Osha Liang LLP

Discover IP JAPAN 2018

Houston, January 30, 2018


Toshifumi OnukiInternational Activities Center

Japan Patent Attorneys Association

Kerry S. Taylor, Ph.D.Partner

Knobbe Martens


San Diego, February 1, 2018


Three Tools for PGR in Japan

Comparison of PGR – JP vs US

How to Use PGR Tools

SummaryDiscover IP JAPAN 20183


Type of PGRs

History of PGRs

Proceedings of PGRs

Comparison of Three PGRs



Type of PGRs

History of PGRs

Proceedings of PGRs



Three Tools for PGR

- Type of PGRs -

Opposition

Invalidation Trial

Citation of Prior Art



Type of PGR

History of PGRs

Proceedings



Three Tools for PGR

- History of PGRs -

AIPLA-JPAA Joint Meeting 2014

Invalidation Trial

Pre-Grant Opposition

Patent

Law

1921

Patent

Law

1994

Patent

Law

2003

Post-Grant

Opposition Opposition

Invalidation

Trial

Citation of

Prior ArtPre-grant

Post-grant

Post-Grant

Opposition

Patent

Law

2015

8


Type of PGR

History

Proceedings of PGRs



Proceedings


Opposition


Opposition Proceeding (1) JPO PatenteePetitioner

Patent Publication

Forwarding Copy

Starting Trial

Copy of

PetitionPetition

Issuance of Patent

11

6 M

sTri

al

Sta

tuto

ry

Perio

d

Request for

Correction

Opposition Proceeding (2)

Any Grounds?

Notification of reasons

for revocation

Inquiring

Response

Proceeding Trial

Yes

No

PatenteePetitioner JPO

Trial Decision

Request for

Correction

Cl./Spec.

Written

ArgumentResponse

Appeal to IP

High Court


Av

e.

5.8

Mo

nth

s

Appeal to IP

High Court

Notification of reasons

for revocation

Written

Argument

Proceedings


Invalidation Trial


Invalidation Proceeding (1) JPO PatenteeRequester

Invitation to Reply

27 D

s

Request for

Correction

Request for Trial

14

Answer

Invitation to Rebuttal

Rebuttal

95 D

s17 D

s52 D

s46 D

s

Trial Date Arrangement

Trial Issue Notification

Ave

.A

ve

.A

ve

.A

ve.

Ave

.


Invalidation Proceeding (2) JPO PatenteeRequester

15

Trial Date Arrangement

Trial Issue Notification

70 D

s

Statement

Summary

Statement

Summary

Oral Hearing

Decision Notice Request for

Correction

Cl./Spec.Invitation to RebuttalRebuttal

Trial Decision

96 D

s

Appeal to IP

High Court

Appeal to IP

High Court

Ave.

Ave.

Proceedings


Citation of Prior Art


Citation of Prior ArtJPO ApplicantThird Party

Laid-open to public

18 M

s

Amendments

Application filing

17

Request for

Examination

Prior Art

Office Action

Response

11 M

s

Decision to Grant

Patent PublicationRegistration fee

Prior ArtInvalidation Trial

Correction Trial

1 y

ear

Patentee

Sta

tuto

ry

Pe

rio

d

Ave.

Ave.

3 Y

ears

Sta

tuto

ry

Pe

rio

d

Prior Art

3-6

MsSta

tuto

ry

Pe

rio

d


Type of PGR

History of PGRs

Proceedings of PGRs



Three Tools for PGR

- Comparison of Three PGRs -


Item Opposition Invalidation

Trial

Citation of

Prior Art

Character Ex-parte Inter-parte Ex-parte

When 6 months

from grant

Anytime after

registration

Anytime

Who Anyone Interest person Anyone

Anonymous Not Allowed Not Allowed Allowed

Use of

other’s name

Possible Possible Possible

Three Tools for PGR




Trial

Citation of

Prior Art

Grounds Public interest

(novelty,

inventive step,

description, new

matter etc.)

Public interest,

ownership,

ex-post

reasons

Public interest,

(novelty,

inventive step,

description, new

matter etc.)

Patentee’s

Arguments/

Correction

Allowed Allowed Not Available

Proceeding Documents

only

Oral &

Documents

Documents

only

Three Tools for PGR




Trial

Citation of

Prior Art

Opponent’s

Rebuttal

Possible Possible Not Available

Double

JeopardyNot applicable Applicable Not Available

Appeal Possible Possible Not Available

Official Fee ¥16500

+¥2400/claim

¥49500

+¥5500/claim

Free of

charge

Three Tools for PGR



Item Opposition Invalidation Trial

Average

Period5.8 months 10.5 months

Likelihood

of success9% revoked

(49% narrowed)

18%(including

invalidated in part)

Comparison


Oppositi

on (JP)

Ex Parte

Reexam

(US)

vs.

Comparison- Opposition (JP) vs Ex Parte Reexam (US) -


Item Opposition JP Ex Parte Reexam US

Character Ex-parte Ex-parte

When 6 Ms from patent

publication

Anytime after grant

Who Anyone Anyone

Anonymous Not Allowed Allowed

Use of other’s

name

Possible Not Applicable



Issuance of

Preliminary

Decision

Not Available Reexam order

Grounds Novelty, inventive

step, description,

etc.

Novelty, obviousness,

double patenting only

based on publication

Patentee’s

Arguments/

Correction

Allowed Allowed




Discovery Not Available Not Available

Oral Hearing Not Available Interview

Double

JeopardyNot Applicable Not Applicable

Appeal Possible Possible, first PTAB


+¥2400/claim

$12000/$6000/$3000

Large/Small/Micro




Ave. Period 5.8 months ~24 months

Likelihood

of success

9% revoked, 49%

narrowed*1

12% revoked, 67%

narrowed*2

Comparison- Opposition (JP) vs Ex Parte Reexam

(US) -

*1: JPO statistics as of end of November 2017

*2: from USPTO statistics fiscal year 2017 at

https://www.uspto.gov/sites/default/files/documents/ex_parte_historical_stats_roll_up.pdf

https://www.uspto.gov/sites/default/files/documents/ex_parte_historical_stats_roll_up.pdf

Comparison


Inter Partes

Review

(US)

vs.

Post

Grant

Review

(US)Invalidation

Trial (JP)


Item Invalidation

Trial (JP)

Post-Grant

Review (US)

Inter Partes

Review (US)

Character Inter-partes Inter-partes Inter-partes

When Anytime after

registration

9 months

from grant

Anytime

after grant*

Who Interest

person

Anyone? Anyone?

Anonymous Not Allowed Not Allowed Not Allowed

Use of

other’s name

Possible Impossible (Real

interest person)

Impossible (Real

interest person)

Comparison- Invalidation Trial (JP) vs

Post-Grant Review / Inter Partes Review (US) -


Item Invalidatio

n Trial (JP)

Post-Grant

Review (US)

Inter Partes

Review (US)

Grounds Patentability,

Ownership,

Ex-post

reasons

Any

patentability

ground

Novelty,

obviousness,

publications

only

Patentee’s

Arguments/

Correction

Allowed Allowed but

amendments

extremely rare

Allowed but

amendments

extremely rare

Discovery Not Available Limited Limited




Item Invalidation

Trial (JP)

Post-Grant

Review (US)

Inter Partes

Review (US)

Issuance of

Preliminary

Decision

Not Available Institution

Decision

Institution

Decision

Opponent’s

Rebuttal

Possible Possible Possible

Double

JeopardyApplied Applied Applied

Appeal Possible Possible Possible




Item Invalidation

Trial (JP)

Post-Grant

Review (US)

Inter Partes

Review (US)


+¥5500/claim

$38000+$1200/

excess claim

$30500+$900/

excess claim

Ave. Period 10.5 months Must completed

within 12 months

Must completed

within 12 months

Likelihood

of success

18% (including

invalidated in

part)

56%*3 (for all IPR/PGR/CBM )

Flexibility Interactive less interactive less interactive



*3: from USPTO statistics as of 09/30/2017 at https://www.uspto.gov/sites/default/files/documents/Trial_Stats_2017-09-

30.pdf

https://www.uspto.gov/sites/default/files/documents/Trial_Stats_2017-09-30.pdf


- Citation of Prior Art -


Use Pre-Grant Citation of Prior

Art before first Office Action

Use Post-Grant Citation of Prior

Art when to have correction trial

examiners notice documents

Use Citation of Prior Art when to

submit non-patent documents


- Opposition -


Use Opposition when offending

claims has been finally granted

Use Opposition if you want to

conceal your identification

Use Opposition if you have

documents (including non-patent

ones) not used during

examination


- Invalidation Trial -


Use Invalidation Trial if failed to

revoke offending patent in

Opposition

Use Invalidation Trial if you are

involved in infringement lawsuit

If you have an important

application, file a divisional just

in case

Summary


If you have any offending patent

or application to remove

If you are a patentee

If you have any offending patent

or application to remove


Want to remove any offending

patent / application ?

Submit prior art

NO

YES

Patented ?Examination

requested ?

YES

NOKeep monitoring

NO

YES

Opposition

possible ?Want to conceal

your name ?

YES File Opposition by

someone’s name

YES

NOFile Opposition by

your nameNO

Involved in

litigation ?

YESConsider invalidation

trial as option

NO

File invalidation trial

If you are a patentee


Just got Decision

to Grant ? File divisional

Want to file

lawsuit ?

YES

NO

YES

Knowing strong

prior art ?

YES Submit the prior art

NO

File infringement lawsuit

Important ?YES

File correction trial

NO


TOSHIFUMI [email protected]

TMI Associates

Thank you for your attention