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PATENT LITIGATION

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PATENT LITIGATION

Third Edition

Edited byCharles S. Barquist

Incorporating Release #5April 2018

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About the Contributors

Editor

CHARLES S. BARQUIST is the editor of this book, the author of chapter1, and a coauthor of chapter 15. He is a partner in the Los Angeles officeof Morrison & Foerster LLP, and specializes in the litigation and trial ofpatent and other intellectual property disputes. Mr. Barquist received anA.B. degree with high distinction and high honors in history from theUniversity of Michigan in 1975. He received a J.D., cum laude, fromHarvard Law School in 1978. Following graduation, Mr. Barquist servedas a law clerk to the Honorable Milton Pollack, United States DistrictJudge for the Southern District of New York. He joined Morrison &Foerster in 1987, and has worked in the firm’s New York, San Francisco,Tokyo, and Los Angeles offices. Representative clients include CapitalOne, Fujitsu Limited, DISH Network, and Compal Electronics. Mr.Barquist is a past president of the Los Angeles Intellectual Property LawAssociation, a past chair of the Intellectual Property and EntertainmentLaw Section of the Los Angeles County Bar Association, and is thecurrent chair of the USC Gould School of Law IP Institute.

Authors (in chapter order)

E. DANIELLE T. WILLIAMS is the author of chapter 2. An experiencedtrial and arbitration attorney, she has handled a wide range of businessdisputes, including patent infringement, securities fraud, and complexcontract matters in a number of federal and state courts. Located inFish & Richardson’s Atlanta office, her practice focuses on patentlitigation. Ms. Williams has extensive experience in handling high-risk,multi-patent, multi-product, multi-defendant cases in a broad range oftechnologies, in federal courts across the country. She regularly advisesclients regarding various pre-suit patent litigation issues includingindemnity obligations and declaratory judgment options. Ms. Williamshas authored articles on patent litigation, patent damages, electronicdiscovery, and time management and has presented CLEs on patentlitigation, patent damages, and electronic discovery. She also coauthorsa blog focused on patent damages, www.patent-damages.com. Shereceived a J.D. from Wake Forest University School of Law and anM.B.A. from Wake Forest University.

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RICHARD BIRNHOLZ is a coauthor of chapter 3. He is a partner in theLos Angeles office of Irell & Manella LLP. He is a member of the firm’slitigation and intellectual property workgroups. Mr. Birnholz hasextensive experience in complex litigation in federal and state courts,specializing in high-stakes patent litigation in courts throughout thecountry. He has tried cases in the U.S. district courts and before theInternational Trade Commission and has successfully argued appealsbefore the U.S. Court of Appeals for the Federal Circuit. Mr. Birnholzhas been selected by Los Angeles Magazine for inclusion in SouthernCalifornia “Rising Stars” in 2004 and Southern California “SuperLawyers” in 2017 for the twelfth consecutive year. Before joining Irell &Manella LLP, Mr. Birnholz served as a law clerk to the Honorable PamelaAnn Rymer, U.S. Court of Appeals for the Ninth Circuit, and as anextern for the Honorable Ruth Bader Ginsburg, then a judge of the U.S.Court of Appeals for the D.C. Circuit. During law school, Mr. Birnholzserved on the editorial board of the UCLA Law Review and published acomment entitled “The Validity and Propriety of Contingent FeeControls,” 37 U.C.L.A. L. Rev. 949 (1990).

BENJAMIN HABER is a coauthor of chapter 3. He is an associate in theLos Angeles office of Irell & Manella LLP, where he is a member of theIP litigation practice group. Mr. Haber has represented high-technologyclients from various fields (including medical devices, video processing,and mobile communications) in complex IP litigation matters. He isadmitted to practice before the U.S. Patent and Trademark Office.Mr. Haber has spoken and written extensively on the America InventsAct. Mr. Haber earned his J.D. from Loyola Law School where he wasChief Technology Editor of the Loyola Law Review. He graduatedmagna cum laude, Order of the Coif, and was a Sayre MacNiel Scholar.While at Loyola, Mr. Haber also participated in the Giles SutherlandRich Patent Moot Court Competition and received the “Best AppellateBrief” award. Prior to law school, Mr. Haber was an accomplishedengineer, working in aerospace engineering, optical engineering, andsystems engineering; he worked as an engineer at NASA’s JetPropulsion Laboratory, as well as at Northrop Grumman Corporation.As an Adjunct Professor, Mr. Haber has taught Patent Law at his almamater, Loyola Law School.

BRIAN E. FERGUSON is the author of chapter 4. He is a partner inWeil Gotshal’s patent litigation practice, specializing in high technol-ogy patent disputes involving a wide array of technologies. Nationallyrecognized as a leader in patent law, Mr. Ferguson represents clients inpatent infringement and validity disputes before district courts and insection 337 investigations before the U.S. International TradeCommission. He has handled dozens of patent-related appeals and

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successfully argued numerous appeals before the U.S. Court of Appealsfor the Federal Circuit and the Board of Patent Appeals andInterferences in the U.S. Patent and Trademark Office. He successfullyargued before an en banc panel of the Federal Circuit in In re SeagateTechnology LLC, in which the court changed the standard for provingwillful infringement and clarified the scope of attorney-client privilegewaiver in patent cases. Mr. Ferguson has taught as an adjunct professorat the George Washington University School of Law, and regularlywrites on patent litigation and technology topics. He is a member ofthe Federal Circuit Bar Association and the American IntellectualProperty Law Association. He has been recognized as one of the “top50 under 45” IP practitioners in the United States by IP Law &Business, and as a leading IP lawyer by The Best Lawyers in America in2008 and 2009. He received his J.D. from Albany Law School and hisB.S.E.E., magna cum laude, from Union College.

KAREN A. JACOBS is a coauthor of chapter 5. She is a partner atMorris, Nichols, Arsht & Tunnell LLP. Her practice focuses primarilyon patent litigation. She also has experience with a variety of otherintellectual property and commercial litigation areas, including copy-right, trademark, trade secret, unfair competition, and contract andlicensing disputes. Ms. Jacobs has been recognized for legal excellenceby Chambers USA: Guide to America’s Leading Lawyers for Business,The Best Lawyers in America, Law and Business Media, DelawareSuper Lawyers and Managing Intellectual Property as one of the topwomen in IP. In 2009, Ms. Jacobs was the recipient of the DelawareState Bar Association’s Women’s Leadership Award, as well as theDelaware State Bar Association’s Community Service Award in 2003.Ms. Jacobs is a graduate of the University of Pennsylvania and theHarvard Law School.

MEGAN E. DELLINGER is a coauthor of chapter 5. She is an associatein the Intellectual Property Group at Morris, Nichols, Arsht & TunnellLLP. Her practice focuses primarily on patent litigation. Ms. Dellingerreceived her J.D. from the University of Virginia School of Law, whereshe was an executive editor of the Virginia Law Review and a memberof the Order of the Coif. She completed her undergraduate work at TheCollege of William & Mary, graduating with honors with a B.S. inchemistry.

ELEANOR G. TENNYSON is a coauthor of chapter 5. She is an asso-ciate in the Intellectual Property Group at Morris, Nichols, Arsht &Tunnell LLP. Her practice focuses primarily on patent litigation.Ms. Tennyson received her B.A. in Chemistry, with honors, fromGrinnell College and her M.S. in Chemistry from Clemson University.


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She graduated with distinction from the University of Iowa College ofLaw, where she was a managing editor of Iowa Law Review.

JASON R. BARTLETT is a coauthor of chapter 6. An attorney atMauriel Kapouytian Woods LLP, he has over fifteen years of experiencein intellectual property litigation, commercial arbitration, and licensing.His engagements have involved a broad range of technologies andindustries. In the life sciences, he has experience with monoclonal anti-body therapeutics and diagnostics, vaccines, and medical devices. Incomputers and electronics, he has litigated design and utility patentsrelating to smartphone software and hardware, cellular telecommuni-cations standards, global positioning systems, programmable logicdevices, and CAD software.

HUI LIU is a coauthor of chapter 6. She is an attorney at MaurielKapouytian Woods LLP. She has litigated cases involving complextechnological issues for nearly a decade and has represented manyinternational clients in patent infringement, patent licensing, andother contractual disputes before various U.S. district courts, NewYork state courts, and the U.S. International Trade Commission. Shehas also represented clients in international arbitration proceedingspresenting complex commercial and contract law issues. Ms. Liu hashandled many matters involving cutting-edge technologies includingpharmaceutical development, metabolomics, semiconductor manu-facturing, and plasma and liquid crystal displays.

MICHELLE KITCHEN is a coauthor of chapter 6. She is a litigationattorney at Mauriel Kapouytian Woods LLP, specializing in discoveryand document collection and preservation in contentious andnoncontentious matters. She has substantial in-house experience withpharmaceutical and medical device corporations assisting in preparingand responding to discovery demands in various types of litigationincluding intellectual property, products liability, and contract disputesand with respect to domestic and international government investiga-tions.

CHARLES W. SABER is a coauthor of chapter 7. He is a partner in theWashington, D.C. office of Blank Rome LLP. His practice focuses onall aspects of intellectual property law, with an emphasis on intel-lectual property litigation. Mr. Saber has participated in scores ofintellectual property lawsuits at the trial and appellate levels involvingpatent, trademark, copyright, unfair competition, and trade secretissues. These actions have been filed in both federal and state courtsand span a variety of industries. Mr. Saber has lectured extensively ona wide variety of intellectual property matters on both patent and

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trademark matters. He is coauthor of the Introduction to IntellectualProperty Law (1994), and his articles on intellectual property mattershave appeared in a wide variety of publications. Mr. Saber graduatedmagna cum laude in 1979 from the Georgetown Law Center.

DIPU A. DOSHI is a coauthor of chapter 7. A partner in theWashington, D.C. office of Blank Rome LLP, Mr. Doshi focuses hispractice in all aspects of patent law, with an emphasis on patentlitigation and client counseling. Mr. Doshi has experience in a widevariety of technological fields, including pharmaceutical and chemicalcompounds, biological molecules, DNA sequences, computer memory,imaging devices, semiconductor inventions, and computer networks.

MEGAN R. WOOD is a coauthor of chapter 7. She is an associate atthe Washington, D.C. office of Blank Rome LLP. She primarily focusesher practice on patent litigation and patent prosecution. During lawschool, Ms. Wood served as a judicial intern for the Honorable James J.Fitzgerald III, Appellate Judge of the Superior Court of Pennsylvania.She also served as an associate editor on The Villanova EnvironmentalLaw Journal.

CHRISTOPHER J. RENK is a coauthor of chapter 8. He is a seniorpartner at Banner & Witcoff, Ltd., in Chicago, and specializes inlitigating intellectual property cases. He has successfully litigated casesat the trial and appellate levels, spanning a broad range of technologiesincluding computer hardware, electrical controls, medical devices, andathletic footwear. He is an Adjunct Professor of Law at the GeorgetownLaw Center, where he teaches Patent Trial Practice, and is acontributing author of the ABA/IP Section-sponsored Patent LitigationStrategies Handbook.

TED L. FIELD is a coauthor of chapter 8. He is Professor of Law,South Texas College of Law, Houston.

KAREN VOGEL WEIL is a coauthor of chapter 9. She is a partner inthe Los Angeles office of Knobbe, Martens, Olson & Bear, LLP. Ms.Weil has experience in all aspects of intellectual property litigation,including representing plaintiffs and defendants in patent, trademark,copyright and trade secret disputes. She has both trial and appellateexperience. Ms. Weil is also experienced in the area of patent dam-ages. Ms. Weil has spoken extensively on patent litigation issues. Shereceived her J.D. with honors from the George Washington UniversityLaw School, where she was a member of the George WashingtonJournal of International Law & Economics, and her B.A. cum laude,Phi Beta Kappa, from the University of California—Davis.


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YANNA S. BOURIS is a coauthor of chapter 9. She is a partner in theLos Angeles office of Knobbe, Martens, Olson & Bear, LLP. Ms. Bourisrepresents clients in all areas of intellectual property law, includingpatents, trademarks, copyrights and unfair competition. Ms. Bourishas represented both plaintiffs and defendants in litigation mattersinvolving diverse technologies, including medical devices, biotechnol-ogy, and computer networking. She has also handled the damagescase of several high-stakes patent litigation matters. Ms. Bouris joinedthe firm in 2003 and became partner in 2009. She received her J.D.from Stanford Law School and her B.A., with highest honors, fromthe University of California—Berkeley. Prior to attending law school,Ms. Bouris worked in the biotechnology industry in the areas ofgenetics, real-time PCR, and HIV diagnostics at Life Technologies,Inc., Calytpe Biomedical, and the Joslin Diabetes Center.

NATHAN M. SHAW is a coauthor of chapter 9. He is an associate inthe Los Angeles office of Knobbe, Martens, Olson & Bear, LLP. Hispractice focuses on intellectual property litigation and patent prosecu-tion. Mr. Shaw received his J.D. from George Washington UniversityLaw School.

JOSEPH A. FARCO is the author of chapter 10. He is a member ofthe intellectual property law group at Locke Lord LLP, and hasconsiderable experience in patent litigation, ITC proceedings, andpatent prosecution. Mr. Farco has been involved in numerous aspectsof the patent trial, including initial settlement discussions, fact andexpert discovery, summary judgment, post-hearing briefing, andappeals. He received a B.E. in mechanical engineering and an M.S.in engineering management, both from Stevens Institute of Tech-nology; an M.S. in pharmaceutical chemistry from the University ofFlorida; and a J.D. from New York Law School. He was named a RisingStar for Intellectual Property Law by Super Lawyers (2012–2016).

DON W. MARTENS is a coauthor of chapter 11. He is of counsel tothe Irvine, California, intellectual property law firm of Knobbe, Martens,Olson & Bear, LLP. The firm has been named the best intellectualproperty law firm in the western United States for five years in a rowin a worldwide survey of 3,000 IP lawyers conducted by ManagingIntellectual Property magazine. Mr. Martens specializes in litigation ofIP cases. He has been named one of the top twenty patent attorneys inthe world in a comprehensive international survey by Euromoney LegalMedia Group. He was President of the American Intellectual PropertyLaw Association in 1996. Currently he is a member of the AdvisoryCouncil of the Court of Appeals for the Federal Circuit.

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JOHN B. SGANGA, JR. is a coauthor of chapter 11. He is a partner inthe Irvine, California, office of Knobbe, Martens, Olson & Bear, LLP,where he practices as an intellectual property litigator. He graduatedmagna cum laude in 1981 from Lafayette College, with a B.S. inmechanical engineering. He received his J.D. from New York UniversitySchool of Law in 1984. Mr. Sganga has authored numerous articles onintellectual property law issues. Mr. Sganga was awarded the RossmanAward by the Patent and Trademark Office Society in 1990 for his articleregarding the constitutionality of direct molding statutes. Mr. Sgangahas lectured on intellectual property law issues for CEB, PLI, UC Irvine,and other groups. Mr. Sganga served as President of the Orange CountyBarristers and has served on the Board of Directors of the OrangeCounty Bar Association.

DAVID W. BEEHLER is a coauthor of chapter 12. He is of counsel tothe Minneapolis office of the national law firm of Robins Kaplan LLP.He practices in all areas of business litigation, with an emphasis inintellectual property litigation. He has experience in patent, trade-mark, and copyright litigation, having represented clients in federalcourts around the country in such matters. Some of the clientsMr. Beehler has represented include Unocal, Best Buy Co., Inc., andBlue Cross Blue Shield of Minnesota. Mr. Beehler is a member of theMissouri, Kansas, and Minnesota bars, the related state and fed-eral courts, including the Federal Circuit, Eighth, and Ninth CircuitCourt of Appeals, and the United States Supreme Court. He obtainedhis B.S., summa cum laude, in English from St. Cloud State Uni-versity, Minnesota, and his J.D., cum laude, from the University ofMinnesota in 1985.

MUNIR R. MEGHJEE is a coauthor of chapter 12. He is a partnerin the Minneapolis office of Robins Kaplan LLP. He is an experiencedlitigator and trial lawyer with over two decades of representing adiverse client base in a broad variety of matters focusing on patentrights, trade secrets, and other forms of intellectual property. He hasparticular experience in helping clients realize and protect the fullvalue of their intellectual property assets and investments throughlicensing, sale, and enforcement of patent rights. Mr. Meghjee’s nationalpractice has included representing corporations and academic institu-tions on both sides of patent and trade secret litigation in both state andfederal court, as well as at the appellate level. His clients span a broadspectrum of industries and technologies, including the Internet,computer hardware, software and software systems, and medicaldevices. Mr. Meghjee has taught trial advocacy for the National Instituteof Trial Advocacy (NITA), and has also taught trial advocacy inter-nationally as an instructor with the Lawyers Without Borders Support


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Through Trial Advocacy Training Program in Nairobi, Kenya. Mr. Meghjeereceived his B.A. from Colorado College and his J.D., cum laude, fromNorthwestern University School of Law, where he was Articles Editorfor the Law Review.

DAVID A. PRANGE is a coauthor of chapter 12. He is an attorneyin the Minneapolis office of Robins Kaplan LLP. His practice focuseson complex litigation with an emphasis on intellectual property,including patents, trademarks, and trade secrets. He is experienced inpatent infringement litigation in multiple technology areas, includingcomputer hardware and software, consumer and commercial waterfiltration and purification, wireless sensor monitoring, and irrigationcontrol. Mr. Prange is a registered patent attorney. He has a B.A. inbiology, magna cum laude and Phi Beta Kappa, from Saint OlafCollege. He received a J.D. with high distinction from University ofNebraska—Lincoln College of Law, where he was a member of theOrder of the Coif.

JAMES R. BARNEY is a coauthor of chapter 13. He is an attorney inthe firm of Finnegan, Henderson, Farabow, Garrett & Dunner, LLP,and received a J.D. from Yale Law School (1999). Mr. Barney ’s practiceinvolves patent litigation, opinion writing, and client counseling,primarily in the chemical, cosmetic, and pharmaceutical areas.

J. DEREK MCCORQUINDALE is a coauthor of chapter 13. He is anassociate at Finnegan, Henderson, Farabow, Garrett & Dunner, LLP,where he focuses his practice on patent litigation, at both the trialand appellate levels. He has appeared in cases before federal districtcourts, the International Trade Commission (ITC), and the U.S.Court of Appeals for the Federal Circuit, where he has contributed toseveral successful appeals. He received a J.D., cum laude, from DukeUniversity School of Law.

PAUL D. TRIPODI II is a coauthor of chapter 14. He is a partner inWilson Sonsini Goodrich & Rosati’s intellectual property litigationpractice, where he focuses on patent litigation. Prior to joining thefirm, he was a partner in the Los Angeles office of Sidley Austin LLP,where he was a member of the West Coast intellectual property andtechnology practice. Paul has been involved in both bench and jurytrials, as well as proceedings before various international tribunalsand the International Trade Commission. In addition to his work asan IP litigator, he volunteers as a Criminal Prosecutor on behalf of theState of California. Prior to his graduation from UCLA School of Law,Paul earned a B.S. in Chemistry from the Pennsylvania State Uni-versity and an M.S. in Chemical Physics from the California Instituteof Technology.

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ELLEN S. ROBBINS is a coauthor of chapter 14. She is partner in theLos Angeles office of Sidley Austin LLP and a member of the firm’sIntellectual Property Litigation and Complex Commercial Litigationgroups. Prior to 2015, Ms. Robbins practiced in the Firm’s Chicagooffice for more than twenty-two years. She has extensive experiencehandling matters on behalf of public and private companies all over theworld in both state and federal court, with a particular emphasis onintellectual property litigation, as well as commercial matters involv-ing breach of contract, fraud, unfair competition, alter ego, securitieslaw, insolvency, and misappropriation. Ms. Robbins has worked onnumerous matters and has had multiple trials before the Interna-tional Trade Commission (ITC), and has successfully litigatednumerous patent cases, including the landmark Microsoft/MotorolaRAND royalty cases. Ms. Robbins has been a partner of the firm since1999. Before joining the firm, she clerked for the Honorable CharlesP. Kocoras of the U.S. District Court for the Northern District ofIllinois. She received her J.D., magna cum laude, from Harvard LawSchool, and her B.S. in Business Management, summa cum laude, fromthe University of Illinois.

GRACE PAK is a coauthor of chapter 14. She is an associate in theLos Angeles office of Wilson Sonsini Goodrich & Rosati, where herpractice focuses on patent litigation. Her experience in patent litigationinvolves technologies such as Internet technology and nutritionalsupplements. Ms. Pak also has significant experience prosecuting numer-ous patent applications and counseling clients for a variety of tech-nologies, including medical devices, optics, display devices, computerhardware, and software. She received her J.D., cum laude, from theUC Hastings College of the Law, where she was the recipient ofawards for excellence in copyrights, trademarks, and contracts; herB.S. in Biomedical Engineering is from Northwestern University.During law school, Ms. Pak served as a judicial extern to the HonorableCharles R. Breyer of the U.S. District Court for the Northern District ofCalifornia. Prior to joining the firm, she was an associate at Knobbe,Martens, Olson & Bear, LLP.

MATTHEW KREEGER is a coauthor of chapter 15. He is a partner atMorrison & Foerster LLP, and specializes in intellectual property trials,as well as patent interferences and reexaminations. Mr. Kreeger receivedan A.B. degree with highest distinction in mathematics from theUniversity of California at Berkeley in 1987. He received a J.D., magnacum laude, from Harvard University in 1990. Following graduation,Mr. Kreeger served as a law clerk to the Honorable Judith Rogers, Districtof Columbia Court of Appeals. He joined Morrison & Foerster ’s


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litigation department in 1991, and became a partner in 1998. Mr.Kreeger is the chair of the firm’s patent interference practice group, andfrequently advises clients on patent prosecution and pre-litigationstrategy issues. He has represented numerous life science clients andinformation technologies clients including Novartis, Apple, and Yahoo!

LAURENCE H. PRETTY planned and edited the first two editions ofthis book and was the original author of chapters 1 and 9. He has asolo patent practice in Pasadena, focused on serving as consultant andexpert witness, acting as an ADR provider, and writing opinions onpatents. For many years, he was a trial lawyer with the firm of Pretty& Schroeder P.C., an L.A. patent litigation boutique, and subsequentlywas a partner in Hogan & Hartson LLP. He has tried many patentcases for companies of all sizes before juries and to the court. He hasalso maintained a continuous involvement in patent prosecution.Mr. Pretty was a law clerk at the U.S. Court of Customs and PatentAppeals and taught as an adjunct lecturer in patent law at U.C.L.A.Law School. He has been Chair of the IP Section of the California StateBar and a Director of AIPLA. He received an engineering degree fromthe Imperial College of Science and Technology, U.K., and a law degreefrom George Washington University Law School. Since 1996, he hasbeen continuously listed in the publication The Best Lawyers in America.

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PATENT LITIGATION

Table of Chapters

Chapter 1 Substantive Issues of a Patent Case

Chapter 2 Investigation Needed Before Bringing Suit

Chapter 3 Opening Phase

Chapter 4 Discovery and Privilege

Chapter 5 Attorney-Client Privilege and Work ProductImmunity

Chapter 6 Case Strategy and Management

Chapter 7 Nondiscovery Motions and Court-InitiatedProcedures

Chapter 8 Witnesses Special to a Patent Case

Chapter 9 Damages and Attorney Fees

Chapter 10 Injunctions

Chapter 11 Pretrial Proceedings

Chapter 12 Trial

Chapter 13 Appeal

Chapter 14 Patent Litigation Other Than District CourtInfringement Actions

Chapter 15 Challenging Validity in the PTO Under the 2011America Invents Act

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Table of Contents

About the Contributors ....................................................................vii

Table of Chapters ...........................................................................xvii

Chapter 1 Substantive Issues of a Patent Case

Charles S. Barquist

§ 1:1 Introduction ....................................................................... 1-3§ 1:1.1 Generally.................................................................... 1-3§ 1:1.2 The 1952 and 2011 Patent Acts ................................ 1-4

§ 1:2 Elements of a Patent Owner ’s Case ................................... 1-4§ 1:2.1 Title and Right to Sue................................................ 1-4

[A] Establishing Chain of Title ............................... 1-4[B] Right of Exclusive Licensee to Sue .................... 1-6

§ 1:2.2 Proof of Infringement................................................. 1-7[A] Burden of Proof ................................................. 1-7[B] Acts of Infringement ......................................... 1-7[B][1] Direct Infringement Within the

United States ............................................... 1-7[B][2] Infringement with Extraterritorial

Component.................................................. 1-7[B][3] Induced Infringement .................................. 1-9[B][4] Contributory Infringement ........................ 1-11[B][5] Other Acts of Infringement ....................... 1-12[B][6] Joint Infringement of a Method Claim...... 1-12[C] Infringement of a Utility Patent...................... 1-13[C][1] Literal Infringement of a Patent Claim...... 1-13[C][2] Claim Construction and Markman

Proceedings ................................................ 1-14[C][3] Claims Containing a Means-Plus-

Function Element ...................................... 1-15[C][4] Application of the Claim to the Accused

Product or Process ..................................... 1-16[C][5] Infringement Under the Doctrine of

Equivalents ................................................ 1-17[D] Infringement of a Design Patent ..................... 1-19[E] Infringement of a Plant Patent........................ 1-21

(Pat. Litigation, Rel. #5, 4/18) xix

§ 1:2.3 Validity of the Patent................................................ 1-22[A] Presumed Validity of Each Patent Claim......... 1-22[B] Burden of Proof in Attacking Validity and

Enforceability .................................................. 1-23[C] Right to an Earlier Effective Filing Date ......... 1-26

§ 1:2.4 Remedies.................................................................. 1-28§ 1:3 Defenses of Accused Infringer .......................................... 1-28

§ 1:3.1 License and Assignment Defenses ........................... 1-28[A] Licensee Estoppel Abrogation and

Exceptions ....................................................... 1-28[B] Implied License ............................................... 1-30

§ 1:3.2 Noninfringement Defenses ...................................... 1-30[A] No Literal Infringement .................................. 1-30[B] Limitations on the Doctrine of Equivalents.... 1-31[B][1] Prosecution History Estoppel..................... 1-31[B][2] Prior Art As Limitation ............................. 1-32[B][3] Disclosed but Unclaimed Embodiments.... 1-33[C] Functionality Defense to Design Patent

Infringement ................................................... 1-33[D] Repair Versus Reconstruction.......................... 1-34[E] ANDA ............................................................. 1-34[F] Prior Commercial Use Defense

(Patents Subject to the 2011 Act).................... 1-35§ 1:3.3 Defenses Against Patent Validity.............................. 1-35

[A] Expiration for Nonpayment of MaintenanceFees ................................................................. 1-35

[B] Collateral Estoppel by Prior Adjudicationof Invalidity..................................................... 1-37

[C] Lack of Novelty over the Prior ArtUnder Section 102 .......................................... 1-37

[C][1] The 1952 and 2011 Acts Differ in thePrior Art Applicable to ApplicationsFiled Before and After March 16, 2013 ..... 1-38

[D] Prior Art Under the 1952 Act ......................... 1-38[D][1] Sections 102(a) and (b) .............................. 1-38[D][2] Section 102(e) ............................................ 1-44[D][3] Section 102(g) ............................................ 1-45[E] Prior Art Under the 2011 Act ......................... 1-47[E][1] Changes Expanding Prior Art .................... 1-47[E][2] One-Year Grace Period re Disclosures

from the Inventor ...................................... 1-49[E][3] Derivation Proceedings Created;

Interferences Eliminated ............................ 1-49[E][4] Subsections of Sections 102 and 104

Dropped by the 2011 Act .......................... 1-50

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[E][5] Tax Strategies Deemed Insufficient toDifferentiate from the Prior Art................. 1-50

[E][6] Best Mode Still Required but NoLonger an Invalidity Defense ..................... 1-50

[F] Obviousness (§ 103)........................................ 1-51[F][1] Graham v. Deere and KSR Analyses.......... 1-51[F][2] Objective Evidence re Obviousness............ 1-54[F][3] Obvious at What Time? ............................ 1-55[G] Misnamed Inventorship .................................. 1-56[H] Inadequately Disclosed or Claimed (§ 112) .... 1-56[H][1] Enablement................................................ 1-57[H][2] Best Mode .................................................. 1-58[H][3] Written Description ................................... 1-58[H][4] Indefinitely Claimed .................................. 1-59[I] Abandonment ................................................. 1-60[J] Double Patenting............................................. 1-60[K] Nonstatutory Subject Matter or

Inoperativeness ............................................... 1-61§ 1:3.4 Defenses of Patent Unenforceability ........................ 1-65

[A] Inequitable Conduct Before the PTO.............. 1-66[A][1] Inequitable Conduct Generally .................. 1-66[A][2] Materiality ................................................. 1-67[A][3] Intent to Deceive ....................................... 1-69[A][4] Consequences of Inequitable Conduct....... 1-70[B] Laches and Equitable Estoppel ........................ 1-71[B][1] In Litigation............................................... 1-71[B][2] Laches in Patent Prosecution..................... 1-72[C] Patent Misuse.................................................. 1-73[C][1] Tying Unpatented Supplies ........................ 1-73[C][2] Compulsory Package Licensing.................. 1-74[C][3] Price Fixing, Field of Use, Territorial,

and Post-Sale Restrictions.......................... 1-75[C][4] 1988 Patent Misuse Reform Act................ 1-76

§ 1:3.5 Patent Exhaustion .................................................... 1-76§ 1:4 Immunity of States........................................................... 1-79§ 1:5 Claims Against a Patent Owner ....................................... 1-79

§ 1:5.1 Challenges to Patent Liability, Inventorship,or Validity................................................................. 1-79[A] For Declaratory Judgment ............................... 1-79[B] To Reform Inventorship Under 35

U.S.C. § 256 ................................................... 1-79[C] Challenging Validity in the PTO..................... 1-80

(Pat. Litigation, Rel. #5, 4/18)

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§ 1:5.2 Claims for Damages Caused by Abuse ofPatent Rights............................................................ 1-81[A] Unfair Competition Basis ............................... 1-81[B] Antitrust Violation Basis................................. 1-82[B][1] Fraud on the PTO...................................... 1-82[B][2] After an “Objectively Baseless” Prior Suit.... 1-82[B][3] Reverse Payment Settlement...................... 1-83[C] Standards-Setting Issues.................................. 1-84

Chapter 2 Investigation Needed Before Bringing Suit

E. Danielle T. Williams

§ 2:1 From Suspicion of Infringement to AdequateInvestigation ....................................................................... 2-2

§ 2:1.1 Avoiding Sanctions Under Rule 11 of theFederal Rules of Civil Procedure and AttorneyFees Under 35 U.S.C. § 285 ...................................... 2-3[A] Claim Construction ........................................ 2-11[B] Comparing the Construed Claims with the

Accused Product or Process............................. 2-17[C] Other Areas to Investigate .............................. 2-25[D] Nonpracticing Entities .................................... 2-25

§ 2:1.2 Pre-Suit Opinion Letter............................................ 2-27§ 2:1.3 Risk of Laches After the Duty to Inquire Arises ...... 2-29

§ 2:2 Forming a Strategy to Achieve the Business Objective..... 2-29§ 2:2.1 Is Injunction or Licensing the Goal? ....................... 2-29§ 2:2.2 How Extensive Are Damages So Far and

How Extensive Might They Become? ...................... 2-30§ 2:2.3 Does Management Have the Fortitude for a

Long Haul?............................................................... 2-31§ 2:2.4 Should the Patent Owner Move for a

Preliminary Injunction? ........................................... 2-32§ 2:3 Selection of Litigation Team and Experts ......................... 2-35

§ 2:3.1 Pre-Suit Investigation Team..................................... 2-35§ 2:3.2 Fee Arrangements .................................................... 2-36§ 2:3.3 Selecting Experts ...................................................... 2-38

§ 2:4 Patent Owner ’s Pre-Suit Search for Weaknesses inIts Case ............................................................................ 2-40

§ 2:4.1 Title and Right to Sue Problems.............................. 2-40§ 2:4.2 Maintenance Fees .................................................... 2-45§ 2:4.3 Marking and Notice Problems ................................. 2-47§ 2:4.4 On Sale and Public Use Problems ........................... 2-49

[A] Patents Filed Before March 16, 2013 .............. 2-49[B] Patents Filed After March 16, 2013 ................ 2-51

§ 2:4.5 Inequitable Conduct Problems................................. 2-51§ 2:4.6 Conferring with Likely Witnesses ............................ 2-53

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§ 2:4.7 Documents .............................................................. 2-54[A] Locating Important Documents...................... 2-54[B] Spoliation Problems ........................................ 2-54

§ 2:4.8 Purging Misuse Problems......................................... 2-55§ 2:4.9 Whether Derivation Is an Issue ............................... 2-56

§ 2:5 Whether the Patent Position Should Be StrengthenedBefore Suit ........................................................................ 2-56

§ 2:5.1 Ex Parte Reexamination ........................................... 2-57§ 2:5.2 Reissue ..................................................................... 2-58§ 2:5.3 Supplemental Examination Under AIA ................... 2-60§ 2:5.4 Continuation Practice .............................................. 2-60

§ 2:6 Contacting the Infringer or Its CustomersBefore Filing Suit .............................................................. 2-61

§ 2:6.1 Reasons for Notice ................................................... 2-61§ 2:6.2 The Risks of Giving Notice ..................................... 2-62

§ 2:7 Patent Owner ’s Choices ................................................... 2-62§ 2:7.1 Choice of Defendants .............................................. 2-62§ 2:7.2 Choice of Venue....................................................... 2-64

[A] Joinder of Unrelated Defendants inOne Venue Narrowed by AIA ......................... 2-64

§ 2:7.3 Choice of Jury or Bench Trial .................................. 2-65§ 2:8 Defendant’s Choices......................................................... 2-66

§ 2:8.1 Meeting the Requirements of Rule 11 of theFederal Rules of Civil Procedure .............................. 2-66

§ 2:8.2 Whether Prior Commercial Use Is AvailableAgainst Infringement ............................................... 2-68

§ 2:8.3 Preemptive Strike by Declaratory Judgment ............ 2-68§ 2:8.4 Whether to Attack Validity in Court

or in the Patent Office ............................................. 2-69§ 2:8.5 Settlement and Defensive Materials ........................ 2-69§ 2:8.6 Is Another Entity Responsible? ................................ 2-70§ 2:8.7 Design Around......................................................... 2-70

Chapter 3 Opening Phase

Richard Birnholz and Benjamin Haber

§ 3:1 Introduction ....................................................................... 3-2§ 3:2 Complaint .......................................................................... 3-2

§ 3:2.1 Essentials of the Complaint....................................... 3-2§ 3:2.2 Pendent State Law Claims ....................................... 3-11§ 3:2.3 Declaratory Judgment Actions ................................. 3-12

§ 3:3 Answer ............................................................................. 3-13§ 3:3.1 Essentials of the Answer .......................................... 3-13§ 3:3.2 Pleading Inequitable Conduct .................................. 3-14§ 3:3.3 Counterclaims.......................................................... 3-17


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§ 3:4 Jurisdiction, Venue, and Transfer ..................................... 3-20§ 3:4.1 Subject Matter Jurisdiction ...................................... 3-20

[A] “Arising Under” Jurisdiction ........................... 3-20[B] Pendent Jurisdiction........................................ 3-23[C] Declaratory Judgment Jurisdiction .................. 3-24

§ 3:4.2 Personal Jurisdiction ................................................ 3-27§ 3:4.3 Venue and Joinder.................................................... 3-31§ 3:4.4 Suits for Patent Infringement Against a

Government Entity .................................................. 3-35§ 3:5 Procedural Motions in the Opening Phase....................... 3-36

§ 3:5.1 Rule 12(b), 12(c), and 12(e) Motions ....................... 3-36§ 3:5.2 Motions re Indispensable Parties ............................. 3-39§ 3:5.3 Motions to Bifurcate ................................................ 3-41§ 3:5.4 Transfer Motions...................................................... 3-44§ 3:5.5 Motion to Recuse..................................................... 3-48§ 3:5.6 Motions for Expedited Relief/Ex Parte Application.....3-49

§ 3:6 Early Meeting of Counsel Under Rule 26 andLocal Rules ....................................................................... 3-50

§ 3:7 Protective Orders for ConfidentialInformation ...................................................................... 3-53

§ 3:8 Early Neutral Evaluation Procedures ................................ 3-58§ 3:9 Relations with Opposing Counsel .................................... 3-59

Chapter 4 Discovery and Privilege

Brian E. Ferguson

§ 4:1 Introduction ....................................................................... 4-4§ 4:1.1 Purpose of This Chapter............................................ 4-4§ 4:1.2 Source of Discovery Rules .......................................... 4-4

§ 4:2 General Objectives of Discovery in Patent Cases ............... 4-4§ 4:2.1 In General.................................................................. 4-4§ 4:2.2 Discovery Objectives for a Patentee ........................... 4-5§ 4:2.3 Discovery Objectives for an Accused Infringer........... 4-8

§ 4:3 Scope of Discovery............................................................ 4-11§ 4:4 Mandatory Disclosures..................................................... 4-16

§ 4:4.1 In General................................................................ 4-16§ 4:4.2 Initial Conference of Counsel and Report

Thereon—Rule 26(f)................................................. 4-17[A] In General ....................................................... 4-17[B] Subject of Conference ..................................... 4-17[C] Report on Proposed Discovery Plan ................ 4-18[D] Patent Infringement Cases .............................. 4-19

§ 4:4.3 Initial Disclosures—Rule 26(a)(1) ............................ 4-21[A] In General ....................................................... 4-21[B] Subject of Disclosure....................................... 4-21

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[C] Duty of Supplementation................................ 4-22[D] Initial Disclosures in Patent Infringement

Cases............................................................... 4-22§ 4:4.4 Disclosure of Expert Testimony—Rule 26(a)(2) ....... 4-24

[A] In General ....................................................... 4-24[B] Subject of Disclosure....................................... 4-24[C] Expert Disclosures in Patent Cases................. 4-25

§ 4:4.5 Pretrial Disclosures and ObjectionsThereto—Rule 26(a)(3)............................................. 4-29[A] In General ....................................................... 4-29[B] Subject of Disclosure....................................... 4-29[C] Subject of the Objections ................................ 4-30

§ 4:4.6 Notice of Prior Art Used in Defense........................ 4-30§ 4:5 Requests for Production of Documents and

Things and Inspection—Rule 34...................................... 4-31§ 4:5.1 Requests for Production ........................................... 4-31§ 4:5.2 Responses to Requests for Production...................... 4-32§ 4:5.3 Duty of Supplementation of Responses to

Requests for Production ........................................... 4-35[A] Requests for Production in Patent Cases ........ 4-36

§ 4:6 Interrogatories .................................................................. 4-36§ 4:6.1 In General................................................................ 4-36§ 4:6.2 Scope of Interrogatories ........................................... 4-36§ 4:6.3 Scope of Interrogatories in an Infringement

Case ......................................................................... 4-37§ 4:6.4 Interrogatory Responses ........................................... 4-39§ 4:6.5 Duty of Supplementation of Interrogatory

Responses................................................................. 4-41§ 4:7 Requests for Admissions .................................................. 4-41

§ 4:7.1 Procedure for Requests ............................................. 4-41§ 4:7.2 Procedure for Responses........................................... 4-42§ 4:7.3 Content of Responses .............................................. 4-42§ 4:7.4 Effect of Admissions ................................................ 4-42§ 4:7.5 Duty of Supplementation of Responses ................... 4-43§ 4:7.6 Use of Requests for Admissions in Patent

Infringement Cases.................................................. 4-43§ 4:8 Depositions ...................................................................... 4-44

§ 4:8.1 Purpose and Advantages .......................................... 4-44[A] Pre-Deposition Planning ................................. 4-45[B] Deposition Tactics and Pointers...................... 4-45[C] Preparing a Witness to Give a Deposition ...... 4-47[D] Waiver Problems Associated with Use of

Documents in Witness Preparation ................ 4-48[E] Defending Depositions and Typical

Objections ....................................................... 4-49


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[F] Rule 31—Depositions upon WrittenQuestions ........................................................ 4-50

[G] Place of Deposition ......................................... 4-50§ 4:8.2 Video Depositions .................................................... 4-51§ 4:8.3 Subject Matter of Depositions by Type of

Witness and Deposition........................................... 4-52[A] Deposing Rule 30(b)(6) Witnesses................... 4-52[B] Deposing Fact Witnesses................................. 4-54[C] Topics Covered by Patentee in

Depositions ..................................................... 4-54[D] Topics Covered by Accused Infringer in

Depositions ..................................................... 4-55[E] Deposing a Patent Examiner ........................... 4-57

§ 4:8.4 Deposing Expert Witnesses ...................................... 4-58[A] Expert Witnesses and Required Expert

Reports ............................................................ 4-58[B] Tips for Deposing Experts............................... 4-59[C] Time of Taking................................................ 4-60

§ 4:8.5 Restrictions on Depositions ..................................... 4-60[A] Total Number of Depositions.......................... 4-60[B] Number of Depositions of a Single Person ..... 4-61[C] Schedule and Duration ................................... 4-61[D] Judge on the Case or in the

Discovery Locale ............................................. 4-61§ 4:8.6 Instructions Not to Answer/Allowable

Testimony ................................................................ 4-62[A] Questions Regarding Legal Opinion or

Conclusion...................................................... 4-62[B] Questions Regarding Interpretation of

Claims............................................................. 4-63§ 4:8.7 Dealing with Abuse or Obstruction ......................... 4-66§ 4:8.8 Compelling Appearance/Testimony.......................... 4-68

[A] Compelling the Witness to Appear ................. 4-68[B] Compelling Answers at a Deposition ............. 4-68

§ 4:9 Rule 45 Subpoenas to Nonparties .................................... 4-69§ 4:9.1 Subpoenas in General .............................................. 4-69§ 4:9.2 Subpoenas in Patent Infringement Cases................. 4-70§ 4:9.3 Response to Subpoenas ............................................ 4-70

§ 4:10 Self-Help Discovery .......................................................... 4-71§ 4:11 Limitations on Discovery ................................................. 4-73

§ 4:11.1 Burdensome Discovery............................................. 4-73§ 4:11.2 Claims of Privilege or Protection of Trial

Preparation Materials............................................... 4-74[A] In General ....................................................... 4-74

§ 4:11.3 Trial Preparation Materials in General .................... 4-75

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§ 4:11.4 Discovery of Nontestifying Experts.......................... 4-75[A] Documents/Information Generated

During Prosecution ......................................... 4-76§ 4:11.5 Invention Disclosures .............................................. 4-79

[A] Opinions of Counsel to Rebut Charge ofWillful Infringement ....................................... 4-80

§ 4:12 Motions for Protective Order............................................ 4-85§ 4:12.1 Grounds for a Protective Order................................ 4-85§ 4:12.2 Procedure for Moving for a Protective Order ........... 4-86§ 4:12.3 Stipulated Protective Order Regarding

Confidential Information......................................... 4-86§ 4:13 Discovery Motion Practice and Sanctions ........................ 4-89

§ 4:13.1 Rule 37 Motion to Compel...................................... 4-89[A] Prior to a Motion to Compel .......................... 4-89[B] Filing a Motion to Compel ............................. 4-90[C] Delay or Failure to File Motion to

Compel ........................................................... 4-91[D] Opposing a Motion to Compel ....................... 4-92[E] Recovery of Attorneys’ Fees and Costs............ 4-92[F] Failure to Comply with an Order to

Compel ........................................................... 4-92§ 4:13.2 Sanctions Available Without a Discovery

Order........................................................................ 4-94§ 4:13.3 Failure to Preserve Electronically Stored

Information.............................................................. 4-95§ 4:13.4 Spoliation of Evidence.............................................. 4-97§ 4:13.5 Rule 26(g) Motions .................................................. 4-99§ 4:13.6 Miscellaneous Other Discovery Motions ............... 4-100

[A] Extensions of Time ....................................... 4-100[B] Motion to Be Relieved of Admissions ........... 4-101

§ 4:13.7 Appeals from Discovery Orders ............................. 4-102

Chapter 5 Attorney-Client Privilege and Work ProductImmunity

Karen A. Jacobs, Megan E. Dellinger, andEleanor G. Tennyson

§ 5:1 Introduction ....................................................................... 5-2§ 5:2 Attorney-Client Privilege .................................................... 5-3

§ 5:2.1 Defining the Privilege ................................................ 5-3§ 5:2.2 Resolving Disputes..................................................... 5-4§ 5:2.3 Attorney-Client Privilege Issues Typical in

Patent Litigation......................................................... 5-6[A] Who Qualifies As an Attorney? ........................ 5-6[A][1] Attorneys Who Prosecute Patent

Applications ................................................. 5-6

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[A][2] Patent Agents Registered to PracticeBefore the PTO............................................ 5-7

[A][3] Foreign Patent Agents .................................. 5-9[A][3][a] Courts Extending the Privilege to

Communications with ForeignNonattorney Patent Agents .................... 5-10

[A][3][b] The U.K. As an Example ....................... 5-14[A][3][c] Courts Denying the Privilege to

Communications with Foreign PatentAgents .................................................... 5-15

[A][4] Foreign Patent Attorneys............................ 5-16[B] What Types of Communications Are

Protected?........................................................ 5-16[B][1] Prosecution Documents............................. 5-17[B][1][a] The Jack Winter Line of Cases ............... 5-17[B][1][b] The Knogo Line of Cases ....................... 5-18[B][1][c] More Recent Federal Circuit Law........... 5-20[B][2] Opinion Letters.......................................... 5-22[B][3] Licensing and Settlement Documents ....... 5-24[C] Who Qualifies As a Client? ............................ 5-25

§ 5:2.4 Joint Defense Privilege ............................................. 5-27§ 5:3 Attorney Work Product Immunity ................................... 5-33

§ 5:3.1 Defining the Immunity............................................ 5-33§ 5:3.2 Resolving Disputes................................................... 5-35§ 5:3.3 The Immunity in Patent Litigation ......................... 5-35§ 5:3.4 “Anticipation of Litigation” ...................................... 5-35§ 5:3.5 Typical Documents in Patent Litigation .................. 5-38

[A] Opinion Letters ............................................... 5-38[B] Patent Prosecution Documents ....................... 5-39[C] Patent Prosecution Documents Prepared by

Patent Agents .................................................. 5-41[D] Pre-Suit Investigations .................................... 5-42[E] Licensing and Settlement................................ 5-42[F] Party or Party Representative .......................... 5-43

§ 5:4 Waiver of Attorney-Client Privilege .................................. 5-43§ 5:4.1 Generally.................................................................. 5-43§ 5:4.2 Inadvertent Waiver ................................................... 5-45§ 5:4.3 Intentional Waiver ................................................... 5-52

[A] Willful Infringement; Inducement ofInfringement ................................................... 5-52

[B] Inequitable Conduct........................................ 5-60[C] Estoppel........................................................... 5-63

§ 5:4.4 Timing and Scope of Intentional Waiver ................. 5-64§ 5:4.5 Waiver Resulting from Corporate Transactions........ 5-65

§ 5:5 Waiver of Work Product Immunity .................................. 5-70§ 5:5.1 Generally.................................................................. 5-70

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§ 5:5.2 Inadvertent Waiver ................................................... 5-71§ 5:5.3 Intentional Waiver ................................................... 5-72

[A] Willful Infringement ....................................... 5-73[B] Disclosing Work Product to Experts ............... 5-76

§ 5:6 Piercing the Attorney-Client Privilege andWork Product Immunity .................................................. 5-78

§ 5:7 Conclusion ....................................................................... 5-79

Chapter 6 Case Strategy and Management

Jason R. Bartlett, Hui Liu, and Michelle Kitchen

§ 6:1 Case Valuation and Risk Assessment................................. 6-2§ 6:1.1 Establishing a Maximum Value ................................. 6-2§ 6:1.2 Assessing the Likelihood of Patent Office

Invalidation................................................................ 6-4§ 6:1.3 Assessing the Likelihood of Invalidation on

Grounds of Subject Matter Ineligibility ..................... 6-6§ 6:1.4 Evaluating the Infringement Case ............................. 6-6§ 6:1.5 Evaluating Other Potential Defenses ......................... 6-7§ 6:1.6 Considering the Larger Landscape ............................. 6-7§ 6:1.7 Assembling a Probability-Adjusted Case Valuation...... 6-8

§ 6:2 Organizing a Patent Litigation Team.................................. 6-9§ 6:2.1 Team Leader............................................................. 6-10§ 6:2.2 Patent Office Team................................................... 6-11§ 6:2.3 Discovery Teams ...................................................... 6-11§ 6:2.4 Court Trial Team ..................................................... 6-12§ 6:2.5 Substantive Teams ................................................... 6-13§ 6:2.6 International Team .................................................. 6-13§ 6:2.7 Local Counsel .......................................................... 6-13§ 6:2.8 Temporary Personnel ............................................... 6-14§ 6:2.9 Turnover................................................................... 6-14

§ 6:3 Organizing Document Retrieval, Search, and Review ...... 6-15§ 6:3.1 Defining the Scope of Discovery .............................. 6-15§ 6:3.2 Evidence Collection, Processing, and

Review Strategies...................................................... 6-17[A] Client Collection Methodologies .................... 6-17[B] eDiscovery Vendor Collection ......................... 6-18[C] Client-Driven Collection................................. 6-18[D] Hybrid Collection............................................ 6-19

§ 6:3.3 Search and Review ................................................... 6-19[A] Setting Up the Review Database ..................... 6-19[B] Searching the Data Set, and Disclosing and

Negotiating Review Parameters ....................... 6-20[C] Technology Assisted Review............................ 6-21


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§ 6:4 Early Resolution of Dispositive Issues.............................. 6-22§ 6:4.1 Section 101 Motion to Dismiss............................... 6-22§ 6:4.2 Dispositive Motions................................................. 6-23§ 6:4.3 Obtaining a Claim Construction Ruling.................. 6-26§ 6:4.4 Bifurcation or Multistage Trials ............................... 6-27

§ 6:5 Effectively Using Depositions........................................... 6-27§ 6:5.1 Controlling Number and Length of Depositions ..... 6-28§ 6:5.2 Deposition Planning ................................................ 6-29§ 6:5.3 Taking the Deposition, Indexing, and Digesting...... 6-30§ 6:5.4 Video Recording Depositions ................................... 6-31§ 6:5.5 Using Deposition Testimony ................................... 6-32

§ 6:6 Creating Demonstrative Exhibits and Videos................... 6-33§ 6:7 Courtroom Presentations ................................................. 6-36§ 6:8 Jury Consultants .............................................................. 6-38§ 6:9 Budgeting and Cost Control............................................. 6-42

Chapter 7 Nondiscovery Motions and Court-InitiatedProcedures

Charles W. Saber, Dipu A. Doshi, and Megan R. Wood

§ 7:1 Introduction ....................................................................... 7-2§ 7:2 Markman Proceedings for Claim Interpretation................. 7-3

§ 7:2.1 Markman in General ................................................. 7-3[A] Historical Perspective ........................................ 7-4[B] Recent Supreme Court Clarification ................. 7-5

§ 7:2.2 When a Markman Determination Is Necessary ...... 7-10§ 7:2.3 Procedural Contexts in Which Claim

Interpretation Arises ................................................ 7-12§ 7:2.4 Evidence Considered in Determining Claim

Construction............................................................ 7-15§ 7:2.5 Manner in Which Courts Construe Claims ............ 7-17§ 7:2.6 Role of Witnesses ..................................................... 7-31§ 7:2.7 Use of Court-Appointed Experts .............................. 7-34§ 7:2.8 Necessity of a Hearing to Decide Claim

Construction............................................................ 7-36§ 7:2.9 Timing of Markman Hearings ................................. 7-36§ 7:2.10 Timing Established by Local Rules .......................... 7-39§ 7:2.11 Appeal of Claim Construction Decisions ................ 7-43

§ 7:3 Summary Judgment Motions ........................................... 7-45§ 7:3.1 Introduction ............................................................. 7-45§ 7:3.2 Summary Judgment Motions by the Patentee ......... 7-47§ 7:3.3 Summary Judgment for the Accused Infringer......... 7-48§ 7:3.4 Procedural Aspects of Motions for Summary

Judgment.................................................................. 7-50

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§ 7:4 Nondiscovery Procedural Motions.................................... 7-52§ 7:4.1 Introduction ............................................................. 7-52§ 7:4.2 Motion for Separate Trials (Bifurcation)................... 7-52§ 7:4.3 Motion for Appointment of a Special Master .......... 7-56§ 7:4.4 Motions for Leave to Amend ................................... 7-57

§ 7:5 Pretrial and Scheduling Conferences ................................ 7-59§ 7:5.1 Initial Scheduling Order........................................... 7-59

§ 7:6 Court-Initiated Settlement Procedures ............................. 7-60§ 7:6.1 Alternative Dispute Resolution Programs

Used by Federal District Courts............................... 7-60§ 7:6.2 Court-Initiated ADR Programs in Patent Cases ...... 7-62

Chapter 8 Witnesses Special to a Patent Case

Christopher J. Renk and Ted L. Field

§ 8:1 Introduction ....................................................................... 8-2§ 8:2 The Inventor ...................................................................... 8-4

§ 8:2.1 The Patent Owner ’s Approach to the Inventor ......... 8-4[A] The Inventor ’s Role in a Patent Owner ’s

Case .................................................................. 8-5[B] Inventor Problems and Overcoming Them....... 8-8

§ 8:2.2 The Defendant’s Approach to the Inventor ............. 8-13§ 8:2.3 The Hostile Inventor ............................................... 8-18

§ 8:3 Expert Witnesses .............................................................. 8-19§ 8:3.1 Qualifying Experts at Trial and Presenting

Their Opinions ........................................................ 8-21§ 8:3.2 Technical Expert....................................................... 8-33§ 8:3.3 Patent Law Expert .................................................... 8-43§ 8:3.4 Damages Expert ....................................................... 8-48§ 8:3.5 Deposition of Experts............................................... 8-53§ 8:3.6 Non-Testifying Experts ............................................. 8-53

§ 8:4 Fact Witnesses .................................................................. 8-56§ 8:4.1 Designers of Accused Infringing Products................ 8-56§ 8:4.2 Nonparty Invalidity Witness.................................... 8-58§ 8:4.3 Witness Regarding Inequitable Conduct Before

the PTO ................................................................... 8-61§ 8:4.4 The Willfulness Witness .......................................... 8-64

Chapter 9 Damages and Attorney Fees

Karen Vogel Weil, Yanna S. Bouris, andNathan M. Shaw

§ 9:1 Statutory Basis.................................................................... 9-3§ 9:1.1 Extraterritorial Issues and Their Impact on

Damages .................................................................... 9-3

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§ 9:1.2 Damages Base and Exclusions ................................... 9-5§ 9:2 Determination of Damages Period ..................................... 9-7

§ 9:2.1 Start and End of Patent Term .................................... 9-7§ 9:2.2 Start and End of Infringement ................................... 9-9§ 9:2.3 Six-Year Pre-Complaint Limitation ............................ 9-9§ 9:2.4 Laches Not a Limit on Damages ............................... 9-9§ 9:2.5 Limitations Imposed by the Patent Marking

Statute...................................................................... 9-10§ 9:3 Tests for Entitlement to Lost Profits Damages................. 9-12

§ 9:3.1 Requirement for Causation Generally ..................... 9-12§ 9:3.2 Panduit Test for Lost Profits..................................... 9-14

[A] Demand for Patented Product......................... 9-15[B] Absence of Acceptable Noninfringing

Substitutes ...................................................... 9-15[C] Capacity .......................................................... 9-17[D] Quantum of Lost Profits ................................. 9-18[E] Panduit Test Satisfies Apportionment

Principles......................................................... 9-18§ 9:3.3 Alternatives to Panduit Test ..................................... 9-19§ 9:3.4 Lost Profits Based on Market Share ......................... 9-20§ 9:3.5 Lost Profits or Infringer ’s Profits in a

Design Patent Case .................................................. 9-20§ 9:4 Calculation of Amount of Lost Profits ............................. 9-22

§ 9:4.1 Lost Profits on Sales Lost to the InfringingProducts ................................................................... 9-22

§ 9:4.2 Lost Profits on Lost Sales of Unpatented ProductsSold by the Patentee................................................. 9-23

§ 9:4.3 Lost Profits on Ancillary Products Sold bythe Patentee ............................................................. 9-24

§ 9:4.4 Lost Profits Lost Due to Price Erosion..................... 9-26§ 9:5 Reasonable-Royalty Measure of Recovery ......................... 9-27

§ 9:5.1 Reasonable Royalty Based on HypotheticalPre-Infringement Negotiations................................. 9-28

§ 9:5.2 Georgia-Pacific Factors ............................................. 9-29§ 9:5.3 Comparable Licenses ............................................... 9-31§ 9:5.4 Reasonable Royalty, Apportionment,

Smallest Salable Patent-Practicing Unit, andthe Entire Market Value Rule................................... 9-35

§ 9:5.5 Reasonable Royalty Based on a Fraction ofthe Patentee’s Lost Profits........................................ 9-39

§ 9:5.6 Reasonable Royalty Based on a Fraction ofInfringer ’s Profit....................................................... 9-41

§ 9:5.7 Reasonable Royalty Based on the DifferentialCost of Using an Alternative NoninfringingTechnology ............................................................... 9-42

§ 9:5.8 Reasonable Royalty Based on a Flat Fee orMilestone Payments................................................. 9-42

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§ 9:5.9 Liquidated Damages Against Violating Licensee...... 9-42§ 9:5.10 Post-Verdict Royalties............................................... 9-43

§ 9:6 Proving the Amount of Damages ..................................... 9-46§ 9:6.1 Foundational Evidence Supporting Damages ........... 9-46

[A] Sales and Marketing Fact Witnesses ............... 9-46[B] Financial or Accounting Witnesses ................. 9-46[C] Licensing Witnesses ........................................ 9-47[D] Capacity Witnesses ......................................... 9-47[E] Technical Experts ............................................ 9-47[F] Survey Experts................................................. 9-48

§ 9:6.2 Use of a Damages Expert......................................... 9-48[A] Selection of a Damages Expert........................ 9-48[B] Protection of Attorney Work Product.............. 9-49

§ 9:7 Bifurcation of Damages .................................................... 9-49§ 9:8 Demonstrative Exhibits .................................................... 9-51§ 9:9 Prejudgment Interest ........................................................ 9-51§ 9:10 Increased Damages........................................................... 9-52

§ 9:10.1 Willfulness .............................................................. 9-52§ 9:10.2 Judicial Discretion on Enhancement ....................... 9-54§ 9:10.3 Willfulness and Opinions of Counsel ...................... 9-56§ 9:10.4 Requirements for Opinion Adequacy ....................... 9-59

[A] Competence and Comprehensiveness............. 9-59[B] Timeliness....................................................... 9-60

§ 9:11 Award of Attorney Fees .................................................... 9-61§ 9:12 False Marking ................................................................... 9-65

§ 9:12.1 Under 1952 Act ....................................................... 9-65§ 9:12.2 Under the America Invents Act ............................... 9-66

Chapter 10 Injunctions

Joseph A. Farco

§ 10:1 Introduction ..................................................................... 10-2§ 10:1.1 Types of Injunctions................................................. 10-2§ 10:1.2 Statutory Basis for Injunctive Relief......................... 10-4

§ 10:2 Historical Origins of Injunctive Relief.............................. 10-9§ 10:3 Injunctive Relief in Patent Law Prior to the Federal

Circuit ............................................................................ 10-11§ 10:4 Preliminary Injunctions.................................................. 10-11

§ 10:4.1 Preliminary Injunction Hearing............................. 10-13§ 10:4.2 Likelihood of Success on the Merits ...................... 10-14§ 10:4.3 Irreparable Harm ................................................... 10-18§ 10:4.4 Balance of Hardships Between the Parties ............. 10-22§ 10:4.5 Public Interest ........................................................ 10-23§ 10:4.6 Posting of Bond...................................................... 10-25§ 10:4.7 Standard of Review ................................................ 10-25

§ 10:5 Persons Bound by Injunction ......................................... 10-28

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§ 10:6 Permanent Injunctions................................................... 10-29§ 10:6.1 Public Interest Implications ................................... 10-34§ 10:6.2 Scope of Injunctive Relief....................................... 10-35

§ 10:7 Enforcement of Injunctions............................................ 10-36§ 10:8 Unclean Hands............................................................... 10-38§ 10:9 Laches, Acquiescence, and Delay ................................... 10-40§ 10:10 Relation of Injunctive Relief to Jury Trial....................... 10-40

§ 10:10.1 Injunctive Relief and Assertion ofInvalidity and Noninfringement ............................ 10-41

§ 10:10.2 Injunctive Relief and Damages .............................. 10-45§ 10:11 Tactical Considerations Concerning Applications

for Preliminary Injunctive Relief .................................... 10-46§ 10:11.1 Application for a TRO Versus a Motion

for Preliminary Injunction ..................................... 10-46§ 10:11.2 Discovery in the Context of a Motion

for a Preliminary Injunction .................................. 10-47§ 10:12 Conclusion ..................................................................... 10-47

Chapter 11 Pretrial Proceedings

Don W. Martens and John B. Sganga, Jr.

§ 11:1 Introduction ..................................................................... 11-2§ 11:2 Establish the Theme of Your Case ................................... 11-3

§ 11:2.1 Theme of Patent Owner ’s Case ............................... 11-3§ 11:2.2 Theme of Accused Infringer ’s Case ......................... 11-4§ 11:2.3 Building on the Theme............................................ 11-4

§ 11:3 Pretrial Conference and Associated Filings ...................... 11-5§ 11:3.1 Exhibit Lists and Objections .................................... 11-5§ 11:3.2 Witness List ............................................................. 11-8§ 11:3.3 Designations of Deposition Testimony.................... 11-9§ 11:3.4 Memorandum of Contentions of Fact and Law..... 11-11§ 11:3.5 Joint Pretrial Order ................................................ 11-12§ 11:3.6 Pretrial Conference ................................................ 11-13§ 11:3.7 Trial Brief ............................................................... 11-14§ 11:3.8 Filings Unique to the Bench Trial.......................... 11-14

§ 11:4 Additional Filings and Hearings for Jury Trials .............. 11-15§ 11:4.1 Jury Instructions .................................................... 11-15§ 11:4.2 Verdict Form and Special Interrogatories ............... 11-16§ 11:4.3 Voir Dire Questions ............................................... 11-17

§ 11:5 Section 282 Notice of Prior Art...................................... 11-17§ 11:6 Motions in Limine and Bench Briefs.............................. 11-18§ 11:7 Other Motions, or Stipulations, Related to Trial

Conduct.......................................................................... 11-19§ 11:7.1 Set Order of Proofs................................................. 11-19§ 11:7.2 Sequestering Witnesses .......................................... 11-20

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§ 11:7.3 Protective Order Regarding ConfidentialDocuments ............................................................ 11-21

§ 11:7.4 Permit and Regulate Use of ElectronicPresentation Media ................................................ 11-21

§ 11:8 Logistical Arrangements with the Court ........................ 11-22§ 11:8.1 Viewing the Courtroom ......................................... 11-22§ 11:8.2 Equipment and File Setup in the Courtroom ........ 11-23§ 11:8.3 Exhibit Tagging ...................................................... 11-23§ 11:8.4 Ascertaining Exhibit Procedures Required

by Judge ................................................................. 11-23§ 11:8.5 Arrangements for Daily Transcripts....................... 11-23

§ 11:9 Preparing Witnesses for Trial.......................................... 11-24§ 11:10 Preparation of Demonstrative Exhibits .......................... 11-25§ 11:11 Preparation of Internal Documentation ......................... 11-26

§ 11:11.1 Opening Statement and Closing Argument........... 11-26§ 11:11.2 Direct Testimony Outlines .................................... 11-26§ 11:11.3 Cross-Examination Testimony Outlines ................ 11-27

§ 11:12 Logistical Arrangements for the Trial Team ................... 11-27§ 11:12.1 Setting Up a “War Room” for Trial ........................ 11-27§ 11:12.2 Staffing and Accommodations ............................... 11-27§ 11:12.3 Assigning Clear Lines of Responsibility ................. 11-28§ 11:12.4 Trial Subpoenas and Witness Fees ......................... 11-28§ 11:12.5 Role of Local Counsel ............................................ 11-28§ 11:12.6 Scheduling Witnesses............................................. 11-29§ 11:12.7 Arranging Local Copying and Local

Litigation Graphics Support................................... 11-29§ 11:12.8 Arranging for Visible Presence of Corporate

Representatives at Trial .......................................... 11-29

Chapter 12 Trial

David W. Beehler, Munir R. Meghjee, andDavid A. Prange

§ 12:1 Planning the Order of Presentation of Evidence............... 12-3§ 12:1.1 Patent Owner ’s Case................................................ 12-3§ 12:1.2 Accused Infringer ’s Case.......................................... 12-4

§ 12:2 Jury Matters ..................................................................... 12-6§ 12:2.1 Juror Profile, Information, and Voir Dire................. 12-6§ 12:2.2 Use of Jury Consultants .......................................... 12-8

§ 12:3 Trial Team ...................................................................... 12-10§ 12:3.1 Organize a Core Group That Knows the

Case Intimately...................................................... 12-10§ 12:3.2 Project a Professional Attitude ............................... 12-10

§ 12:4 Use of Electronic Courtroom Technology....................... 12-11§ 12:4.1 Document Control and Display ............................ 12-11


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§ 12:4.2 Computer Graphics ............................................... 12-12[A] Persuasive Value ............................................ 12-12[B] Animations ................................................... 12-13[C] Cost............................................................... 12-14[D] Admissibility ................................................. 12-15

§ 12:4.3 Other Visual Aids .................................................. 12-17§ 12:4.4 Real-Time Court Reporting .................................... 12-18

§ 12:5 Opening Statements ....................................................... 12-18§ 12:5.1 For the Patent Owner............................................. 12-19

[A] The Story of the Inventors............................ 12-19[B] Disbelief ........................................................ 12-20[C] Problem Solved/Tutorial ................................ 12-20[D] How to Read a Patent ................................... 12-20[E] Presumption of Validity................................. 12-20[F] Prior Art ........................................................ 12-20[G] Experts .......................................................... 12-21

§ 12:5.2 For the Accused Infringer....................................... 12-21§ 12:6 Testimony....................................................................... 12-22

§ 12:6.1 Presentation of Live Witnesses on Direct .............. 12-22[A] Generally....................................................... 12-22[B] Witness Order ............................................... 12-23[C] Credibility and Appearance Factors .............. 12-23[D] Use of Adverse Witnesses for Your Own

Case .............................................................. 12-23§ 12:6.2 Presentation of Testimony by Deposition,

Including Use of Video Presentation...................... 12-26§ 12:6.3 Expert Witnesses at Trial ....................................... 12-27

[A] Technical Experts .......................................... 12-28[B] Technical and Fact Experts............................ 12-29[C] Legal Experts ................................................. 12-29[D] Damages Experts........................................... 12-30

§ 12:6.4 Cross-Examination and Impeachment .................. 12-31§ 12:6.5 Making Objections................................................. 12-32§ 12:6.6 Offers of Proof........................................................ 12-34

§ 12:7 Admission of Other Evidence and Use ofDemonstrative Aids........................................................ 12-35

§ 12:7.1 Factual Exhibits...................................................... 12-35§ 12:7.2 Summaries ............................................................. 12-37§ 12:7.3 Demonstrative Exhibits ......................................... 12-38§ 12:7.4 Written Discovery Responses and Pretrial

Statement Facts...................................................... 12-38§ 12:8 Proof of Special Issues .................................................... 12-38

§ 12:8.1 Issues to Be Decided by the Court......................... 12-39[A] Equitable Estoppel and Inequitable

Conduct ........................................................ 12-39[B] Injunctive Relief ............................................ 12-39

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[C] Enhanced Damages ....................................... 12-39[D] Prejudgment and Post-Judgment Interest...... 12-40[E] Attorneys’ Fees .............................................. 12-41[F] Section 112 Definiteness and Enablement......12-41

§ 12:8.2 Issues to Be Decided by the Jury............................ 12-41[A] Infringement ................................................. 12-41[B] Novelty.......................................................... 12-42[C] Nonobviousness ............................................ 12-42[D] Section 112 Best Mode ................................. 12-42[E] Section 112 Written Description................... 12-42[F] Damages ....................................................... 12-43[G] Willfulness .................................................... 12-43

§ 12:9 Motions During Trial ..................................................... 12-43§ 12:9.1 Evidence Motions and Bench Briefs....................... 12-43§ 12:9.2 Motions in Bench Trials ........................................ 12-44§ 12:9.3 Rule 50(a) Motion for Judgment As a

Matter of Law (JMOL) ........................................... 12-45§ 12:10 Closing Arguments......................................................... 12-47§ 12:11 Post-Trial Motions .......................................................... 12-47

§ 12:11.1 Rule 50(b) Motion for Judgment As aMatter of Law ........................................................ 12-47

§ 12:11.2 Motions for New Trial ........................................... 12-50§ 12:11.3 Injunctions, Interest, Enhanced Damages,

and Attorneys’ Fees ................................................ 12-52§ 12:11.4 Rule 52 Amendments to the Findings ................... 12-52§ 12:11.5 Rule 60 Proceedings for Relief from Judgment....... 12-53§ 12:11.6 Stays of Execution.................................................. 12-58

§ 12:12 Judgment ........................................................................ 12-59

Chapter 13 Appeal

James R. Barney and J. Derek McCorquindale

§ 13:1 Introduction ..................................................................... 13-2§ 13:2 The Federal Circuit in General ........................................ 13-3

§ 13:2.1 Origin and Structure of the Court ........................... 13-3§ 13:2.2 Mechanics of the Decision-Making Process............. 13-5

§ 13:3 Jurisdictional Considerations: Subject Matterand Timing....................................................................... 13-6

§ 13:3.1 When Do You Have a “Patent” Case?...................... 13-6§ 13:3.2 When May You Approach the Federal

Circuit for Relief?................................................... 13-10[A] Final Decisions ............................................. 13-10[B] Complete Resolution of a Severable

Part of the Case............................................. 13-11


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[C] Interlocutory Appeals .................................... 13-12[D] Collateral Order Doctrine ............................. 13-13[E] Petitions for Extraordinary Writs .................. 13-14

§ 13:4 Law Applicable in Federal Circuit Appeals ..................... 13-16§ 13:4.1 Applicable Patent Precedents ................................. 13-16§ 13:4.2 Nonpatent Substantive Law................................... 13-17§ 13:4.3 Applicable Procedural Law ..................................... 13-18

§ 13:5 Limitations on Appellate Review.................................... 13-19§ 13:5.1 Scope of Review ..................................................... 13-19§ 13:5.2 Limitation to Evidence, Argument, and

Objections Advanced in the Trial CourtRecord................................................................... 13-24

§ 13:6 Pre-Appeal Actions in the Trial Court............................ 13-26§ 13:6.1 Supplementation of the Record and

Preservation of Issues............................................. 13-26§ 13:6.2 Obtaining an Appealable Order ............................. 13-28§ 13:6.3 Deciding Whether to Appeal at All........................ 13-29§ 13:6.4 Motion to Stay Injunction or Execution of

Judgment................................................................ 13-30§ 13:6.5 Filing the Notice of Appeal .................................... 13-32§ 13:6.6 Consideration of Cross-Appeal .............................. 13-32

§ 13:7 Procedural Matters in the Federal Circuit ...................... 13-34§ 13:7.1 Sequence, Content, and Timing of Submissions .....13-34§ 13:7.2 Issue Selection ....................................................... 13-37§ 13:7.3 Practical Considerations in Briefing....................... 13-39

[A] Statement of the Issues................................. 13-39[B] Statement of the Case................................... 13-40[C] Statement of the Facts .................................. 13-40[D] Argument ...................................................... 13-42[E] Summary of Argument ................................. 13-42[F] Conclusion.................................................... 13-43[G] Appellee’s Brief.............................................. 13-43[H] Reply Brief ..................................................... 13-44

§ 13:8 Oral Argument ............................................................... 13-45§ 13:9 Decision ......................................................................... 13-46§ 13:10 Post-Decision Proceedings .............................................. 13-47§ 13:11 Conclusion ..................................................................... 13-48

Chapter 14 Patent Litigation Other Than District CourtInfringement Actions

Paul D. Tripodi II, Ellen S. Robbins, and Grace Pak

§ 14:1 Introduction ..................................................................... 14-3§ 14:2 Litigation Against the U.S. Government for

Compensation for Unauthorized Use of a Patent ............ 14-4

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§ 14:2.1 Exclusive Jurisdiction in U.S. Court of FederalClaims ..................................................................... 14-4

§ 14:2.2 Position of Suppliers to the Government................. 14-6[A] “By or for the United States” .......................... 14-9[B] “Authorization or Consent” .......................... 14-12

§ 14:2.3 Substantive Patent Principles and ControllingPrecedent................................................................ 14-14

§ 14:2.4 Unavailability of Injunctive Relief and Jury........... 14-16§ 14:2.5 Procedure ............................................................... 14-17

[A] Rules of U.S. Court of Federal ClaimsGenerally .........................................................14-17

[B] Nationwide Jurisdiction ................................ 14-17[C] Commencement of Action in U.S. Court of

Federal Claims .............................................. 14-18[D] Other Provisions of the RCFC That

Deviate from the Federal Rules ..................... 14-18[E] Statute of Limitations ................................... 14-19

§ 14:2.6 Determination of Amount Awarded ...................... 14-20[A] Reasonable Royalty........................................ 14-21[A][1] Royalty Compensation Base Calculation... 14-22[A][2] Reasonable Royalty Rate Determination ... 14-22[B] Lost Profits .................................................... 14-23[C] Percentage of Governmental Cost Savings.... 14-24[D] Delay Damages ............................................. 14-25

§ 14:2.7 Defenses Special to U.S. Court of FederalClaims Cases ......................................................... 14-26[A] March-In Rights............................................ 14-26[B] Exhaustion of Administrative Remedies ....... 14-27

§ 14:2.8 Appeal .................................................................... 14-28§ 14:3 Federal Civil Actions Arising Under the Patent

Laws Other Than for Infringement ................................ 14-28§ 14:3.1 Under 35 U.S.C. § 145 to Obtain a Patent ........... 14-28§ 14:3.2 Under 35 U.S.C. § 146 in Case of Certain Patent

Interferences or Patent Derivation ...........................14-31[A] Interference Proceedings Declared Before

September 16, 2012 ...................................... 14-32[B] Interference Proceedings Declared on or After

September 16, 2012 ........................................ 14-33[C] Derivation Proceedings ................................. 14-34

§ 14:3.3 Under 35 U.S.C. § 291 Involving InterferingPatents or Derived Patents ..................................... 14-34[A] Interfering Patents Under Pre-AIA

35 U.S.C. § 291 ............................................ 14-35[B] Derived Patents Under Post-AIA

35 U.S.C. § 291 ............................................ 14-37§ 14:3.4 Under 35 U.S.C. § 256 to Correct Joinder of

Inventor ................................................................. 14-38

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[A] Substantive Requirements............................. 14-39[A][1] Contribution to Conception ......................14-39[A][2] Collaboration............................................. 14-40[A][3] Error...........................................................14-40[B] Burden of Proof ............................................. 14-41[C] Diligence ....................................................... 14-41[D] Standing ........................................................ 14-42

§ 14:4 U.S. International Trade Commission ........................... 14-43§ 14:4.1 Introduction ........................................................... 14-43§ 14:4.2 Complaint.............................................................. 14-48§ 14:4.3 Response ................................................................ 14-51§ 14:4.4 Protective Order ..................................................... 14-53§ 14:4.5 Discovery in the ITC ............................................. 14-53§ 14:4.6 ITC Motion Practice.............................................. 14-56§ 14:4.7 Domestic Industry ................................................. 14-59

[A] Domestic Industry Requirement IsJurisdictional ................................................. 14-59

[B] Domestic Industry RequirementHas Two Prongs That Must Be Satisfied ...... 14-60

[B][1] Economic Prong....................................... 14-61[B][2] Technical Prong ....................................... 14-62[C] 100-Day Early Determination Pilot

Program......................................................... 14-64§ 14:4.8 Hearing .................................................................. 14-66§ 14:4.9 Stays....................................................................... 14-67§ 14:4.10 Conclusion............................................................. 14-68

Chapter 15 Challenging Validity in the PTOUnder the 2011 America Invents Act

Charles S. Barquist and Matthew Kreeger

§ 15:1 Introduction ..................................................................... 15-3§ 15:2 Ex Parte Reexamination.................................................... 15-4§ 15:3 Inter Partes Review........................................................... 15-5

§ 15:3.1 Generally.................................................................. 15-5§ 15:3.2 Procedure ................................................................. 15-5

[A] Petition............................................................ 15-5[B] PTAB Determination ...................................... 15-8[C] Appeal ........................................................... 15-11

§ 15:3.3 PTAB Trial Practice Rules ...................................... 15-12§ 15:3.4 Effective Date ......................................................... 15-14§ 15:3.5 Estoppel.................................................................. 15-14§ 15:3.6 Litigation Stays Pending Inter Partes Review......... 15-15§ 15:3.7 Motion Practice...................................................... 15-16

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[A] Motion to Amend ......................................... 15-16[B] Motion for Joinder ........................................ 15-17[B][1] Joinder of Parties...................................... 15-18[B][2] Issue Joinder ............................................ 15-18

§ 15:4 Post-Grant Review.......................................................... 15-19§ 15:4.1 Generally................................................................ 15-19§ 15:4.2 Procedure ............................................................... 15-20

[A] Generally....................................................... 15-20[B] Petition.......................................................... 15-20[C] PTAB Determination .................................... 15-24[D] Appeal ........................................................... 15-26

§ 15:4.3 Estoppel.................................................................. 15-26§ 15:4.4 Litigation Stays Pending Post-Grant Review.......... 15-27§ 15:4.5 Effective Date ......................................................... 15-28§ 15:4.6 Covered Business Method Review ......................... 15-28

[A] Eligibility for Review ..................................... 15-31[A][1] Covered Business Method ....................... 15-31[A][2] Technological Inventions ......................... 15-32[B] Appeal ........................................................... 15-33

§ 15:5 Derivation Proceedings................................................... 15-34§ 15:5.1 Generally................................................................ 15-34§ 15:5.2 Procedure ............................................................... 15-34

[A] Petition.......................................................... 15-34[B] PTAB Determination .................................... 15-36[C] Settlement ..................................................... 15-36[D] Arbitration .................................................... 15-37[E] Public Availability of PTAB Records.............. 15-37[F] Appeal ........................................................... 15-38[G] Derivation for Nonapplicants ....................... 15-38

§ 15:5.3 Contrast with Interferences ................................... 15-38§ 15:5.4 Effective Date ......................................................... 15-40

§ 15:6 Supplemental Examination ............................................ 15-40§ 15:6.1 Generally................................................................ 15-40§ 15:6.2 Procedure ............................................................... 15-40§ 15:6.3 Relation to Refutation of Inequitable Conduct

and Fraud............................................................... 15-43§ 15:6.4 Effective Date ......................................................... 15-44

§ 15:7 Preissuance Third-Party Submissions............................. 15-44§ 15:7.1 Procedure ............................................................... 15-44§ 15:7.2 Effective Date ......................................................... 15-46§ 15:7.3 Estoppel.................................................................. 15-47§ 15:7.4 Timing of Submissions .......................................... 15-47

§ 15:8 Burden of Proof in PTO Proceedings.............................. 15-48§ 15:9 Choosing Whether to Contest Validity in the

Courts or in the PTO..................................................... 15-48


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§ 15:9.1 Estoppel.................................................................. 15-48§ 15:9.2 Litigation Stay........................................................ 15-48§ 15:9.3 Advantages of Inter Partes and Post-Grant

Review to Concurrent Patent InfringementDefendants............................................................. 15-49

Table of Authorities ........................................................................T-1

Index ................................................................................................. I-1

PATENT LITIGATION

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