Detailed Table of Contents Mueller on Patent Law Vol. 2: Enforcement

Transcription

1 Detailed Table of Contents Mueller on Patent Law Vol. 2: Enforcement (Last revised 15 January 2017; Incorporates 2017Annual Update) Chapter 13 JURISDICTION AND PROCEDURE U.S. District Courts Subject Matter Jurisdiction over Patent Cases [1] Statutory Basis: 28 U.S.C [2] Arising under Jurisdiction Creation Test Serious Federal Interest Test Personal Jurisdiction Venue Pleading Requirements [1] Elimination of Form Pleading [2] Bill of Lading (Fed. Cir. 2012) [3] Pleading Joint Infringement Evidentiary Privileges [1] Attorney-Client Privilege [2] Patent Agent-Client Privilege U.S. International Trade Commission U.S. Court of Appeals for the Federal Circuit Subject Matter-Specific Appellate Jurisdiction Critiques of the Federal Circuit Standards of Review [1] Appeals from Federal District Courts Jury Trial Bench Trial Detailed Table of Contents for Mueller on Patent Law Volume 2: Enforcement Page 1

2 13.04 U.S. Supreme Court [2] Appeals from the International Trade Commission [3] Appeals from the U.S. Patent and Trademark Office Before Formation of the Federal Circuit After Formation of the Federal Circuit Standing to Sue for Patent Infringement Licensees Declaratory Judgment Plaintiffs Appeals to Federal Circuit from USPTO Patent Declaratory Judgment Actions Pre-MedImmune Reasonable Apprehension Test MedImmune v. Genentech (U.S. 2007) Post-MedImmune Federal Circuit Decisions [1] All the Circumstances Test [2] Decisions Illustrating Lack of Declaratory Judgment Jurisdiction [3] Decisions Illustrating Existence of Declaratory Judgment Jurisdiction [4] Covenants Not to Sue Burden of Proof Chapter 14 ANALYTICAL FRAMEWORK FOR PATENT INFRINGEMENT Statutory Basis: 35 U.S.C Direct Versus Indirect Infringement Direct Infringement under 271(a) [1] Making [2] Using Detailed Table of Contents for Mueller on Patent Law Volume 2: Enforcement Page 2

3 Generally Using a Claimed System [c] Using a Claimed Method [3] Selling [4] Offering to Sell [5] Importing Territoriality Aspects of 271(a) Use of Processes or Methods within the United States Beneficial Use Doctrine Sells within the United States Offer[] to Sell within the United States Temporal Aspects of 271 Pre-Issuance Acts Post-Issuance Acts Distributed (or Joint ) Direct Infringement by Multiple Entities Akamai II (Fed. Cir. 2012) (en banc) Akamai III (U.S. 2014) Akamai IV (Fed. Cir. 2015) (en banc) [1] Directs or Controls Liability [2] Joint Enterprise Liability [3] Subsequent History Pleading Joint (or Divided) Direct Infringement Indirect Infringement under 271(b)-(c): Overview Practicing Less than Complete Claimed Invention Intent Required Historical Background Detailed Table of Contents for Mueller on Patent Law Volume 2: Enforcement Page 3

4 Direct Infringement as Predicate to Indirect Liability Two-Step Analysis for Patent Infringement Chapter 15 PATENT CLAIM INTERPRETATION The Central Role of Patent Claims Judge versus Jury as Interpreter Pre-Markman Markman v. Westview (U.S. 1996) Markman Hearings Evidentiary Hierarchy for Claim Interpretation Intrinsic Evidence Extrinsic Evidence Contextualist versus Literalist Approaches The En Banc Phillips Decision (Fed. Cir. 2005) Canons of Patent Claim Interpretation Perspective: Person Having Ordinary Skill in the Art General Rule: Ordinary and Customary Meaning [1] Decisions Permitting Only Stringent Exceptions to Ordinary Meaning [2] Decisions Rejecting Stringent Exceptions Rule Self-Defined Terms ( Own Lexicographer Rule) [1] Express Redefinition [2] Implicit Redefinition [F] Interpret Claims in View of the Written Description but Do Not Import a Limitation from the Written Description into the Claims Generally Do Not Exclude Preferred Embodiment Claim Differentiation Principle [1] Definition [2] Weight of Presumption Detailed Table of Contents for Mueller on Patent Law Volume 2: Enforcement Page 4

5 [G] [H] [I] Generally Do Not Interpret Claims to Preserve Validity The Indefinite Article A Generally Means One or More Timing: Interpret Claim Term Meaning as of Effective Filing Date Disclaimer or Disavowal In the Specification During Prosecution in the USPTO Interpreting Preamble Language Preamble Not Scope-Limiting Preamble Is Scope-Limiting Federal Circuit Review of Claim Interpretation Decisions Question of Law, Fact, or Mixed De Novo Review under Cybor (Fed. Cir. 1998) (en banc) Criticism of De Novo Standard of Review Federal Circuit Revisits Cybor in Lighting Ballast (2014) Deference for Fact Finding: Teva (U.S. 2015) [F] Federal Circuit s Application of Teva [1] Limited Impact to Date [2] Federal Circuit Must Not Consider Extrinsic Evidence in First Instance [G] Interlocutory Appeals Rejected Chapter 16 COMPARING THE PROPERLY INTERPRETED CLAIMS TO THE ACCUSED DEVICE Literal Infringement Infringement under the Doctrine of Equivalents Historical Background and Policy Underpinnings Tension with the Notice Function of Claims All-Limitations Rule [1] Defining a Limitation Detailed Table of Contents for Mueller on Patent Law Volume 2: Enforcement Page 5

6 [2] Federal Circuit Examples The Fact Question of Equivalence [1] Function/Way/Result Test [c] [d] Generally Adequate Expert Testimony Inadequate Expert Testimony Determination of Function Not Limited to Extrinsic Evidence [2] Insubstantial Differences Test [3] Obviousness as a Test of Equivalency? [4] Known Interchangeability After-Arising Technology Reverse Doctrine of Equivalents Legal Limitations on the Doctrine of Equivalents Overview Prosecution History Estoppel [1] Definition [2] Scope of Estoppel [3] Presumption of Estoppel under Warner-Jenkinson (U.S. 1997) [4] The Festo Decisions Federal Circuit s Complete Bar Rule of Festo I (2000) Supreme Court s Presumptive Bar Rule of Festo II (2002) [c] Federal Circuit s Remand Decision in Festo III (2003) [5] Applying the Festo Rebuttal Criteria Mere Tangentialness Unforeseeability Detailed Table of Contents for Mueller on Patent Law Volume 2: Enforcement Page 6

7 [c] Some Other Reason [6] What Qualifies as a Narrowing Amendment Prior Art [1] Generally [2] Not Applicable to Literal Infringement [3] Hypothetical Claim Analysis [c] Generally Illustrative Cases Scope of Hypothetical Claim Dedication to the Public [1] Disclosing without Claiming [2] Level of Specificity to Work a Dedication Vitiation of Claim Limitations [1] Generally [2] Decisions Finding Vitiation [3] Decisions Finding No Vitiation [4] Question of Law or Fact? Infringement of Means-Plus-Function Claim Elements Literal Infringement Infringement under the Judicially-Created Doctrine of Equivalents Chapter 17 INDIRECT INFRINGEMENT Inducing Infringement under 271(b) Acts [1] Sale of Product Needed to Infringe [2] Provide Instructions, Directions, or Guidance [3] Corporate Officer Liability Detailed Table of Contents for Mueller on Patent Law Volume 2: Enforcement Page 7

8 Relationship between Inducing and Direct Infringement [1] Generally [2] Proving Direct Infringement Intent Standard for Inducing Infringement [1] Pre-2011 Federal Circuit Decisions Knowledge of the Patent Requirement; Deliberate Disregard Standard Good Faith Belief of Invalidity [i] Commil I (Fed. Cir. 2013) [ii] Commil II (Fed. Cir. 2013) (en banc) [2] Supreme Court Decisions Willful Blindness Standard: Global-Tech (U.S. 2011) Good Faith Belief of Invalidity Rejected as Defense: Commil III (U.S. 2015) [3] Federal Circuit Application of Global-Tech and Commil III Rejection of Inducing Liability for Divided Infringement [1] [2] Akamai II (Fed. Cir. 2012) (en banc) [3] Akamai III (U.S. 2014) Pleading Inducing Infringement Contributory Infringement under 271(c) Acts [1] Supply Component [2] Supply Material or Apparatus [3] Repair versus Reconstruction Non-Staple Article or Commodity of Commerce Intent Standard for Contributory Infringement Pleading Contributory Infringement Relationship to Patent Misuse Detailed Table of Contents for Mueller on Patent Law Volume 2: Enforcement Page 8

9 Chapter 18 SPECIALIZED CATEGORIES OF INFRINGEMENT Drug Marketing Application Filings under 35 U.S.C. 271(e) Technical Infringement under 271(e)(2) [1] Paragraph IV Certifications [2] Automatic Stay Safe Harbor under 271(e)(1) [1] Merck KgaA v. Integra Lifesciences (U.S. 2005) [2] Federal Circuit Decisions Post-Merck Settlements of Hatch-Waxman Litigation Component Exports under 35 U.S.C. 271(f) Deepsouth Packing v. Laitram (U.S. 1972) Supplying or Causing to Be Supplied Components [1] Microsoft v. AT&T (U.S. 2007) [2] Federal Circuit Decisions Post-AT&T Actively Induce the Combination under 271(f)(1) [1] Promega v. Life Techs. (Fed. Cir. 2014) [2] Life Techs. v. Promega (cert. granted, U.S. 2016) Importation under 35 U.S.C. 271(g) Process Patent Amendments Act of 1988 Product Made by a Patented Process Materially Changed Product Chapter 19 DEFENSES TO PATENT INFRINGEMENT Noninfringement Detailed Table of Contents for Mueller on Patent Law Volume 2: Enforcement Page 9

10 19.03 Absence of Liability for Infringement License [1] Express License [2] Implied License Prior User Rights [1] Pre-America Invents Act of 2011 [2] Post-America Invents Act of 2011 Experimental/Research Use Expiration of Damages Limitation Period of 35 U.S.C. 286 Laches and Equitable Estoppel in Initiating Patent Infringement Litigation [1] Aukerman (Fed. Cir. 1992) (en banc) Petrella (U.S. 2014) [c] SCA Hygiene I (Fed. Cir. 2014) [d] [e] SCA Hygiene II (Fed. Cir. 2015) (en banc) Supreme Court Review of SCA Hygiene [2] Laches Elements [i] [ii] Unreasonable Delay by Patentee Material Prejudice to Accused Infringer Should Have Known [3] Equitable Estoppel [F] [G] [H] State Sovereign Immunity Temporary Presence Exemption Patent Exhaustion [1] Generally [2] Unconditional Sale of Patented Product [3] Conditional Sale of Patented Product Detailed Table of Contents for Mueller on Patent Law Volume 2: Enforcement Page 10

11 Federal Circuit Position [1] Mallinckrodt (Fed. Cir. 1992) [2] Lexmark Int l (Fed. Cir. 2016) (en banc) Supreme Court Review [4] Application to Method Claims: Quanta (U.S. 2008) [5] Self-Replicating Technology [I] Lack of Standing to Sue Unenforceability Inequitable Conduct [1] Acts or Omissions [2] Materiality Materiality Standards Pre-Therasense (Fed. Cir. 2011) Materiality Standard Post-Therasense (Fed. Cir. 2011) [i] But For Test [i.1] [i.2] [i.3] [i.4] No Allowance if USPTO Had Been Aware of Undisclosed Information Nondisclosure of Inconsistent Statements or Positions Nondisclosure of Prior Art Nondisclosure of Corroborating Evidence [ii] [iii] Affirmative Egregious Misconduct Exception Cumulative Information [3] Intent to Deceive [c] [d] [e] Generally Inferring Intent Clear and Convincing Evidence Lacking Clear and Convincing Evidence Present Gross Negligence Insufficient Detailed Table of Contents for Mueller on Patent Law Volume 2: Enforcement Page 11

12 [f] [g] [h] Knowledge of Materiality Alone Insufficient Intentionally Selective or Partial Withholding Unreasonable Explanation for Withholding [4] Independence of Materiality and Intent Inquiries [5] Overall Equitable Balancing [6] Burden of Proof and Standard of Review [7] Pleading Inequitable Conduct with Particularity [8] Curing Inequitable Conduct Federal Circuit Decisions [9] Impact on Related Patents Patent Misuse [1] Generally [2] Historical Development Tying Post-Patent Expiration Royalties [3] Not Synonymous with Antitrust Liability [4] Statutory Limitations on Patent Misuse: 271(d) Prosecution History Laches Invalidity Burden of Proof Collateral Estoppel Effect of Invalidity Adjudication Statutory Grounds for Invalidity Limits on Accused Infringer's Standing to Assert Invalidity [1] Licensee Repudiation [2] Assignor Estoppel Antitrust Counterclaims in Patent Cases Generally Market Power Detailed Table of Contents for Mueller on Patent Law Volume 2: Enforcement Page 12

13 Anticompetitive Conduct [1] Walker Process Fraud [2] Sham Patent Litigation [3] Refusals to Deal Chapter 20 REMEDIES FOR PATENT INFRINGEMENT Injunctions Statutory Basis: 35 U.S.C. 283 Permanent Injunctions [1] Generally [2] Federal Circuit Decisions Before ebay v. MercExchange (U.S. 2006) [3] The ebay v. MercExchange (U.S. 2006) Standard [4] Appellate Standard of Review [5] Factor (1): Irreparable Harm Generally Causal Nexus Requirement [i] Apple III (Fed. Cir. 2013) [ii] Apple IV (Fed. Cir. 2015) [c] Standard Essential Patents/FRAND Licensing [6] Factor (2): Inadequate Remedies at Law [7] Factor (3): Balance of Hardships [8] Factor (4): Public Interest [9] Contempt Proceedings for Violation of Permanent Injunction Preliminary Injunctions [1] Generally [2] Preliminary Injunction Factors [3] Appellate Standard of Review Detailed Table of Contents for Mueller on Patent Law Volume 2: Enforcement Page 13

14 [4] Choice of Law [5] Procedural Considerations [6] Factor (1): Patentee Likely to Succeed on the Merits [7] Factor (2): Patentee Likely to Suffer Irreparable Harm [c] Generally Causal Nexus Requirement Disproving Irreparable Harm [8] Factor (3): Balance of the Equities Tips in Patentee's Favor [9] Factor (4): Injunction Is in the Public Interest Ongoing Royalties for Future Infringements Generally Illustrative Decisions Criticism of Ongoing Royalty Awards Damages for Past Infringements Statutory Basis: 35 U.S.C. 284 Compensatory Damages [1] Lost Profits The Panduit Analysis [i] [ii] [iii] [iv] Demand for the Patented Product Absence of Acceptable Noninfringing Substitutes Manufacturing and Marketing Capability Amount of Profit [c] Federal Circuit Expansion of Lost Profits Justification Price Erosion Damages [2] Entire Market Value Rule and Convoyed Sales Convoyed/Accessory Sales Entire Market Value Rule [3] Established Royalty Detailed Table of Contents for Mueller on Patent Law Volume 2: Enforcement Page 14

15 [4] Reasonable Royalty [c] [d] [e] Hypothetical Negotiation Date for Hypothetical Negotiation Analytical Approach Rejected 25% Rule of Thumb Rejected Nash Bargaining Solution Enhanced Damages and Willful Infringement Statutory Basis: 35 U.S.C. 284 Enhancement Based on Willfulness [1] Generally [2] Read Factors for Enhancement Willfulness Pre-Seagate (2007) [1] Duty of Due Care [2] Adverse Inference The Seagate Standard: Objective Recklessness [1] Objective Recklessness [2] Two-Part Standard for Willfulness Objective Recklessness Prong: High Likelihood of Infringement Subjective Prong: Infringer Knew or Should Have Known of Risk [3] Scope of Waiver Judge vs. Jury and Standard of Review for Willfulness [1] Jury Question [2] Appellate Standard of Review Bard Peripheral (Fed. Cir. 2012) Halo (U.S. 2016) [F] America Invents Act of 2011 Codification [G] Supreme Court Grants Review of Willful Infringement (Halo 2016) Detailed Table of Contents for Mueller on Patent Law Volume 2: Enforcement Page 15

16 [1] Halo v. Pulse (Fed. Cir. 2014) [2] Stryker v. Zimmer (Fed. Cir. 2015) [3] Halo v. Pulse (U.S. 2016) [4] Post-Halo Federal Circuit Decisions on Willfulness WBIP v. Kohler (Fed. Cir. 2016) Halo v. Pulse (Fed. Cir. 2016) [c] Stryker v. Zimmer (Fed. Cir. 2016) Attorney Fees in Exceptional Cases Statutory Basis: 35 U.S.C. 285 Discretionary with District Court Categories of Exceptional Cases [1] Attorney Fees Imposed Against Patentees: Octane Fitness Octane Fitness I (Fed. Cir. 2012) Octane Fitness II (U.S. 2014) [2] Attorney Fees Imposed Against Infringers [3] Federal Circuit Attorney Fee Decisions After Supreme Court s Decisions in Octane Fitness II/Highmark III Burden of Proof Standard of Review [1] Highmark I (Fed. Cir. 2012) [2] Highmark II (Fed. Cir. 2012) (en banc) [3] Highmark III (U.S. 2014) [F] [G] Prevailing Party Reasonable Attorney Fees Rule 11 Sanctions Prejudgment Interest Costs Patent Marking Statutory Basis: 35 U.S.C. 287 Detailed Table of Contents for Mueller on Patent Law Volume 2: Enforcement Page 16

17 Notice Marking Patented Articles versus Methods Patent Pending Designations False Marking [1] Statutory Basis: 35 U.S.C. 292 [2] America Invents Act of 2011 Elimination of Qui Tam Actions Provisional Compensation Remedy Statutory Basis: 35 U.S.C. 154(d) Substantially Identical Inventions Actual Notice Statute of Limitations Decisions Time Limitation on Damages Recovery Statutory Basis: 35 U.S.C. 286 Six Year Pre-Filing Period Claims against the U.S. Government Chapter 21 CORRECTING ISSUED PATENTS IN THE USPTO (REISSUE AND REEXAMINATION) Certificates of Correction USPTO at Fault Applicant at Fault No Change in Claim Scope Permitted Reissue Effect of Certificate Overview Historical Development Statutory Basis: 35 U.S.C. 251 Detailed Table of Contents for Mueller on Patent Law Volume 2: Enforcement Page 17

18 [1] Inoperative or Invalid [2] Timing [3] New Matter Prohibition [4] Invention Disclosed in the Original Patent Broadening Reissues [1] Two-Year Time Bar [2] What Constitutes Broadening [3] Claim-by-Claim Analysis Required [F] [G] Reissue Error The Recapture Rule Effect of Reissue: Intervening Rights [1] Generally [2] Statutory Basis [3] Absolute Intervening Rights [4] Equitable Intervening Rights [H] Strategic Considerations for Reissue Disclaimer under 35 U.S.C. 253 Disclaimer of Invalid Claims Terminal Disclaimers Reexamination [1] Generally [2] Unauthorized Filing of Terminal Disclaimers Overview Ex Parte Reexamination [1] Who Can Request [2] Statutory Grounds for Reexamination [3] Substantial New Question of Patentability [4] Legislative Changes in Response to Portola Detailed Table of Contents for Mueller on Patent Law Volume 2: Enforcement Page 18

19 Inter Partes Reexamination (Pre-America Invents Act of 2011) Intervening Rights in Reexamination Reexamination Compared to Reissue Chapter 22 CHALLENGING PATENTS IN THE USPTO (AIA-IMPLEMENTED PROCEDURES) Inter Partes Review Scope Standard to Grant Review [1] Reasonable Likelihood of Prevailing [2] Claim Interpretation for Institution Decision [3] Non-Appealability of Institution Decision Statutory Basis In re Cuozzo (Fed. Cir. 2015) [c] Cuozzo v. Lee (U.S. 2016) [d] Post-Cuozzo Federal Circuit on Non-Appealability of PTAB Institution Determinations [1] Are 315 Time Bar Determinations Appealable to Federal Circuit? [2] Assignor Estoppel Not a Bar to Seeking IPR Estoppel Effect Timing Issues [1] Time Bars to Filing an IPR in the USPTO [2] Stays of Parallel District Court Litigation Automatic Stay [F] Discretionary Stay Broadest Reasonable Construction Rule for IPRs Detailed Table of Contents for Mueller on Patent Law Volume 2: Enforcement Page 19

20 [1] Propriety of BRC Generally In re Cuozzo (Fed. Cir. 2015) [c] Cuozzo v. Lee (U.S. 2016) [2] Limits on BRC [G] Motions to Amend Claims [1] Legal Framework [2] Prior Art Not Relied on to Institute [3] Prior Art in Original Prosecution [4] Burden of Proof for Substitute Claims: In re Aqua Products (Fed. Cir. 2016, granting rehearing en banc) [5] Federal Circuit Standard of Review [H] Burdens of Proof [1] Generally [2] Institution Decision Does Not Shift Burdens [I] Constitutionality Post-Grant Review [F] Effective Date Nine-Month Window Scope Standard to Grant Review Automatic Stay and Estoppel Effect Transitional Program for Covered Business Methods USPTO First TPCBM Final Decision Discretionary Stay Chapter 23 DESIGN PATENTS Detailed Table of Contents for Mueller on Patent Law Volume 2: Enforcement Page 20

21 Requirements for Design Patentability Primarily Ornamental Novelty Nonobviousness [1] Designer of Ordinary Skill Perspective [2] Two-Step Analysis for Combining Design Prior Art [3] Secondary Considerations Enforcement of Design Patents Ordinary Observer Test of Gorham v. White (U.S. 1871) Discarded Point of Novelty Component Modern Standard: Egyptian Goddess (Fed. Cir. 2008) (en banc) Illustrative Decisions after Egyptian Goddess Doctrine of Equivalents and Prosecution History Estoppel Remedies for Infringement of Design Patents Statutory Basis: 35 U.S.C. 289 Apportionment of Infringer s Profits for Multicomponent Products: Samsung v. Apple (U.S. 2016) Requirement to Elect 284 or 289 No Enhancement for Willful Infringement under 289 Chapter 24 PLANT PATENTS Historical Development Plant Patent Act of Amendments Plant Variety Protection Act of Requirements for Plant Patent Protection Governing Statutes Detailed Table of Contents for Mueller on Patent Law Volume 2: Enforcement Page 21

22 [F] Asexual Reproduction Variety Distinct and New Cultivated Nonobvious Enforcement of Plant Patents Utility Patent Protection for Plants Chapter 25 INTERNATIONAL PATENTING ISSUES Territorial Scope of Patents Obtaining Foreign Patent Protection Prior to the Paris Convention The Paris Convention National Treatment Right of Priority U.S. Implementation of the Paris Right of Priority: 35 U.S.C. 119 The Hilmer Rule (Pre-America Invents Act of 2011) [F] Limitations of the Paris Convention The Patent Cooperation Treaty International Application Processing National Phase The World Trade Organization's Agreement on Trade-Related Aspects of Intellectual Property Rights (TRIPS) Dispute Settlement Procedures Substantive Minimum Levels of Protection Limitations on Compulsory Licensing Detailed Table of Contents for Mueller on Patent Law Volume 2: Enforcement Page 22

23 25.05 Patent Harmonization Issues Procedural Harmonization Substantive Harmonization [1] First-to-File versus First-to-Invent [2] Prior User Rights [3] Absolute versus Qualified Novelty: Grace Period Industrial Applicability Requirement of Foreign Patent Systems Definition of Industrial Applicability Morality/Public Policy Component Gray Market Patented Goods Domestic Exhaustion Regional (European Community-Wide) Exhaustion International Exhaustion Enforcement of Foreign Patents in U.S. Courts Patent Protection in Europe Routes to Obtain Patent Protection Routes to Enforce Patents [1] Unitary Patent System [2] Unified Patent Court Glossary Table of Cases Table of Authorities Table of Statutes Index Detailed Table of Contents for Mueller on Patent Law Volume 2: Enforcement Page 23