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Patent Litigation

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Patent Litigation

Second Edition

Edited byLaurence H. Pretty

Incorporating Release No. 3September 2013

#47894

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Library of Congress Control Number: 2012217929ISBN: 978-1-4024-0040-7

About the Contributors

Editor

LAURENCE H. PRETTY planned and edited this book and is theauthor of chapters 1 and 9. He has a solo patent practice in Pasadena,focused on serving as consultant and expert witness, acting as an ADRprovider, and writing opinions on patents. For many years, he was atrial lawyer with the firm of Pretty & Schroeder P.C., an L.A. patentlitigation boutique, and subsequently was a partner in Hogan &Hartson LLP. He has tried many patent cases for companies of all sizesbefore juries and to the court. He has also maintained a continuousinvolvement in patent prosecution. Mr. Pretty was a law clerk at theU.S. Court of Customs and Patent Appeals and taught as an adjunctlecturer in patent law at U.C.L.A. Law School. He has been Chair ofthe IP Section of the California State Bar and a Director of AIPLA. Hereceived an engineering degree from the Imperial College of Scienceand Technology, U.K., and a law degree from George WashingtonUniversity Law School. Since 1996, he has been continuously listed inthe publication The Best Lawyers in America.

Authors (in chapter order)

JOHN M. SKENYON is the author of chapter 2. He is a principal inthe firm of Fish & Richardson P.C. in Boston, Massachusetts. He wasadmitted to practice in Massachusetts, Rhode Island, and Connecticutand is a registered patent attorney. He has a degree in electricalengineering. He has been lead counsel in over ninety patent cases andhas won one of the largest patent damages awards ever in a jury trial. Heis the principal author of the book Patent Damages, Law and Practice(West Group 1999), and he has lectured frequently on patent litigationtopics. He is past president of the Boston Patent Law Association and isan active member of a variety of other bar associations.

JAMES GALBRAITH is a coauthor of chapter 3. He is a member ofKenyon & Kenyon, New York, New York. He has a B.S. in chemistryfrom the University of North Carolina, an M.A. in chemistry fromDuke University, and a J.D. with honors from the University of North

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Carolina, where he was an editor of the North Carolina Law Review.Mr. Galbraith’s practice is concentrated on patent infringementlitigation. He has acted as lead counsel in a number of trials of patentcases and has argued several appeals before the Court of Appeals for theFederal Circuit.

ANDREI IANCU is a coauthor of chapter 3. He is a partner at Irell &Manella LLP in Los Angeles, California. Mr. Iancu focuses onintellectual property litigation, and has been a leading member of anumber of patent infringement trial teams. He has also argued beforethe Court of Appeals for the Federal Circuit. Mr. Iancu representsclients across the technology spectrum, including medical devices,computer hardware and software, media, and the Internet. Mr. Iancuhas a J.D. from UCLA, where he was a member of the Order of theCoif. He also has a B.S. in Aerospace Engineering and an M.S. inMechanical Engineering, both from UCLA. Prior to law school, he wasan engineer at Hughes Aircraft Co., where he received the MalcolmR. Currie Innovation Award. Mr. Iancu was named by the DailyJournal as one of the top twenty California attorneys under forty yearsof age in 2006, and has also been included in The Best Lawyers inAmerica for 2007–2008.

AMIR NAINI is a coauthor of chapter 3. He is an attorney at Irell &Manella LLP in Los Angeles. Mr. Naini specializes in intellectualproperty litigation, transactions, and strategic counseling. He has beenselected as a Southern California “Rising Star” in intellectual propertylitigation by Super Lawyers Magazine repeatedly since 2008. Mr. Nainireceived his J.D. from the University of California, Berkeley School ofLaw. He has a Ph.D. from Brandeis University, and a B.A. fromSwarthmore College, both in biochemistry.

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 andsuccessfully 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. Recently, hesuccessfully argued before an en banc panel of the Federal Circuit inthe case In re Seagate Technology LLC, in which the court changed thestandard for proving willful infringement and clarified the scope ofattorney-client privilege waiver in patent cases. Mr. Ferguson has

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taught as an adjunct professor at the George Washington UniversitySchool of Law, and regularly writes on patent litigation and technologytopics. He is a member of the Federal Circuit Bar Association and theAmerican Intellectual Property Law Association. He has beenrecognized as one of the “top 50 under 45” IP practitioners in theUnited States by IP Law & Business, and as a leading IP lawyer by TheBest Lawyers in America in 2008 and 2009. He received his J.D. fromAlbany Law School and his B.S.E.E., magna cum laude, from UnionCollege.

JOHN M. BENASSI, deceased, was the original author of chapter 4.He was a partner at Lyon & Lyon and later with Heller Ehrman LLP.He was an outstanding trial lawyer with a national reputation inbiotechnology trials.

PATRICIA A. MARTONE is the author of chapter 5. She is a partner atMorrison & Foerster LLP. She specializes in the trials of complexpatent cases in technologies ranging from electronics to life sciences.Ms. Martone has a B.A. in chemistry from New York University, anM.A. in chemistry from The Johns Hopkins University, and a J.D.degree from New York University School of Law. She is an AdjunctProfessor of Law at New York University School of Law, and a frequentauthor, speaker, and media commentator on intellectual propertyissues. She has tried twelve cases to a judgment or verdict, includingplaying a major role in obtaining Polaroid Corporation’s one-billion-dollar judgment against Eastman Kodak for patent infringement.Ms. Martone has served as lead trial counsel in over forty patentinfringement cases for technology leaders ranging from Global Fortune500 companies to small research and development companies. She isperennially ranked as a leader in her field by organizations such asChambers Global, Best Lawyers in America, Who’s Who Legal, andLegal 500. Ms. Martone is a Fellow in the Litigation Counsel ofAmerica, a trial lawyer honorary society.

TIMOTHY J. MALLOY is a coauthor of chapter 6. He is a foundingpartner of McAndrews, Held & Malloy, Ltd., a sixty-lawyer boutiquefirm in Chicago, Illinois. He obtained a B.S.E.E. degree and a J.D.degree from the University of Notre Dame. Since being admittedto practice law, he has specialized in litigation and arbitration ofhigh-technology patents and related matters. He briefed and arguedbefore the U.S. Supreme Court the leading case on the scope of patentprotection for medical devices. He is widely published in intellectualproperty law. He has lectured to local and national bar associations ontrial techniques in patent cases. In concert with the John Marshall LawSchool, he conducted the National Symposium on Patent Protection


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for Medical Devices. He addressed PricewaterhouseCoopers Intellec-tual Property Leadership Forum for 2000, as well as COMDEX 2000,on topics of litigation tactics and common mistakes in intellectualproperty transfers.

STEPHEN F. SHERRY is a coauthor of chapter 6. A shareholder ofMcAndrews, Held & Malloy, Ltd., he has been involved in trial andappellate practice for seventeen years, focusing on intellectual propertyin a wide range of technologies including catalytic conversion,recombinant DNA technology, and the manufacture of printed circuitboards. Mr. Sherry earned his bachelor of science degree in chemistry(cum laude) from Virginia Polytechnic Institute and State University,and has a J.D. from DePaul College of Law in Chicago. He is a memberof the trial bar of the United States District Court for the NorthernDistrict of Illinois. Mr. Sherry has authored and coauthored a numberof papers dealing with patent litigation, especially in the area of thedoctrine of equivalents and biotechnology, which have been presentedat the annual meeting of the American Bar Association. He has alsoauthored a chapter dealing with patenting human life in a bookpublished by Trinity International University ’s Center for Bioethicsand Human Dignity.

KIRK A. VANDER LEEST is a coauthor of chapter 6. A shareholder ofMcAndrews, Held & Malloy, Ltd., his practice focuses on intellectualproperty litigation; patent and trademark procurement, protection,and portfolio management; and intellectual property/technologyopinions and investigations. He is registered to practice before theUnited States Patent and Trademark Office and a member in goodstanding of the bars of the State of Illinois, the U.S. District Court forthe Northern District of Illinois, the U.S. Court of Appeals for theFederal Circuit, and the U.S. Supreme Court. Mr. Vander Leest is agraduate of Iowa State University (B.S.I.E.) and Chicago-Kent Collegeof Law (J.D., with high honors).

GARY M. HOFFMAN is a coauthor of chapter 7. He chairs theTechnology Group and the Intellectual Property Practice of DicksteinShapiro LLP. He has been actively involved in the practice ofintellectual property law for over thirty years and has participated inover 100 patent and/or trademark cases before the federal courts andthe ITC and has drafted over 150 licensing agreements. He haslectured on numerous IP litigation topics for PLI, ABA, AIPLA, andother organizations. He has co-chaired the two AIPLA Mid-WinterInstitutes on Litigation Advocacy as well as other programs. Hechaired one of the committees of the Brookings Institution project on“Unseen Wealth” that study the valuation of intellectual capital. He

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has authored many articles and is the coeditor of the recentlypublished ABA/IP Section-sponsored book Patent Litigation StrategiesHandbook. He is a graduate of the University of Pennsylvania (B.S.E.E.)and George Washington University School of Law (J.D.).

CHARLES W. SABER is a coauthor of chapter 7. Currently a partner inDickstein Shapiro LLP ’s Intellectual Property Practice, Mr. Saberjoined the firm in 1979. His practice focuses on all aspects ofintellectual property law, with an emphasis on intellectual propertylitigation. Mr. Saber has participated in scores of intellectual propertylawsuits at the trial and appellate levels involving patent, trademark,copyright, unfair competition, and trade secret issues. These actionshave been filed in both federal and state courts and span a variety ofindustries. Mr. Saber has lectured extensively on a wide variety ofintellectual property matters on both patent and trademark matters.He is coauthor of the Introduction to Intellectual Property Law (1994),and his articles on intellectual property matters have appeared in awide variety of publications. Mr. Saber graduated magna cum laude in1979 from the Georgetown Law Center.

DIPU A. DOSHI is a coauthor of chapter 7. Currently a partner withDickstein Shapiro LLP ’s Intellectual Property Practice, Mr. Doshifocuses his practice in all aspects of patent law, with an emphasison patent litigation and client counseling. Mr. Doshi has experience ina wide variety of technological fields, including pharmaceutical andchemical compounds, biological molecules, DNA sequences, computermemory, imaging devices, semiconductor inventions, and computernetworks.

MARK T. BANNER, deceased, was an original coauthor of chapter 8.He was a senior partner at Banner & Witcoff, Ltd., with a nationalreputation in the litigation of patent, trademark, and copyright cases.

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 Associate Professor ofLaw, South Texas College of Law, Houston.


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JOHN F. SWEENEY is the author of chapter 10. Mr. Sweeney is apartner of Locke Lord Bissell & Liddell LLP in New York and has overtwenty-seven years of experience in all aspects of intellectual propertylaw litigation. He has a B.S. in mathematics from Carnegie MellonUniversity and a J.D. from Georgetown University, where he was amember of the National Moot Court team and was selected as theWilliam E. Leahy Outstanding Advocate. He served as President of theNew York Intellectual Property Law Association in 2000. His casesinclude a $178,000,000 patent damages award for Procter & Gamblein Procter & Gamble Company v. Paragon Trade Brands, Inc., 989F. Supp. 547 (D. Del. 1997), motion for new trial denied, 15 F. Supp. 2d406 (1998). He was listed in the 2001–02 edition of The Best Lawyersin America.

DON W. MARTENS is a coauthor of chapter 11. He is a partner in theNewport Beach, California, intellectual property law firm of Knobbe,Martens, Olson & Bear. 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 recently was named one of the top twenty patent attorneysin the world in a comprehensive international survey by EuromoneyLegal Media Group. He was President of the American IntellectualProperty Law Association in 1996. Currently he is a member of theAdvisory Council of the Court of Appeals for the Federal Circuit.

JOHN B. SGANGA, JR. is a coauthor of chapter 11. He is a partner inthe Newport Beach, California, office of Knobbe, Martens, Olson & Bear,where he practices as an intellectual property litigator. He graduatedmagna cum laude in 1981 from Lafayette College, with a Bachelor ofScience in mechanical engineering. He received his J.D. from New YorkUniversity School of Law in 1984. Mr. Sganga has authored numerousarticles on intellectual property law issues. Mr. Sganga was awardedthe Rossman Award by the Patent and Trademark Office Society in 1990for his article regarding the constitutionality of direct molding statutes.Mr. Sganga has lectured on intellectual property law issues for CEB, PLI,UC Irvine, and other groups. Mr. Sganga served as President of theOrange County Barristers and has served on the Board of Directors ofthe Orange County Bar Association.

MICHAEL V. CIRESI is a coauthor of chapter 12. He is a name partnerand Chairman of the Executive Board of Robins, Kaplan, Miller &Ciresi, LLP. Mr. Ciresi’s trial practice is focused in the areas of productliability, intellectual property, business, and commercial litigation. Hismore visible cases include State of Minnesota v. Phillip Morris Inc.,

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Honeywell v. Minolta, Unocal Corporation v. ARCO, the Dalkon Shieldlitigation, the Copper-7 litigation, and Government of India v. UnionCarbide. Mr. Ciresi has been twice recognized in National LawJournal’s annual list of “Ten of the Nation’s Top Trial Lawyers” and hastwice been named by the journal as one of the “100 Most InfluentialLawyers in America.” In 1998, he was awarded the “Trial Lawyer of theYear Award” by the Trial Lawyers for Public Justice Foundation. He hasalso been listed in The Best Lawyers in America since 1989.

DAVID W. BEEHLER is a coauthor of chapter 12. He is a partner in theMinneapolis office of the national law firm of Robins, Kaplan, Miller &Ciresi, LLP. He practices in all areas of business litigation, with anemphasis in intellectual property litigation. He has experience inpatent, trademark, and copyright litigation, having represented clientsin federal courts around the country in such matters. Some of theclients Mr. Beehler has represented include: Unocal, Best Buy Co., Inc.,and Blue Cross Blue Shield of Minnesota. Mr. Beehler is a member ofthe Missouri, Kansas, and Minnesota bars, the related state and federalcourts, including the Federal Circuit, Eighth, and Ninth Circuit Courtof Appeals, and the United States Supreme Court. He obtained hisB.S., summa cum laude, in English from St. Cloud State University,Minnesota, and his J.D., cum laude, from the University of Minnesotain 1985.

NICOLE E. KOPINSKI is a coauthor of chapter 12. She is an attorneyin the Minneapolis office of Robins, Kaplan, Miller & Ciresi, LLP.She has a B.S. in Microbiology and a B.A. in History from the Univer-sity of Florida, and a J.D. with honors from Boston College Law School,where she was Editor in Chief of the Boston College Law Review.Her practice focuses on helping businesses and inventors protect andmaximize the value of their intellectual property. She specializes incomplex litigation with an emphasis on patent litigation in a widerange of industries and markets including pharmaceuticals, medicaldevices, electronics, and mechanical devices.

ALLEN M. SOKAL is a coauthor of chapter 13. He is a member ofFinnegan, Henderson, Farabow, Garrett & Dunner, LLP. He has broadexperience in patent litigation. Mr. Sokal has briefed and argued manyappellate cases at the U.S. Court of Appeals for the Federal Circuit andthe Court of Customs and Patent Appeals. Mr. Sokal gained his initialpatent experience as a patent examiner and then as a law clerk at theCCPA. He received a B.S. in chemical engineering with honors fromthe University of Pennsylvania and a J.D. from Georgetown University,where he served on the Georgetown Law Journal. Mr. Sokal haslectured periodically for various bar associations on patent law,


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licensing, and legal ethics issues. He lectures several times a year onchemical patent practice for the Patent Resources Group, Inc. He iscurrently leader of his firm’s Appellate Section.

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.

JEFFREY A. FINN is a coauthor of chapter 14. A partner in the LosAngeles office of Sidley Austin LLP, he joined the firm’s IntellectualProperty and Technology Practice group, which he co-founded in 2000.He represents start-up, emerging growth, and large corporations in allaspects of intellectual property law with an emphasis on complex,multi-party patent litigation, arbitration, and mediation. He alsoadvises clients in patent portfolio procurement, licensing, andevaluation, and with IP due diligence, nonliability, and right-to-useopinions. Mr. Finn has developed extensive experience in a variety ofhigh-tech fields, including electronic payment and informationtechnology systems, encryption, optical and electronic wired andwireless communications (hardware, software and methods) for bothterrestrial and satellite applications, computer and microprocessorsystems architectures, video-on-demand applications, and plasma,LCD, and liquid-crystal-on-silicon display systems. He has alsorepresented numerous clients in the medical field, covering a widearray of innovative diagnostic and therapeutic technologies. He hasalso spoken and written on numerous cutting-edge patent issues forCEB, PLI, and numerous bar associations and is a member of thepatent law planning committee of the USC IP Law Institute. Mr. Finnhas also authored an intellectual primer for high technologycompanies, available online at www.sidley.com. He is a member ofthe American Intellectual Property Law Association (AIPLA), the LosAngeles Intellectual Property Law Association (LAIPLA), and theInstitute of Electrical and Electronics Engineers (IEEE). He receivedhis B.S. in electrical engineering from the University of SouthernCalifornia Law School.

KENNETH R. ADAMO is a coauthor of chapter 14. He is a partnerat Jones, Day, Reavis & Pogue in Cleveland, Ohio. He is admitted topractice in Illinois, New York, Ohio, and Texas, and is a registeredpatent attorney. Mr. Adamo’s education includes a B.S. in chemicalengineering from Rensselaer Polytechnic Institute, a J.D. from theAlbany Law School of Union University, and an LL.M. from the JohnMarshall Law School. He has had extensive trial experience before

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state and federal courts and the International Trade Commission, aswell as ex parte and inter partes experience in the U.S. Patent andTrademark Office and with non-U.S. patent and trademark author-ities. He has written and lectured on intellectual property law for bothU.S. and non-U.S. publications and organizations. His cases include a$25.2 million patent infringement verdict and finding of willfulinfringement, which resulted in a settlement giving royalties in excessof $1.2 billion.

MARK N. REITER is a coauthor of chapter 14. He is a partner atJones, Day, Reavis & Pogue in Dallas, Texas, and is admitted topractice in Texas. His education includes a B.S. in electricalengineering from the University of Texas at Austin, and a J.D. fromSouthern Methodist University. Mr. Reiter has had extensive experi-ence in intellectual property litigation, particularly in patent litigationmatters in various federal and appellate courts, including theInternational Trade Commission. He has lectured domestically andabroad on intellectual property matters and is a permanent member ofthe adjunct faculty at Southern Methodist University School of Law,teaching intellectual property litigation. Mr. Reiter has been intellec-tual property litigation counsel for Texas Instruments for nearly adecade, with representations in cases against Samsung and Hyundaithat each yielded over a billion dollars in royalties to TexasInstruments.

MARK C. HOWLAND is a coauthor of chapter 14. He is an associateat Jones, Day, Reavis & Pogue in Dallas, Texas, and is admitted topractice in Texas. His education includes a B.S. in electricalengineering from Southern Methodist University, and a J.D. withhonors from the University of Texas School of Law. He practices in thearea of intellectual property law, including patent, trademark, copy-right, trade secret, and unfair competition.

CHARLES BARQUIST is a coauthor of chapter 15. He is a partner inthe Los Angeles office of Morrison & Foerster LLP, and specializes inthe litigation and trial of patent and other intellectual propertydisputes. Mr. Barquist received an A.B. degree with high distinctionand high honors in history from the University of Michigan in 1975.He received a J.D., cum laude, from Harvard Law School in 1978.Following graduation, Mr. Barquist served as a law clerk to theHonorable Milton Pollack, United States District Judge for theSouthern District of New York. He joined Morrison & Foersterin 1987, and has worked in the firm’s New York, San Francisco, Tokyoand Los Angeles offices. Representative clients include Capital One,Fujitsu Limited, DISH Network, and Compal Electronics. Mr. Barquist


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is a past president of the Los Angeles Intellectual Property LawAssociation, a past chair of the Intellectual Property and Entertain-ment Law Section of the Los Angeles County Bar Association, and isthe current chair of the USC Gould School of Law IP Institute.

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. Kreegerreceived an A.B. degree with highest distinction in mathematics fromthe University of California at Berkeley in 1987. He received a J.D.,magna cum laude, from Harvard University in 1990. Followinggraduation, Mr. Kreeger served as a law clerk to the Honorable JudithRogers, District of Columbia Court of Appeals. He joined Morrison &Foerster ’s litigation department in 1991, and became a partner in1998. Mr. Kreeger is the chair of the firm’s patent interference practicegroup, and frequently advises clients on patent prosecution and pre-litigation strategy issues. He has represented numerous life scienceclients and information technologies clients including Novartis, Apple,and Yahoo!

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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 Organization, Vendor Support, and Cost Control

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

Laurence H. Pretty

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

Proceedings ................................................ 1-13[C][3] Claims Containing a Means-Plus-

Function Element ........................................1-14[C][4] Application of the Claim to the Accused

Product or Process ..................................... 1-15[C][5] Infringement Under the Doctrine of

Equivalents ................................................ 1-16[D] Infringement of a Design Patent ..................... 1-18[E] Infringement of a Plant Patent........................ 1-20

(Pat. Litigation, Rel. #3, 9/13) xix

§ 1:2.3 Validity of the Patent................................................ 1-20[A] Presumed Validity of Each Patent Claim......... 1-20[B] Burden of Proof in Attacking Validity and

Enforceability .................................................. 1-22[C] Right to an Earlier Effective Filing Date ......... 1-24

§ 1:2.4 Remedies.................................................................. 1-26§ 1:3 Defenses of Accused Infringer .......................................... 1-27

§ 1:3.1 License and Assignment Defenses ........................... 1-27[A] Licensee Estoppel Abrogation and

Exceptions ....................................................... 1-27[B] Implied License ............................................... 1-28

§ 1:3.2 Noninfringement Defenses ...................................... 1-29[A] No Literal Infringement .................................. 1-29[B] Limitations on the Doctrine of Equivalents ......1-29[B][1] Prosecution History Estoppel..................... 1-29[B][2] Prior Art As Limitation ............................. 1-31[B][3] Disclosed But Unclaimed Embodiments ... 1-31[C] Functionality Defense to Design Patent

Infringement ................................................... 1-32[D] Repair Versus Reconstruction.......................... 1-32[E] ANDA ............................................................. 1-33[F] Prior Commercial Use Defense

(Patents Subject to the 2011 Act).................... 1-33§ 1:3.3 Defenses Against Patent Validity.............................. 1-34

[A] Expiration for Nonpayment of MaintenanceFees ................................................................. 1-34

[B] Collateral Estoppel by Prior Adjudicationof Invalidity..................................................... 1-35

[C] Lack of Novelty over the Prior ArtUnder Section 102 .......................................... 1-35

[C][1] The 1952 and 2011 Acts Differ in thePrior Art Applicable to ApplicationsFiled Before and After March 16, 2013 ..... 1-36

[D] Prior Art Under the 1952 Act ......................... 1-37[D][1] Sections 102(a) and (b) .............................. 1-37[D][2] Section 102(e) ............................................ 1-43[D][3] Section 102(g) ............................................ 1-43[E] Prior Art Under the 2011 Act ......................... 1-45[E][1] Changes Expanding Prior Art .................... 1-46[E][2] One-Year Grace Period re Disclosures

from the Inventor ........................................1-47[E][3] Derivation Proceedings Created;

Interferences Eliminated ............................ 1-47[E][4] Subsections of Sections 102 and 104

Dropped by the 2011 Act .......................... 1-48

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[E][5] Tax Strategies Deemed Insufficient toDifferentiate from the Prior Art................. 1-48

[E][6] Best Mode Still Required but NoLonger an Invalidity Defense ..................... 1-49

[F] Obviousness (§ 103)........................................ 1-49[F][1] Graham v. Deere and KSR Analyses.......... 1-49[F][2] Objective Evidence re Obviousness............ 1-52[F][3] Obvious at What Time? ............................ 1-53[G] Misnamed Inventorship .................................. 1-54[H] Inadequately Disclosed or Claimed (§ 112) .... 1-54[H][1] Enablement................................................ 1-55[H][2] Best Mode .................................................. 1-56[H][3] Written Description ................................... 1-57[I] Abandonment ................................................. 1-57[J] Double Patenting............................................. 1-58[K] Nonstatutory Subject Matter or

Inoperativeness ............................................... 1-59§ 1:3.4 Defenses of Patent Unenforceability ........................ 1-62

[A] Inequitable Conduct Before the PTO.............. 1-63[A][1] Inequitable Conduct Generally .................. 1-63[A][2] Materiality ................................................. 1-64[A][3] Intent to Deceive ....................................... 1-66[A][4] Consequences of Inequitable Conduct....... 1-67[B] Laches and Equitable Estoppel ........................ 1-68[B][1] In Litigation............................................... 1-68[B][2] Laches in Patent Prosecution..................... 1-69[C] Patent Misuse.................................................. 1-70[C][1] Tying Unpatented Supplies ........................ 1-70[C][2] Compulsory Package Licensing.................. 1-71[C][3] Price Fixing, Field of Use, Territorial,

and Post-Sale Restrictions.......................... 1-72[C][4] 1988 Patent Misuse Reform Act................ 1-73

§ 1:3.5 Patent Exhaustion .................................................... 1-73§ 1:4 Immunity of States........................................................... 1-75§ 1:5 Claims Against a Patent Owner ....................................... 1-75

§ 1:5.1 Challenges to Patent Liability, Inventorship,or Validity................................................................. 1-75[A] For Declaratory Judgment ............................... 1-75[B] To Reform Inventorship Under

35 U.S.C. § 256 .............................................. 1-75[C] Challenging Validity by PTO

Reexamination ................................................ 1-76§ 1:5.2 Claims for Damages Caused by Abuse of

Patent Rights............................................................ 1-77[A] Unfair Competition Basis ............................... 1-77

(Pat. Litigation, Rel. #3, 9/13)

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[B] Antitrust Violation Basis................................. 1-77[B][1] Fraud on the PTO...................................... 1-77[B][2] After an “Objectively Baseless” Prior Suit ....1-78[B][3] Reverse Payment Settlement...................... 1-79[C] Standards-Setting Issues.................................. 1-79

Chapter 2 Investigation Needed Before Bringing Suit

John M. Skenyon

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

§ 2:1.1 Meeting the Requirements of Rule 11 of theFederal Rules of Civil Procedure ................................ 2-3[A] Claim Construction .......................................... 2-7[B] Comparing the Construed Claims with the

Accused Product or Process............................. 2-11[C] Other Areas to Investigate .............................. 2-17[D] Nonpracticing Entities .................................... 2-18

§ 2:1.2 Pre-Suit Opinion Letter............................................ 2-20§ 2:1.3 Risk of Laches After the Duty to Inquire Arises ...... 2-21

§ 2:2 Forming a Strategy to Achieve the Business Objective..... 2-22§ 2:2.1 Is Injunction or Licensing the Goal? ....................... 2-22§ 2:2.2 How Extensive Are Damages So Far and

How Extensive Might They Become? ...................... 2-23§ 2:2.3 Does Management Have the Fortitude for a

Long Haul?............................................................... 2-24§ 2:2.4 Should the Patent Owner Move for a

Preliminary Injunction? ........................................... 2-25§ 2:3 Selection of Litigation Team and Experts ......................... 2-28

§ 2:3.1 Pre-Suit Investigation Team..................................... 2-28§ 2:3.2 Fee Arrangements .................................................... 2-29§ 2:3.3 Selecting Experts ...................................................... 2-31

§ 2:4 Patent Owner ’s Pre-Suit Search for Weaknesses inIts Case ............................................................................ 2-33

§ 2:4.1 Title and Right to Sue Problems.............................. 2-33§ 2:4.2 Maintenance Fees .................................................... 2-38§ 2:4.3 Marking and Notice Problems ................................. 2-39§ 2:4.4 On Sale and Public Use Problems ........................... 2-41

[A] Patents Filed Before March 16, 2013 .............. 2-41[B] Patents Filed After March 16, 2013 ................ 2-43

§ 2:4.5 Inequitable Conduct Problems................................. 2-43§ 2:4.6 Conferring with Likely Witnesses ............................ 2-44§ 2:4.7 Documents .............................................................. 2-45

[A] Locating Important Documents...................... 2-45[B] Spoliation Problems ........................................ 2-46

§ 2:4.8 Purging Misuse Problems......................................... 2-47§ 2:4.9 Whether Derivation Is an Issue ............................... 2-47

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§ 2:5 Whether the Patent Position Should Be StrengthenedBefore Suit ........................................................................ 2-48

§ 2:5.1 Ex Parte Reexamination ........................................... 2-48§ 2:5.2 Reissue ..................................................................... 2-49§ 2:5.3 Supplemental Examination Under AIA ................... 2-51§ 2:5.4 Continuation Practice .............................................. 2-51

§ 2:6 Contacting the Infringer or Its CustomersBefore Filing Suit .............................................................. 2-52

§ 2:6.1 Reasons for Notice ................................................... 2-53§ 2:6.2 The Risks of Giving Notice ..................................... 2-53

§ 2:7 Patent Owner ’s Choices ................................................... 2-54§ 2:7.1 Choice of Defendants .............................................. 2-54§ 2:7.2 Choice of Venue....................................................... 2-55

[A] Joinder of Unrelated Defendants inOne Venue Narrowed by AIA ......................... 2-56

§ 2:7.3 Choice of Jury or Bench Trial .................................. 2-57§ 2:8 Defendant’s Choices......................................................... 2-58

§ 2:8.1 Meeting the Requirements of Rule 11 of theFederal Rules of Civil Procedure .............................. 2-58

§ 2:8.2 Whether Prior Commercial Use Is AvailableAgainst Infringement ............................................... 2-59

§ 2:8.3 Preemptive Strike by Declaratory Judgment ............ 2-59§ 2:8.4 Whether to Attack Validity in Court

or in the PTO .......................................................... 2-60§ 2:8.5 Settlement and Defensive Materials ........................ 2-60§ 2:8.6 Is Another Entity Responsible? ................................ 2-61§ 2:8.7 Design Around......................................................... 2-61

Chapter 3 Opening Phase

Andrei Iancu and Amir Naini

§ 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 ......................................... 3-8§ 3:2.3 Declaratory Judgment Actions ................................... 3-9

§ 3:3 Answer ............................................................................. 3-10§ 3:3.1 Essentials of the Answer .......................................... 3-10§ 3:3.2 Pleading Inequitable Conduct .................................. 3-11§ 3:3.3 Counterclaims.......................................................... 3-13

§ 3:4 Jurisdiction, Venue, and Transfer ..................................... 3-16§ 3:4.1 Subject Matter Jurisdiction ...................................... 3-16

[A] “Arising Under” Jurisdiction ........................... 3-16[B] Pendent Jurisdiction........................................ 3-19[C] Declaratory Judgment Jurisdiction .................. 3-20


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§ 3:4.2 Personal Jurisdiction ................................................ 3-22§ 3:4.3 Venue ....................................................................... 3-26§ 3:4.4 Suits for Patent Infringement Against a

Government Entity .................................................. 3-31§ 3:5 Procedural Motions in the Opening Phase....................... 3-32

§ 3:5.1 Rule 12(b) and 12(e) Motions .................................. 3-32§ 3:5.2 Motions re Indispensable Parties ............................. 3-34§ 3:5.3 Motions to Bifurcate ................................................ 3-35§ 3:5.4 Transfer Motions...................................................... 3-39§ 3:5.5 Motion to Recuse..................................................... 3-41§ 3:5.6 Motions for Expedited Relief/Ex Parte

Application............................................................... 3-43§ 3:6 Early Meeting of Counsel Under Rule 26 and

Local Rules ....................................................................... 3-43§ 3:7 Protective Orders to Protect Confidential

Information ...................................................................... 3-46§ 3:8 Early Neutral Evaluation Procedures ................................ 3-51§ 3:9 Relations with Opposing Counsel .................................... 3-52

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............................................................ 4-10§ 4:4 Mandatory Disclosures..................................................... 4-11

§ 4:4.1 In General................................................................ 4-11§ 4:4.2 Initial Conference of Counsel and Report

Thereon—Rule 26(f)................................................. 4-11[A] In General ....................................................... 4-11[B] Subject of Conference ..................................... 4-12[C] Report on Proposed Discovery Plan ................ 4-13[D] Patent Infringement Cases .............................. 4-13

§ 4:4.3 Initial Disclosures—Rule 26(a)(1) ............................ 4-15[A] In General ....................................................... 4-15[B] Subject of Disclosure....................................... 4-15[C] Duty of Supplementation................................ 4-16[D] Initial Disclosures in Patent Infringement

Cases .................................................................4-16

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§ 4:4.4 Disclosure of Expert Testimony—Rule 26(a)(2)..........4-18[A] In General ....................................................... 4-18[B] Subject of Disclosure....................................... 4-18[C] Expert Disclosures in Patent Cases................. 4-19

§ 4:4.5 Pretrial Disclosures and ObjectionsThereto—Rule 26(a)(3) ...............................................4-22[A] In General ....................................................... 4-22[B] Subject of Disclosure....................................... 4-22[C] Subject of the Objections ................................ 4-23

§ 4:4.6 Notice of Prior Art Used in Defense........................ 4-23§ 4:5 Requests for Production of Documents and

Things and Inspection—Rule 34...................................... 4-24§ 4:5.1 Requests for Production ........................................... 4-24§ 4:5.2 Responses to Requests for Production...................... 4-25§ 4:5.3 Duty of Supplementation of Responses to

Requests for Production ........................................... 4-26[A] Requests for Production in Patent Cases...........4-27

§ 4:6 Interrogatories .................................................................. 4-27§ 4:6.1 In General................................................................ 4-27§ 4:6.2 Scope of Interrogatories ........................................... 4-27§ 4:6.3 Scope of Interrogatories in an Infringement

Case............................................................................4-28§ 4:6.4 Interrogatory Responses ........................................... 4-30§ 4:6.5 Duty of Supplementation of Interrogatory

Responses ...................................................................4-31§ 4:7 Requests for Admissions .................................................. 4-31

§ 4:7.1 Procedure for Requests ............................................. 4-31§ 4:7.2 Procedure for Responses........................................... 4-32§ 4:7.3 Content of Responses .............................................. 4-32§ 4:7.4 Effect of Admissions ................................................ 4-33§ 4:7.5 Duty of Supplementation of Responses ................... 4-33§ 4:7.6 Use of Requests for Admissions in Patent

Infringement Cases ....................................................4-33§ 4:8 Depositions ...................................................................... 4-34

§ 4:8.1 Purpose and Advantages .......................................... 4-34[A] Pre-Deposition Planning ................................. 4-35[B] Deposition Tactics and Pointers...................... 4-36[C] Preparing a Witness to Give a Deposition ........4-37[D] Waiver Problems Associated with Use of

Documents in Witness Preparation ..................4-38[E] Defending Depositions and Typical

Objections .........................................................4-40[F] Rule 31—Depositions upon Written

Questions ..........................................................4-40[G] Place of Deposition ......................................... 4-41


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§ 4:8.2 Video Depositions .................................................... 4-41§ 4:8.3 Subject Matter of Depositions by Type of

Witness and Deposition .............................................4-42[A] Deposing Rule 30(b)(6) Witnesses................... 4-42[B] Deposing Fact Witnesses................................. 4-43[C] Topics Covered by Patentee in

Depositions ..................................................... 4-44[D] Topics Covered by Accused Infringer in

Depositions .......................................................4-45[E] Deposing a Patent Examiner ........................... 4-46

§ 4:8.4 Deposing Expert Witnesses ...................................... 4-47[A] Expert Witnesses and Required Expert

Reports ..............................................................4-47[B] Tips for Deposing Experts............................... 4-49[C] Time of Taking................................................ 4-50

§ 4:8.5 Restrictions on Depositions ..................................... 4-50[A] Total Number of Depositions.......................... 4-50[B] Number of Depositions of a Single Person........4-50[C] Schedule and Duration ................................... 4-50[D] Judge on the Case or in the

Discovery Locale................................................4-51§ 4:8.6 Instructions Not to Answer/Allowable

Testimony...................................................................4-51[A] Questions Regarding Legal Opinion or

Conclusion ........................................................4-52[B] Questions Regarding Interpretation of

Claims...............................................................4-52§ 4:8.7 Dealing with Abuse or Obstruction ......................... 4-55§ 4:8.8 Compelling Appearance/Testimony.......................... 4-56

[A] Compelling the Witness to Appear ................. 4-56[B] Compelling Answers at a Deposition ............. 4-56

§ 4:9 Rule 45 Subpoenas to Nonparties .................................... 4-57§ 4:9.1 Subpoenas in General .............................................. 4-57§ 4:9.2 Subpoenas in Patent Infringement Cases................. 4-58§ 4:9.3 Response to Subpoenas ............................................ 4-59

§ 4:10 Self-Help Discovery .......................................................... 4-59§ 4:11 Limitations on Discovery ................................................. 4-61

§ 4:11.1 Burdensome Discovery............................................. 4-61§ 4:11.2 Claims of Privilege or Protection of Trial

Preparation Materials .................................................4-62[A] In General ....................................................... 4-62

§ 4:11.3 Trial Preparation Materials in General .................... 4-63§ 4:11.4 Discovery of Nontestifying Experts.......................... 4-63

[A] Documents/Information GeneratedDuring Prosecution ......................................... 4-63

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§ 4:11.5 Invention Disclosures .............................................. 4-66[A] Opinions of Counsel to Rebut Charge of

Willful Infringement..........................................4-66§ 4:12 Motions for Protective Order............................................ 4-71

§ 4:12.1 Grounds for a Protective Order................................ 4-71§ 4:12.2 Procedure for Moving for a Protective Order ........... 4-72§ 4:12.3 Stipulated Protective Order Regarding

Confidential Information......................................... 4-72§ 4:13 Discovery Motion Practice and Sanctions ........................ 4-75

§ 4:13.1 Rule 37 Motion to Compel...................................... 4-75[A] Prior to a Motion to Compel .......................... 4-75[B] Filing a Motion to Compel ............................. 4-75[C] Delay or Failure to File Motion to

Compel..............................................................4-76[D] Opposing a Motion to Compel ....................... 4-77[E] Recovery of Attorneys’ Fees and Costs............ 4-77[F] Failure to Comply with an Order to

Compel..............................................................4-78§ 4:13.2 Sanctions Available Without a Discovery

Order........................................................................ 4-80§ 4:13.3 Failure to Provide Electronically Stored

Information.............................................................. 4-80§ 4:13.4 Spoliation of Evidence.............................................. 4-80§ 4:13.5 Rule 26(g) Motions .................................................. 4-82§ 4:13.6 Miscellaneous Other Discovery Motions ................. 4-83

[A] Extensions of Time ......................................... 4-83[B] Motion to Be Relieved of Admissions ...............4-85

§ 4:13.7 Appeals from Discovery Orders ............................... 4-85

Chapter 5 Attorney-Client Privilege and Work ProductImmunity

Patricia A. Martone

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

Applications ................................................. 5-5[A][2] Patent Agents Registered to Practice

Before the PTO............................................ 5-6


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[A][3] Foreign Patent Agents .................................. 5-8[A][3][a] Courts Extending the Privilege to

Communications with ForeignNonattorney Patent Agents ...................... 5-8

[A][3][b] The U.K. As an Example ....................... 5-12[A][3][c] Courts Denying the Privilege to

Communications with Foreign PatentAgents .................................................... 5-13

[B] What Types of Communications AreProtected?........................................................ 5-14

[B][1] Prosecution Documents............................. 5-14[B][1][a] The Jack Winter Line of Cases ............... 5-15[B][1][b] The Knogo Line of Cases ....................... 5-16[B][1][c] More Recent Federal Circuit Law........... 5-18[B][2] Opinion Letters.......................................... 5-19[B][3] Licensing and Settlement Documents ....... 5-21[C] Who Qualifies As a Client? ............................ 5-22

§ 5:3 Attorney Work Product Immunity ................................... 5-24§ 5:3.1 Defining the Immunity............................................ 5-24§ 5:3.2 Resolving Disputes................................................... 5-26§ 5:3.3 The Immunity in Patent Litigation ......................... 5-26§ 5:3.4 “Anticipation of Litigation” ...................................... 5-26§ 5:3.5 Typical Documents in Patent Litigation .................. 5-29

[A] Opinion Letters ............................................... 5-29[B] Patent Prosecution Documents ....................... 5-30[C] Patent Prosecution Documents Prepared by

Patent Agents ....................................................5-31[D] Pre-Suit Investigations .................................... 5-32[E] Licensing and Settlement................................ 5-32[F] Party or Party Representative .......................... 5-33

§ 5:4 Waiver of Attorney-Client Privilege .................................. 5-33§ 5:4.1 Generally.................................................................. 5-33§ 5:4.2 Inadvertent Waiver ................................................... 5-35§ 5:4.3 Intentional Waiver ................................................... 5-41

[A] Willful Infringement; Inducement ofInfringement ................................................... 5-41

[B] Inequitable Conduct........................................ 5-48[C] Estoppel........................................................... 5-50

§ 5:4.4 Timing and Scope of Intentional Waiver ................. 5-52§ 5:4.5 Waiver Resulting from Corporate Transactions........ 5-53

§ 5:5 Waiver of Work Product Immunity .................................. 5-58§ 5:5.1 Generally.................................................................. 5-58§ 5:5.2 Inadvertent Waiver ................................................... 5-58§ 5:5.3 Intentional Waiver ................................................... 5-60

[A] Willful Infringement ....................................... 5-60[B] Disclosing Work Product to Experts ............... 5-63

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§ 5:6 Piercing the Attorney-Client Privilege andWork Product Immunity .................................................. 5-65

§ 5:7 Conclusion ....................................................................... 5-66

Chapter 6 Organization, Vendor Support, and Cost Control

Timothy J. Malloy, Stephen F. Sherry, andKirk A. Vander Leest

§ 6:1 Developing a Central Organizational Framework forthe Case.............................................................................. 6-2

§ 6:2 Organizing a Trial Team..................................................... 6-9§ 6:2.1 Team Leaders ............................................................. 6-9§ 6:2.2 Other Lawyers.......................................................... 6-11§ 6:2.3 Local Counsel .......................................................... 6-11§ 6:2.4 In-House Counsel .................................................... 6-12§ 6:2.5 Temporary Personnel ............................................... 6-12§ 6:2.6 Turnover................................................................... 6-13

§ 6:3 Document Organization and Retrieval............................. 6-13§ 6:3.1 Electronic Case Management and Filing ................. 6-14§ 6:3.2 Micro Versus Macro Document Management ......... 6-14§ 6:3.3 Indexing Categories ................................................. 6-15§ 6:3.4 Control Numbers and Copying ............................... 6-16§ 6:3.5 Imaging Systems ...................................................... 6-18§ 6:3.6 Considerations Regarding Electronic Discovery .........6-19

§ 6:4 Organizing Deposition Materials ..................................... 6-22§ 6:4.1 Planning................................................................... 6-22§ 6:4.2 Taking the Deposition, Indexing, and Digesting...... 6-23§ 6:4.3 Videotaping Depositions .......................................... 6-24§ 6:4.4 Using Deposition Testimony ................................... 6-26

§ 6:5 Using Database Systems .................................................. 6-26§ 6:6 Obtaining Patent Materials .............................................. 6-29§ 6:7 Obtaining a Claim Construction Ruling .......................... 6-31§ 6:8 Creating Demonstrative Exhibits and Videos................... 6-32§ 6:9 Jury Consultants .............................................................. 6-35§ 6:10 Other Litigation Support Vendors .................................... 6-38

§ 6:10.1 Copying Services ...................................................... 6-38§ 6:10.2 Graphics Services ..................................................... 6-39§ 6:10.3 Services for the Electronic Courtroom ..................... 6-40

§ 6:11 Budgeting and Cost Control............................................. 6-42


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Chapter 7 Nondiscovery Motions and Court-InitiatedProcedures

Gary M. Hoffman, Charles W. Saber, and Dipu A. Doshi

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

§ 7:2.1 Markman in General ................................................. 7-3§ 7:2.2 When a Markman Determination Is Necessary ........ 7-5§ 7:2.3 Procedural Contexts in Which Claim

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

Construction............................................................ 7-10§ 7:2.5 Manner in Which Courts Construe Claims ............ 7-13§ 7:2.6 Role of Witnesses ..................................................... 7-27§ 7:2.7 Use of Court-Appointed Experts .............................. 7-29§ 7:2.8 Necessity of a Hearing to Decide Claim

Construction............................................................ 7-31§ 7:2.9 Timing of Markman Hearings ................................. 7-32§ 7:2.10 Timing Established by Local Rules .......................... 7-35§ 7:2.11 Appeal of Claim Construction Decisions ................ 7-38

§ 7:3 Summary Judgment Motions ........................................... 7-41§ 7:3.1 Introduction ............................................................. 7-41§ 7:3.2 Summary Judgment Motions by the Patentee ......... 7-42§ 7:3.3 Summary Judgment for the Accused Infringer......... 7-44§ 7:3.4 Procedural Aspects of Motions for Summary

Judgment.................................................................. 7-46§ 7:4 Nondiscovery Procedural Motions.................................... 7-48

§ 7:4.1 Introduction ............................................................. 7-48§ 7:4.2 Motion for Separate Trials (Bifurcation)................... 7-48§ 7:4.3 Motion for Appointment of a Special Master .......... 7-51§ 7:4.4 Motions for Leave to Amend ................................... 7-52

§ 7:5 Pretrial and Scheduling Conferences ................................ 7-54§ 7:5.1 Initial Scheduling Order........................................... 7-54

§ 7:6 Court-Initiated Settlement Procedures ............................. 7-55§ 7:6.1 Alternative Dispute Resolution Programs

Used by Federal District Courts............................... 7-55§ 7:6.2 Court-Initiated ADR Programs in Patent Cases ...... 7-58

Chapter 8 Witnesses Special to a Patent Case

Mark T. Banner, Christopher J. Renk, and Ted L. Field

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

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§ 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 ............................................... 8-17

§ 8:3 Expert Witnesses .............................................................. 8-18§ 8:3.1 Qualifying Experts at Trial and Presenting

Their Opinions ........................................................ 8-20§ 8:3.2 Technical Expert....................................................... 8-32§ 8:3.3 Patent Law Expert .................................................... 8-41§ 8:3.4 Damages Expert ....................................................... 8-47§ 8:3.5 Deposition of Experts............................................... 8-51§ 8:3.6 Non-Testifying Experts ............................................. 8-51

§ 8:4 Fact Witnesses .................................................................. 8-54§ 8:4.1 Designers of Accused Infringing Products................ 8-54§ 8:4.2 Nonparty Invalidity Witness.................................... 8-56§ 8:4.3 Witness Regarding Inequitable Conduct Before

the PTO ................................................................... 8-59§ 8:4.4 The Willfulness Witness .......................................... 8-62

Chapter 9 Damages and Attorney Fees

Laurence H. Pretty

§ 9:1 Statutory Basis.................................................................... 9-3§ 9:1.1 Damages on U.S. Sales of Components

Used Overseas in a Process Patented in theUnited States ............................................................. 9-3

§ 9:1.2 Damages Base and Exclusions ................................... 9-4§ 9:2 Determination of Liability Period....................................... 9-5

§ 9:2.1 Start and End of Patent Term .................................... 9-5§ 9:2.2 Start and End of Infringement ................................... 9-5§ 9:2.3 Six-Year Pre-Complaint Limitation ............................ 9-7§ 9:2.4 Limitations Imposed by the Patent Marking

Statute........................................................................ 9-7§ 9:3 Tests for Entitlement to a Lost Profit Measure of

Damages............................................................................. 9-8§ 9:3.1 Requirement for Causation Generally ....................... 9-8§ 9:3.2 Panduit Test for Lost Profits..................................... 9-10

[A] Demand for Patented Product......................... 9-10[B] Absence of Acceptable Noninfringing

Substitute ........................................................ 9-11[C] Capacity .......................................................... 9-13[D] Quantum of Lost Profits ................................. 9-14

§ 9:3.3 Alternatives to Panduit Test ..................................... 9-14


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§ 9:3.4 Lost Profits or Infringers’ Profits on a DesignPatent ........................................................................9-15

§ 9:4 Calculation of Amount of Lost Profits ..............................9-15§ 9:4.1 Profits on the Patented Product Lost to the

Infringing Products ...................................................9-15§ 9:4.2 Profits on Unpatented Products Sold by the

Patentee Lost to Infringing Products.........................9-17§ 9:4.3 Profits on Ancillary Products Meeting the

Entire Market Value Test...........................................9-17§ 9:4.4 Profits Lost Due to Price Erosion Damages ..............9-19

§ 9:5 Reasonable-Royalty Measure of Recovery ..........................9-20§ 9:5.1 Reasonable Royalty Based on Hypothetical

Pre-Infringement Negotiations..................................9-21§ 9:5.2 Reasonable Royalty Based on a Fraction of the

Patentee’s Lost Profits ...............................................9-22§ 9:5.3 Reasonable Royalty Based on a Fraction of

Infringer ’s Anticipated Profit ....................................9-24§ 9:5.4 Reasonable Royalty Limited by the Differential

Cost of Using an Alternative NoninfringingTechnology ................................................................9-24

§ 9:5.5 Reasonable Royalty Based on a Flat Fee orMilestone Payments..................................................9-24

§ 9:5.6 Georgia-Pacific Factors ..............................................9-25§ 9:5.7 Blended Damages Award of Lost Profits and

Reasonable Royalty Based on Market Share..............9-27§ 9:5.8 Liquidated Damages Against Violating Licensee.......9-28§ 9:5.9 Compelled Royalty for a Winning Patentee

After Denial of a Permanent Injunction ...................9-28§ 9:6 Proving the Amount of Damages ......................................9-30

§ 9:6.1 Foundational Fact Evidence of Damages...................9-30[A] Sales and Marketing Fact Witnesses ................9-31[B] Adverse Witnesses Employed by the

Infringer ...........................................................9-31[C] Licensing Witnesses .........................................9-31[D] Capacity Witnesses ..........................................9-32

§ 9:6.2 Use of a Damages Expert..........................................9-32[A] Selection of a Damages Expert.........................9-32[B] Expert’s Team...................................................9-33[C] Protection of Attorney Work Product...............9-34[D] Procedural Issues re Damages Evidence...........9-34

§ 9:6.3 Damages for Post-Verdict Sales .................................9-35§ 9:7 Effect of Bifurcation on Trial of Damages .........................9-35§ 9:8 Demonstrative Exhibits .....................................................9-36§ 9:9 Prejudgment Interest .........................................................9-37§ 9:10 Increased Damages............................................................9-38

§ 9:10.1 Willfulness and Who Determines It .........................9-38§ 9:10.2 Willfulness = Objective Recklessness .......................9-39

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§ 9:10.3 Judicial Discretion on Enhancement ....................... 9-41§ 9:10.4 Privilege and Disqualification .................................. 9-42§ 9:10.5 Requirements for Opinion Adequacy ....................... 9-44

[A] Competence and Comprehensiveness............. 9-44[B] Timeliness....................................................... 9-46

§ 9:11 Award of Attorney Fees .................................................... 9-46§ 9:12 False Marking ................................................................... 9-48

§ 9:12.1 Under 1952 Act ....................................................... 9-48§ 9:12.2 Under 2011 Act ....................................................... 9-50

Chapter 10 Injunctions

John F. Sweeney

§ 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 ............. 10-20§ 10:4.5 Public Interest ........................................................ 10-21§ 10:4.6 Posting of Bond...................................................... 10-23§ 10:4.7 Standard of Review ................................................ 10-23

§ 10:5 Persons Bound by Injunction ......................................... 10-26§ 10:6 Permanent Injunctions................................................... 10-27

§ 10:6.1 Public Interest Implications ................................... 10-31§ 10:6.2 Scope of Injunctive Relief....................................... 10-32

§ 10:7 Enforcement of Injunctions............................................ 10-34§ 10:8 Unclean Hands............................................................... 10-36§ 10:9 Laches, Acquiescence, and Delay ................................... 10-37§ 10:10 Relation of Injunctive Relief to Jury Trial....................... 10-37

§ 10:10.1 Injunctive Relief and Assertion ofInvalidity and Noninfringement ............................ 10-38

§ 10:10.2 Injunctive Relief and Damages .............................. 10-42§ 10:11 Tactical Considerations Concerning Applications

for Preliminary Injunctive Relief .................................... 10-43§ 10:11.1 Application for a TRO Versus a Motion

for Preliminary Injunction ..................................... 10-43§ 10:11.2 Discovery in the Context of a Motion

for a Preliminary Injunction .................................. 10-44§ 10:12 Conclusion ..................................................................... 10-45


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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 ............................................................. 11-7§ 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 ............................................................... 11-13§ 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§ 11:7.3 Protective Order Regarding Confidential

Documents...............................................................11-20§ 11:7.4 Permit and Regulate Use of Electronic

Presentation 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 Internal Documentation ......................... 11-25

§ 11:10.1 Opening Statement and Closing Argument........... 11-25§ 11:10.2 Direct Testimony Outlines .................................... 11-25§ 11:10.3 Cross-Examination Testimony Outlines ................ 11-26

§ 11:11 Logistical Arrangements for the Trial Team ................... 11-26§ 11:11.1 Setting Up a “War Room” for Trial ........................ 11-26§ 11:11.2 Staffing and Accommodations ............................... 11-27

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§ 11:11.3 Assigning Clear Lines of Responsibility ................. 11-27§ 11:11.4 Trial Subpoenas and Witness Fees ......................... 11-27§ 11:11.5 Role of Local Counsel ............................................ 11-27§ 11:11.6 Scheduling Witnesses............................................. 11-28§ 11:11.7 Arranging Local Copying and Local

Litigation Graphics Support .....................................11-28§ 11:11.8 Arranging for Visible Presence of Corporate

Representatives at Trial ............................................11-28

Chapter 12 Trial

Michael V. Ciresi, David W. Beehler, andNicole E. Kopinski

§ 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 ..................................................................... 12-7§ 12:2.1 Juror Profile, Information, and Voir Dire................. 12-7§ 12:2.2 Use of Jury Consultants .......................................... 12-8§ 12:2.3 Jury Instructions and Interrogatories ..................... 12-10§ 12:2.4 Verdict Forms......................................................... 12-13

§ 12:3 Trial Team ...................................................................... 12-15§ 12:3.1 Organize a Core Group That Knows the

Case Intimately...................................................... 12-15§ 12:3.2 Project a Professional Attitude ............................... 12-15

§ 12:4 Use of Electronic Courtroom Technology....................... 12-16§ 12:4.1 Document Control and Display ............................ 12-16§ 12:4.2 Computer Graphics ............................................... 12-17

[A] Persuasive Value ............................................ 12-17[B] Animations ................................................... 12-18[C] Cost............................................................... 12-19[D] Admissibility ................................................. 12-20

§ 12:4.3 Other Visual Aids .................................................. 12-23§ 12:4.4 Real-Time Court Reporting.................................... 12-24

§ 12:5 Opening Statements ....................................................... 12-24§ 12:5.1 For the Patent Owner............................................. 12-25

[A] The Story of the Inventors............................ 12-25[B] Disbelief ........................................................ 12-25[C] Problem Solved/Tutorial ................................ 12-25[D] How to Read a Patent ................................... 12-25[E] Presumption of Validity................................. 12-26[F] Prior Art ........................................................ 12-26[G] Experts .......................................................... 12-26

§ 12:5.2 For the Accused Infringer....................................... 12-26


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§ 12:6 Testimony....................................................................... 12-27§ 12:6.1 Presentation of Live Witnesses on Direct .............. 12-27

[A] Generally....................................................... 12-27[B] Witness Order ............................................... 12-28[C] Credibility and Appearance Factors .............. 12-28[D] Use of Adverse Witnesses for Your Own

Case .............................................................. 12-29§ 12:6.2 Presentation of Testimony by Deposition,

Including Use of Video Presentation...................... 12-33§ 12:6.3 Qualifications and Voir Dire of Expert

Witnesses ............................................................... 12-33[A] Role of Experts After Markman..................... 12-34[B] Selecting Areas of Expertise .......................... 12-37[B][1] Technical Experts ..................................... 12-37[B][2] Technical and Fact Experts ...................... 12-38[B][3] Legal Experts............................................ 12-38[B][4] Damages Experts ..................................... 12-39[C] Conclusion.................................................... 12-40

§ 12:6.4 Cross-Examination and Impeachment .................. 12-40§ 12:6.5 Making Objections................................................. 12-42§ 12:6.6 Offers of Proof........................................................ 12-44

§ 12:7 Admission of Other Evidence and Use ofDemonstrative Aids........................................................ 12-44

§ 12:7.1 Factual Exhibits...................................................... 12-44§ 12:7.2 Summaries ............................................................. 12-46§ 12:7.3 Demonstrative Exhibits ......................................... 12-47§ 12:7.4 Written Discovery Responses and Pretrial

Statement Facts...................................................... 12-47§ 12:8 Proof of Special Issues .................................................... 12-47

§ 12:8.1 Issues to Be Decided by the Court......................... 12-48[A] Equitable Estoppel and Inequitable Conduct...12-48[B] Injunctive Relief ............................................ 12-48[C] Enhanced Damages ....................................... 12-48[D] Prejudgment and Post-Judgment Interest...... 12-49[E] Attorneys’ Fees .............................................. 12-50[F] Section 112 Definiteness and Enablement......12-50

§ 12:8.2 Issues to Be Decided by the Jury............................ 12-51[A] Infringement ................................................. 12-51[B] Novelty.......................................................... 12-51[C] Nonobviousness ............................................ 12-51[D] Section 112 Best Mode ................................. 12-51[E] Section 112 Written Description................... 12-52[F] Damages ....................................................... 12-52[G] Willfulness .................................................... 12-52

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§ 12:8.3 Infringement, Doctrine of Equivalents, andBars to the Doctrine .............................................. 12-53[A] Literal Infringement ...................................... 12-53[B] Infringement Under the Doctrine of

Equivalents.................................................... 12-53[C] Prosecution History Estoppel ........................ 12-55

§ 12:9 Motions During Trial ..................................................... 12-57§ 12:9.1 Evidence Motions and Bench Briefs....................... 12-57§ 12:9.2 Motions in Bench Trials ........................................ 12-58§ 12:9.3 Motions Under Rule 615 to Sequester

Witnesses ............................................................... 12-59§ 12:9.4 Motions for Judgment As a Matter of Law

(JMOL) ................................................................... 12-60§ 12:9.5 Motions for New Trial ........................................... 12-63

§ 12:10 Closing Arguments......................................................... 12-66§ 12:11 Post-Trial Motions .......................................................... 12-67

§ 12:11.1 Rule 52 Amendments to the Findings ................... 12-67§ 12:11.2 Rule 60 Proceedings for Relief from Judgment....... 12-68§ 12:11.3 Stays of Execution.................................................. 12-72§ 12:11.4 Rule 74 Appeals from Magistrate Judge ................ 12-74§ 12:11.5 Standards for Overturning the Jury ’s Verdict......... 12-74

§ 12:12 Judgment ........................................................................ 12-74

Chapter 13 Appeal

Allen M. Sokal and James R. Barney

§ 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...............13-4

§ 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?..................................................... 13-9[A] Final Decisions ............................................... 13-9[B] Complete Resolution of a Severable

Part of the Case............................................... 13-9[C] Interlocutory Appeals .................................... 13-10[D] Collateral Order Doctrine ............................. 13-11[E] Petitions for Extraordinary Writs .................. 13-12

§ 13:4 Law Applicable in Federal Circuit Appeals ..................... 13-13§ 13:4.1 Applicable Patent Precedents ................................. 13-13§ 13:4.2 Nonpatent Substantive Law................................... 13-15§ 13:4.3 Applicable Procedural Law ..................................... 13-15


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§ 13:5 Limitations on Appellate Review.................................... 13-16§ 13:5.1 Scope of Review ..................................................... 13-16§ 13:5.2 Limitation to Evidence, Argument, and

Objections Advanced in the Trial CourtRecord................................................................... 13-20

§ 13:6 Pre-Appeal Actions in the Trial Court............................ 13-22§ 13:6.1 Supplementation of the Record and

Preservation of Issues............................................. 13-22§ 13:6.2 Obtaining an Appealable Order ............................. 13-23§ 13:6.3 Deciding Whether to Appeal at All........................ 13-24§ 13:6.4 Motion to Stay Injunction or Execution of

Judgment................................................................ 13-26§ 13:6.5 Filing the Notice of Appeal .................................... 13-27§ 13:6.6 Consideration of Cross-Appeal .............................. 13-27

§ 13:7 Procedural Matters in the Federal Circuit ...................... 13-29§ 13:7.1 Sequence, Content, and Timing of

Submissions ........................................................... 13-29§ 13:7.2 Issue Selection ....................................................... 13-31§ 13:7.3 Practical Considerations in Briefing....................... 13-33

[A] Statement of the Issues................................. 13-33[B] Statement of the Case................................... 13-34[C] Statement of the Facts .................................. 13-34[D] Argument ...................................................... 13-35[E] Summary of Argument ................................. 13-36[F] Conclusion.................................................... 13-37[G] Appellee’s Brief.............................................. 13-37[H] Reply Brief ..................................................... 13-38

§ 13:8 Oral Argument ............................................................... 13-39§ 13:9 Decision ......................................................................... 13-40§ 13:10 Post-Decision Proceedings .............................................. 13-41§ 13:11 Conclusion ..................................................................... 13-42

Chapter 14 Patent Litigation Other Than District CourtInfringement Actions

Jeffrey A. Finn

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

Compensation for Unauthorized Use of a Patent ...............14-3§ 14:2.1 Exclusive Jurisdiction in U.S. Court of

Federal Claims............................................................14-3§ 14:2.2 Position of Suppliers to the Government................. 14-6

[A] “By or for the United States” .......................... 14-8[B] “Authorization or Consent” .......................... 14-10

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§ 14:2.3 Substantive Patent Principles and ControllingPrecedent ..................................................................14-12

§ 14:2.4 Unavailability of Injunctive Relief and Jury........... 14-13§ 14:2.5 Procedure ............................................................... 14-14

[A] Rules of Court of Federal Claims Generally....14-14[B] Nationwide Jurisdiction ................................ 14-15[C] Commencement of Action in Court of

Federal Claims ................................................14-15[D] Other Provisions of the RCFC That

Deviate from the Federal Rules .......................14-16[E] Statute of Limitations ................................... 14-16

§ 14:2.6 Determination of Amount Awarded ...................... 14-17[A] Reasonable Royalty........................................ 14-18[A][1] Royalty Compensation Base

Calculation ................................................14-18[A][2] Reasonable Royalty Rate

Determination ...........................................14-19[B] Lost Profits .................................................... 14-20[C] Percentage of Governmental Cost Savings......14-21[D] Delay Damages ............................................. 14-22

§ 14:2.7 Defenses Special to Court of Claims Cases ........... 14-22[A] March-In Rights............................................ 14-23[B] Exhaustion of Administrative Remedies ....... 14-23

§ 14:2.8 Appeal .................................................................... 14-24§ 14:3 Federal Civil Actions Arising Under the Patent

Laws Other Than for Infringement ..................................14-24§ 14:3.1 Under 35 U.S.C. § 145 to Obtain a Patent ........... 14-24§ 14:3.2 Under 35 U.S.C. § 146 in Case of a Patent

Interference ..............................................................14-26§ 14:3.3 Under 35 U.S.C. § 291 Involving Interfering

Patents......................................................................14-28§ 14:3.4 Under 35 U.S.C. § 256 to Correct Joinder

of Inventor................................................................14-30[A] Substantive Requirements............................. 14-31[B] Burden of Proof ............................................. 14-32[C] Diligence ....................................................... 14-33

§ 14:4 U.S. International Trade Commission ........................... 14-33§ 14:4.1 Introduction ........................................................... 14-33§ 14:4.2 Complaint.............................................................. 14-37§ 14:4.3 Response ................................................................ 14-39§ 14:4.4 Protective Order ..................................................... 14-41§ 14:4.5 Discovery in the ITC ............................................. 14-42§ 14:4.6 ITC Motion Practice.............................................. 14-44


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§ 14:4.7 Domestic Industry ................................................. 14-46[A] Domestic Industry Requirement Is

Jurisdictional ...................................................14-47[B] Domestic Industry Requirement Has

Two Prongs That Must Be Satisfied ................14-48[B][1] Economic Prong....................................... 14-48[B][2] Technical Prong ....................................... 14-49

§ 14:4.8 Hearing .................................................................. 14-50§ 14:4.9 Conclusion............................................................. 14-51

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

Charles Barquist and Matthew Kreeger

§ 15:1 Introduction ..................................................................... 15-2§ 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] Decision .......................................................... 15-7[C] Appeal ............................................................. 15-9

§ 15:3.3 PTAB Trial Practice Rules ........................................ 15-9§ 15:3.4 Differences from Prior Law .................................... 15-10§ 15:3.5 Effective Date ......................................................... 15-12§ 15:3.6 Estoppel.................................................................. 15-12§ 15:3.7 Litigation Stays Pending Inter Partes Review......... 15-13

§ 15:4 Post-Grant Review.......................................................... 15-13§ 15:4.1 Generally................................................................ 15-13§ 15:4.2 Procedure ............................................................... 15-14

[A] General.......................................................... 15-14[B] Petition.......................................................... 15-14[C] Decision ........................................................ 15-18[D] Appeal ........................................................... 15-20

§ 15:4.3 Estoppel.................................................................. 15-20§ 15:4.4 Litigation Stays Pending Post-Grant Review.......... 15-21§ 15:4.5 PGRs Compared to Opposition Procedure at

the European Patent Office .................................... 15-22[A] Estoppel......................................................... 15-22[B] Basis for Initiating the Proceeding ................ 15-22[C] Procedures ..................................................... 15-23[D] Appeal ........................................................... 15-25

§ 15:4.6 Effective Date ......................................................... 15-25§ 15:4.7 Transitional Business Method Patent

Review Process ....................................................... 15-25

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§ 15:5 Derivation Proceedings................................................... 15-27§ 15:5.1 Generally................................................................ 15-27§ 15:5.2 Procedure ............................................................... 15-28

[A] Petition.......................................................... 15-28[B] Decision ........................................................ 15-30[C] Settlement ..................................................... 15-30[D] Arbitration .................................................... 15-30[E] Public Availability of PTAB Records.............. 15-31[F] Appeal ........................................................... 15-31[G] Derivation for Nonapplicants ....................... 15-32

§ 15:5.3 Contrast with Interferences ................................... 15-32§ 15:5.4 Effective Date ......................................................... 15-33

§ 15:6 Supplemental Examination ............................................ 15-34§ 15:6.1 Generally................................................................ 15-34§ 15:6.2 Procedure ............................................................... 15-34§ 15:6.3 Relation to Refutation of Inequitable Conduct

and Fraud............................................................... 15-36§ 15:6.4 Effective Date ......................................................... 15-38

§ 15:7 Preissuance Third-Party Submissions............................. 15-38§ 15:7.1 Procedure ............................................................... 15-38§ 15:7.2 Effective date .......................................................... 15-40§ 15:7.3 Estoppel.................................................................. 15-40§ 15:7.4 Timing of Submissions .......................................... 15-41

§ 15:8 Burden of Proof in PTO Proceedings.............................. 15-41§ 15:9 Choosing Whether to Contest Validity in the Courts

or in the PTO................................................................. 15-42§ 15:9.1 Estoppel.................................................................. 15-42§ 15:9.2 Litigation Stay........................................................ 15-42§ 15:9.3 Advantages of Inter Partes and Post-Grant

Review to Concurrent Patent InfringementDefendants............................................................. 15-43

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

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


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