Detailed Table of Contents

Transcription

1 Detailed Table of Contents Preface... vii Preface to the First Edition... ix Summary Table of Contents... xiii Glossary of Abbreviations... xxxiii I Patentability 1 Patents The Patent Grant... 4 (a) A Property Right of Exclusion... 4 (b) Claims and the Concept of Domination Constitutional Source and Purpose Statutory Framework (a) Combinations of Old Elements (b) Value of the Invention (c) Public Domain (d) First to Invent Versus First to File (e) Equivalents and Claim Scope Associated Legal Concepts (a) Copyright (b) Antitrust (c) Federal Preemption of State Action (d) Foreign Patents and Patent Law (i) Comity Presumption of Validity (a) General (b) Specific Applications xv

2 xvi Patents and the Federal Circuit (i) Holdings of Validity (ii) Prior Adjudications (iii) Particular Issues (iv) Particular Proceedings (c) PTO Proceedings (i) Ex Parte Prosecution (ii) Prima Facie Unpatentability (iii) Interference Proceedings (iv) Reexamination and Reissue Utility and Eligibility Introduction Patentable Subject Matter (a) Products (i) General (1) Printed Matter (2) Product-by-Process (ii) Naturally Occurring Products (iii) Living Organisms (b) Processes (i) General (ii) Algorithms and Software (1) Computer Programs and Programmed Machines (2) Electronic Signals (iii) Business Methods; The Machine-or- Transformation Test (iv) Machine Functions (v) New Uses (c) Design Patents (i) Ornamentality Versus Functionality (ii) Infringement (1) The Gorham Ordinary Observer Test (2) The Rise and Fall of the Point of Novelty Test (iii) Novelty and Loss of Right (iv) Obviousness (v) Other Issues (d) Plant Patents (e) Semiconductor Chip Protection (f) Statutory Invention Registration (g) Statutory Exclusions Utility (a) General (b) Operability (c) Chemical Compounds and Human Utility

3 Detailed Table of Contents xvii 3 Novelty and Loss of Right Introduction Anticipation (a) The General Test (b) Inherency (c) Enablement (d) Combining References (i) Incorporation by Reference (e) Relation to 35 U.S.C. 103(a) (f) Prima Facie Anticipation (g) Review of Anticipation Findings Originality Derivation Prior Art (a) Patenting; 35 U.S.C. 102(e) (b) Publication (c) Use or Sale (i) Prior Art and the Critical Date (ii) Public Use in General (iii) Secret Use (iv) On Sale (1) Ready for Patenting the Pfaff Rule (2) Nonenabling Sales (v) Experimental Use or Sale (d) Prior Invention or Knowledge (i) Prior Knowledge (ii) Prior Invention (iii) Corroboration of Prior Invention or Use (e) Admissions as Prior Art Statutory Bars Nonobviousness Introduction Standard of Review The Factual Obviousness Inquiry (a) Ascertain the Level of Ordinary Skill in the Art at the Time of the Invention (i) Who Would Have Been the Person of Ordinary Skill? (ii) What Would Have Constituted Ordinary Skill? (iii) What Knowledge Would Have Been Possessed by the Person of Ordinary Skill? (b) Determine the Scope and Content of the Prior Art (i) Analogous Art (ii) Teaching and Teaching Away (iii) Teaching, Suggestion, and Motivation to Combine

4 xviii Patents and the Federal Circuit (c) Define the Differences Between the Prior Art and the Claimed Invention (i) Gist of the Invention (ii) Claimed Invention (d) Consider the Objective Evidence of Nonobviousness (i) The Required Nexus (ii) Commercial Success (iii) Copying (iv) Prior Failure (v) Licenses (vi) Long-Standing Problem or Need (vii) Unexpected Results (viii) Skepticism (ix) Independent Development (x) Prior Litigation (xi) Appropriate Weight to Give the Objective Indicia Resolution of the Legal Question of Obviousness (a) Combining References (i) KSR v. Teleflex (ii) Federal Circuit Cases Just Prior to KSR (iii) Applications of KSR (iv) Pre-KSR Statements That May Retain Vitality (b) Combination Patents in General (c) Obvious to Try; Reasonable Expectation of Success (d) Alternative Statements About Combining References (e) Prima Facie Obviousness (f) Miscellaneous Statements Historical Statements on Obviousness Specification and Claims Introduction Enablement (a) Standard of Review (b) Claimed Invention (i) Scope of Enablement (c) Person of Ordinary Skill (d) No Undue Experimentation (e) Timing of the Enablement Inquiry (f) Enablement in the PTO (g) Living Organisms Best Mode (a) Standard of Review (b) Claimed Invention

5 Detailed Table of Contents xix (c) Disclosure of Preferred Embodiment (d) Concealment The Written Description Requirement (a) Standard of Review (b) Analysis of a Written Description (i) The Written Description as a Priority Determinant (ii) The Written Description as a Limit on Permissible Claim Scope (1) Genus Claims (2) Predictable Versus Unpredictable Arts (3) The Gentry Gallery Doctrine (iii) New Matter and Late Claiming (c) Historical Development of the Written Description Requirement (i) Function of the Description Requirement: The Enzo Case (ii) The Description Requirement Revisited: The Ariad Case Definiteness (a) Standard of Review (b) Relation to Claim Construction (c) Prosecution Versus Litigation: Patentability and Validity (d) Specific Indefiniteness Issues (i) Words of Degree (ii) Functional Language: 35 U.S.C (iii) Antecedent Basis (iv) Statutory Classes (v) Section Relationship Among Patentability Requirements II Claim Construction and Infringement 6 Claim Construction Claim Construction as a Matter of Law (a) The Judge s Role (b) Stage of the Proceedings (c) Standard of Review The Hierarchy of Evidentiary Sources (a) Intrinsic Evidence (i) Claim Language (1) Claim Differentiation (2) The Role of the Preamble (3) Comprising, Consisting, and Consisting Essentially of (4) A or An (5) Words of Degree

6 xx Patents and the Federal Circuit (6) Functional Language (7) Means-Plus-Function Claims (A) Relation to the Doctrine of Equivalents (B) Construction of MPF Limitations (C) The Role of Prior Art (D) Identification of MPF Limitations (E) Method Claims (ii) Specification (1) Inventor Lexicography (2) Specification Disavowal or Disclaimer of Claim Scope (3) Prohibition on Importing Limitation from the Specification (4) Title, Abstract, and Drawing (iii) Prosecution History (1) Prosecution History Disclaimer (b) Extrinsic Evidence (i) Inventor Testimony (ii) Expert Testimony (iii) Dictionaries, Encyclopedias, Treatises; Prior Art (c) The Framework Through Which the Evidence Is Viewed: A Person of Ordinary Skill at the Time of the Invention (i) Ordinary Meaning The Discredited Texas Digital Protocol (ii) Ordinary Meaning The Phillips Protocol (d) Canons of Construction (i) Consistency (ii) Reference to the Accused Device (iii) Differences by Claim Type (iv) Giving Meaning to Each Claim Limitation (v) Preservation of Validity (vi) Litigation Versus Prosecution (vii) Indefiniteness, Utility, and Inventorship Literal Infringement Direct Infringement (a) General (i) Fundamental Concepts (1) Reverse Equivalents (2) Section 112 Equivalents (3) Validity Versus Infringement (ii) Literal Infringement (iii) The Prohibited Acts (1) Making, Use, Offer, and Sale

7 Detailed Table of Contents xxi (A) Process Patents (B) FDA Approval (I) History (II) Patent Term Extension; 35 U.S.C (III) The Safe Harbor; 35 U.S.C. 271(e)(1) (IV) The Artificial Act of Infringement ; 35 U.S.C. 271(e)(2) (2) Within the United States (3) During the Term of the Patent (b) Repair Versus Reconstruction Inducement and Contributory Infringement (a) The Direct Infringement Requirement (i) Divided or Joint Infringement (b) Contributory Infringement (c) Active Inducement Infringement by Equivalents The Doctrine of Equivalents (a) Equivalents in General (b) Purpose of the Doctrine The Festo Decision (c) Application of the Doctrine (i) The Pennwalt and Warner-Jenkinson Decisions; the All-Limitations or All-Elements Rule (ii) Pioneer Status (iii) Gist of Claimed Invention (iv) Substantial Equivalence (d) Relationship to Section 112 Equivalence (e) Standard of Review Limitations on the Doctrine (a) Prosecution History Estoppel (i) Amendments Versus Remarks (1) Section 112 and New Matter (ii) Reason for Amendment The Festo Decision (1) The Warner-Jenkinson Presumption (2) What Is a Narrowing Amendment? (iii) Voluntary Amendments The Festo Decision (iv) Scope of Estoppel The Festo Decision (v) Standard of Review (b) Prior Art and the Hypothetical Claim Analysis (c) Technological Advances (d) The Doctrine of Miller v. Bridgeport Brass: The Disclosure-Dedication Rule ; Foreseeability

8 xxii Patents and the Federal Circuit (e) Specification Disclaimer; The All Advantages Rule (f) The Specific Exclusion Principle III Ownership and Enforcement 9 Ownership of Patent Rights Ownership by Grant (a) Inventorship (i) In General (ii) Joint Inventorship (iii) Correction of Inventorship (iv) Presumption of Correct Inventorship; Burden of Proof (b) Employee/Employer Relationships: Shoprights (c) Government Ownership Ownership by Acquisition (a) Assignments (b) Assignments Versus Licenses: Standing to Sue (c) Licenses (i) Implied Licenses and Patent Exhaustion (the First Sale Doctrine) (d) Contract Law in General (i) Interpretation (ii) Implied Contracts (iii) Rescission, Reformation, Fraud, and Duress (iv) Offer and Acceptance: Agreement to Agree (v) Authority (vi) Sales and the UCC (vii) Contract Damages Estoppel Related to Ownership (a) Licensee and Assignor Estoppel (b) Legal and Equitable Estoppel Infringement Litigation Jurisdiction and Pleading Subject Matter Jurisdiction (a) Claims for Infringement (i) General Principles (ii) Arising Under the Patent Laws (iii) Diversity and Amount in Controversy (iv) Pendent and Supplemental Jurisdiction (v) Sovereign Immunity (vi) Effect of Appeal or Other Action (vii) Bankruptcy (b) Claims for Declaratory Judgment (i) Jurisdictional Requirements

9 Detailed Table of Contents xxiii (ii) Standing of Licensees; MedImmune v. Genentech (iii) Future Products and Threatened Infringement (iv) Priority of Litigation (v) Other Relief (c) Standing to Litigate (i) Standing to Sue for Infringement (ii) Mootness and Ripeness (d) Removal of Actions Venue (a) Transfers and Multidistrict Litigation Personal Jurisdiction (a) Declaratory Judgment Defendants Pleading and Joinder (a) Rule 12 Motions (b) Affirmative Defenses and Compulsory Counterclaims (c) Amendments to Pleadings (d) Joinder of Parties and Claims Infringement Litigation Pretrial Procedure Discovery (a) Discovery in General (i) Local Patent Rules (b) Subpoenas (c) Protective Orders (d) Sanctions Pretrial Practice (a) Pretrial Conferences and Orders (b) Pretrial Motions (c) Separation and Severance (d) Stays and Dismissals Summary Judgment (a) General Principles (i) Countering the Motion (ii) Rule 56(f) Considerations (iii) Purpose and Cautions (b) Specific Substantive Issues (i) Claim Interpretation (ii) Infringement (iii) Invalidity (iv) Other Issues (c) Form and Review of Summary Judgment Attorneys and Their Conduct (a) Rule 11 Violations and Other Attorney Misconduct (i) Rule 11 Violations

10 xxiv Patents and the Federal Circuit (ii) Other Misconduct (b) Attorney Disqualification (c) Miscellaneous Judges, Magistrates, and Masters (a) Recusal (b) Reassignment on Remand Infringement Litigation Defenses Statutory and Equitable Defenses Section 282 Notice Laches and Estoppel (a) Diligence (b) Prosecution Laches (c) Patent Hold-Ups and Standards Setting Organizations Limitations, Marking, and Notice (a) Limitations (b) Marking and Notice (c) False Marking (d) Marking Estoppel Inequitable Conduct and Fraudulent Procurement (a) Introduction (b) Relation to Common Law Fraud (c) Summary Judgment and Right to Jury Trial (d) Burden of Proof (e) The Balancing Test (f) Materiality (g) Knowledge (i) Knowledge on the Part of the Applicant (ii) Knowledge on the Part of the Examiner (h) Intent (i) Appellate Review (j) Effect of Fraud or Inequitable Conduct Infringement Litigation Trial and Judgment Trial Conduct Jury Practice (a) Right to Jury Trial (b) Legal Questions (c) Jury Instructions (d) Patent Issues (e) Form of Verdict (f) Posttrial Practice in Jury Cases (g) Appellate Review Evidence and Witnesses (a) Witnesses in General (b) Patent Examiners and Other Officials (c) Expert Witnesses

11 Detailed Table of Contents xxv (i) Independent Technical Advisors (ii) Patent Attorneys (d) Admissions and Hearsay (e) Burdens and Presumptions (f) Offers of Compromise (g) Privilege and Work Product (i) Waiver of Attorney-Client Privilege and Work Product Immunity (h) Miscellaneous Matters (i) Judicial or Official Notice Findings of Fact Judgments (a) Posttrial Practice (b) Rule 41(b) Motions (c) Consent Decrees and Settlements (d) Offer of Judgment Other Litigation Venues (a) Court of Federal Claims (i) General Powers (ii) Sovereign Immunity (iii) Section 1498 Actions (b) International Trade Commission (i) Procedures (ii) Domestic Industry Requirement (iii) Remedies (iv) Federal Circuit Review (c) Alternative Dispute Resolution Related Issues (a) Patent Antitrust (i) Standing and Immunity (ii) Monopolization (iii) Per Se Illegality (iv) Fraudulent Procurement and Sham Litigation (v) Patent Misuse (vi) Package Licensing (b) Trade Secrets and Unfair Competition (i) Federal/State and Federal/Federal Tensions (ii) Trade Secret Fundamentals (iii) Trade Dress Fundamentals (c) Copyright and Semiconductor Chip Protection (d) Other Torts (i) RICO Litigation (ii) Tortious Interference (iii) Abuse of Process

12 xxvi Patents and the Federal Circuit (iv) Assertions of Infringement (v) Miscellaneous Torts Miscellaneous Litigation (a) District Court Review of the PTO (i) Ex Parte Proceedings (ii) Interference Proceedings (b) Interfering Patents IV Remedies 15 Damages, Interest, and Costs Compensatory Damages (a) General (b) Actual Damages: Lost Profits (i) The But For Test (ii) Demand (iii) Acceptable Noninfringing Substitutes (iv) Ability to Meet Demand (v) Calculation of Lost Profits (c) Reasonable Royalty (i) The Hypothetical Negotiation (ii) Infringer s Anticipated Profit (iii) Established Royalty (iv) Licensing Offers (d) Calculation (i) The Entire Market Rule (e) Damages Assessed Against the U.S. Government (f) Bar on Double Recovery (g) Timing of Damages Trial Interest Injunctive Relief Injunctions in General (a) Permanent Injunctions Against Infringement (b) Standard of Review (c) Four-Factor Test (i) Irreparable Harm (ii) Inadequate Remedies at Law (iii) Balance of Hardships (iv) Public Interest (d) Framing Injunctive Relief (e) Injunctions Against Other Activity (f) Binding Effect of Injunctions on Nonparties (g) Government Involvement (h) Staying or Vacating Injunctions Preliminary Injunctions and TROs (a) General

13 Detailed Table of Contents xxvii (b) Standard of Review (c) Four-Factor Test (i) Likelihood of Success on the Merits (ii) Irreparable Harm (1) Presumption of Irreparable Harm (iii) Balance of Hardships (iv) Public Interest (d) Activity Other Than Patent Infringement (e) Findings and Conclusions (f) Procedural Requirements Contempt Proceedings Increased Damages and Attorney Fees General Increased Damages Attorney Fees (a) Determination of Entitlement (b) Determination of Amount and Covered Activity (c) Exceptional Circumstances Willful Infringement (a) No Affirmative Duty of Care: In re Seagate (b) Statements Prior to Seagate (c) Opinions of Counsel (d) Notice of the Patent (e) Particular Cases Other Exceptional Conduct (a) Inequitable Conduct (b) Invalidity (c) Noninfringement (d) Frivolous Defenses (e) Conduct of Litigation (f) Attorney Conduct (g) Appellate Activity Standard of Proof and Review Costs V The Patent Office 18 Patent Prosecution Ex Parte Prosecution (a) PTO Regulations (b) Application and Prosecution Formalities; Correction (c) Maintenance Fees and Small Entity Status (d) Examination and Amendment (e) Continuing and Divisional Applications (f) Double Patenting and Disclaimer

14 xxviii Patents and the Federal Circuit (i) Double Patenting in General (ii) Design/Utility Double Patenting (iii) Restriction and Disclaimer (g) Priority and Filing Dates (h) Burdens and Presumptions (i) Evidence (j) Appeals to the Board (k) Review of Board Decisions Interference Proceedings (a) Priority in General (b) Right to Make the Counts (c) Conception and Reduction to Practice (i) Conception (ii) Nunc Pro Tunc Conception (iii) Simultaneous Conception and Reduction to Practice (iv) Corroboration of Conception (v) Reduction to Practice (vi) Corroboration of Reduction to Practice (d) Abandonment, Suppression, and Concealment; Diligence (i) Diligence (e) Miscellaneous Interference Issues (i) Evidence (ii) Interpretation of Counts (iii) Other Issues: Inurement, Inventorship (iv) Review (v) Estoppel (vi) Settlement Reissue (a) Error Without Deceptive Intent (b) Same Invention (c) Broadened Claims (d) Recapture (e) Presumption of Validity (f) Intervening Rights (g) Review Reexamination (a) Who May Request Reexamination: Inter Partes Versus Ex Parte Procedures (b) Substantial New Questions of Patentability (c) No Broadened Claims Permitted (d) Presumption of Validity (e) Effect on Concurrent or Subsequent Proceedings (f) Intervening Rights (g) Review Attorney Conduct Before the PTO

15 Detailed Table of Contents xxix VI The Federal Circuit 19 Federal Circuit Jurisdiction and Appealability Subject Matter Jurisdiction (a) General Principles of Appellate Jurisdiction (b) Patent Infringement Cases in District Courts (i) The Well-Pleaded Complaint Rule (ii) State Versus Federal Considerations (iii) Miscellaneous Patent Questions (c) Patent Compensation in the Court of Federal Claims (d) Patent Determinations of the ITC (i) Court of International Trade (e) Patent Determinations of the PTO (f) Transfers and the Regional Courts of Appeals Appealability (a) Final Decisions (i) Effect of Decision (ii) Finality of Decision (b) Appealable Interlocutory Decisions (i) Judgments Final Except for Accounting (ii) Injunctive Orders (c) Certified Questions (i) Section 1292(b) Certification (ii) Rule 54(b) Certification (d) Collateral Orders (e) Extraordinary Writs Scope of Review (a) General (b) Findings and Conclusions (c) Remands (i) Obviousness Cases (ii) Other Legal Issues (iii) Effect on Later Proceedings (iv) Tribunal or Proceeding (v) The Mandate Rule (d) Waivers (e) Need for Cross-Appeal (f) Standing (g) Miscellaneous Matters (h) Mootness (i) Mootness and Noninfringement Federal Circuit Practice Standards of Review (a) Available Standards (i) Clear Error

16 xxx Patents and the Federal Circuit (1) Adoption of Findings (2) Credibility (3) Documentary Evidence (ii) Legal Correctness (iii) Abuse of Discretion (b) Tribunal or Proceeding (i) Particular Tribunals (1) Courts and the ITC (2) Masters (3) Administrative Agencies (4) PTO Tribunals (ii) Nature or Stage of Proceeding (1) Jury Trials (2) Case and Trial Management (3) Summary Judgment and Rule 12 Motions (4) Injunctions and Contempt (5) Amended Pleadings (6) Discovery (7) Relief from Judgment (c) Specific Issues (i) Validity Issues (1) Anticipation (2) Obviousness (3) Section 112 Issues (4) Other Validity Issues (ii) Claim Construction (iii) Infringement Issues (iv) Damages and Other Relief (v) Fraud and Inequitable Conduct (vi) Other Patent Issues (vii) Miscellaneous Issues Practice Before the Court (a) Binding Precedent (b) Regional Circuit Law (c) Local Rules and IOPs (d) Notice of Appeal (e) Docketing and Housekeeping Matters (f) Record and Appendix (g) Briefs (h) Amicus Participation (i) Oral Argument (j) Decision (k) Rehearing (l) En Banc Consideration (m) Costs and Attorney Fees on Appeal (n) Motion Practice (o) Supersedeas Bonds Pending Appeal

17 Detailed Table of Contents xxxi (p) Sanctions (q) Recusal General Legal Principles Administrative Law (a) Administrative Discretion (b) Due Process (c) Regulations (d) Review of Administrative Action (e) Evidentiary Rules (f) Preclusion (g) Litigation and Exhaustion of Remedies Statutory Interpretation Choice of Law Constitutional Law (a) Equal Protection (b) Seventh Amendment (c) Sovereign Immunity (i) State Immunity from Patent Infringement Suits (d) Due Process (e) Full Faith and Credit (f) Patent and Copyright Legislation Estoppel and Preclusion (a) Issue Preclusion (Collateral Estoppel) (b) The Blonder-Tongue Doctrine (i) Consent Judgments (c) Claim Preclusion (Res Judicata) (d) Judicial Estoppel (e) Law of the Case (f) Stare Decisis (g) Comity Supreme Court Orders Table of Cases Index About the Authors

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