• Published Patent Applications Are Prior Art as of the Filing Date, Not the Publication Date

    By Joshua Rich

    Federal Circuit SealLynk Labs raises a simple question of statutory interpretation with surprisingly important ramifications:  in inter partes review, is a published patent application considered prior art as of the date of filing or the date of publication?  The former answer has been how the law has long been applied and would comport with Federal court practice, but Lynk argued that Congress had chosen the latter approach by keeping the language that had been in the statute for decades before IPRs existed and not expressly including patent applications as a separate category of available art.  The Federal Circuit found that the statutory language governed only whether a reference could constitute prior art, not when it would.  As a result, the Court rejected Lynk's approach and decided that patent applications, like patents, are treated as prior art as of the filing date.

    The issue arose out of Samsung's IPR challenge to Lynk's U.S. Patent No. 10,687,400.  The '400 Patent relates to alternating current ("AC")-driven light emitting diodes ("LEDs"), LED circuits, and AC drive circuits and methods.  Basically, it covers the type of lighting now used in many Christmas tree lights:  "an LED circuit array comprising an LED circuit comprising a plurality of LEDs connected in series" and a number of other elements, "wherein a forward voltage of the LEDs of the LED circuit array matches the rectified input AC voltage output" of a connected driver.[i]

    Samsung brought its IPR based on an argument that the claims were obvious in light of numerous combinations of prior art.  Importantly, many of the combinations relied on U.S. Patent Application Publication No. 2004/0206970 (the "Martin Application").  The Martin Application was filed more than one year before the application that ripened into the '400 Patent, but published several months after the filing; it never issued as a patent.  Given those circumstances, Lynk argued that the Martin Application was potential prior art as a "printed publication," not a published patent application (to the extent that is a separate category under the Patent Act) and would not qualify as prior art in this case because it was not printed until after the '400 Patent's critical date.  The PTAB disagreed and found all of the relevant claims unpatentable.[ii]

    Lynk appealed, arguing that IPRs are limited to "patents and printed publications,"[iii] and published patent applications could only be considered the latter.  That is, unlike the pre-AIA § 102 that applied here, the scope of IPRs does not explicitly contemplate published patent applications in any context separate from the printed publications referenced in §§ 102(a) and (b).  It follows, according to Lynk's  reasoning, that published patent applications should be treated like all other printed publications for purposes of determining the prior art date, regardless of the provisions of § 102(e)(1) that relate specifically to published patent applications.  Lynk argued that the use of the long-used term "printed publications" carried with it the "old soil" of prior uses and court opinions.

    It is true that the terms "patents and printed publications" have long been used in patent law and post-grant review proceedings.  Since 1980, there have been opportunities for post-grant review of patents:  first ex parte reexamination (created by the 1980 Patent Act), then inter partes reexamination (created by the 1999 American Inventors Protection Act), and most recently post-grant review and inter partes review (created by the 2011 America Invents Act).  Throughout that time, the identification of available prior art has remained the same:  "patents and printed publications."[iv]  But in truth, the parameters for what is available to challenge the validity of patents — both in USPTO proceedings and in district court litigation — have changed.  Prior to the AIPA, the USPTO had maintained strict secrecy over patent applications so there were no published patent applications.  Then, the AIPA ushered in the era of published patent applications and added the "secret prior art" provisions of § 102(e), establishing that a patent would be invalid if:

    the invention was described in

    (1) an application for patent, published under section 122(b), by another filed in the United States before the invention by the applicant for patent or

    (2) a patent granted on an application for patent by another filed in the United States before the invention by the applicant for patent, except that an international application filed under the treaty defined in section 351(a) shall have the effects for the purposes of this subsection of an application filed in the United States only if the international application designated the United States and was published under Article 21(2) of such treaty in the English language

    Those two changes under the AIPA set the stage for the Federal Circuit's decision in Lynk Labs.

    Lynk had admitted that published patent applications constitute "printed publications," but argued that whether they are prior art should be considered under the paradigms of § 102(a) and (b) regardless of the language added by the AIPA.  It argued that it would be anomalous to treat documents within the ambit of printed publications differently based on what type of printed publication they are.  And it had on its side older court decisions that suggested that all printed publications should be treated as prior art only when they are published.

    The Federal Circuit recognized that Lynk's position found some support in older case law, but reasoned otherwise based on the language of the entirety of § 102.  It found the addition of § 102(e) dispositive because it specifically addressed the timing of prior art status of published patent applications.  And responding to the anomaly Lynk pointed out, it noted another one if it applied the test urged by Lynk — that published patent applications would not be treated the way set forth in § 102(e), but patents would be.  In a bit of statutory interpretation legerdemain, the court suggested this was all just a plain language reading of §§ 311 and 102.  A better approach would have been to use the canons of construction that suggest that the proper reading of a statute gives effect to all of the clauses and reads each of them in the context of the statute as a whole.

    The Federal Circuit then took a confused, and confusing, trip through the cases that Lynk cited to suggest that published patent applications are only an unremarkable subset of printed publications.  When Congress amends a statute but retains the same language as used before, it is presumed to be importing the prior usage of that language, which would suggest that "printed publications" would be defined consistently throughout the history of post-grant proceedings.  But the court rejected that approach because published patent applications did not exist throughout that history.  And it argued that printed publications could have different prior art dates based on the differential scenarios of § 102(a) and § 102(b).  But that seems wrong — the date of the printed publication does not change, only whether it is before or after the time point identified in the statute.  That is, a journal article has a fixed date of publication — just like a published patent application — which may be before or after the date of invention or bar date for a claimed invention.  In the end, the Federal Circuit concluded that "whether, and how, something that qualifies as a 'printed publication' is considered prior art depends on other statutory language" — again defaulting to the language of § 102(e).

    Remarkably, the Federal Circuit relegated to a footnote perhaps the best policy argument for interpreting the statute as it did.  That is, in district court litigation, published patent applications and patents are both treated as prior art as of the date of filing.[v]  Had the case come out the other way, accused infringers would have yet another reason to avoid IPRs because some of the patent applications considered prior art in district court proceedings would not be considered prior art in IPRs.  Nothing about the references would be different, just the legal treatment of the reference between the two venues.  Not only would such an approach increase the likelihood of gamesmanship in the choice of venue to resolve validity, it would also have created numerous other difficulties – Would estoppel apply to a published patent application like the Martin Application? Would the same approach apply in post-AIA cases, where the language of § 102 was altered slightly?  And would a different approach apply in IPRs and ex parte reexamination?

    In the end, regardless of the reasoning, the Federal Circuit reached the correct conclusion in Lynk Labs.  A contrary decision would have made a mess of the interplay of IPRs and district court litigation, and would also have been inconsistent with the totality of § 102.  And it would have called into question IPRs already decided and currently pending that have been decided or filed based on the presumption that the approach to published patent applications would not change suddenly after 25 years of clear precedent.

    Lynk Labs, Inc. v. Samsung Electronics Co. (Fed. Cir. 2025)
    Panel: Circuit Judges Lourie, Prost, and Stark
    Opinion by Circuit Judge Prost

    [i] For Taylor Swift fans, the timing of the Federal Circuit decision may draw a smirk because, as she sings in Lover, "We could leave the Christmas lights up 'til January."

    [ii] Lynk Labs cancelled certain claims in response to the IPR filing, rather than having those claims invalidated.

    [iii] 35 U.S.C. § 311(b).

    [iv] The exception to this rule is post-grant review, for which any basis under 35 U.S.C. § 101 is available, including other forms of prior art.

    [v] See pre-AIA 35 U.S.C. § 102(e) and current 35 U.S.C. § 102(d).

  • By Kevin E. Noonan

    U.S. Trade RepresentativeThe Office of the U.S. Trade Representative (USTR) issued its "2024 Review of Notorious Markets for Counterfeiting and Piracy" on January 8th, directed to "prominent and illustrative examples of online and physical markets that reportedly engage in, facilitate, turn a blind eye to, or benefit from substantial piracy or counterfeiting," having the goal of "motivate[ing] appropriate action by the private sector and governments to reduce piracy and counterfeiting" globally.

    The Overview of the Results is focused on pharmaceuticals highlighted in detail in its Issue Focus section.  The Overview asserts that "[c]ounterfeit medicines pose a significant health and safety risk to consumers, and the growing market of illicit online pharmacies has increased the spread of these dangerous counterfeits."  The remaining sections of the Report involve Positive Developments, Online Markets and Physical Markets; Positive Developments "identifies actions that governments and private entities have taken this past year to reduce piracy and counterfeiting" and the other two Sections highlight two types of markets that "may require further actions."

    The USTR justifies this rather critical view of U.S. trading partners and other, less friendly countries by stating that "the scale of infringing activity in these markets can cause significant harm to U.S. intellectual property (IP) owners, workers, consumers, and the economy" and recognizes that some countries have a mixture of legitimate and authorized activities others "openly or reportedly exist solely to engage in or facilitate unauthorized activity."  Not all countries identified in the last Report (2023) are included in this one, but some remain because officials have not acted ("failed to address") regarding the flow of counterfeit goods to the U.S.  Not being included should not be interpreted as meaning the issues have been completely resolved, the Report warns, noting that "the United States may continue to raise concerns related to these markets on a bilateral basis with the relevant countries."  Nor is the Report exhaustive, and the reader's attention is drawn to the Special 301 Report for a more comprehensive analysis.

    In the Issue Focus section, the USPR addresses "the risks and growing availability of counterfeit medicines, which has been driven by the proliferation of illicit online pharmacies."  These risks and availabilities stem, inter alia, from the popularity of e-commerce generally, providing as it has for many other goods "a convenient solution for individuals who seek easy access to medications from the comfort of their homes."  The COVID-19 pandemic resulted in "explosive growth" due to the increased demand for both medical supplies (masks, for example) and prescription medicines.  The benefits of legitimate online pharmacies do not escape the USTR's notice, including "fast access to medical information and medications online."  But legitimate online pharmacies are licensed throughout the U.S. through state pharmacy boards (which the Report notes also regulate "pharmacists, technicians, suppliers, distributors, and other parties involved in providing medicines to consumers"; the Virginia Board is provided as an example).  In addition to these licensing regulations, legitimate online pharmacies require prescriptions and provide licensed pharmacists to counsel patients.

    Not so for "bad actors who engage in illegal activities," and with regard to online pharmacies these include those that "are not licensed and operate outside of governing laws, regulations, and inspection systems."  These are not so different from other purveyors of counterfeit goods, but the difference of course is the possibility (indeed, likelihood) that the safety and quality of the dispensed drugs are uncertain (this is in addition to patients without a prescription obtaining medicine for which no physician has ascertained the need or benefits of the drug).  And there is evidence that drugs sold from illicit online pharmacies are more likely to be counterfeit and made from "substandard, unregulated, and potentially dangerous materials"; see Mackey et al., 2016, "Digital danger: a review of the global public health, patient safety and cybersecurity threats posed by illicit online pharmacies".  These dangers arise, the Report notes, because counterfeit medicines are manufactured and sold "outside regulatory oversight, deliberately evading compliance with safety standards and quality control" imposed by FDA in the U.S.  As a consequence, such drugs (often bearing trademarks and other false indicia of their purported source) are sold "often" "made with substandard, dangerous, and potentially deadly materials."  Such counterfeit drugs bearing U.S. brand identifiers comprise 38% of seizures globally according to recent reports from the U.S. Drug Enforcement Agency and Center for Disease Control.

    The Issue Focus is set forth in four sections.  The first, entitled "The Prevalence of Illicit Online Pharmacies," provides information developed by the USTR and other agencies to address the extent of the issue (and risks).  Much of the information set forth in this section was derived from the Alliance for Safe Online Pharmacies (ASOP), which reports that each day twenty new illicit online pharmacy sites are created.  The obvious issue is that these sites "look legitimate [and] purportedly offer[] brand-name drugs at discounted prices, but they bypass regulations designed to protect consumers by operating without a license, selling medications without prescriptions, without safety warnings, and without proper oversight of the drugs being distributed."  More remarkably, the statistics reveal that 96% of the 35,000 online pharmacies operating globally are in violation of the law.  How these websites appear are effective; further ASOP statistics show that 54% of survey respondents (putatively having experience with such sites) believe them to be compliant with relevant laws and regulations, and 63% of prescription medicine purchasers hold this belief (not surprising due to confirmation bias; after all, how likely is it that someone purchasing medicines online would believe the drugs were unsafe?).

    The second section, entitled "The Dangers of Counterfeit Medicines from Illicit Online Pharmacies," cites steps FDA has taken in view of the "risks of purchasing medications from illicit online pharmacies [that] are numerous and potentially life-threatening."  These steps include issuing warning letters to identified illicit online pharmacies (without any statistics regarding their effectiveness).  The need for FDA and other agencies to take steps is evident from a 2023 ASOP survey showing that "24 percent of Americans with prior experience using online pharmacies reported first-hand exposure to substandard, counterfeit, or harmful medication from an illicit online pharmacy, [which is] an increase of 7 percent from the same survey conducted in 2021."  Some of these counterfeits include "inert or substandard ingredients"; the complexities of these products (which would require "[e]xpert chemical analysis" to detect that they are counterfeit) "mak[e] it difficult for consumers to identify the potential for danger."  The types of such ingredients can be harmful per se, or be supplied in incorrect dosages, or contain no active ingredient at all.  The Report provides a reminder of counterfeit Adderall identified more than 10 years ago was being sold that contained the wrong "active" ingredient and as a consequence was ineffective for treating attention deficit hyperactivity disorder (ADHD).  Countering the likely perception that many of these "bad actors" come from abroad the Report imparts the story of a New Jersey man and wife who were (admittedly) selling "misbranded and unapproved drugs" online, which had no therapeutic value.

    The third section, entitled "Enforcement Against Counterfeiting," reassures to the extent that there are "[s]trong enforcement measures that exist in the United States to combat the growing threat of counterfeit medicines."  Examples include Department of Justice (DOJ) successes in indicting 18 persons "for allegedly selling, manufacturing, and shipping millions of pills disguised as legitimate pharmaceuticals," with conviction providing for "a mandatory minimum of 20 years in prison and a maximum penalty of life in prison."  Additional DOJ successes include "seiz[ing] nine website domains used by the defendants and their co-conspirators to sell counterfeit pills and seizing hundreds of pounds of such counterfeits."  In another case, the CEO of "a nationwide dark net drug trafficking organization was sentenced to life in prison for the manufacture and sale of more than a half million counterfeit pills throughout the United States," some of which included fentanyl sourced from China.  Perhaps less comforting is the outcome of an investigation of several Canadian companies shown to have "circumvented" FDA approval and having shipped "unapproved, misbranded, and counterfeit prescription drugs into the United States"; the penalty was forfeiture of the websites used to order the drugs, five years of probation, and disgorgement of $29 million of proceeds from the sites, with the "leader" fined $250,000 and given five years' probation (with the first six months including home confinement).

    One agency responsible for such investigations is the FDA's Office of Criminal Investigations (OCI) Cybercrime Investigations Unit.  This agency was responsible in 2017 for seizing 4,229 internet domain names for "selling misbranded, adulterated, and counterfeit devices and drugs, including illicit opioids.

    The Report acknowledges that an important challenge to enforcement efforts is that many (but not all) of these illicit online pharmacy websites (and source of the counterfeit drugs) are located abroad.  Agencies involved in interdicting importation of counterfeit drugs include U.S. Customs and Border Protection (CBP), which has seized "millions of counterfeit goods (only some of which are drugs); in 2023 such drug counterfeits amounted to more than 1.5 million items.  Such seized items are then inspected by FDA.  The U.S. Postal Service is also involved in identifying counterfeit drugs sent by mail, and in 2021 FDA received almost 70,000 drug products received at international mail facilities and sent for analysis, some of which were opioids.

    Despite these successes, the Report acknowledges that the overseas aspect of the problem limits the regulatory and enforcement capacity for U.S. agencies to be even more effective.  Some of these efforts involve "urging its trading partners to provide law enforcement with the tools needed to combat counterfeiting" and to "urge trading partners to undertake more effective criminal and border enforcement against the manufacture, import, export, transit, and distribution of counterfeit goods."  These urgings include "bilateral consultations, trade agreements, and international organizations to help ensure that penalties" (which can include monetary fines and imprisonment) as well as seizure and destruction of counterfeit pharmaceuticals identified by such foreign agencies.

    This Issue Focus section of the report concludes by reemphasizing the "significant health and safety risk to consumers" posed by the "proliferation of illicit online pharmacies."  Moreover:

    Like the falsified branding of the medicines they sell, illicit online pharmacies seek to appear as legitimate platforms to exploit the misplaced trust of unaware consumers.  Counterfeit medicines are manufactured outside the strict regulatory and inspection systems of genuine pharmaceuticals, and they are then sold through platforms also operating outside the law and evading oversight.  Consumers must continue to be made aware of the risks associated with purchasing medications through illicit unlicensed online pharmacies and strong enforcement measures must continue to be implemented to combat the growing threat of counterfeit drugs.  Adequate and effective enforcement against counterfeiting plays a key role in reducing the potential dangers of counterfeit products, including counterfeit medicines.

    The Notorious Markets Report echoes (with regard to pharmaceutical products) comments made in the 2024 Special 301 Report issued in the spring.  These include:

    Counterfeit pharmaceuticals remain a particular concern as a growing problem with "important consequences for consumer health and safety [that are] exacerbated by the rapid growth of illegitimate online sales . . . [and] contributes to the proliferation of substandard, unsafe medicines that do not conform to established quality standards."  Most of these goods confiscated by the U.S. were sourced from India, Singapore, and China, the Report alleges, and transshipped through China, India, Pakistan, Indonesia, the Philippines, and Vietnam.  The Report also states that counterfeit U.S. brand-name medicines amount to 38% of global counterfeit medicine seizures and that "substandard or falsified medical products comprise 10% of total medical products in low- and middle-income countries" (although the Report qualifies this statement with the caveat that "it may not be possible to determine an exact figure" for the latter statistic).  These trends are increasingly exacerbated by use of on-line pharmacies, with illicit providers comprising "between 67% to 75% of web-based drug merchants" according to a 2020 study.  And these counterfeit items are being distributed by "legitimate express mail, international courier, and postal services to ship counterfeit goods in small consignments" rather than large cargo ships, making detection and enforcement more difficult.

    With regard to pharmaceuticals and medical devices and market access for U.S. products, the Report contends that "[t]he COVID-19 pandemic has highlighted the importance of pharmaceutical, medical device, and other health-related innovation, as well as a lack of widespread, equitable distribution of these innovations," including the need for fighting current as well as future pandemics.  The Report thus seems to seek to strike a balance between "adequate and effective protection for pharmaceutical and other health-related IP around the world to ensure robust American innovation in these critical industries to fight" in this and future pandemics and "access to medicines in developing economies [that] is important to development itself."

    The Report notes that, paradoxically while the USITC Report evinces the reality that "the price of medicines can be untenably high for some countries" another report shows that "low and middle-income countries maintain the highest tariffs on medicines and pharmaceutical inputs among the World Trade Organization (WTO) Members" and that "large developing countries" (Brazil, India, and Indonesia) have the highest tariffs for these products.  Exacerbating these problems are "unreasonable regulatory approval delays and non-transparent reimbursement policies" that "discourage the development and marketing of new drugs and other medical products" according to the Report.  The U.S. in the past year has monitored, enforced, or engaged with trading partners (China, Canada, Mexico, Japan and India) in efforts to remedy these impediments to efficient global access to medicines while protecting IP rights.  The Report notes that stakeholders have "expressed concerns" about practices in Australia, Brazil, Canada, China, Colombia, Japan, Korea, Mexico, New Zealand, Russia, Saudi Arabia, and Turkey "on issues related to pharmaceutical innovation and market access," providing specific examples for each country.

    The relevant governmental agencies have identified the problem.  Solutions have been more difficult to come by.

    These problems are not of course new and are not limited to the U.S.; over 15 years ago the Wall Street Journal reported that such problems were endemic in Venezuela; see "Ironically, It Seems Big Pharma Is Preferred by Venezuelan People".

  • Distinguished Judges File Amicus Brief in Newman v. Moore et al.

    By Kevin E. Noonan

    It has been a remarkable feature of the Federal Circuit's suspension of the Honorable Judge Pauline Newman that few have taken a stand publicly on the propriety of the suspension (something the Judge herself recently mentioned; see "An American (and Entirely Unnecessary) Tragedy").  That has now changed, with the D.C. Circuit Court of Appeals receiving amicus briefs from four separate groups submitted in support of Judge Newman's challenge.  These amici ask the Court to reverse the District Court's dismissal of her lawsuit challenging the Judicial Council's actions on, inter alia, Article III and due process grounds.  Another one of these amicus briefs is discussed herein, submitted by a cadre of distinguished former judges:  Hon. Paul R. Michel, Hon. Randall R. Rader, Hon. Thomas I. Vanaskie, Hon. Paul G. Cassell, and Hon. Susan G. Braden.

    As have other amicus briefs recently filed with the Court, this one begins with reciting what has perhaps become Judge Newman's preeminent judicial distinction, the frequency of her dissenting from her colleagues' opinions and how frequently her views have been vindicated, including by citations to those dissents in Supreme Court opinions reversing the Federal Circuit.  Of course the judicial pedigree of this group of former judges impose a gravitas on these sentiments that would be difficult to exceed.  The brief continues by noting that Judge Newman's physicians have reached the same conclusions that anyone who have witnesses her in public appearance, that she is "cognitively sharp" (which may be an understatement) and that she is not "disabled or otherwise incapable of performing her judicial duties."

    But then the brief reaches the crux:  regardless of the Judge's eminent capacity to continue her contributions to the Federal Circuit her fellow members of that court have "effectively . . . removed [her] from judicial office."  In addition to reminding the Court of the history of the contretemps between Judge Newman and her Federal Circuit colleagues, these introductory remarks tweak the D.C. District Court judge with the reality that "[i]nstead of addressing the merits of those constitutional issues, the district court dismissed Judge Newman's claims largely on the ground that judicial review was precluded."  That decision "cuts against the strong presumption that all U.S. citizens are entitled to have their federal constitutional claims heard in a federal court" according to this collection of federal court judges, succinctly stating that "Judge Newman is entitled to her day in court."  On the merits, the brief endorses as being "a valid claim" the facts underlying her complaint.  "The Constitution assigns to the U.S. Senate alone the power to remove Article III judges from office," amici state, and the indefinite suspension effectively (and thus improperly) does so outside the proper ambit of the Constitution.

    The brief then provides a "Statement of the Case" informed (according to a footnote) by the factual statements "drawn from Judge Newman's Amended Complaint."  Although overall an evenhanded account, there are instances where the source of this narrative peeks through (for example, attributing Judge Newman's refusal to submit to examination by doctors "selected by the committee" to her being "[d]ismayed by the inaccuracy of many of the Special Committee's statements regarding her medical history and its unreasonable time demands"; mentioning that Judge Newman was suspended despite the Special Committee having "made no finding regarding whether Judge Newman's health was such that she lacked the capacity to perform the work of an active judge").  The brief notes that the Judicial Conduct and Disability Committee of the Judicial Conference (JC&D) did not deign to consider any of Judge Newman's constitutional challenges to her suspension.  Rather, expressly relying on the Kafka-esque aspects of these proceedings, the JC&D did not uphold Judge Newman's suspension because she is in any way cognitively or otherwise impaired but because her refusal to submit to being examined by the Committee's doctors amounted to "a serious form of continuing misconduct."  (Perceptive followers of this case will recognize that the September 2023 suspension was appealed to the Committee, which allowed it to stand in a February 2024 decision.  The September 2024 suspension has not yet been appealed to the Committee, although such an appeal is likely.)

    With regard to the District Court's decision below, the brief notes that the District Court dismissed Judge Newman's challenge without deciding whether Judge Newman was correct that 28 U.S.C. § 354 was being applied to her "in an unconstitutional manner" and because the District Court "believed its rulings were mandated by [the D.C. Circuit Court's] decision in McBryde v. Committee to Review Circuit Council Conduct and Disability Orders, 264 F.3d 52 (D. C. Cir. 2001).

    The brief makes two arguments:  first, that Judge Newman "is entitled to bring her constitutional claims before an Article III court," and second that "the Judicial Council of the Federal Circuit violated separation-of-powers principles by removing Judge Newman from her judicial powers for an indefinite period of time."

    Regarding amici's first argument, the brief asserts that the remainder of the Federal Circuit judges "cannot" overcome the "strong presumption" that Judge Newman is entitled to judicial review of the Judicial Council's actions in suspending her from her position on the Court.  The exercise of jurisdiction by the federal courts "has always served as a critical safeguard of individual liberties" and provided "a vital check against the modern administrative state," their brief asserts.  The Founders envisioned the "importance of an independent judiciary to protect constitutional rights and prevent government abuse" according to the brief.  This importance was recognized (and procedurally facilitated) by Congress in enacting a broad jurisdictional statute (28 U.S.C. § 1331).  Acknowledging that Congress has the power to limit such jurisdiction the brief asserts that "courts have been very reluctant to interpret federal statutes as barring jurisdiction over constitutional claims because of the threat to liberty posed by any such interpretation," citing Johnson v. Robison, 415 U.S. 361, 366 (1974).  The District Court held that § 357(c) "clearly and convincingly" evinced Congress's intent to preclude Judge Newman's "as-applied constitutional claims" but amici argue that this section of the statue "says nothing about whether its limitations on judicial review of Judicial Council actions apply to constitutional claims—whether facial or as-applied."  This is not the "explicit reference" to such jurisdictional limitations concerning constitutional questions that Robison requires to preclude judicial review (citing the Supreme Court's decision in Demore v. Kim, 538 U.S. 510 (2003), for the same principle).  The brief emphasizes the "serious constitutional dilemma" that the District Court's decision raises, i.e., that Judge Newman has no recourse in any forum to seek redress for her constitutional injury should the Court her uphold the District Court's decision in light of the JC&D's taking the position that it will not decide constitutional questions.  Making a reductio ad absurdum argument to illustrate the resulting predicament, the brief posits that Judge Newman would have no recourse to challenge their constitutionality should the Judicial Council or JC&D render decisions by a "flip of a coin" or by "subject[ing] Judge Newman to 'trial by ordeal.'"  The statute's very silence is evidence that Congress did not intend this result in enacting § 357(c), according to amici.

    In their second argument, amici assert that the District Court erred in relying on McBryde v. Committee to Review Circuit Council Conduct and Disability Order to support its decision to dismiss.  First, the brief argues that the McBryde decision arose in a different factual context.  Specifically, the sanctions imposed by the Judicial Council had in large part expired and so were moot.  While McBryde held that "§357(c) preclude[d] judicial consideration of as-applied constitutional challenges to Judicial Council public reprimand," it was "not a bar to all consideration of constitutional challenges to Judicial Council orders."  But "[n]either of those holdings has direct application to the issue presented here" according to the brief, which is "whether Judge Newman may bring an as-applied challenge to Appellees' efforts to remove her from the federal bench."  Accordingly, the District Court's reliance on McBryde to support its decision to dismiss was improper.  The brief also notes specific "passages" from the McBryde decision that support Judge Newman's complaint, wherein some of these satisfy judicial review for more serious grounds for dismissal (albeit admitting that "a long-term disqualification from cases" could amount to unconstitutional removal).  The brief also asserts that the District Court did not draw a "bright line" or provide any indication of the distinctions to be drawn between constitutional claims that are subject to § 357(c) and ones that are not; the absence of such an effort makes implausible the District Court's conclusions regarding Judge Newman's challenge.  In addition, the brief cites to a statute (the 21st Century Department of Justice Appropriations Authorization Act, Pub. L. No. 107-273, Div. C, Title I, Subtitle C, § 11044, 116 Stat. 1758, 1856 (Nov. 2, 2002)) enacted one year after the McBryde decision "expressly acknowledged [that] the Disability Act is subject to as-applied constitutional challenges."  Amici find the District Court's response to the existence and interpretation of this statute to be "nonsensical."  Even the distinction purportedly rendered in McBryde between facial and as-applied constitutional claims "has not stood the test of time" according to amici, evidence thereof including the Supreme Court's refusal (or non-recognition) that even suggested that the strength of any "strong presumption" of whether constitutional claims are reviewable depends on whether they are facial or as-applied, citing Demore.

    Turning to the brief's argument that the Judicial Council violated separation of powers principles in removing Judge Newman constructively, the brief asserts that the conclusion that this was exactly what has happened is borne out by the facts.  Long-term deprivation of Judge Newman's judicial authority is "impossible to distinguish from an outright removal from office given her advanced age" (the first mention of this "elephant in the judicial corner" in the brief).  The brief reminds the Court that the Constitution provides that federal judges shall "hold their offices during good behavior" and they can be removed from office only through a vote of impeachment by the U.S. House of Representatives and a trial and conviction by the Senate under Art. I, § 3, cl. 6.  The brief asserts that the Judicial Council of the Federal Circuit violated the Constitution by "impinging on [impeachment] powers delegated solely to the Senate" (emphasis in brief).  At a minimum, amici argue, Judge Newman is entitled to have the Court reverse the District Court's dismissal of Counts II and III relating to these constitutional questions (see "Judge Newman and the On-Going Attempts to Remove Her from the Federal Circuit") (the brief also asserting a challenge to the Judicial Council and Judge Newman's colleagues on the Court to provide "substantial evidence that Judge Newman is not actually subject to an indefinite suspension").  The brief rejects the Judicial Council's justification for the suspension as being "a serious form of continuing misconduct."  If that is indeed the case, amici assert that the proper course of conduct is "to refer the matter to Congress for possible impeachment and trial, [but w]hat they may not do is take it upon themselves to effectively remove Judge Newman from office by suspending her indefinitely."

    This is not just an issue limited to one Circuit Court judge (no matter how unjust it may appear to be).  The brief recites "particular[] concern[]" regarding "the threat to judicial independence posed by Appellees' alleged actions" and returns to the theme of Judge Newman providing dissents without regard to whether they might provoke resentment, exasperation, or animosity from her colleagues, and the benefits that have accrued by her willingness to be faithful to her view of the law.  The risk is that "[i]f the Federal Circuit Judicial Council succeeds in shutting down Judge Newman without going through the constitutionally prescribed process for removing Article III judges from office, other judges may conclude that they should hesitate to act boldly in defense of justice for fear of the adverse consequences of doing so."  The brief cites the Supreme Court for evidence of the importance of avoiding such a consequence:

    [I]t is a general principle of the highest importance to the proper administration of justice that a judicial officer, in exercising the authority vested in him, shall be free to act upon his own convictions, without apprehension of personal consequence to himself.  Liability to answer to every one who might feel himself aggrieved by the action of the judge, would be inconsistent with the possession of this freedom, and would destroy that independence without which no judiciary can be either respectable or useful.

    citing Bradley v. Fisher, 80 U.S. 335, 347 (1871) and Pierson v. Ray, 386 U.S. 547, 554 (1967).

    The brief concludes with the exhortation that confidence in their ability to follow their views on the law requires "[a]dherence to the constitutionally prescribed impeachment process" because it "ensures that Article III judges can feel confident that their rulings will not endanger their job security and that they cannot be removed from office except through a rigorous process that entitles them to raise all plausible defenses before an impartial Senate jury."

  • D.C. Bar Association File Amicus Brief in Newman v. Moore et al.

    By Kevin E. Noonan

    DC Bar AssociationIt has been a remarkable feature of the Federal Circuit's suspension of the Honorable Judge Pauline Newman that few have taken a stand publicly on the propriety of the suspension (something the Judge herself recently mentioned; see "An American (and Entirely Unnecessary) Tragedy").  That has now changed, with the D.C. Circuit Court of Appeals receiving amicus briefs from four separate groups submitted in support of Judge Newman's challenge.  These amici ask the Court to reverse the District Court's dismissal of her lawsuit challenging the Judicial Council's actions on, inter alia, Article III and due process grounds.  Another one of these amicus briefs is discussed herein, submitted to the Court by the District of Columbia Bar Association.

    The brief begins with reciting what has perhaps become Judge Newman's preeminent judicial distinction, the frequency of her dissenting from her colleagues' opinions and how frequently her views have been vindicated, including by citations to those dissents in Supreme Court opinions reversing the Federal Circuit.  This combination of judicial independence and a propensity for her views to be legally correct, in light of her "indefinite suspension" deprives our legal community of an experienced and fiercely independent voice in the ongoing weaving of the tapestry of caselaw at the Federal Circuit" and amounts to an impeachment, which being effected by the Judicial Council circumvents the Constitution, the brief asserts.  The brief also asserts that there is "widespread, but silent, support" for the Judge, and a concomitant fear ("justified or not") that such support if voiced publicly might "adversely impact [their] own appeals before [the Federal Circuit]" (itself a somewhat damning indictment).  But to the extent this is current reality of the relationship between the Court and the patent bar, this dishonest silence "underscores why this Court should approach with skepticism the suspension and Appellees' refusal to transfer the complaint against Judge Newman to another circuit's judicial council."

    Amounting to a mere 548 words, the brief, unfettered by discussion of the underlying legal basis for assessing competency amongst the federal judges making up the judicial branch of the government, it in some ways provides the most powerful advocacy for the D.C. Circuit Court to rectify the current situation.

  • Academics and Other Experts File Amicus Brief in Newman v. Moore et al.

        By Kevin E. Noonan

    It has been a remarkable feature of the Federal Circuit's suspension of the Honorable Judge Pauline Newman that few have taken a stand publicly on the propriety of the suspension (something the Judge herself recently mentioned; see "An American (and Entirely Unnecessary) Tragedy").  That has now changed, with the D.C. Circuit Court of Appeals receiving amicus briefs from four separate groups submitted in support of Judge Newman's challenge.  These amici ask the Court to reverse the District Court's dismissal of her lawsuit challenging the Judicial Council's actions on, inter alia, Article III and due process grounds.  Another one of these amicus briefs is discussed herein. 

    The amici here include:

    • The Manhattan Institute, a "nonprofit policy research foundation whose mission is to develop and disseminate ideas that foster individual responsibility and agency across multiple dimensions."

    • Dean Pinkert, an "international trade and human rights consultant, whose projects range from labor practices in U.S.-facing supply chains to trade remedies and intellectual property."

    • Steve C. Charnovitz, who is on the faculty of George Washington University Law School and who "writes on international trade, foreign relations law, and environmental sustainability."

    • Rochelle Dreyfuss, emerita law professor at the NYU School of Law whose scholarship focused on patent law and the Federal Circuit.

    • Brian Dean Abramson, "a leading expert on vaccine law."

    • Andrew C. Michaels, associate professor of law at the University of Houston Law Center who specializes in intellectual property law.

    • Hugh Hansen, emeritus professor of law at Fordham Law School.

    • Howard Knopf, a retired Canadian lawyer.

    These amici assert that the legitimacy of the judiciary "relies on its ability to resolve disputes impartially and maintain public confidence in its integrity."  In instances such as the one before the Court, the law contains "structural safeguards," like transferring a case to a different circuit to "ensure that disciplinary proceedings are both impartial and perceived as fair," the latter effect being "essential."  These amici characterize the allegations raised against Judge Newman to be "precisely the type of circumstances that demand such precautions."  The manner in which these proceedings have been conducted in this case "create a risk of impropriety or the appearance of bias if the case were to remain within the circuit," amici assert.

    The brief's first argument is that "history and case law suggest" that an accused judge not be tried by her colleagues on the court, which is particularly the case where, as here, some of these colleagues are the judge's accusers.  The brief reminds the Court that until recent times the only mechanism for disciplining a federal judge was impeachment, citing United States v. Claiborne, 727 F.2d 842, 845 (9th Cir. 1984), and McBryde v. Comm. to Rev. Cir. Council Conduct & Disability Ords. of Jud. Conf. of U.S., 264 F.3d 52, 66 (D.C. Cir. 2001).  Amici consider there to have been "good reason" for this, inter alia, to avoid "overreach" by different branches of government against other branches (protections particularly important to the judiciary; to paraphrase Stalin, "how many divisions [of troops] do judges have"?).  Being entitled to such protection depends, according to the brief, on judges deserving the benefits thereof, and entitlement depends on the judiciary's integrity remaining "beyond reproach."  Because there are instances where a judge's past conduct, while not amounting to impeachable conduct needs correction, and in other instances where methods for alternative relief are necessary, as evidenced by decisions that "highlight[] how the role of the judicial council is to provide administrative remedies in the absence of judicial relief," citing Chandler v. Jud. Council of Tenth Cir. of U. S., 398 U.S. 74, 85 (1970).  Enactment of the Judicial Conduct and Disability Act showed that the court had the authority to effectively discipline federal judges for "conduct unbecoming or that reflected poorly on the integrity on the institution."  The Act contained provisions aimed at these protections, giving initial responsibility to the Circuit's Chief Judge.  But importantly. the Act provided, as these amici see things, proceedings that are "forward-looking and not punitive," citing  In re Complaints of Jud. Misconduct, 9 F.3d 1562, 1566 (U.S. Jud. Conf. 1993), and "inquisitorial and administrative" rather than "adversarial," the brief citing In re Memorandum of Decision of Jud. Conf. Comm. on Jud. Conduct & Disability, 517 F.3d 563, 567 (U.S. Jud. Conf. 2008).  And one provision ensuring "good behavior" in such circumstances is moving the proceedings to another circuit.

    Here the Federal Circuit has ignored these built-in safeguards, amici assert.  Part of the implementation of the Act included establishment of a set of Judicial Conference Rules "designed to provide a mandatory and nationally uniform governing structure to the procedural aspects of judicial conduct and disability proceedings."  These may differ from circuit to circuit according to the brief, but it is the uniformity of the rules that stand out amici argue (the brief further stating that complaints such as this one are "the rarest type"; this conclusion stems from the information contained in a report, entitled Implementation of the Judicial Conduct and Disability Act of 1980: A Report to the Chief Justice, 22 (2006) by former Justice Breyer).  The brief walks through the typical procedural steps involved in evaluating a complaint against a judge, including early determinations of whether a complaint has merit and, if determined to be so the Chief Judge of the Circuit convening a special committee to further investigate (all these steps having been features of this investigation of Judge Newman).  Even these early procedural steps are rare, the brief stating that "only 25 out of 1,363 complaints in 2023 being referred to a special committee" according to Complaints Against Judges, U.S. Cts. (2024).  It is up to the judicial council from that circuit to decide whether to recommend public reprimand or other penalties (which can include recommending impeachment to the House of Representatives).

    This is a recitation of the "ordinary course of events," according to the brief, and while it "may appear straightforward, there are structural concerns that give pause."  One such concern is a recognition that "the process for judicial discipline is built on the presumption of good-faith action by the investigating judges," which is usually ("the vast majority of cases") but not always true.  The need for such good faith "is a critical element because the chief judge acts as detective, prosecutor, and arbiter for the accused through the entire procedure" (statuses that Judge Newman has asserted in her complaint relating to due process deficiencies), citing McBryde.  Because there is this "potential for misconceived actions against a particular judge serving on the same circuit," the Rules contain provisions for transferring the matter to another circuit, or for the Chief Judge to recuse herself as safeguards.  But, the brief emphasizes, these steps are discretionary to the Chief Judge.  The brief provides illustrative examples (taken from the Breyer Report) and enumerates the benefits of such safeguards.  These include that "transferring cases eases internal tensions," citing In re Jud. Misconduct J.C. Nos. 03-20-90043 and 03-20-90044, 2 (Jud. Coun. Third Cir. 2021), and In re Charges of Jud. Misconduct, 769 F.3d 762, 763 (D.C. Cir. 2014).  Amici also assert that such transfers "preserve[] the public trust," using to illustrate "perhaps the highest-profile such instance in modern times, [wherein] 83 judicial-misconduct complaints against D.C. Circuit Judge Brett Kavanagh were transferred from the D.C. Circuit's judicial council to the Tenth Circuit's judicial council" in In re Complaints Under the Judicial Conduct and Disability Act, Nos. 10-18-90038 through 10-18-90112 (10th Cir. Jud. Council 2022).  Amici draw a comparison between these "unfounded complaints" (that were ultimately dismissed) with those against Judge Newman (the brief asserting "as those against Judge Newman should be [dismissed]").  The brief also notes the strong motivation of avoiding a perception of impropriety, citing transfer from the Ninth Circuit to the Second Circuit in a case of alleged sexual impropriety against "then-Judge Alex Kozinski in In re Complaint No. 17-90118, at 1 (2d Cir. Jud. Council Feb. 5, 2018)."  The brief also notes that "transfers for independent review are common in instances where public confidence and the perception of impartiality are in jeopardy," setting forth several other instances for illustration.

    The brief concludes with confirmation by retired Federal Circuit Chief Judge Paul Michel of amici's "reading of the situation" with regard to the wisdom of a circuit transfer in this case.  The Chief Judge's views were set forth in an IP Watchdog article entitled Judge Newman's Suspension by the CAFC Has Marred Public Faith in the Federal Judiciary.  The brief states that in this article the former Chief Judge "raises timely concerns that should be taken seriously" and takes the opportunity (and word count) to set forth these comments in detail:

    Normally, one would assume the chief judge's motivations are proper: simply to protect the court and litigants before it.  But the mere appearance of bias is regarded as being just as harmful to justice as actual bias.  Given Judge Newman's accounts of their interactions, at least the appearance of bias against her by the chief judge is hard to dismiss. . . .

    Given the chief judge's apparent animus against Judge Newman, how can she herself be regarded as an impartial adjudicator?  Even the impartiality of the other judges may be questioned if, like the staff, they were perhaps fearful of adverse consequences if they failed to support the wishes of the chief judge.

    No one, I suggest, can confidently untangle these diametrically opposing versions of the truth without a trial-like proceeding.  And, so far, that has been repeatedly denied by all the external authorities who have looked at this case.

    Finally, all should be able to agree that the disputed facts should be decided by a neutral body.  Such neutrality must be beyond question for the sake of faith in the courts by litigants and the public alike.  That, after all, is the basis of judicial recusals.  Yet requests by Judge Newman to transfer the case to another circuit have all been rejected.  That alone is troubling. . . .

    Getting the facts straight always lies at the heart of doing justice.  In this case, however, the relevant facts have yet to be established and verified.  In its brief filed in the district court, the Federal Circuit wrote that all the disability charges were "moot", removing these charges from the district court.  Yet, Judge Newman was not returned to judicial service, and she has now been "suspended" for a second year, on the same charge of "failure to cooperate."

    Judges from around the country anxiously ask me regarding the actions taken against Judge Newman: "What's going on with the Federal Circuit?"  Is it not time for some outside authority to intervene and to end this impasse before it further undermines the credibility of the Federal Circuit, and potentially the entire judiciary?

    It should go without saying that amici here wholeheartedly agree with former Chief Judge Michel and request that the Circuit Court reverse the judgment of the district court and "render a judgment indicating a need to transfer the underlying proceedings to another circuit."  This judgment "would obviate any concerns about impartiality arising from internal tensions within the Federal Circuit and begin to remedy the damage being done to the rule of law by Judge Newman's arbitrary suspension," amici assert.




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  • The Buckeye Institute Files Amicus Brief in Newman v. Moore et al.

        By Kevin E. Noonan

    Buckeye InstituteIt has been a remarkable feature of the Federal Circuit's suspension of the Honorable Judge Pauline Newman that few have taken a stand publicly on the propriety of the suspension (something the Judge herself recently mentioned; see "An American (and Entirely Unnecessary) Tragedy").  That has now changed, with the D.C. Circuit Court of Appeals receiving amicus briefs from four separate groups submitted in support of Judge Newman's challenge and asking the Court to reverse the District Court's dismissal of her lawsuit challenging the Judicial Council's actions on, inter alia, Article III and due process grounds, one of which is discussed herein.

    The Buckeye Institute is a self-described non-partisan "think tank" dedicated to "formula[ing] and promot[ing] free-market policies" in Ohio and elsewhere.  Their amicus brief is based on the importance of public confidence in the judiciary, which the brief argues has been harmed by the manner in which the Judicial Conduct and Disability Act has been employed in this case.  The importance of the judiciary is one reason why the Founders "insulated" judges with impeachment as the "sole means" for removing them, the brief asserts.  The public nature of impeachment is the antithesis of proceedings which, as here, are conducted "behind closed doors," ascribing the need and right to such open proceedings as being protected under common law and the First Amendment.

    The brief asserts that "conducting judicial disciplinary proceedings in the dark undermines public confidence in our judiciary."  The standard for judicial proceedings has been their "openness," with "contemporaneous review in the forum of public opinion [being] an effective restraint on possible abuse of judicial power," amici citing Justice Brennan's concurring opinion in Richmond Newspapers, Inc. v. Virginia, 448 U.S. 555, 592 (1980), and quoting in re Oliver, 333 U.S. 257,279 (1948).  This case, amici argue, "illustrates the improper secrecy used throughout judicial disciplinary proceedings."  Amici's apprehension of the lack of public confidence finds support in commentators including former Chief Judge Michel, quoted in IP Watchdog.  As a consequence, the brief asserts that unless there are such open proceedings "the appearance of bias cannot be refuted."  The brief notes that Judge Newman has asked that the proceedings and materials involved be disclosed to the public and that her request has been denied (despite seemingly contrary understanding in the Commentary of Rule 23 of the Rules for Judicial-Conduct and Judicial Disability Proceedings) (while at the same time imposing a "gag order" on Judge Newman and her counsel precluding their release of the materials).  The brief further sets forth a history of preventing Judge Newman from disclosing the purported evidence against her (Defendants-Appellees have "threatened [Judge Newman] and her attorneys with unspecified sanctions if any portion of the documents contained in that volume were made publicly available") and a certain amount of reneging on representations that some of these materials would be permitted to be disclosed, for example after Judge Newman dropped Court IV of her complaint regarding her First Amendment claim.

    The brief goes on to assert that such actions are contrary to the intent of the Judicial Conduct and Disability Act of 1980, which amici assert "was intended to boost public confidence in the judicial complaint process" (based on the circumstances prior to its enactment, where "informal internal discussions were the only means of enforcing judicial misconduct short of impeachment"), saying that in this case that intention "falls short of that goal."  The Federal Circuit Judicial Council's actions in this case to suppress disclosure, which contrary to the need for openness is not in fact against the law, and which is ratified under 28 U.S.C. § 360(a) (granting the Council's discretion in this regard but amounting to "near total ban on disclosure" according to amici), as well as prohibiting any person from intervening or appearing as amicus in the proceedings.

    The situation is contrary to amici's assertions that free and open public access to inherently adjudicatory procedure is key to public confidence in the judiciary, where free and open access is "not unlike the right of an accused defendant to a public trial," citing a dissent in United Press Associations v. Valente, 123 N.E.2d 777, 786 (N.Y. Ct. App. 1954), based on English Common Law tenets going back to the years immediately after Magna Carta and prevailing in this country's colonies prior to the nation's founding.  Accordingly, the brief asserts that "the common law and the First Amendment guarantee the right to open access to judicial proceedings," citing Nixon v. Warner Commc'ns, Inc., 435 U.S. 589, 597 (1978), relying on Ex parte Drawbaugh, 2 App.D.C. 404 (1894).  In addition to the common law right to an open trial, amici find support in the First Amendment right of freedom of the press as well as the public "to attend and observe criminal proceedings," citing Press-Enter. Co. v. Superior Court, 478 U.S. 1, 9 (1986), and  Globe Newspaper Co. v. Superior Court, 457 U.S. 596, 603 (1982).  Indeed, "every circuit to consider the issue" has found these rights extend to civil proceedings, exemplified in Dhiab v. Trump, 852 F.3d 1087, 1099 (D.C. Cir. 2017), the brief providing an extensive history of the importance of open access to judicial proceedings in civil matters.

    These considerations should apply to administrative proceedings like this one, the brief argues, based on the same common law and First Amendment principles.  Consistent with this contention is their application to the Executive Branch "in a variety of [administrative agency] contexts."  Due to the "quasi-judicial" character of the proceedings against Judge Newman, the brief argues that similar due process considerations apply to her (in addition to the public's right to access:  "the public has an interest in open access to adjudicatory decision-making" as being "key to public confidence in the judiciary").

    The practices and applications of the administrative procedures provided by the Judicial Conduct and Disability Act here, that have permitted "the adjudicator to determine what documents can and cannot be accessed, despite the accused judge's consent, is inconsistent with the idea of open access" according to amici.  The brief terms judicial protection of privacy rights (in context, that of the Judicial Council and the witnesses asserted in support of Judge Newman's suspension) to be "the exception, not the rule," citing In re Sealed Case, 931 F.3d 92, 96 (D.C. Cir. 2019), and Washington Legal Found. v. U.S. Sentencing Comm'n, 89 F.3d 897, 899 (D.C. Cir. 1996).  The appropriate test has been a balancing test, amici contend, between "the litigant's legitimate interest in anonymity against countervailing interests in full disclosure" under Sealed Plaintiff v. Sealed Defendant, 537 F.3d 185, 189 (2d Cir. 2008).  But here, amici assert that the Act "begins with the notion that all documents, except for some final opinions, should not be publicly available" with a few narrow exceptions.  While permitting accused judges to request that documents related to an investigation be released that request can (as here) be denied by the court's chief judge at her discretion.  This is improper, the brief contends, because the correct presumption (consistent with the law) should be one of openness.  The brief sets forth five factors to be applied for determining whether cases within the purview of the Act should proceed anonymously, and six factors relating to release of documents.  In this case,the brief contends that "[t]he judge adjudicating this matter, who was also the complainant, has not attempted to satisfy any of the above[-cited] elements for keeping the proceedings or other information secret" (emphasis added).  Even though Judge Newman's request for the documents to be released significantly reduced the judiciary's claim of a privacy interest, the brief accuses the Act and how it has been implemented by this Judicial Council of "put[ting] secrecy over the public's right to access," which is "not only inconsistent with the JCDA's purpose of formalizing the complaint process to provide some—but very limited—public access, but it is inconsistent with hundreds of years of open access to the judiciary so that the public can be confident that its inner workings are fair, and how the judiciary handles other privacy concerns."  In making these arguments, amici take away issues of personal animus towards or injury to Judge Newman and ground their argument in the injury to the public in keeping these proceedings secret.

  • By Kevin E. Noonan

    Judge Newman_1The Honorable Pauline Newman, Circuit Judge for the U.S. Court of Appeals for the Federal Circuit, has been battling her suspension from the Court imposed by the Judicial Council for two years (including proceedings leading up to the suspension; see "Judge Newman and the On-Going Attempts to Remove Her from the Federal Circuit"; "Judge Newman Matter Continues"; "Federal Circuit Special Committee Responds to Judge Newman's Counsel's Request for Clarification Regarding Misconduct Hearing"; "Federal Circuit Special Committee Recommends One-Year Suspension of Judge Newman"; "Judge Newman Suspended for One Year by Federal Circuit"; "Judge Newman's Suit Continues";  "Special Committee of the Judicial Council of the Federal Circuit Replies").  Recently, her efforts came to naught, as the D.C. District Court dismissed her suit against her colleagues (see "Judge Newman's Suit Comes to an End") and the Judicial Counsel renewed her suspension for another year (see "Special Committee's Suspension Recommendation Adopted by Federal Circuit; Judge Newman Suspension Renewed").

    Judge Newman has tenacity as a strong character trait and this is evidenced by her filing an appeal with the D.C. Circuit Court of Appeals earlier this month.  While the Judge asserted several grounds for challenging her suspension before the District Court (including due process violations and procedural irregularities), her appeal to the Circuit Court has winnowed those challenges to one, that the suspension is unconstitutional, wherein if her brethren wished to remove her from the court the proper avenue was to ask the House of Representatives to impeach her.

    The brief extols Judge Newman for her six decades of making contributions to U.S. patent law, turning considerations of her age from a liability to a unique strength (Judge Giles Sutherland Rich is perhaps the only jurist having a longer tenure of such contributions).  These contributions include work with UNESCO, the State Department, work on revisions to the Paris Convention, as an advocate for creation of the Federal Circuit, and of course her forty years on that Court.  During that time, the brief asserts that the Judge has published "over 2,000 majority, concurring, and dissenting opinions," with her dissents "hav[ing] been routinely vindicated by the United States Supreme Court,  . . . as recently as this year."  Providing succinct rebuttal to allegations of intellectual infirmity (the supposed predicate for investigations leading to her suspension), the brief cites "both lay and expert witnesses" attesting to the contrary (she is an "unusually cognitively intact . . . woman" who appears "20 or more years younger than her stated age").  "Nevertheless," the brief maintains, the evidence of the past 18 months show the Judge has been "functionally removed from office" and such removal "without impeachment is wholly inconsistent with the Framers' carefully calibrated system of checks and balances."  Accordingly, Judge Newman argues that either the application of the Disabilities Act in this case or the Act itself is unconstitutional.

    The brief sets forth the history of the proceedings that have led to the current situation (substantially as Judge Newman herself has presented them in public fora; see "An American (and Completely Unnecessary) Tragedy") in a narrative peppered in its text and footnotes with factual rebuttals of the alleged facts justifying the Judge's suspension.  The narrative also notes procedural idiosyncrasies if not irregularities, such as her assertion that "[t]his was the first time in the history of the Disability Act that a complaint against a circuit judge which proceeded to the committee investigation stage was kept within the same circuit" ("[d]espite Judge Newman's requests"), suggesting the existence of animus or perhaps a lack of certainty about the strength of the allegations against the Judge.  Addressing her refusal to provide the "hospital records, medical, psychiatric or psychological, and other health-professional records that relate to" the alleged "heart attack" and a "fainting episode," as well as all "hospital records and medical, psychiatric or psychological, or other health-professional records of any treatment or consultation in the last two years regarding attention, focus, confusion, memory loss, fatigue or stamina" the brief provides a simple explanation:  none of the events comprising these "false allegations" ever happened according to Judge Newman so she could not provide evidence that does not exist.  Evincing an inclination to appropriately cooperate, the brief asserts that Judge Newman did provide expert reports by clinicians of her choosing that support her contention that there has been no basis for allegations of diminished mental or intellectual capacity.  Without any rebuttal expert testimony or evidence, the Judicial Council imposed a suspension in September 2023 which was renewed in September 2024 according to the brief (and the records of the proceedings before the Judicial Council).

    The brief also provides a short discourse on proceedings before the District Court (necessarily short in view of that court granting the Judicial Council's motions to dismiss), including a synopsis of Judge Newman's arguments relevant to the positions she takes before the Circuit Court.

    The brief asserts three bases for the Court to overturn Judge Newman's suspension:

    • "First, this Court should invalidate the Disability Act's remedies provision as unconstitutional on its face or provide a limiting construction that renders it constitutional."  This argument is based on limitations to the Disability Act to suspensions for "a temporary basis for a time certain" precluding a judge from being assigned no new cases, as opposed to the total preclusion under Judge Newman's suspension from all cases, including ones for which she has already participated in panels.  "No judicial council has ever issued an order that effectively prevents a judge from performing all judicial functions," the brief contends.

    • "Second, assuming the Disability Act is given a constitutional construction, it authorizes only suspensions that are, in the Disability Act's plain words, 'for a time certain' and 'temporary.'"  The current behavior of the Judicial Council of imposing upon the Judge repeated one-year suspensions is contrary to the plain language of the Disability Act and provides a basis for the Circuit Court to reverse the Judicial Council's order according to the brief.

    • "Finally, this Court should exercise jurisdiction over Judge Newman's 'as applied' challenges.  In those challenges, she contends that the nature of her suspension violates the Constitution and the Act, and that the Judicial Council proceeding itself violated Due Process of Law because, among other conflicts, its members are fact witnesses."  The district court held it did not have jurisdiction for these allegations under McBryde v. Comm. to Rev. Cir. Council Conduct & Disability Ords. of Jud. Conf. of U.S., 264 F.3d 52, 54 (D.C. Cir. 2001), which the brief argues was error.

    Regarding Judge Newman's constitutional arguments, the brief sets forth the constitutional status of Article III judges as members of a co-equal branch of the Federal government and the importance of ensuring judicial independence.  One aspect of this status is the capacity and opportunity to "exercise judicial power" (which, if it means anything must include "the ability to perform routine judicial functions such as hearing cases, and ruling on the controversies brought before the court"), the brief citing Supreme Court precedent from 1823 (United States v. Maurice, 26 F. Cas. 1211, 1214 (C.C.D. Va. 1823)) to 2018 (Lucia v. SEC, 585 U.S. 237, 270 (2018) (Sotomayor, J., dissenting)) consistent with this definition.  And from Marbury v. Madison the "exercise of judicial power" has been the exclusive province of the judiciary, specifically "the persons [Judges] to whom is delegated the judicial Power of the United States" (emphasis in brief).  This status and its prerogatives have been consistently applied the brief asserts, citing "historical and modern practice" against "administrative suspensions from judicial office."  And this is precisely what has occurred to Judge Newman who has been prevented under an administrative statute (the Disability Act) from performing any judicial work (not just hearing cases) and that "the entirety of her constitutional 'duties' have been reduced to 'receiv[ing] emails from various court departments, including HR, Circuit Librarians, the Administrative Services Office . . . regarding network outages, server patches, new equipment upgrades, and the new International IT access policy,' and being invited 'to various court-related social events.'"

    The history of courts dealing with disabled judges has not been suspension, the brief argues, but providing additional help (inter alia, from other judges in the performance of the work of the court).  Importantly, in earlier instances such additional help was relied upon when a disabled judge could not perform his duties, but the judge retained the capacity to perform those duties when able.  The crux of this portion of the argument is what the purportedly disabled judge chose whether or not to perform those judicial duties; they were not taken from such judges against their will (as has happened here).  "It was well understood that the power to decide whether or not to exercise the judicial office to which one was duly appointed for life rested with the judge himself, and not with his colleagues" according to the brief (the power to remove a judge "derelict in his duties" remained with Congress through impeachment).  Uniform recognition of the constitutional unsoundness of a Judicial Council suspending a judge from the exercise of her judicial office is supported by historical precedent, the brief reminding the Court that "in twenty-six years not a single federal judge was involuntarily suspended from her judicial functions as punishment for any misconduct" (citing the Breyer Report, Implementation of the Judicial Conduct and Disability Act of 1980, Report to the Chief Justice of the Judicial Conduct and Disability Act Study Committee, 239 F.R.D. 116, 143 (Sept. 2006), as well as the history of exercise of the Disability Act in other Circuits).  This history of the exercise of Judicial Council's authority regarding the exercise of a disabled judge's judicial power is one where judges voluntarily decided to temporarily do so.  In addition, the brief notes that even in instances where a judge's power to exercise his judicial office was diminished it did not result in "complete divestiture" of the power to adjudicate cases (citing instances in the Fifth, Seventh, Ninth, and Tenth Circuits; it might be noted that all of these cases involved district court judges).  A good reason for earlier Judicial Council's reticence to do so, the brief contends, is "that such an action traduces the House's sole power of impeachment and the Senate's sole power to try impeachments, and is therefore unconstitutional" (emphasis in brief).

    Judge Newman's brief sets out a jurisprudential pathway for the Circuit Court to rule in her favor without totally upsetting the administrative applecart providing a route for fairly  dealing with truly disabled judges.  The brief argues the issue is one of statutory construction to avoid a constitutional question (which was one basis for the decision below, which relied on a narrow construction of the Disability Act to dismiss Judge Newman's facial challenge of the law), citing Dimmitt v. City of Clearwater, 985 F.2d 1565, 1572 (11th Cir. 1993).  The brief calls this a "cardinal principle" under Crowell v. Benson, 285 U.S. 22, 62 (1932), and Commc'ns Workers of Am. v. Beck, 487 U.S. 735, 762 (1988), and paints it as a choice for the appellate panel.  But make no mistake, the brief casts this as a choice, and if the Circuit Court cannot find an amenable way to narrowly construe the Act then it must render a decision regarding it constitutionality the Judge contends.  And, the brief asserts, "the upshot is that under either approach, judicial councils lack the power to suspend a judge from the exercise of all her judicial functions" (emphasis in brief).

    The narrowing limitation the brief suggests is to "authorize judicial councils to limit, 'on a temporary basis for a time certain' [under] 28 U.S.C. § 354(a)(2)(A)(i), a judge's docket, but not to completely revoke a judge's ability 'to exercise judicial power.'"  This approach has the advantage, according to the brief, that it would not disturb earlier decisions in other judicial disability cases (where, as Judge Newman's brief asserts other Judicial Councils had not overstepped the scope of the suspensions they handed down), and would be "consistent with judicial councils' long-standing understanding of their own powers as well as statutory and constitutional limits on those powers" (emphasis in brief) (reinforcing the point).  Should the Court take this approach, Judge Newman states that this would "recognize that an order that fully divests a judge from judicial functions is well outside the Act's statutory limits," that the Federal Circuit's Judicial Council had never been "clothed with authority to deprive Judge Newman against her will of the 'power to hear and determine judicially questions submitted,'" and accordingly, the Court should issue a declaratory judgment or injunction on her behalf.

    The brief considers the alternative (wherein the Circuit Court does not construe the Disability Act narrowly), which is that the Act is unconstitutional.  This conclusion follows directly from separation of powers principles and that it necessarily involves the Judge's ability to exercise judicial power, which is "the power to perform routine judicial functions such as hearing cases, and delivering judgments."  Permitting unlimited suspensions as has happened against Judge Newman substitutes ("abrogates") an administrative order for the "constitutionally prescribed impeachment process."

    The brief then considers the consequences of the Circuit Court holding that the suspension provisions of the Disability Act to be constitutional, and argues that in that case only time-limited suspensions having a definite end date are authorized by the Act under its plain meaning (from the statutory provisions that such suspensions are permitted "on a temporary basis for a time certain" and limited to the judge being assigned no new cases) under 28 U.S.C. § 354(a)(2)(A)(i)).  In this regard, the brief sets out canons of statutory interpretation for a definition that whatever these provisions may mean they do not include the unlimited suspension imposed on the Judge.  Under a plain meaning interpretation, the brief argues that "Judge Newman's suspension from judicial duties must have a definitive end date" and that "[t]he order that permits renewed suspensions until Judge Newman submits to medical testing is therefore ultra vires and in excess of Defendants-Appellees' statutory authority."  (Ironically, the Judicial Council opposes this interpretation because it would permit a judge under suspension to "wait the committee out, thwart the functioning of the Act, and be free and clear of any consequence for ongoing misconduct after a single year."  But even if the Court gives credence to this argument, Judge Newman counters that "it is long-settled that courts are obliged to give statutes their plain and ordinary meaning even where it may lead to unwelcome results," citing Lamie v. U.S. Tr., 540 U.S. 526, 534, 538 (2004).  What the Judicial Council ignores is the fact that, should this occur, the Council's remedy is to refer the matter to the House of Representatives for impeachment proceedings to commence according to Judge Newman.)

    Finally, Judge Newman's brief argues that the D.C. Circuit has jurisdiction to consider "as applied" challenges (another basis for the district court's dismissal, relying on McBryde).  This portion of the brief is based on explication of 28 U.S.C. § 357, which the brief argues does not preclude review of all orders issued even if some such issues fall within its proscriptive purview.  This is because there is "a fundamental principle of administrative law" that courts "shall [i.e., must] hold unlawful and set aside agency action . . . found to be in excess of statutory jurisdiction, authority, or limitations" under 5 U.S.C. § 706(2)(C), as held in Cuozzo Speed Techs. v. Lee, 579 U.S. 261, 275 (2016), and Wallace v. Christensen, 802 F.2d 1539, 1551 (9th Cir. 1986) (en banc).  This is the case, the brief argues, even when such an order is "final and not appealable" because the reviewable question remains whether the agency "act[ed] outside its statutory limits," citing SAS Inst. v. Iancu, 584 U.S. 357, 370-71 (2018) (the brief using here the analytical rubrics as set forth in SAS).  As for McBryde, the brief asserts error below because exceptions to that decision include situations where "a long-term disqualification from cases . . . , by its practical effect, affect[s] an unconstitutional 'removal,'" 264 F.3d at 67 n.5 [which is] precisely the situation Judge Newman finds herself in.  McBryde does not empower the Judicial Council to "string[] together and indefinitely extend[] numerous suspensions" as the Judicial Council of the Federal Circuit has done here, Judge Newman argues.  Interpreting McBryde as broadly as the Judicial Council has here and the District Court held below "would leave certain decisions of judicial councils entirely beyond review" the brief contends, citing Weinberger v. Salfi, 422 U.S. 749, 762 (1975).

    Without expressly raising the types of extensive due process arguments made below, the brief asserts that "Judge Newman enjoys a right to a judicial review of unlawful agency actions" as do all citizens, even if certain aspects, such as whether the Judicial Council's actions are "arbitrary and capricious," are not available to her.  In the context of interpreting the McBryde decision, the brief argues that the District Court held outside its jurisdiction Judicial Council acts such as refusing to transfer this matter to another circuit, despite the Judicial Council taking on the roles of "witness and adjudicator," and "investigator and litigant," which constituted a due process violation without a remedy from a reviewing court.  Regardless, the brief argues that the McBryde decision has been "overtaken by events" and is no longer good law for what it was advocated by the Judicial Council and applied by the District Court.

    As evidenced by Judge Newman's recent public remarks, the Judge apparently has no intention of "going way quietly."  On the contrary, the Judge seems to intend to continue her opposition to suspension by the Judicial Council for as long as it takes or time permits.

  • By Michael Borella

    ImageFor most of the last two decades, the U.S. Patent and Trademark Office offered its electronic filing system (EFS), through which practitioners could file patent applications and related prosecution documents, and private patent application information retrieval (private PAIR), through which practitioners could view filed applications.  Both were retired on November 8, 2023 in favor of Patent Center.

    Patent Center existed as a "working beta" for a number of years.  This alone is not an issue — organizations launching new web portals often introduce them with a soft launch so that they can crowdsource their final debugging.  However, the formal cutover to Patent Center thirteen months ago has been a disaster.  And with EFS no longer being available as a backup, practitioners are forced to use a buggy, poorly-designed web application with an unintuitive interface for mission critical activities on behalf of their clients.

    Patent Center defects are legion.  According to one collection (which has not been updated in six months), there are 141 reported and unresolved issues with Patent Center.  These range from the merely inconvenient to the highly problematic.  Here, I will describe a handful of the most prevalent, irritating, and disruptive.

    Ghost Sessions (the spooky side of staying logged in too long)

    Like many web portals, Patent Center downloads a number of scripts to run in your browser when you access it.  However, the client side of the application frequently gets out of sync with the server side.  In particular, the server side may time out your session while the client side thinks that the session is still valid.  This means that the Patent Center user interface will appear to be responsive and will allow you to perform a few tasks before informing you that your session has been logged out.  Or just refusing to respond altogether.  Any work that you have done in such a ghost session is lost and you will need to do it again.

    Surprise Logouts (because productivity is overrated)

    This issue may or may not be related to the ghost sessions issue.  In some cases, you are progressing through a multi-part transaction with Patent Center and you will find yourself unceremoniously logged out.  Your progress may or may not be lost.  Most annoyingly, these surprise logouts can happen during the penultimate step of a lengthy transaction, right after you hit the "submit" button to file documents, or when paying a fee.  In the latter two situations, it may be unclear whether your submission or payment actually went through.

    401 Errors (you shall not pass)

    This bug popped up a few months ago and is now remarkably common.  I rarely go a day without getting several of these (I even received one while writing this article).  If you leave a Patent Center session open in a browser tab for a while, it will eventually log you out (on both the client and the server this time) and tell you that you lack authorization to access the site.  That is fine, except that once you have a tab in this state, reloading Patent Center will not work.  Instead, you need to close the tab and open a new tab to get back in to Patent Center.

    Progressive Slowdowns (every click feels like an eternity)

    Most of us pop into Patent Center to upload and file a few documents, then log out.  However, if you have the misfortune of having to stay in Patent Center for a while to make a number of filings, you will find that each transaction makes the interface a little slower.  Eventually, Patent Center gets unbearably unresponsive and you will need to log out and back in to remedy the situation.  In recent experience, you will notice the slowness after making about 5-10 submissions.  This type of behavior is a symptom of a memory leak — a bug in which software allocates more and more memory without releasing it properly.

    And these are just a few issues.  There are plenty more, such as Patent Center not accepting files with capital letters in its extension (e.g., "file.PDF").  Converting text from uppercase to lowercase is a simple activity taught in computer science 101.  Apparently, the USPTO's new motto is "Innovation starts here, but not if your file name yells at us."

    Further, Patent Center had a data breach earlier this year involving private assignment data being made publically available.  The USPTO has "addressed" this breach by shutting down access to assignment data in Patent Center, forcing the public to use its unreliable patent assignment search portal instead.

    All these issues may not seem significant to anyone which does not use Patent Center on a regular basis.  But they are.  These problems occur frequently and regularly.  Each time you have to log back into Patent Center or reenter data, you need to spend time.  As in all industries, time is money.  The consequence of a defect-ridden portal in that the USPTO is pushing costs to applicants.  Moreover, it is not hard to believe that a submission has been filed or that a fee has been paid when it has not.  This can lead to loss of rights for applicants and penalties for practitioners.

    In an ideal world, the USPTO would be open about these problems, and release a memo along the lines of "We screwed up and here is what we are doing to fix it."  But that has not happened.  Instead, Patent Center stands as a prime example of institutional incompetence.  To be clear, it is not the job of applicants and practitioners to help the USPTO debug its own software — we have other jobs that are demanding and often require long hours.  The USPTO needs to step up.

    Without an efficiently functioning web portal, the USPTO cannot achieve its mandate to protect American intellectual property rights.  If we are lucky, the next USPTO director will take the necessary steps to fix the most significant Patent Center issues early in their term.

  • By Kevin E. Noonan

    Judge Newman_1Last month, at the Biotechnology Innovation Organization (BIO) Intellectual Property Counsels Committee (IPCC) conference in Washington, DC, the Honorable Judge Pauline Newman of the Federal Circuit gave a lunchtime address that was different from others she has given at many conferences in the past.  This one was heart-rending, inspirational, and illuminating, the subject being the circumstances and history around her suspension (going on two years now) from her duties and responsibilities on the Court.

    Much of what the Judge discussed is public knowledge (see "Judge Newman and the On-Going Attempts to Remove Her from the Federal Circuit"; "Judge Newman Matter Continues"; "Federal Circuit Special Committee Responds to Judge Newman's Counsel's Request for Clarification Regarding Misconduct Hearing"; "Federal Circuit Special Committee Recommends One-Year Suspension of Judge Newman"; "Judge Newman Suspended for One Year by Federal Circuit"; "Judge Newman's Suit Continues"; "Special Committee of the Judicial Council of the Federal Circuit Replies"; "Judge Newman's Suit Comes to an End; Special Committee's Suspension Recommendation Adopted by Federal Circuit"; "Judge Newman Suspension Renewed") but the talk was more personal and disclosed more specifics about how Judge Newman experienced the situation as it developed.  It was foreshadowed (in retrospect) by the Court schedule of cases in early 2023 that did not include the Judge on any panel.  Not having any reason to suspect anything untoward was about to occur, the Judge thought she was being given a respite to catch up on her writing opinions on some cases on her docket.  That presumption of collegiality was shattered when, in early March 2023 the Chief Judge visited her in chambers and informed her that she should step down from the bench.  The putative reasons were that she had become incompetent and disabled due to having suffered a heart attack and evinced by fainting in the court hallways.  In Judge Newman's telling, both incidents came as a surprise to her (they never happened).  Nevertheless, the Chief Judge initiated the proceedings to have Judge Newman removed, which resulted in the Judicial Council recommending and the Judge's Federal Circuit colleagues voting unanimously that Judge Newman be suspended.  The Judge voiced surprise that such a vote was unanimous.

    It is also well-known that Judge Newman did not accept this verdict and brought suit in the D.C. District Court based on her status as an Article III judge requiring impeachment under the Constitution; that she had been denied due process; and that the asserted predicate bases of the Federal Circuit's action were without merit.  Having lost the suit before the district court, Judge Newman has now appealed, and that process, the Judge estimated, is likely to take a few years to be resolved.

    And in some ways that is the point, Judge Newman noted, saying that in every action or statement from the Chief Judge, the Judicial Council, or their Department of Justice counsel in her lawsuit what is mentioned in the first sentence or so is the Judge's age.  Noting that she is 97, the Judge acknowledged that the timetable of the appeal is not favorable, but with characteristic spirit said that if it is resolved within a few years we can all celebrate her centenary (which statement was enthusiastically received).  The Judge also said that her age was likely to be the cause of relative disinterest from Members of Congress and others who may be personally sympathetic but have not taken any action on her behalf.

    The Judge spent a few minutes talking about the history of the Court and its beginnings, how it was at first opposed by some (including the ABA) and once established was led by such legal giants as Judges Rich and Markey.  At least some of this history was used as a backdrop to the state of the Court now, and Judge Newman's apprehension that many of her colleagues, and a large part of the patent bar, have been publicly reticent to speak out on the merits or process of her suspension (even if privately sympathizing with her).  The reason for this, Judge Newman posited, is fear — fear of repercussions from those who have initiated and supported her suspension (analogizing this to the famous Nixon enemies list).  The Judge did not ascribe personal animus to those who have done so, however; pragmatically she attributed her suspension as being motivated by a desire to have a younger jurist appointed to the Court.  But it has not escaped her notice that her opinions have frequently been in dissent, and speculated that there may be some of her colleagues on the Court who would rather not be told they are wrong with the frequency with which she had done so when permitted to do so.

    As has consistently been the case, the Judge was the antithesis of the caricature of a declining jurist whose time on the bench has past.  As always, Judge Newman was charming, engaging, entirely on top of the narrative and spoke without any sign of hesitation.  Judge Newman is rightly recognized as one of the "lion(esse)s of the law" she extolled in tribute to her earlier colleagues on the Federal Circuit and her commitment to the court as a venerable institution.  The contretemps of the past two years have been  misguided, unseemly, and regrettable, and while unlikely it is an outcome devoutly to be hoped that rationality and good sense prevails and Judge Newman be restored to the bench where she so evidently belongs.