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The Use and Abuse of Patent Reexamination: Sham Petitioning Before the USPTO


Raymond A. Mercado


Duke University

January 17, 2012

Columbia Science and Technology Law Review, Vol. 12, pp. 92-158, 2011

Abstract:     
This article investigates the susceptibility of the patent reexamination process to abuse and argues that “sham petitioning” in the reexamination context threatens to undermine the quid pro quo of the patent system, jeopardizing the objectives of innovation and disclosure by weakening the incentive of the patent right. Since reexamination casts a cloud on the validity of a patent and harms enforceability, the patent holder subject to such a proceeding instigated under false pretenses can be deprived of the economic benefits his patent should otherwise have afforded him. To say nothing of the possibility that any fraud on the part of those requesting reexam might never be discovered and the patent canceled on the basis of false evidence, these proceedings routinely take years to resolve, wasting valuable patent life even when the patent’s validity is ultimately confirmed. In an effort to help craft a solution, the article explores the ways in which reexamination is vulnerable to abuse and looks closely at several instances of alleged misconduct. It contends that state tort remedies provide patent holders subject to unwarranted proceedings an adequate recourse for harms suffered. It also comments on a recent case in which the Federal Circuit was asked to consider whether such remedies are preempted, arguing that the court's surprising decision to affirm without opinion perpetuates uncertainty throughout the patent system and evades important questions of first impression. Finally, a number of proposals are offered with a view to curbing abuse in current and future variants of the reexamination process

Number of Pages in PDF File: 67

Keywords: Sham Petition, Patents, Patent law, Reexamination, PTO, Inequitable Conduct, Misconduct, Fraud, Torts, Malicious Prosecution, Federal Circuit, Preemption, Buckman

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Date posted: February 18, 2010 ; Last revised: February 12, 2013

Suggested Citation

Mercado, Raymond A., The Use and Abuse of Patent Reexamination: Sham Petitioning Before the USPTO (January 17, 2012). Columbia Science and Technology Law Review, Vol. 12, pp. 92-158, 2011. Available at SSRN: http://ssrn.com/abstract=1554061

Contact Information

Raymond A. Mercado (Contact Author)
Duke University ( email )
100 Fuqua Drive
Durham, NC 27708-0204
United States
HOME PAGE: http://www.duke.edu/~ram50/
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