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PATENT CLAIMCONSTRUCTION ANDMARKMAN HEARINGS

Thomas L. Creel

Incorporating Release #4June 2017#205891

Practising Law InstituteNew York City

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This work is designed to provide practical and usefulinformation on the subject matter covered. However, it issold with the understanding that neither the publishernor the author is engaged in rendering legal, account-ing, or other professional services. If legal advice or otherexpert assistance is required, the services of a competentprofessional should be sought.

QUESTIONS ABOUT THIS BOOK?

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For any other questions or suggestions about this book,contact PLI’s editorial department at: [email protected].

For general information about Practising Law Institute,please visit www.pli.edu.

Legal Editor: Keith Voelker

Copyright © 2013, 2014, 2015, 2016, 2017 by Practising Law Institute. Allrights reserved. Printed in the United States of America. No part of thispublication may be reproduced, stored in a retrieval system, or transmittedin any form by any means, electronic, mechanical, photocopying, record-ing, or otherwise, without the prior written permission of Practising LawInstitute.

LCCN: 2012955376

ISBN: 978-1-4024-1847-1

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Dedication

This book is only possible because of all the brilliant lawyers withwhom I have had the privilege to work over many years. Their insightson the intricacies of patent litigation and counseling, including theclaim construction process, helped form many of the suggestedprocedures set forth in this book. In particular, I want to recognizemy mentors as a young lawyer—Ted Kenyon, Frank Carr, Bob Fier andCharles Brainard.

Also, I will be eternally grateful to my family, who provided me withmuch free time and support during the actual writing of this book.Particularly, I want to give thanks to my wife, Carol, who encouragedand supported me at every turn.

To all of them I dedicate this book.

Tom Creel, 2013

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About the Author

THOMAS L. CREEL has been involved with claim construction inpatent controversies for over thirty years as a first chair intellectualproperty litigator and counselor and also as an arbitrator and specialmaster. So he has experience both in advocating for and defendingagainst a particular claim construction, as well as in actually decidingas a matter of law what the correct claim construction is. Additionally,Mr. Creel co-taught the patent and trade secret law course at ColumbiaLaw School for almost twenty years.

He was head of the Intellectual Property Litigation Practice Area asa partner at Goodwin Procter LLP; co-chair of the Patent LitigationGroup while a partner at Kaye, Scholer, Fierman, Hayes and Handlerand a senior litigating partner at Kenyon & Kenyon, all in New YorkCity. As a partner in those firms, he litigated in courts throughout thecountry and before the International Trade Commission. Duringgovernment service, he handled administrative patent infringementclaims against the U.S. government, participated in patent infringe-ment litigation in the U.S. Court of Federal Claims and was respon-sible for export clearances for certain types of important information.

Recognized for his capabilities in the area of patent litigation andarbitration, Mr. Creel has also been appointed by several federaldistrict judges to serve as a Special Master to provide proper patentclaim construction, supervise all pretrial discovery and recommendrulings on summary judgment motions.

He frequently writes and teaches on substantive intellectual prop-erty law and on the intricacies of patent litigation. Mr. Creel chaired anannual seminar on patent litigation for many years and is often invitedto speak at and chair other conferences on substantive patent law,patent litigation and arbitration. He was the chairperson of the annualPLI seminar “Claim Construction and How to Prepare and ConductMarkman Hearings” for over fifteen years. His annual review of thelaw of patent damages was considered to be the “bible” on the law ofpatent damages by at least one Federal Circuit judge.

Throughout his career, and continuing today, he has beenappointed as an arbitrator to resolve intellectual property matters.Most of these involved patent disputes where claim construction wasoften of primary importance.

He is the editor of The Guide to Patent Arbitration, published byBNA Books. He has authored scores of decisions relating to anti-cybersquatting of trademarks as an arbitrator under the rules adoptedby the Internet Corporation for Assigned Names and Numbers

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(ICANN). Mr. Creel also frequently writes and speaks on ADR of IPdisputes, covering topics such as “How to Avoid Disputes ThroughUse of ADR” and “ADR in the 21st Century.” He was the chairpersonof the ADR Committee of the New York Intellectual Property Associa-tion, Inc.

Mr. Creel also served as president of the New York IntellectualProperty Law Association, Inc. and has been active in other bar asso-ciations. He is listed in the Euromoney Guide to the World’s LeadingPatent Law Experts, the Euromoney Guide to the World’s LeadingTrademark Law Experts, Chambers USA: America’s Leading Lawyersfor Business, The Best Lawyers in America and Super Lawyers.

Mr. Creel is admitted to the bars of New York and Michigan; theU.S. Supreme Court; the U.S. Courts of Appeals for the Federal, Second,Fourth and Fifth Circuits; several U.S. District Courts; and the U.S.Court of Federal Claims. He is also registered to practice before the U.S.Patent & Trademark Office.

Mr. Creel has a law degree from the University of Michigan LawSchool and an engineering degree from the University of Kansas.

PATENT CLAIM CONSTRUCTION AND MARKMAN HEARINGS

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Table of Chapters

Chapter 1 Overview

Chapter 2 Selecting Claims and Claim Elements forConstruction

Chapter 3 Prior Claim Construction

Chapter 4 Timing for Construction

Chapter 5 Local Court Claim Construction Rules

Chapter 6 Preparing for the Hearing

Chapter 7 Use of a Special Master, Expert Witness, TechnicalAdvisor, or Magistrate Judge

Chapter 8 Conducting the Hearing

Chapter 9 Form and Use of the Claim Construction

Chapter 10 Construing Claims Outside of Markman Hearings

Chapter 11 Appealing Claim Constructions

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Table of Contents

Dedication........................................................................................vii

About the Author ............................................................................ix

Table of Chapters............................................................................xi

Preface ............................................................................................ xli

Acknowledgments ...................................................................... xliii

Chapter 1 Overview

§ 1:1 Introduction ..................................................................... 1-1§ 1:2 The Markman Decisions.................................................. 1-3§ 1:3 Summary of Post-Markman Law...................................... 1-5

§ 1:3.1 Certainty Versus Uncertainty.................................... 1-5§ 1:3.2 Indefiniteness ............................................................ 1-7§ 1:3.3 Timing....................................................................... 1-8§ 1:3.4 Types of Presentations............................................... 1-9§ 1:3.5 Use of Extrinsic Evidence ......................................... 1-9§ 1:3.6 Finality of Claim Construction............................... 1-10§ 1:3.7 Consideration of Alleged Infringements ................. 1-11§ 1:3.8 Appeals .................................................................... 1-12§ 1:3.9 Local Court Claim Construction Rules .................. 1-12

§ 1:4 The Courts and the Patent and Trademark Office ......... 1-13

Chapter 2 Selecting Claims and Claim Elements forConstruction

§ 2:1 General Considerations.................................................... 2-3§ 2:2 Intrinsic Evidence............................................................. 2-6

§ 2:2.1 The Patent................................................................. 2-8[A] All Elements Rule ............................................. 2-8[A][1] The Doctrine of Equivalents ......................... 2-8[A][2] What Is an Element of a Claim?................. 2-12[A][3] The Preamble As a Limitation .................... 2-12[A][4] Joint Infringement....................................... 2-14[B] Construction Is Based on Entirety of the

Specification .................................................... 2-15

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[B][1] Claim Terms Are Usually Given TheirOrdinary and Customary Meanings............ 2-16

[B][1][a] Terms of Art in Patent Law..................... 2-19[B][1][b] “Comprising,” “Including,”

“Consisting of,” and“Consisting Essentially of” ...................... 2-19

[B][1][c] “Whereby” Clauses.................................. 2-20[B][1][d] Negative Limitation ................................ 2-21[B][2] Construction Should Not Normally Read

Limitations into Claims.............................. 2-22[B][3] Construction Should Not Usually Be

Limited to Specific DisclosedEmbodiments .............................................. 2-27

[B][4] Claims Should Normally Be Construed toInclude the Preferred Embodiments ..............2-27

[B][5] Term Should Normally Be Construed theSame Throughout a Single Claim............... 2-27

[B][6] Courts Will Not Re-Draft Claims toAvoid Invalidity ........................................... 2-28

[B][7] Title As an Interpretive Aid ........................ 2-29[B][8] Definitions .................................................. 2-29[B][9] Effect of Other Claims ................................ 2-31[B][9][a] Dependent Claims .................................. 2-31[B][9][b] Other Independent Claims...................... 2-33[B][10] Printed Matter ............................................. 2-34[C] Specialized Types of Claims ............................ 2-35[C][1] Means-Plus-Function Claim........................ 2-35[C][2] Computer and Business Method Claims .... 2-38[C][3] Jepson-Type Claims ..................................... 2-39[C][4] Markush Claims.......................................... 2-40[C][5] Product-by-Process Claims .......................... 2-40[C][6] Pharmaceutical and Chemical Claims ........ 2-41[C][7] Method Claims ........................................... 2-42[D] Suspect Doctrines ........................................... 2-43[D][1] Claim Differentiation.................................. 2-43[D][2] Construction Should Preserve Validity ........ 2-43[D][3] All Claim Terms Should Be Given

Meaning ...................................................... 2-44§ 2:2.2 File History.............................................................. 2-44

[A] Use for Interpretation ..................................... 2-45[B] Estoppels and Disclaimers .............................. 2-47[C] Patent and Trademark Office Uses a

Different Standard of the BroadestReasonable Interpretation ............................... 2-48

§ 2:2.3 Cited Prior Art ........................................................ 2-51[A] Information Disclosure Statements ................ 2-52


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[B] Incorporation by Reference in theSpecification .................................................... 2-53

§ 2:2.4 Related Patents and Applications............................ 2-55[A] U.S. Applications and Patents......................... 2-55[B] Foreign Applications and Patents.................... 2-56

§ 2:3 Extrinsic Evidence .......................................................... 2-57§ 2:4 Related Doctrines ........................................................... 2-58

§ 2:4.1 Section 112.............................................................. 2-58[A] Indefiniteness .................................................. 2-60[A][1] Supreme Court Case Law............................ 2-60[A][2] Federal Circuit Case Law ............................ 2-64[A][2][a] Post-Nautilus Cases on Indefiniteness .... 2-64[A][2][b] Pre-Nautilus Cases on Indefiniteness...... 2-71[A][2][b][i] Relatively Clear-Cut Indefiniteness ..... 2-71[A][2][b][ii] Terms of Approximation and Terms

of Degree ............................................. 2-73[A][2][b][iii] Multiple Plausible Meanings and

Facially Nonsensical ClaimLanguage ............................................. 2-75

[A][2][b][iv] Multiple Standards for Measurementof an Essential Claim Limitation ........ 2-76

[A][2][b][v] Means-Plus-Function Claims .............. 2-78[B] Enablement ..................................................... 2-80[C] Written Description......................................... 2-81[D] Best Mode ....................................................... 2-83[E] Inequitable Conduct........................................ 2-84

§ 2:4.2 Section 101: Patent-Eligible Subject Matter............ 2-85[A] Biotechnology.................................................. 2-89[B] Software and Computers................................. 2-93[C] Business Methods ........................................... 2-99

§ 2:5 Design Patents.............................................................. 2-100§ 2:6 Plant Patents ................................................................ 2-105§ 2:7 Litigation Considerations, Sanctions, and Penalties .... 2-106

§ 2:7.1 Alternative Positions and Possible Preclusion ...... 2-106§ 2:7.2 Deviations from Common Litigation

Procedures for Claim Construction ...................... 2-107§ 2:7.3 Pre-Trial Sanctions and Procedures....................... 2-109§ 2:7.4 Post-Trial Sanctions and Procedures ..................... 2-109§ 2:7.5 Contempt .............................................................. 2-112§ 2:7.6 Parallel Proceedings in Court and the PTO ......... 2-115

Chapter 3 Prior Claim Construction

§ 3:1 Introduction ..................................................................... 3-1§ 3:2 Law of the Case................................................................ 3-4

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§ 3:3 Stare Decisis ..................................................................... 3-6§ 3:3.1 Effect of Previous Federal Circuit Constructions...... 3-6§ 3:3.2 Effect of Previous District Court Constructions....... 3-7

§ 3:4 Estoppel .......................................................................... 3-12§ 3:4.1 Collateral Estoppel (Issue Preclusion) ..................... 3-12

[A] General Principles in Court Proceedings ........ 3-12[B] Effect of Previous PTO Constructions ............ 3-18[C] Non-Identical Claims...................................... 3-18[D] Previous Court Constructions in PTO

Proceedings ..................................................... 3-20§ 3:4.2 Judicial Estoppel ...................................................... 3-21§ 3:4.3 Inter Partes Review Estoppel ................................... 3-22

§ 3:5 Claim Preclusion (Res Judicata) ..................................... 3-22§ 3:6 Kessler Doctrine ............................................................. 3-25§ 3:7 Persuasive Effect ............................................................. 3-27§ 3:8 Summary........................................................................ 3-28

Chapter 4 Timing for Construction

§ 4:1 General Considerations.................................................... 4-1§ 4:2 Construction Before or Early in Discovery....................... 4-2

§ 4:2.1 Stay of Discovery....................................................... 4-6§ 4:3 Construction Before Close of Discovery........................... 4-6§ 4:4 Construction After Discovery........................................... 4-7§ 4:5 Construction in Jury Instructions .................................... 4-9§ 4:6 Construction After Trial ................................................. 4-10

Chapter 5 Local Court Claim Construction Rules

§ 5:1 Overview......................................................................... 5-17§ 5:2 Northern District of California Patent Local Rules ........ 5-19

§ 5:2.1 Joint Claim Construction and PrehearingStatement (Rule 4-3) ..................................................5-19

§ 5:2.2 Preliminaries to the Joint Claim Constructionand Prehearing Statement ....................................... 5-20[A] Initial Case Management Conference

(Rule 2-1)...........................................................5-20[B] Disclosure of Asserted Claims and

Infringement Contentions (Rule 3-1) ................5-20[C] Invalidity Contentions (Rule 3-3) ................... 5-21[D] Document Production Accompanying

Infringement and Invalidity Contentions(Rules 3-2 and 3-4).......................................... 5-21

[E] Exchange of Proposed Terms forConstruction (Rule 4-1) .................................. 5-22

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[F] Exchange of Preliminary ClaimConstruction and Extrinsic Evidence(Rule 4-2) ........................................................ 5-22

§ 5:2.3 Claim Construction Discovery (Rule 4-4) .............. 5-22§ 5:2.4 Claim Construction Briefs (Rule 4-5) ..................... 5-23§ 5:2.5 Claim Construction Hearing (Rule 4-6) ................. 5-23

§ 5:3 Southern District of California Patent Local Rules ........ 5-23§ 5:3.1 Joint Claim Construction Chart, Worksheet

and Hearing Statement (Rule 4.2) .......................... 5-24§ 5:3.2 Preliminaries to the Joint Claim Construction

Chart, Worksheet and Hearing Statement.............. 5-25[A] Early Neutral Evaluation Conference

and Initial Case Management Conference(Rule 2.1) ....................................................... 5-25

[B] Disclosure of Asserted Claims andPreliminary Infringement andInvalidity Contentions(Rules 3.1 and 3.3) .......................................... 5-25

[B][1] Disclosure of Asserted Claims andInfringement Contentions(Rules 3.1 and 3.6) ...................................... 5-25

[B][2] Disclosure of Preliminary InvalidityContentions (Rule 3.3) ................................ 5-26

[B][3] Document Production AccompanyingInfringement and Invalidity Contentions(Rules 3.2 and 3.4) ...................................... 5-26

[B][4] Exchange of Proposed Terms forConstruction (Rule 4.1.a and c) ............... 5-27

[B][5] Exchange of Extrinsic Evidence inSupport of Claim Construction(Rule 4.1.b and d) ........................................ 5-27

[B][6] Meet and Confer (Rule 4.1.e) ...................... 5-27§ 5:3.3 Claim Construction Discovery (Rule 4.3) .............. 5-28§ 5:3.4 Claim Construction Briefs (Rule 4.4) ..................... 5-28§ 5:3.5 Claim Construction Hearing (Rule 4.5) ................. 5-28§ 5:3.6 Evidentiary and Procedural Issues........................... 5-28

[A] Confidentiality (Rule 2.2)................................ 5-28[B] Certification (Rule 2.3).................................... 5-29[C] Relationship to Federal Rules of Civil

Procedure and Federal Rules of Evidence(Rules 2.4 and 2.5) .......................................... 5-29

§ 5:4 District of Colorado Local Patent Rules ......................... 5-29§ 5:4.1 Scope of the Local Rules (Rule 1) ........................... 5-29§ 5:4.2 Initial Scheduling Conference (Rule 2) ................... 5-30§ 5:4.3 Discovery Objection; Preserving Confidentiality;

Entry of Protective Order (Rule 3) .......................... 5-30

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§ 5:4.4 Disclosure of Asserted Claims and InfringementContentions (Rule 4)..................................................5-31

§ 5:4.5 Document Production Accompanying InfringementContentions (Rule 5)..................................................5-31

§ 5:4.6 Response to Infringement Contentions (Rule 6) .... 5-32§ 5:4.7 Document Production Accompanying Response to

Infringement Contentions (Rule 7)............................5-32§ 5:4.8 Invalidity Contentions (Rule 8) .............................. 5-32§ 5:4.9 Production of Prior Art with Invalidity

Contentions (Rule 9)............................................... 5-33§ 5:4.10 Response to Invalidity Contentions (Rule 10) ........ 5-33§ 5:4.11 Documents Accompanying Response to

Invalidity Contentions (Rule 11) ............................ 5-34§ 5:4.12 Disclosure Requirement in Patent Cases Seeking

Declaratory Judgment (Rule 12).............................. 5-34§ 5:4.13 Opinion of Counsel (Rule 13)................................. 5-34§ 5:4.14 Joint Claim Terms Chart (Rule 14) ........................ 5-34§ 5:4.15 Claim Construction Briefing (Rule 15)................... 5-34§ 5:4.16 Final Patent Contention Disclosures (Rule 16) ...... 5-35§ 5:4.17 Word Limits; Certificate of Compliance

(Rule 17) .................................................................. 5-36§ 5:5 District of Delaware Local Patent Rules ......................... 5-36

§ 5:5.1 Infringement Contentions(Paragraphs 4a, b and c).......................................... 5-37

§ 5:5.2 Invalidity Contentions (Paragraph 4d) .................... 5-37§ 5:5.3 Document Production (Paragraphs 4a, b and d)..... 5-37

§ 5:6 Northern District of Florida Local Patent Rules............. 5-37§ 5:7 Northern District of Georgia Local Patent Rules............ 5-37

§ 5:7.1 Joint Claim Construction Statement (Rule 6.3)..... 5-38§ 5:7.2 Preliminaries to the Joint Claim Construction

Statement ................................................................ 5-38[A] Disclosure of Asserted Claims and

Infringement Contentions(Rules 4.1, 4.2, 4.4 and 4.5)............................ 5-38

[B] Invalidity Contentions(Rules 4.3, 4.4 and 4.5)................................... 5-39

[C] Document Production AccompanyingInfringement and Invalidity Contentions(Rules 4.1 and 4.3) .......................................... 5-39

[D] Exchange of Proposed Terms of Construction(Rules 6.1 and 6.2) ............................................5-40

[E] Exchange of Extrinsic Evidence in Support ofClaim Construction (Rule 6.2)..........................5-40

[F] Meet and Confer (Rule 6.2(c))......................... 5-40§ 5:7.3 Claim Construction Discovery (Rule 6.4) .............. 5-41§ 5:7.4 Claim Construction Briefs (Rule 6.5) ..................... 5-41


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§ 5:7.5 Claim Construction Hearing (Rule 6.6) ................. 5-41§ 5:7.6 Evidentiary and Procedural Issues........................... 5-41

[A] Confidentiality (Rules 2.1 and 2.2) ................. 5-41[B] Modifications (Rule 1.2).................................. 5-41[C] Relationship to the Federal Rules of Civil

Procedure (Rule 3.1) ........................................ 5-42§ 5:8 District of Idaho Local Patent Rules............................... 5-42

§ 5:8.1 Joint Claim Construction and PrehearingStatement (Rule 4-3) ............................................... 5-42


(Rule 2-1) ........................................................ 5-43[B] Disclosure of Asserted Claims and

Infringement Contentions (Rule 3-1).............. 5-43[C] Invalidity Contentions (Rule 3-1) ................... 5-44[D] Document Production Accompanying

Disclosure and Invalidity Contentions(Rules 3-2 and 3-4).......................................... 5-44

[E] Exchange of Proposed Terms for Construction(Rule 4-1)...........................................................5-45

[F] Exchange of Preliminary Claim Constructionand Extrinsic Evidence (Rule 4-2)......................5-45

§ 5:8.3 Claim Construction Discovery (Rule 4-4) .............. 5-46§ 5:8.4 Claim Construction Briefs (Rule 4-5) ..................... 5-46§ 5:8.5 Claim Construction Hearing (Rule 4-6) ................. 5-46

§ 5:9 Northern District of Illinois Local Patent Rules............. 5-46§ 5:9.1 Preliminaries to Submission of Claim Terms to

Be Construed by the Court..................................... 5-47[A] Contentions of All Parties As to

Infringement, Validity and Enforceability(Rules 2 and 3) ................................................ 5-47

[A][1] Initial Contentions (Rule 2) ........................ 5-48[A][2] Final Contentions (Rule 3) .......................... 5-49[B] Document Production

(Rules 2.1, 2.4 and 3.3)................................... 5-49[B][1] Documents Produced with the Initial

Disclosures (Rule 2.1).................................. 5-49[B][2] Documents Produced with the Initial

Contentions (Rule 2.4) ................................ 5-50[B][2][a] Documents Produced with the Initial

Invalidity Contentions (Rule 2.4)............ 5-50[B][2][b] Documents Produced with the Final

Invalidity Contentions (Rule 3.3)............ 5-50

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[C] Exchange of Proposed Terms of Construction(Rule 4.1) ...........................................................5-50

§ 5:9.2 Discovery (Rule 1.3) ................................................ 5-51§ 5:9.3 Submissions of Terms and Phrases for

Construction (Rule 4.2)........................................... 5-51§ 5:9.4 Claim Construction Hearing (Rule 4.3) ................. 5-52§ 5:9.5 Confidentiality (Rule 1.4)........................................ 5-52§ 5:9.6 Certification (Rule 1.5)............................................ 5-52§ 5:9.7 Relationship to Federal Rules of Civil Procedure

and Evidence (Rules 1.1, 1.7, 2.1, 3.4 and 6.1) ..... 5-52§ 5:10 Northern District of Indiana Local Patent Rules............ 5-53

§ 5:10.1 Joint Claim Construction and PrehearingStatement (Rule 4-1(c)) ........................................... 5-53


(Rule 2-1) ........................................................ 5-54[B] Disclosure of Asserted Claims and

Infringement Contentions(Rule 3-1(a) and (b)) ........................................ 5-54

[C] Invalidity Contentions (Rule 3-1(e))................ 5-55[D] Document Production Accompanying

Infringement and Invalidity Contentions(Rule 3-1(c) and (g))......................................... 5-55

[E] Exchange of Proposed Terms for Construction(Rule 4-1(a)).......................................................5-56

[F] Exchange of Preliminary Claim Constructionand Extrinsic Evidence (Rule 4-1(b)) ............... 5-56

§ 5:10.3 Claim Construction Discovery (Rule 4-1(d)) .......... 5-57§ 5:10.4 Claim Construction Briefs (Rule 4-1(e)) ................. 5-57§ 5:10.5 Claim Construction Hearing (Rule 4-1(f)) .............. 5-57

§ 5:11 Southern District of Indiana Patent Case ManagementPlans .................................................................................5-57

§ 5:11.1 Instructions for Preparing Case ManagementPlan in Patent Cases (Tracks 1 and 2)(Utility Patents Pre-Markman) ................................ 5-58

§ 5:11.2 Joint Claim Construction Statement(Pre-Markman Case ManagementPlan III K and L)..................................................... 5-58

§ 5:11.3 Preliminaries to Joint Claim ConstructionStatement ................................................................ 5-59[A] Disclosure of Asserted Claims and

Preliminary Infringement Contentions(Pre-Markman Case ManagementPlan III C and D)............................................ 5-59


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[A][1] Disclosure of Asserted Claims andPreliminary Infringement Contentions(Pre-Markman Patent Case ManagementPlan III C) .................................................. 5-59

[A][2] Disclosure of Preliminary InvalidityContentions (Pre-Markman Patent CaseManagement Plan III D) ............................. 5-59

[B] Document Production AccompanyingInfringement and Invalidity Contentions(Pre-Markman Case ManagementPlan III C(6) and D)........................................ 5-60

[C] Exchange of Claim Terms to Be Construed(Pre-Markman Case ManagementPlan III E, F, G and H).................................... 5-60

[D] Exchange of Extrinsic Evidence in Support ofClaim Construction (Pre-Markman CaseManagement Plan III G and I)..........................5-61

§ 5:11.4 Claim Construction Briefs (Pre-Markman PatentCase Management Plan III M)...................................5-61

§ 5:11.5 Claim Construction Hearing (Pre-MarkmanPatent Case Management Plan III N) .................... 5-61

§ 5:11.6 Post-Markman Hearing Procedures (Post-Markman(Phase II) Case Management Plan in PatentCases (Tracks 1 and 2)) ..............................................5-61[A] Post-Markman Case Management Plan

Conference (Post-Markman Patent CaseManagement Plan II A)................................... 5-61

[B] Final Infringement Contentions(Post-Markman Patent Case ManagementPlan II C) ........................................................ 5-62

[C] Discovery (Post-Markman Patent CaseManagement Plan II H) .................................. 5-62

§ 5:11.7 Evidentiary and Procedural Issues........................... 5-62[A] Testifying Experts (Post-Markman Patent

Case Management Plan V) ............................. 5-62[B] Trial (Post-Markman Patent Case

Management Plan V) ...................................... 5-62§ 5:11.8 Design Patent Case Management Procedures

and for the Judge Beyond (Track 3) ........................ 5-62§ 5:12 District of Maryland Local Patent Rules......................... 5-63

§ 5:12.1 Scope (Rule 801)...................................................... 5-63§ 5:12.2 Scheduling Conference (Rule 802) .......................... 5-63§ 5:12.3 Discovery (Rule 803) ............................................... 5-64§ 5:12.4 Disclosures (Rule 804) ............................................ 5-64

[A] Cases Involving Claims ofInfringement ................................................... 5-64


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[A][1] Initial Disclosure of InfringementContentions ................................................ 5-64

[A][2] Documentation ........................................... 5-65[B] Cases Involving Claims of Invalidity .............. 5-65[B][1] Initial Disclosure of Invalidity

Contentions ................................................ 5-65[B][2] Documentation ........................................... 5-65[B][3] Cases Seeking Declaratory Judgment of

Invalidity ..................................................... 5-66[C] Cases Arising Under the Hatch-Waxman Act

(21 U.S.C. § 355) ..............................................5-66[C][1] Invalidity Contentions ................................ 5-66[C][2] Infringement Contentions........................... 5-66[D] Other Types of Claims and Information......... 5-67[E] Amendment to Contentions ........................... 5-67

§ 5:12.5 Specifics As to Claim Construction (Rule 805)...... 5-67[A] Cases Involving Claims of Infringement ........ 5-67[A][1] Claim Chart ................................................ 5-67[A][2] Claim Construction Statement by

Patentee ....................................................... 5-67[A][3] Responsive Claim Chart ............................. 5-68[A][4] Responsive Claim Construction

Statement .................................................... 5-68[A][5] Amendments............................................... 5-68[A][6] Joint Claim Construction Statement .......... 5-69[A][7] Briefs ........................................................... 5-69[B] Cases Seeking Declaratory Judgment of

Invalidity ......................................................... 5-69[C] [Reserved] ........................................................ 5-69[D] Cases Seeking Correction of Inventors

(35 U.S.C. § 256) (Rule 804(4)) and CasesAlleging False Marking (35 U.S.C. § 292)(Rule 804(5)) .................................................. 5-69

[E] Certification of Disclosures (Rule 806) ........... 5-70[F] Motions for Stay Pending Reexamination

(Rule 807)........................................................ 5-70§ 5:13 District of Massachusetts Scheduling and Procedures

in Patent Infringement Cases......................................... 5-70§ 5:13.1 Joint Claim Construction and Prehearing

Statement (Paragraph A(4)) ..................................... 5-71§ 5:13.2 Preliminaries to the Joint Claim Construction

and Prehearing Statement ....................................... 5-71[A] Initial Rule 26 Conference

(Local Rule 16.6) ............................................. 5-71


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[B] Disclosure of Asserted Claims andPreliminary Infringement and InvalidityContentions (Paragraphs A and D) ................. 5-72

[B][1] Disclosure of Asserted Claims andInfringement Contentions(Paragraph A(1))........................................... 5-72

[B][2] Disclosure of Preliminary InvalidityContentions (Paragraph B(2)) ...................... 5-72

[B][3] Document Production AccompanyingInfringement and Invalidity Contentions(Paragraph A)............................................... 5-73

[B][4] Exchange of Proposed Terms ofConstruction (Paragraph B) ......................... 5-73

§ 5:13.3 Discovery (Local Rule 16.6(A)(3)(b) andParagraph D(2)) ....................................................... 5-73

§ 5:13.4 Claim Construction Briefs(Paragraph (B)(2) and (3)) ........................................ 5-73

§ 5:13.5 Claim Construction Hearing (a.k.a. “MarkmanHearing”) (Paragraph C) .......................................... 5-74

§ 5:14 District of Minnesota Patent Procedures........................ 5-74§ 5:14.1 Joint Claim Construction Statement

(Report, Para. (e)(5))................................................. 5-74§ 5:14.2 Preliminaries to the Joint Claim Construction

Statement ................................................................ 5-75[A] Disclosure of Asserted Terms and

Infringement Contentions(Report, Para. (e)(1) and (2)) ............................ 5-75

[B] Disclosure of Proposed Terms forConstruction (Report, Para. (e)(3)) .................. 5-75

[C] Exchange of Extrinsic Evidence inSupport of Claim Construction(Report, Para. (e)(3)) ........................................ 5-75

[D] Tutorials (Report, Para. (n)) ............................. 5-75§ 5:14.3 Claim Construction Hearing (Report, Para. (e)(4)

and (6)).......................................................................5-76§ 5:15 Eastern District of Missouri Local Patent Rules............. 5-76

§ 5:15.1 Joint Claim Construction and PrehearingStatement (Rule 4-3) ............................................... 5-76

§ 5:15.2 Preliminaries to the Joint Claim Constructionand Prehearing Statement..........................................5-77[A] Rule 16 Scheduling (Rule 2-1)......................... 5-77[B] Disclosure of Asserted Claims, Preliminary

Infringement Contentions and AmendmentsThereto (Rule 3-1) .............................................5-78


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[C] Preliminary Invalidity Contentions(Rule 3-4) ........................................................ 5-78

[D] Document Production AccompanyingDisclosure of Asserted Claims, InfringementContentions and Invalidity Contentions(Rules 3-2 and 3-5).......................................... 5-79

[E] Exchange of Proposed Terms and ClaimElements for Construction (Rule 4-1) ............. 5-79

[F] Exchange of Preliminary Claim Constructionsand Extrinsic Evidence (Rule 4-2) ......................5-80

§ 5:15.3 Claim Construction Discovery (Rule 4-4) .............. 5-80§ 5:15.4 Claim Construction Briefs (Rule 4-5) ..................... 5-80§ 5:15.5 Hatch-Waxman Cases.............................................. 5-81

§ 5:16 District of Nevada Local Patent Rules ............................ 5-81§ 5:16.1 Joint Claim Construction and Prehearing

Statement (Rule 16.1-15) ........................................ 5-81§ 5:16.2 Initial Disclosures of Asserted Claims and

Infringement Contentions (Rule 16.1-6)................. 5-82§ 5:16.3 Initial Disclosure of Non-Infringement,

Invalidity, and Unenforceability Contentions(Rule 16.1-8)............................................................ 5-83

§ 5:16.4 Response to Initial Non-Infringement,Invalidity and Unenforceability Contentions(Rule 16.1-10).......................................................... 5-84

§ 5:16.5 Amendment to Disclosures (Rule 16.1-12) ............ 5-84§ 5:16.6 Document Production Accompanying

Contentions (Rules 16.1-7 and 16.1-9) .................. 5-84§ 5:16.7 Disclosure Requirements in Patent Cases for

Declaratory Judgment of Invalidity(Rule 16.1-11).......................................................... 5-85

§ 5:16.8 Exchange of Proposed Terms for Construction(Rule 16.1-13).......................................................... 5-85

§ 5:16.9 Exchange of Preliminary Claim Constructionsand Extrinsic Evidence (Rule 16.1-14) .................... 5-86

§ 5:16.10 Claim Construction Briefing (Rule 16.1-16)........... 5-86§ 5:16.11 Claim Construction Hearing (Rule 16.1-17) .......... 5-86§ 5:16.12 Confidentiality (Rule 16.1-4)................................... 5-86§ 5:16.13 Certification of Disclosures (Rule 16.1-5)............... 5-87§ 5:16.14 Mandatory Settlement Conferences for Patent

Cases (Rule 16.1-19) ............................................... 5-87§ 5:16.15 Stay of Federal Court Proceedings

(Rule 16.1-20).......................................................... 5-87§ 5:17 District of New Hampshire Local Patent Rules.............. 5-87

§ 5:17.1 Scope of Supplemental Rules (SPR 1.1).................. 5-88§ 5:17.2 Pleading Patent Infringement Claims or

Counterclaims (SPR 2.1)......................................... 5-88


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§ 5:17.3 Scheduling Conference, Discovery Plan,and Discovery Order (SPR 3.1)............................... 5-88

§ 5:17.4 General Provisions Governing Patent Disclosures(SPR 4.1).................................................................. 5-89

§ 5:17.5 Preliminary Patent Disclosures (SPR 5.1)............... 5-89[A] Preliminary Infringement Contentions........... 5-89[B] Preliminary Invalidity Contentions ................ 5-91

§ 5:17.6 Claim Construction Proceedings (SPR 6.1) ............ 5-92§ 5:17.7 Final Patent Disclosures (SPR 7.1) ......................... 5-93§ 5:17.8 Expert Discovery (SPR 8.1) ..................................... 5-94

§ 5:18 District of New Jersey Local Patent Rules ...................... 5-94§ 5:18.1 Joint Claim Construction and Prehearing

Statement (Rule 4.3) ............................................... 5-95§ 5:18.2 Preliminaries to the Joint Claim Construction

and Prehearing Statement ....................................... 5-96[A] Initial Scheduling Conference

(Rules 2.1 and 3.7) .......................................... 5-96[B] Disclosure of Asserted Terms and

Preliminary Infringement and InvalidityContentions (Rules 3.1, 3.2A, 3.3, 3.4A,3.5 and 3.7)..................................................... 5-96

[B][1] Disclosure of Asserted Claims andInfringement Contentions(Rules 3.1, 3.2A and 3.7) ............................ 5-96

[B][2] Disclosure of Invalidity Contentions(Rules 3.3, 3.4A and 3.5) ............................ 5-97

[C] Document Production AccompanyingInfringement and Invalidity Contentions(Rules 3.2 and 3.4) .......................................... 5-98

[D] Exchange of Proposed Terms forConstruction (Rules 4.1 and 4.2).................... 5-98

[E] Exchange of Intrinsic and Extrinsic Evidencein Support of Claim Construction(Rule 4.2 and 4.2(a))........................................ 5-99

[F] Meet and Confer (Rule 4.2(e))......................... 5-99§ 5:18.3 Claim Construction Discovery

(Rules 4.4 and 4.5(b)).............................................. 5-99§ 5:18.4 Claim Construction Briefs (Rule 4.5) ..................... 5-99§ 5:18.5 Claim Construction Hearing (Rule 4.6) ............... 5-100§ 5:18.6 Evidentiary and Procedure Issues.......................... 5-100

[A] Confidentiality (Rule 2.2).............................. 5-100[B] Relationship to Federal Rules of Civil

Procedure (Rules 2.3 and 2.4) ....................... 5-100§ 5:18.7 Design Patents....................................................... 5-100§ 5:18.8 Hatch-Waxman Litigation ..................................... 5-101


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§ 5:19 Eastern District of New York Local Patent Rules ......... 5-101§ 5:19.1 Joint Claim Terms Chart (Rule 11) ...................... 5-101§ 5:19.2 Preliminaries to the Joint Claim Terms Chart..... 5-101

[A] Initial Case Management Conference(Rule 2).......................................................... 5-101

[B] Disclosure of Asserted Claims andInfringement Contentions (Rule 6) ............... 5-102

[C] Invalidity Contentions (Rule 7)..................... 5-102§ 5:19.3 Claim Construction Briefs (Rule 12) .................... 5-102

§ 5:20 Northern District of New York Local Patent Rules ...... 5-102§ 5:20.1 Joint Claim Construction and Prehearing

Statement (Rule 4-4) ............................................. 5-103§ 5:20.2 Preliminaries to the Joint Claim Construction

and Prehearing Statement ..................................... 5-104[A] Initial Case Management Conference

(Rule 2-1) ...................................................... 5-104[B] Disclosure of Asserted Claims and

Infringement Contentions (Rule 3-1)............ 5-105[C] Invalidity Contentions (Rule 3-3) ................. 5-105[D] Document Production Accompanying

Infringement and Invalidity Contentions(Rule 3-4) ...................................................... 5-106

[E] Exchange of Proposed Terms forConstruction (Rule 4-2) ................................ 5-106

[F] Exchange of Preliminary ClaimConstruction and Extrinsic Evidence(Rule 4-3) ...................................................... 5-107

§ 5:20.3 Claim Construction Discovery (Rule 4-5) ............ 5-107§ 5:20.4 Claim Construction Briefing (Rule 4-6)................ 5-107§ 5:20.5 Claim Construction Hearing (Rule 4-7) ............... 5-108

§ 5:21 Southern District of New York Local Patent Rules....... 5-108§ 5:21.1 Joint Claim Terms Chart (Rule 11) ...................... 5-108§ 5:21.2 Preliminaries to the Joint Claim Terms Chart..... 5-108

[A] Initial Case Management Conference(Rule 2).......................................................... 5-108

[B] Disclosure of Asserted Claims andInfringement Contentions (Rule 6) ............... 5-109

[C] Invalidity Contentions (Rule 7)..................... 5-109§ 5:21.3 Claim Construction Briefs (Rule 12) .................... 5-109

§ 5:22 Eastern District of North Carolina Local PatentRules............................................................................. 5-109

§ 5:22.1 Joint Claim Construction and PrehearingStatement (Rule 304.3) ......................................... 5-110

§ 5:22.2 Preliminaries to the Joint Claim Constructionand Prehearing Statement ..................................... 5-111


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[A] Initial Attorneys’ Conference(Rule 302.1)................................................... 5-111

[B] Disclosure of Asserted Claims andPreliminary Infringement and InvalidityContentions (Rules 303.1 and 303.3) ........... 5-111

[B][1] Disclosure of Asserted Claims andInfringement Contentions (Rule 303.1) .... 5-111

[B][2] Disclosure of Invalidity Contentions(Rule 303.3) ............................................... 5-112

[C] Document Production AccompanyInfringement and Invalidity Contentions(Rules 303.2 and 303.4) ................................ 5-112

[D] Exchange of Proposed Terms ofConstruction (Rules 304.1 and 304.2).......... 5-113

[E] Exchange of Extrinsic Evidence in Supportof Claim Construction (Rule 304.2) ............. 5-113

[F] Meet and Confer (Rule 304.2(C)).................. 5-113§ 5:22.3 Claim Construction Discovery (Rule 304.4) ........ 5-113§ 5:22.4 Claim Construction Briefs (Rule 304.5) ............... 5-114§ 5:22.5 Claim Construction Hearing (Rule 304.6) ........... 5-114§ 5:22.6 Evidentiary and Procedure Issues.......................... 5-114

[A] Confidentiality (Rule 302.2).......................... 5-114[B] Certification of Initial Disclosures

(Rule 302.3) .....................................................5-114[C] Relationship to Federal Rules of Civil

Procedure and Local Rules (Rules 301.2,302.4, 302.5, 303.2, 303.5 and 303.6) ......... 5-115

§ 5:22.7 Design Patents (Rule 301.2).................................. 5-116§ 5:23 Middle District of North Carolina Local Patent

Rules............................................................................. 5-116§ 5:23.1 Joint Claim Construction and Prehearing

Statement (Rule 104.3) ......................................... 5-117§ 5:23.2 Preliminaries to the Joint Claim Construction

and Prehearing Statement ..................................... 5-117[A] Initial Scheduling Conference

(Rule 102.1)................................................... 5-117[B] Disclosure of Asserted Claims and

Infringement Contentions (Rule 103.1) ........ 5-118[C] Preliminary Non-Infringement and Patent

Invalidity Contentions (Rule 103.3).............. 5-118[D] Document Production Accompanying

Infringement and Invalidity Contentions(Rules 103.2 and 103.4) ................................ 5-118

[E] Exchange of Proposed Terms forConstruction (Rule 104.1)............................. 5-119


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[F] Exchange of Preliminary ClaimConstruction and Extrinsic Evidence(Rule 104.2)................................................... 5-119

§ 5:23.3 Claim Construction Discovery (Rule 104.4) ........ 5-119§ 5:23.4 Claim Construction Briefs (Rule 104.5) ............... 5-120§ 5:23.5 Claim Construction Hearing (Rule 104.6) ........... 5-120

§ 5:24 Western District of North Carolina Local PatentRules............................................................................. 5-120

§ 5:24.1 Title, Scope and Construction(P.R. 1.1 and 1.2).................................................. 5-120

§ 5:24.2 Effective Date (P.R. 1.2) ........................................ 5-121§ 5:24.3 General Provisions ................................................ 5-121

[A] Governing Procedure (P.R. 2.1) ..................... 5-121[B] Confidentiality (P.R. 2.2)............................... 5-122[C] Certification (P.R. 2.3)................................... 5-122[D] Admissibility of Disclosures (P.R. 2.4) .......... 5-122[E] Relationship to Federal Rules of Civil

Procedure Concerning Discovery (P.R. 2.5) .....5-122§ 5:24.4 Patent Initial Disclosures ...................................... 5-123

[A] Disclosure of Asserted Claims andInfringement Contentions (P.R. 3.1) ............. 5-123

[B] Document Production AccompanyingDisclosure (P.R. 3.2) ...................................... 5-123

[C] Invalidity Contentions (P.R. 3.3)................... 5-124[D] Document Production Accompanying

Invalidity Contentions (P.R. 3.4)................... 5-124[E] Disclosure Requirement in Patent Cases for

Declaratory Judgment (P.R. 3.5) .................... 5-125[F] Amending and Supplementing Contentions

(P.R. 3.6) ..........................................................5-125[G] Willfulness and Discovery of Opinions of

Counsel (P.R. 3.7).......................................... 5-126§ 5:24.5 Claim Construction Proceedings .......................... 5-126

[A] Exchange of Proposed Terms and ClaimElements for Construction (P.R. 4.1) ............ 5-126

[B] Exchange of Preliminary Claim Constructionsand Extrinsic Evidence (P.R. 4.2) .....................5-127

[C] Joint Claim Construction and PrehearingStatement (P.R. 4.3) ...................................... 5-127

[D] Completion of Claim Construction Discovery(P.R. 4.4) ..........................................................5-127

[E] Claim Construction Briefs (P.R. 4.5)............. 5-128[F] Claim Construction Hearing (P.R. 4.6) ......... 5-129

§ 5:25 Northern District of Ohio Local Patent Rules.............. 5-129§ 5:25.1 Joint Claim Construction and Prehearing

Statement (Rule 4.5) ............................................. 5-129


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§ 5:25.2 Preliminaries to the Joint Claim Constructionand Prehearing Statement ..................................... 5-130[A] Case Management Conference

(Rules 1.5 and 2.1) ........................................ 5-130[B] Disclosure of Asserted Claims and Preliminary

Infringement and Invalidity Contentions(Rules 3.1, 3.3, 3.5, 3.7 and 3.10) ................ 5-131

[B][1] Disclosure of Asserted Claims andInfringement Contentions (Rules 3.1,3.3 and 3.10) ............................................. 5-131

[B][2] Disclosure of Invalidity andUnenforceability Contentions(Rules 3.5, 3.7 and 3.10) ........................... 5-132

[C] Document Production AccompanyingInfringement and Invalidity Contentions(Rules 3.2, 3.4, 3.6, 3.7 and 3.10) ................ 5-133

[D] Exchange of Proposed Terms andConstructions (Rules 4.1 and 4.2) ................ 5-134

[E] Exchange of Intrinsic and Extrinsic Evidencein Support of Claim Construction(Rule 4.2)....................................................... 5-134

§ 5:25.3 Discovery (Rules 1.3, 4.3, 4.7 and 5.1) ................ 5-135§ 5:25.4 Claim Construction Briefs (Rule 4.4) ................... 5-135§ 5:25.5 Claim Construction Hearing (Rule 4.6) ............... 5-135§ 5:25.6 Evidentiary and Procedure Issues.......................... 5-136

[A] Confidentiality (Rule 2.2).............................. 5-136[B] Relationship to Federal Rules of Civil

Procedure and the Local Rules(Rules 1.5, 2.3, 3.2, 3.8 and 5.3) .................. 5-136

§ 5:25.7 Hatch-Waxman Litigation ..................................... 5-137§ 5:26 Southern District of Ohio Local Patent Rules .............. 5-137

§ 5:26.1 Joint Claim Construction and PrehearingStatement (Rule 105.2) ......................................... 5-138

§ 5:26.2 Preliminaries to the Joint Claim Constructionand Prehearing Statement ..................................... 5-138[A] Initial Scheduling Conference (Rule 102.1).....5-138[B] Disclosure of Asserted Claims and

Preliminary Infringement and InvalidityContentions (Rules 103.1, 103.2and 103.4) ..................................................... 5-139

[B][1] Disclosure of Asserted Claims andInfringement Contentions(Rules 103.1 and 103.2) ............................ 5-139

[B][2] Disclosure of Invalidity Contentions(Rule 103.4) ............................................... 5-140


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[C] Document Production Relating to theInfringement and Invalidity Contentions(Rules 103.1, 103.3 and 103.4)..................... 5-140

[D] Exchange of Proposed Terms andConstructions (Rules 105.1 and 105.2) ........ 5-141

[E] Exchange of Intrinsic and Extrinsic Evidencein Support of Claim Construction(Rule 105.2)................................................... 5-141

[F] Meet and Confer (Rule 105.2) ...................... 5-142§ 5:26.3 Discovery (Rules 103.8, 105.3, 106.1

and 106.2) ............................................................. 5-142§ 5:26.4 Claim Construction Briefs (Rule 105.4) ............... 5-142§ 5:26.5 Claim Construction Hearing (Rule 105.5) ........... 5-143§ 5:26.6 Evidentiary and Procedure Issues.......................... 5-143

[A] Confidentiality (Rule 102.2).......................... 5-143[B] Relationship to Federal Rules of Civil

Procedure and the Local Rules(Rules 101.2, 102.3, 102.4, 103.6and 103.7) ..................................................... 5-143

§ 5:27 Western District of Pennsylvania Local Patent Rules......5-144§ 5:27.1 Joint Disputed Claim Terms Chart (Rule 4.2) ..... 5-145§ 5:27.2 Preliminaries to the Claim Construction

Hearing .................................................................. 5-145[A] Initial Scheduling Conference (Rule 2.1)....... 5-145[B] Disclosure of Asserted Claims

and Infringement and InvalidityContentions (Rules 3.2 and 3.4) ................... 5-145

[B][1] Disclosure of Asserted Claimsand Infringement Contentions(Rules 3.2 and 3.4) .................................... 5-146

[B][2] Disclosure of Invalidity Contentions(Rule 3.4) ................................................... 5-146

[C] Document Production Relating to theInfringement and Invalidity Contentions(Rules 3.1, 3.3, 3.5 and 4.3).......................... 5-147

[D] Exchange of Proposed Terms RequiringConstruction (Rule 4.1)................................. 5-148

[E] Exchange of Extrinsic Evidence in Support ofClaim Construction (Rule 4.3)........................5-148

[F] Meet and Confer (Rule 4.2) .......................... 5-148§ 5:27.3 Claim Construction Briefs (Rule 4.3) ................... 5-148§ 5:27.4 Claim Construction Hearing

(Rules 4.3 and 4.4)................................................ 5-149§ 5:27.5 Evidentiary and Procedure Issues.......................... 5-149

[A] Confidentiality (Rule 2.2).............................. 5-149[B] Certification (Rule 2.3).................................. 5-149


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[C] Relationship to the Federal Rules of CivilProcedure and the Local Rules(Rules 1.3, 2.4, 2.5, 3.1, 3.6, 3.7,5.1 and 5.2)................................................... 5-150

§ 5:27.6 Special Master (Rule 4.5) ...................................... 5-151§ 5:28 Western District of Tennessee Local Patent Rules ........ 5-151

§ 5:28.1 Joint Claim Construction and PrehearingStatement (LPR 4.5) ............................................. 5-152

§ 5:28.2 Patent Scheduling Conference and Notice(LPR 2.1) ............................................................... 5-153[A] Patent Scheduling Conference Notice

(LPR 2.1) .........................................................5-153[B] Planning Meeting.......................................... 5-153[C] Joint Planning Report and Proposed

Scheduling Order .......................................... 5-154[D] Patent Scheduling Conference

and Procedures in General(LPR 1.5, 3.11, 3.12, 16.1 and 16.2) ............ 5-154

§ 5:28.3 Discovery (LPR 1.3, 2.2, 2.3, 4.3 and 4.7)........... 5-155§ 5:28.4 Confidentiality (LPR 2.2) ...................................... 5-155§ 5:28.5 Initial Infringement and Non-Infringement

Contentions (LPR 3.1 and 3.3)............................. 5-156[A] Initial Infringement Contentions.................. 5-156[B] Initial Non-Infringement Contentions

(LPR 3.3) ....................................................... 5-157§ 5:28.6 Initial Validity and Enforceability Contentions

(LPR 3.5 and 3.7).................................................. 5-157[A] Initial Invalidity and Unenforceability

Contentions (LPR 3.5) .................................. 5-157[B] Initial Validity and Enforceability

Contentions (LPR 3.7) .................................. 5-158§ 5:28.7 Document Production Accompanying Initial

Contentions (LPR 3.2, 3.4, 3.6 and 3.7) .............. 5-158[A] Document Production Accompanying

Initial Infringement Contentions(LPR 3.2) ....................................................... 5-158

[B] Document Production AccompanyingInitial Non-Infringement Contentions(LRP 3.4) ....................................................... 5-159

[C] Document Production Accompanying InitialContentions Relating to Validity andEnforceability (LPR 3.6 and 3.7) ................... 5-159

§ 5:28.8 Exchange of Proposed Claim Terms forConstruction (LPR 4.1) ......................................... 5-159


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§ 5:28.9 Exchange of Preliminary and Final ClaimConstructions and Evidence (LPR 4.2) ................. 5-160[A] Preliminary Claim Construction .................. 5-160[B] Supporting Materials..................................... 5-160[C] Final Proposed Claim Constructions ............ 5-160

§ 5:28.10 Claim Construction Briefs (LPR 4.4).................... 5-160§ 5:28.11 Claim Construction Hearing (LPR 4.6) ................ 5-161§ 5:28.12 Proceedings After the Court’s Claim

Constructions (LPR 3.8)........................................ 5-161[A] Final Infringement Contentions ................... 5-161[B] Final Non-Infringement, Invalidity and

Unenforceability Contentions ....................... 5-161[C] Final Validity and Enforceability

Contentions .................................................. 5-161[D] Amendments to Final Contentions .............. 5-162

§ 5:28.13 Hatch-Waxman Cases (21 U.S.C. § 355)(LPR 3.10) ............................................................. 5-162

§ 5:28.14 Advice of Counsel (LPR 4.8)................................. 5-163§ 5:28.15 Experts (LPR 5.1, 5.2 and 5.3) ............................. 5-163§ 5:28.16 Dispositive Motions and Trial

(LPR 6.1 and 6.2).................................................. 5-163§ 5:28.17 Appendices............................................................. 5-164

§ 5:29 Eastern District of Texas Local Patent Rules ................ 5-164§ 5:29.1 Joint Claim Construction and Prehearing

Statement and Claim Construction Chart(Rules 4-3 and 4-5) ............................................... 5-165

§ 5:29.2 Preliminaries to the Joint Claim Constructionand Prehearing Statement ..................................... 5-166[A] Initial Scheduling Conference (Rule 2-1) ...... 5-166[B] Disclosure of Asserted Claims and

Infringement and Invalidity Contentions(Rules 3-1, 3-3 and 3-6) ................................ 5-166

[B][1] Disclosure of Asserted Claims andInfringement Contentions(Rules 3-1 and 3-6).................................... 5-166

[B][2] Disclosure of Invalidity Contentions(Rules 3-3 and 3-6) .................................. 5-167

[C] Document Production AccompanyingInfringement and Invalidity Contentions(Rules 3-2 and 3-4)........................................ 5-168

[D] Exchange of Proposed Terms forConstruction (Rule 4-1) ................................ 5-168

[E] Exchange of Intrinsic and Extrinsic Evidencein Support of Claim Construction(Rule 4-2) ...................................................... 5-168

[F] Meet and Confer (Rule 4-2) .......................... 5-169


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§ 5:29.3 Claim Construction Discovery (Rule 4-4) ............ 5-169§ 5:29.4 Claim Construction Briefs (Rule 4-5) ................... 5-169§ 5:29.5 Claim Construction Hearing (Rule 4-6) ............... 5-169§ 5:29.6 Evidentiary and Procedure Issues.......................... 5-169

[A] Confidentiality (Rule 2-2) ............................. 5-169[B] Certification (Rule 2-3) ................................. 5-170[C] Relationship to Federal Rules of Civil

Procedure (Rules 1-2, 2-1, 3-2 and 3-5) ........ 5-170§ 5:29.7 Hatch-Waxman Litigation (Rule 3-8) .................... 5-171

§ 5:30 Local Patent Procedures for the Dallas Divisionof the Northern District of Texas ................................. 5-171

§ 5:30.1 Joint Claim Construction and PrehearingStatement and Joint Claim ConstructionChart (Paragraphs 4-3 and 4-5) ............................ 5-172

§ 5:30.2 Preliminaries to the Joint Claim Constructionand Prehearing Statement ..................................... 5-173[A] Initial Scheduling Conference

(Paragraph 2-1) .............................................. 5-173[B] Disclosure of Asserted Claims and

Preliminary Infringement and InvalidityContentions (Paragraphs 3-1,3-3, 3-6 and 3-7) .............................................5-173

[B][1] Disclosure of Asserted Claims andPreliminary Infringement Contentions(Paragraphs 3-1, 3-6 and 3-7) .................... 5-174

[B][2] Disclosure of Preliminary InvalidityContentions (Paragraphs 3-3,3-6 and 3-7)............................................... 5-174

[C] Document Production AccompanyingPreliminary Infringement and InvalidityContentions (Paragraphs 3-2 and 3-4) .......... 5-175

[D] Exchange for Proposed Terms forConstruction (Paragraphs 4-1 and 4-2) ......... 5-176

[E] Exchange of Intrinsic and Extrinsic Evidencein Support of Claim Construction(Paragraph 4-2) .............................................. 5-176

[F] Meet and Confer (Paragraph 4-2).................. 5-176§ 5:30.3 Claim Construction Discovery (Paragraph 4-4).... 5-177§ 5:30.4 Claim Construction Briefs (Paragraph 4-5)........... 5-177§ 5:30.5 Claim Construction Hearing (Paragraph 4-6)....... 5-177§ 5:30.6 Evidentiary and Procedure Issues.......................... 5-177

[A] Confidentiality (Paragraph 2-2) ..................... 5-177[B] Certification (Rule 2-3) ................................. 5-177[C] Relationship to Federal Rules of Civil

Procedure (Paragraphs 1-2, 2-4, 2-5,3-2 and 3-5) .................................................. 5-178


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§ 5:31 Southern District of Texas Local Patent Rules ............. 5-179§ 5:31.1 Joint Claim Construction and Prehearing

Statement and Joint Claim Construction Chart(Rules 4-3 and 4-5) ............................................... 5-179

§ 5:31.2 Preliminaries to the Joint Claim Constructionand Prehearing Statement ..................................... 5-181[A] Initial Scheduling Conference (Rule 2-1) ...... 5-181[B] Disclosure of Asserted Claims and

Infringement and Invalidity Contentions(Rules 3-1, 3-3, 3-6 and 3-7)......................... 5-182

[B][1] Disclosure of Asserted Claims andInfringement Contentions(Rules 3-1, 3-6 and 3-7) ............................ 5-182

[B][2] Disclosure of Invalidity Contentions(Rules 3-3, 3-6 and 3-7) ............................ 5-183

[C] Document Production AccompanyingInfringement and Invalidity Contentions(Rules 3-2, 3-4 and 4-3) ................................ 5-184

[D] Exchange of Proposed Terms forConstruction (Rules 4-1 and 4-2) ................. 5-184

[E] Exchange of Extrinsic Evidence in Supportof Claim Construction (Rule 4-2) ................. 5-185

[F] Meet and Confer (Rule 4-2) .......................... 5-185[G] Other Possible Procedures Suggested in the

Scheduling Order Template Which AreNot Specifically Covered in the Local PatentRules................................................................5-185

§ 5:31.3 Claim Construction Discovery (Rule 4-4) ............ 5-186§ 5:31.4 Claim Construction Briefs (Rule 4-5) ................... 5-186§ 5:31.5 Claim Construction Hearing (Rule 4-6) ............... 5-187§ 5:31.6 Evidentiary and Procedure Issues.......................... 5-187

[A] Confidentiality (Rule 2-2) ............................. 5-187[B] Certification (Rule 2-3) ................................. 5-187[C] Relationship to Federal Rules of Civil

Procedure and Rules of Evidence(Rules 1-2, 2-4, 2-5, 3-2 and 3-5) ................. 5-188

§ 5:32 District of Utah Local Patent Rules.............................. 5-189§ 5:32.1 Planning Conference and Scheduling Orders

(LPR 1.2) ............................................................... 5-189§ 5:32.2 Fact Discovery and Disclosures

(LPR 1.3, 1.5, 1.7, 2.1, 2.2, 2.5 and 3.3)............. 5-190§ 5:32.3 Initial Contentions (LPR 1.6, 2.3 and 2.4) .......... 5-191

[A] Initial Infringement Contentions(LPR 2.3) ....................................................... 5-192

[B] Initial Non-Infringement, Unenforceabilityand Invalidity Contentions (LPR 2.4) .............5-192


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§ 5:32.4 Final Contentions (LPR 3.1, 3.2 and 3.4) ............ 5-193§ 5:32.5 Claim Construction Proceedings (LPR 4) ............. 5-194

[A] Exchange of Proposed Claim Terms to BeConstrued and Proposed Constructions(LPR 4.1) ....................................................... 5-194

[B] Claim Construction Briefs (LPR 4.2) ............ 5-194[C] Claim Construction Hearing (LPR 4.3) ........ 5-195

§ 5:32.6 Tutorial (LPR 4.4).................................................. 5-195§ 5:32.7 Experts (LPR 5) ..................................................... 5-196§ 5:32.8 Motions (LPR 1.1 and 6) ...................................... 5-196§ 5:32.9 Final Pretrial Conference (LPR 7) ......................... 5-196§ 5:32.10 Stay Pending PTO Proceedings (LPR 3.5)............. 5-197§ 5:32.11 Confidentiality (LPR 1.4) ...................................... 5-197

§ 5:33 Eastern District of Washington Local Patent Rules ...... 5-197§ 5:33.1 Joint Claim Construction and Prehearing

Statement (Rule 132) ............................................ 5-197§ 5:33.2 Preliminaries to the Joint Claim Construction

and Prehearing Statement ..................................... 5-198[A] Initial Case Management Conference

(Attorney Report) (Rule 110) ......................... 5-198[B] Disclosure of Asserted Claims and

Infringement Contentions (Rule 120) ........... 5-199[C] Non-Infringement and Invalidity

Contentions (Rule 121)................................. 5-200[D] Document Production Accompanying

Infringement and Invalidity Contentions(Rule 122)...................................................... 5-200

[E] Exchange of Proposed Terms forConstruction (Rule 130)................................ 5-200

[F] Exchange of Preliminary ClaimConstruction and Extrinsic Evidence(Rule 131)...................................................... 5-201

§ 5:33.3 Claim Construction Discovery (Rule 133) ........... 5-201§ 5:33.4 Claim Construction Briefs (Rule 134) .................. 5-201§ 5:33.5 Claim Construction Hearing (Rule 135) .............. 5-201

§ 5:34 Western District of Washington Local Patent Rules ..... 5-202§ 5:34.1 Joint Claim Construction and Prehearing

Statement (Rule 132) ............................................ 5-202§ 5:34.2 Preliminaries to the Joint Claim Construction

and Prehearing Statement ..................................... 5-203[A] Joint Status Report (Rule 110) ...................... 5-203[B] Disclosure of Asserted Claims and

Infringement, Non-Infringement, andInvalidity Contentions (Rules 120,121, 124 and 125) ........................................ 5-204


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[B][1] Disclosure of Asserted Claims andInfringement Contentions (Rules 120,124 and 125) ............................................. 5-204

[B][2] Disclosure of Invalidity Contentions(Rules 121, 124 and 125) .......................... 5-205

[C] Document Production Relating to theInfringement, Non-Infringement andInvalidity Contentions (Rule 122) ............... 5-206

[D] Exchange of Proposed Terms andConstructions (Rules 130 and 131) .............. 5-206

[E] Exchange of Extrinsic Evidence in Supportof Claim Construction (Rule 131) ................ 5-207

[F] Meet and Confer (Rule 131) ......................... 5-207[G] Discovery (Rule 133) ..................................... 5-207

§ 5:34.3 Claim Construction Briefs (Rule 134) .................. 5-207§ 5:34.4 Claim Construction Hearing (Rule 135) .............. 5-208§ 5:34.5 Evidentiary and Procedure Issues.......................... 5-208

[A] Confidentiality (Rule 111)............................. 5-208[B] Relationship to Federal Rules of Civil

Procedure and the Local Rules(Rules 101, 112 and 123).............................. 5-209

Chapter 6 Preparing for the Hearing

§ 6:1 General Considerations.................................................... 6-2§ 6:2 Determining the Judge’s Approach................................... 6-3§ 6:3 Claim Charts.................................................................... 6-6Figure 6-1 Claim Chart—Sample ................................................ 6-7

§ 6:3.1 Claim Element Column............................................ 6-8§ 6:3.2 Construction Column ............................................. 6-10§ 6:3.3 Construction Basis Column.................................... 6-10§ 6:3.4 Patent Support/Issue Column ................................. 6-11§ 6:3.5 File History Support/Issue Column ........................ 6-12§ 6:3.6 Cited Prior Art Support Column ............................ 6-12§ 6:3.7 Extrinsic Written Evidence Column........................ 6-12§ 6:3.8 Witness Testimony Column ................................... 6-13

§ 6:4 Selecting Claims and Claim Elements forConstruction .................................................................. 6-13

§ 6:4.1 Limiting Elements to Consider............................... 6-13§ 6:4.2 Sanctions ................................................................. 6-15§ 6:4.3 Considering Claim Constructions Made

in Other Litigations ................................................ 6-17§ 6:5 Discovery........................................................................ 6-18

§ 6:5.1 Stay of Discovery..................................................... 6-20


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§ 6:6 Considering Whether to Include Alleged InfringingInformation .................................................................... 6-22

§ 6:7 Developing a Theme ...................................................... 6-24§ 6:8 Selecting Material to Be Presented ................................. 6-25

§ 6:8.1 Intrinsic Evidence.................................................... 6-26§ 6:8.2 Extrinsic Evidence ................................................... 6-28

[A] Hierarchy of Extrinsic Evidence ...................... 6-30[B] Selecting and Preparing Witnesses .................. 6-31[B][1] Person of Ordinary Skill in the

Pertinent Art ............................................... 6-31[B][1][a] Whether and How to Use a Technical

Expert ...................................................... 6-31[B][1][b] Selecting an Expert .................................. 6-35[B][1][c] Preparing Expert Submissions ................. 6-36[B][2] Using Patent Law Experts ........................... 6-37[B][3] Using Inventors........................................... 6-37[C] Dictionaries..................................................... 6-39[D] Noncited Art ................................................... 6-40[E] Other Types of Extrinsic Evidence................... 6-40

§ 6:8.3 Aids for the Court................................................... 6-41[A] Preparing Claim Charts .................................. 6-41

Figure 6-2 Claim Chart—Sample 2 ........................................... 6-42[B] Preparing Visual Aids...................................... 6-42[C] Considering and Preparing Tutorials............... 6-43[D] Considering and Preparing a Dictionary of

Terms .............................................................. 6-44[E] Selecting Physical Examples............................ 6-45[F] Providing Desk Books for the Court ............... 6-46

§ 6:9 Coordination with Other Parties .................................... 6-46§ 6:9.1 Coordination with Opposing Parties....................... 6-47§ 6:9.2 Coordination with Co-Parties ................................. 6-48

Chapter 7 Use of a Special Master, Expert Witness,Technical Advisor, or Magistrate Judge

§ 7:1 General Considerations.................................................... 7-2§ 7:2 Legal Authority ................................................................. 7-2§ 7:3 Special Masters................................................................. 7-3

§ 7:3.1 Rule 53 of the Federal Rules of Civil Procedure....... 7-3§ 7:3.2 Consent of the Parties............................................... 7-5§ 7:3.3 Timing of Appointment ............................................ 7-6§ 7:3.4 The Appointment Process......................................... 7-6§ 7:3.5 Assistance to the Special Master .............................. 7-7§ 7:3.6 Conflicts of Interest .................................................. 7-8§ 7:3.7 Scope of Duties ......................................................... 7-9


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§ 7:3.8 Order Appointing a Special Master ........................ 7-13§ 7:3.9 Liability of a Special Master ................................... 7-16§ 7:3.10 Compensation ......................................................... 7-16§ 7:3.11 Appointment of Special Masters to Hold Trial

Proceedings and Make or RecommendFindings of Fact....................................................... 7-17

§ 7:3.12 Conclusion .............................................................. 7-19§ 7:4 Expert Witness Appointed by the Court......................... 7-20§ 7:5 Technical Advisors.......................................................... 7-20§ 7:6 Magistrate Judges ........................................................... 7-20

Chapter 8 Conducting the Hearing

§ 8:1 General Considerations.................................................... 8-1§ 8:2 Theme .............................................................................. 8-3§ 8:3 Presenting the Proposed Construction ............................. 8-3

§ 8:3.1 Strategic and Tactical Considerations ....................... 8-3§ 8:3.2 Written Materials ...................................................... 8-3§ 8:3.3 Oral Argument .......................................................... 8-5§ 8:3.4 Witnesses................................................................... 8-6

§ 8:4 Creating the Record.......................................................... 8-7§ 8:4.1 Admissibility of Evidence .......................................... 8-7§ 8:4.2 Status of Court Aids ................................................. 8-8

Chapter 9 Form and Use of the Claim Construction

§ 9:1 General Considerations.................................................... 9-1§ 9:2 Form of Construction....................................................... 9-1

§ 9:2.1 Order That Provides Reasons for Construction ....... 9-1§ 9:2.2 Order That Does Not Provide Reasons for

Construction.............................................................. 9-2§ 9:2.3 Preliminary Rulings ................................................... 9-2

§ 9:3 Use at Trial....................................................................... 9-2§ 9:3.1 Jury Instructions........................................................ 9-2§ 9:3.2 Improper Uses ........................................................... 9-4§ 9:3.3 Modifications............................................................. 9-4

Chapter 10 Construing Claims Outside of MarkmanHearings

§ 10:1 General Considerations.................................................. 10-1§ 10:2 Motions for Preliminary Injunction ............................... 10-1§ 10:3 Motions for Summary Judgment.................................... 10-6§ 10:4 PTO Reexamination, Review or Reissue ........................ 10-9


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Chapter 11 Appealing Claim Constructions

§ 11:1 General Considerations.................................................. 11-1§ 11:2 Standard of Review......................................................... 11-2§ 11:3 No Interlocutory Appeals ............................................... 11-4§ 11:4 Tactics to Obtain Speedy Appeal .................................... 11-4

Appendices

Appendix A Checklist: Preparing for aClaim Construction ..................................... App. A-1

Appendix B Proposed Patent Case—Scheduling Order ......App. B-1

Appendix C AIPLA’s Model Patent Jury Instructions.......App. C-1

Appendix D Dashwire Case .............................................App. D-1

Appendix E Claim Construction Visuals for aMechanical Patent (No. 7,154,718).............. App. E-1

Appendix F Claim Construction Visuals for aMechanical Patent (No. 7,173,799)...............App. F-1

Appendix G Claim Construction Visuals for anElectrical Patent (No. 7,283,340) .................App. G-1

Appendix H Sample Tutorial ............................................App. H-1

Appendix I Stipulated Patent Case Protective Order ....... App. I-1

Appendix J Joint Claim Construction Table .................... App. J-1

Appendix K Hypothetical Claim ConstructionPresentation on the Wright Brothers’Aeroplane Patent .......................................... App. K-1

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

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

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Preface

As in many things in life, whether it be sports, entertainment orpatent litigation, there are certain occurrences which are absolutelycritical in determining whether a particular outcome is a positive ornegative. In a patent litigation, that determining occurrence is oftenthe claim construction of the patent in litigation—the determinationof the exact boundaries of the intellectual property protected by thepatent. Federal Circuit judges have described claim construction as“[t]o decide what the claims mean is nearly always to decide the case,”and “[t]he name of the game is the claim.”

In 1995, the Federal Circuit determined in the case of Markman v.Westview Instruments, Inc.1 that claim construction is solely theresponsibility of the trial judge. It is not something that could be deter-mined by the jury. The Supreme Court affirmed. The Supreme Courtreferred to claim construction as a mongrel practice. Dissenting FederalCircuit judges in Markman referred to this new procedure as “a seachange in the course of patent law that is nothing short of bizarre” andas creating “a litigation system that is unique to patent cases.”

The law as it has developed after Markman makes it clear that thereis no mandated or standard procedure required to accomplish claimconstruction. Today, in the absence of local rules which are becomingmore prevalent, claim construction procedures are largely at the discre-tion of the trial judge. Claim construction remains one of the mostdifficult and important parts of any patent infringement litigation.

A book was needed to help the practitioner navigate the seas of thisunique procedure to obtain the best possible claim construction whileat the same time minimizing the expenditure of time and money. Thisbook does that by first providing an overview of claim construction lawand procedures. It then discusses the law of claim construction,followed by practical advice on preparing for and presenting claimconstruction to the person determining the correct construction.

Any suggestions or comments are welcome at [email protected]. They will be considered for inclusion in subsequent editions ofthis book.


——————

1. Markman v. Westview Instruments, Inc., 52 F.3d 967 (Fed. Cir. 1995), aff ’d,517 U.S. 370 (1996).

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Acknowledgments

The author thanks Walton Dumas, who conducted the legal researchand analysis in the section on the pre-Nautilus law of indefinitenessof patent claims under 35 U.S.C. § 112 (section 2:4.1[A]) while he wasa law student at Columbia Law School. Mr. Dumas was thereafter lawclerk to Judge Ralph K. Winter on the U.S. Court of Appeals forthe Second Circuit. Thanks also go to Brittany M. Lischinsky whoresearched the post-Nautilus cases in this section. At the time, shewas a law student.

He also expresses his appreciation to Thomas McGahren whoco-authored with the author the paper, “Use of Special Masters inPatent Litigation: A Special Master ’s Perspective,” published in theAIPLA Quarterly Journal, Spring 1998, as well as to the AIPLA itself.That paper was updated and supplemented to form the basis ofchapter 7 on the use of magistrate judges, special masters, expertwitnesses or technical advisors to assist in claim construction.Mr. McGahren is both a doctor and a lawyer. He currently is SeniorManaging Director at Griffin Securities, Inc., in New York City.

The author thanks Mark Abate, a litigating partner at GoodwinProcter LLP in New York City. Mr. Abate was one of the counsel whoprepared the tutorial and claim construction exemplars which areincluded as Appendices F through H. These tutorial and claim con-struction materials were used successfully to have the court adopt hisclient’s proposed construction. The reported decisions in the caseappear at Pass & Seymour, Inc. v. Hubbell Inc.2 He also presented ata CLE event the hypothetical claim construction for the WrightBrothers’ aeroplane patent found in Appendix K.

Finally, appreciation is expressed to law students Darryl Green,Dana Cimera, Janelly Landa and Maria Del Pilar Rivera Ruiz,who wrote some of the summaries of local patent rules appearing inchapter 5.


——————

2. Pass & Seymour, Inc. v. Hubbell Inc., No. 5:07-cv-945, 2011 WL 32433(N.D.N.Y. Jan. 5, 2011) (Judge Mordue); Pass & Seymour, Inc. v. HubbellInc., No. 5:07-cv-945, 2009 WL 7296903 (N.D.N.Y. Dec. 30, 2009) (Mag-istrate Judge Peebles).

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