SUSAN WIGENTON, District Judge.
Before the Court are the briefs and supporting materials of Plaintiffs Howmedica Osteonics Corporation ("Howmedica") and Stryker Ireland Limited ("Stryker") (collectively "Plaintiffs") and Defendants DePuy Orthopaedics, Incorporated and DePuy Products, Incorporated ("DePuy"); Wright Medical Technology, Incorporated ("Wright"); Smith & Nephew, Incorporated ("S&N"); and Zimmer, Incorporated ("Zimmer") (collectively "Defendants") regarding the request for a patent claim construction pursuant to Local Patent Rule 4.5(a).
This Court has jurisdiction over this action pursuant to 28 U.S.C. §§ 1331 and 1338(a). Venue is proper under 28 U.S.C. §§ 1391(b) and 1400(b). This Court held a Markman hearing on May 2, 2013 and May 9, 2013 regarding patent claims in Plaintiffs' U.S. Patent No. 6,475,243 ("the '243 Patent") and Defendants' U.S. Patent No. 6,610,097 ("the '097 Patent").
This matter relates to two patents involving surgical implants used in hip replacement procedures—the '243 and '097 Patents. In the simplest terms, hip replacement surgery involves removing a diseased hip joint and replacing it with an artificial joint, called a prosthesis. There are two components of a hip prosthesis—the acetabulum (socket) and the femoral head (ball). The acetabular component consists of a shell designed to fit the acetabulum and a bearing (or insert) designed to secure into the shell, as illustrated below.
The '243 Patent addresses acetabular cup technologies featuring a dual-locking mechanism and the capability to accommodate different types of bearings (i.e. a soft polyethylene bearing and a hard ceramic or metal bearing). On May 22, 1998, the original parent application of the '243 Patent was filed. On November 5, 2002, the United States Patent and Trademark Office ("PTO") issued the '243 Patent. On December 7, 2010, the PTO issued an Ex Parte Reexamination Certificate confirming the validity of the '243 Patent. Howmedica owns the '243 Patent and Plaintiffs are joint assignees of this patent.
The '097 Patent addresses prosthetic cup assembly which includes components possessing a self-locking taper and associated method. The '097 Patent's parent application was filed on March 15, 2000. On September 25, 2001, the PTO issued a restriction requirement directing DePuy to choose between different sets of claims. DePuy chose to proceed with claims covering two-piece assemblies and not three-piece systems. The amended patent application dated June 24, 2002 reflects DePuy's intent to claim two-piece systems. The '097 Patent was issued in 2003. DePuy is the owner and assignee of the '097 Patent.
On November 4, 2011, Plaintiffs filed a Complaint alleging patent infringement and indirect patent infringement of the '243 Patent. On February 13, 2012, Defendants filed counterclaims seeking declaratory judgment of non-infringement as to the '243 Patent, declaratory judgment of invalidity as to the '243 Patent, and declaratory judgment of rights as to the '243 Patent. DePuy filed a counterclaim seeking patent infringement of the '097 Patent and indirect infringement of the '097 Patent. On November 19, 2012, the parties filed a Joint Claim Construction and Prehearing Statement for the '243 Patent and the '097 Patent. A Markman hearing was held before this Court on May 5, 2013 and May 9, 2013.
Patent claim construction is a matter of law for the court.
If the intrinsic evidence alone will not resolve the ambiguity, the court may rely on extrinsic evidence, which includes expert testimony, treatises, dictionaries and articles.
A key aspect of claim construction is to assist the jury in understanding complicated language and concepts.
The parties dispute the meanings of twenty-three claim terms or phrases with respect to the '243 Patent and the '097 Patent. The disputed terms in the '243 Patent are (1) intraoperatively; (2) system; (3) kit; (4) assembly; (5) selection of the internal bearing member; (6) juxtaposed with/location of the recess relative to the taper; (7) selectable for effective selective securement; (8) the bearing member; and (9) language relating to securement tapers. The disputed terms in the '097 Patent, in essence, are: (1) between and cavity;
Plaintiffs and Defendants disagree on the meaning of "intraoperatively" as used in claims 41 and 53 which explain that a bearing can be secured within a shell intraoperatively.
Plaintiffs define "intraoperatively" as "during an operation." (Plaintiff's Opening Markman Brief ("Pls. Op. Br.") at 9.) Defendants argue that "intraoperatively" means "in an operating room during surgery." (Defendant's Opening Markman Brief ("Defs. Op. Br.") at 10.) Both parties' proposed constructions capture the principle that "intraoperatively" means "during an operation" or "during surgery." The real dispute pertains to whether "intraoperatively" requires that the surgery or operation occur in the operating room. Defendants include the limitation that the surgery occur "in the operating room" while Plaintiffs do not. (Defs. Op. Br. 10-11; Pls. Op. Br. 9-10.) In support of their argument, Defendants contend that "during prosecution [Plaintiffs] clearly and repeatedly emphasized that the intraoperative selection and assembly of the acetabular cup occurs `in the operating room.'" (Defendants' Joint Responsive Markman Brief ("Defs. Resp. Br.") at 9 (citing to Dkt. No. 74, Ex. 2 at STRTRID00006676-78, Ex. 3 at STRTRID00006997-7016, Ex. 4 at STRTRID00007340; Dkt. No. 73 at 11-13).) Defendants further argue that Plaintiffs concede in their opening brief that "an operating room is undoubtedly where most operations occur." (Defs. Resp. Br. 10 (citing to Dkt. No. 76 at 9).)
During interpretation of a patent claim, courts should initially look to intrinsic evidence.
Based on the intrinsic evidence, in construing "intraoperatively," this Court finds that it is not necessary to include a locale limitation. A combination of the parties' proposed constructions is appropriate here. Accordingly, this Court concludes that "intraoperatively" means "during a surgical procedure."
The next three terms—system, kit, and assembly—will be discussed consecutively because their definitions are hierarchal in nature and directly affect one another. The parties agree that these terms should have different meanings as both Plaintiffs and Defendants propose different constructions for "system," "kit" and "assembly."
Plaintiffs and Defendants disagree on the construction of "system" as used in claim 41. Plaintiffs contend that "system" means "a group of related parts." (Pls. Op. Br. 13.) Defendants define a "system" as "a set of related component parts." (Defs. Resp. Br. 18.) On its face, the key difference between the parties' proposed constructions is that Defendants include the word "component" as part of their definition of "system" whereas Plaintiffs do not. (
Plaintiffs contend that inclusion of the word "component" in the definition of "system" is potentially confusing because "the required parts of the system can include a plurality of different bearings . . . [b]ut these bearings do not work together and are not components of one another." (Pls. Op. Br. 14.) Further, Plaintiffs argue that "[t]o the extent `component' is meant to convey that the shell and bearing are indeed parts of the system, such verbiage is redundant and unnecessary." (
As previously discussed, in interpreting a patent claim, courts should initially look to intrinsic evidence.
Plaintiffs and Defendants disagree on the construction of "kit of component parts" as it appears in claim 27. Plaintiffs' proposed construction of "kit" is "a set of parts from which a subset can be selected to create an assembly." (Pls. Op. Br. 16.) Defendants' proposed construction of "kit" is "a set of claimed component parts packaged together." (Defs. Op. Br. 16.) The parties do not dispute that "[a] kit includes various parts, such as a shell and bearings made of different materials." (Defs. Resp. Br. 16.) The parties' main dispute is that Defendants define "kit" as parts that are "packaged together" whereas Plaintiffs essentially refer to "kit" as a "subset" of related parts.
As previously discussed, in interpreting a patent claim, courts should initially look to intrinsic evidence.
Defendants contend that their proposed construction of "kit" aligns with the plain and ordinary meaning of the word along with how it is used throughout the '243 Patent. (
Because the intrinsic evidence is ambiguous, it is proper for this Court to consult extrinsic evidence such as dictionary definitions.
Based on the intrinsic evidence, this Court finds that nothing in the patent language or prosecution history requires that the concept of parts being "packaged together" be included in the definition of "kit." To the contrary, as both parties agree, the specification supports that a "kit" includes parts—such as a shell and various bearings—to create a bearing and shell assembly. Additionally, the extrinsic evidence also demonstrates that parts need not be "packaged together" in order to establish a "kit."
Accordingly, based on the intrinsic and extrinsic evidence, this Court finds that a "kit" is "a subset of related parts." Defining "kit" in this way adequately construes it more narrowly than "system."
Plaintiffs and Defendants disagree on the construction of an "assembly" as it appears in claims 20, 27, 41 and 53. (Pls. Op. Br. 11; Defs. Op. Br. 13.) Plaintiffs' proposed construction of "assembly" is "a collection of parts that can be fitted together as a unit." Defendants' proposed construction of "assembly" is "a set of related component parts combined to form a completed structure." (Defs. Op. Br. 13.) The heart of the parties' dispute is whether an "assembly" refers to related parts that can be combined—as proposed by Plaintiffs—versus a set of related parts that have already been combined—as proposed by Defendants. (
First, this Court will look to the intrinsic evidence in construing the term "assembly."
On the other hand, Plaintiffs argue that claim 20's preamble does not require that a shell and bearing be combined to create an "assembly."
U.S. Patent No. '243, Fig. 22 (issued Nov. 5, 2002). This figure is "an exploded elevational view, partially sectioned, showing another embodiment including
This Court finds that Plaintiffs' argument that an "assembly" exists whether or not the parts are combined may be misleading or confusing to a jury. Specifically, it blurs the distinction between a "kit" and "assembly" as both terms can potentially include parts that can be fitted together as a unit. Furthermore, Plaintiffs' contention that the words "for selective securement" in the claim language modify the term "assembly" such that an "assembly" exists so long as a bearing member is available "for selective securement" is misguided. The terms "for selective securement" appear to describe the functionality of the bearing rather than the scope or nature of the assembly. Additionally, as Defendants point out, an "exploded" view—as shown in figure 22 above—is designed to illustrate the component parts of an assembly and how they fit together to form an assembly. (
Based on the intrinsic evidence, this Court concludes that an "assembly" does require that the shell and bearing be secured together. Because neither party's construction fully captures the essence of an "assembly," a combination of the parties' proposed constructions is appropriate here. This Court finds that an "assembly" is "a collection of related parts that have been combined to form a completed unit."
Plaintiffs and Defendants disagree on the construction of language relating to the selection of the internal bearing member as it appears in claims 20 and 27.
(Pls. Op. Br. 18; Defs. Op. Br. 20.) Plaintiffs contend that this Court does not need to construe these terms. (Pls. Op. Br. 19.) Defendants propose the following construction with respect to the language relating to selection of a bearing member: "requires a surgeon to select one bearing member from a plurality of bearing members with different securement characteristics." (Defs. Op. Br. 20.) The center of the parties' dispute is whether the disputed language requires the "capability" for selection—as Plaintiffs argue—versus active selection of a particular bearing member—as Defendants argue.
This Court will look to the intrinsic evidence in construing the language relating to selection of the internal bearing member.
Plaintiffs argue that no construction is necessary here because the claim language at issue is readily understandable by a person of ordinary skill in the art. (Pls. Op. Br. 19);
In light of the intrinsic evidence, this Court finds that the language relating to the selection of a bearing member does not require construction and should be given its plain and ordinary meaning as Plaintiffs suggest. The words in the claim themselves appropriately and adequately describe what is required for selection of the internal bearing member. Nothing in the claim terms is ambiguous. Nothing in the claim terms requires that this Court read into the disputed language "active selection" of a bearing member. Additionally, Defendants concede that the disputed claim language does not identify an actor (i.e. a surgeon) to make the selection of a bearing.
The parties dispute the claim language relating to the location of the recess relative to the taper, including the words "juxtaposed with."
(U.S. Patent No. '243, Cl. 20, 27 (issued Nov. 5, 2002); U.S. Patent No. '243, Reexam., Cl. 41, 53 (issued Dec. 7, 2010).) Plaintiffs argue that the disputed language should be construed as "the first and second securing structures being
This Court will first look to the intrinsic evidence in construing the disputed claim language.
(Defs. Op. Br. 26 (citing Ex. 3 at STRTRID00007171 (lines 12-25) (emphases added); Ex. 1 at 7:8-23).) Defendants note that this language relating specifically to the relationship between the claimed securing recess and taper was not included in the parent application. (
According to Defendants, "[t]he importance of this disclosure regarding how the locations of the taper and the recess ensure the effectiveness of alignment and locking is underscored by [Plaintiffs] including the disputed language in the asserted independent claims of the '243 Patent at the same time these changes were made to the specification." (Defs. Op. Br. 26-27 (citing Ex. 3 at STRTRID00007192 (Claim 20), STRTRID00007195 (Claim 27)).)
To the contrary, Plaintiffs argue that a person of ordinary skill in the art would interpret the disputed terms "juxtaposed with" or "in juxtaposition with" to mean that the first and second securing elements are "positioned nearby" each other in the shell cavity. (Pls. Op. Br. 22.) Plaintiffs contend that the terms "placed at relative locations" supports the proposed construction that the securing elements are near each other and not specifically located midway along the taper. (
With respect to "effectiveness," Plaintiffs contend that it should be construed as the "ability" of each of the securing mechanisms to perform their intended function of "securing the bearing in the shell." (Pls. Op. Br. 23.) Other than referencing a dictionary definition, Plaintiffs do not further provide any explanation as to this aspect of their proposed construction.
In delving deeper into the parties' proposed constructions, it is helpful to consider the several substantive arguments that the parties raise with respect to their adversaries' constructions. Defendants argue that Plaintiffs' proposed construction improperly focuses only on construing "juxtaposition" through use of dictionary definitions. (Defs. Op. Br. 29.) Furthermore, Defendants argue that Plaintiffs fail to provide clarification or boundaries of the claims. (
Plaintiffs argue that Defendants' proposed construction renders several words in dispute meaningless. (Pls. Op. Br. 23.) Additionally, Plaintiffs rely on
Furthermore, Plaintiffs contend that Defendants' proposed construction violates the doctrine of claim differentiation. (Pls. Op. Br. 24 (citing
As a preliminary matter, this Court finds that it is necessary to construe more than just the terms "juxtaposed with" or "in juxtaposition" in order to clarify the disputed claims for the jury. The disputed language in claims 20, 27, 41, and 53 imposes three requirements regarding the location of the securing elements. First, the first and second securing structures "are in juxtaposition/being juxtaposed" with one another. Second, the securing structures are "placed at relative locations such that the effectiveness of the securing elements is maintained." Third, they must be "while in the presence of the other" securing elements of the bearing member. A construction of the disputed language should take into account all of these requirements.
Plaintiffs' proposed construction of "juxtaposed/juxtaposition" as "positioned nearby" is broad and vague. Likewise, Plaintiffs' proposed construction does not serve to clarify the disputed language. Instead, it provides a synonym to "juxtaposed/juxtaposition," which is not helpful for purposes of claim construction.
Moreover, contrary to Plaintiffs' arguments, it is not improper for this Court to construe "chunks of claims" for the purposes of claim construction. A court's construction does not effectively "swap out" the disputed words in a claim. Rather, the purpose of claim construction is to provide the jury "with instructions adequate to ensure that the jury fully understands the court's claim construction rulings and what the patentee covered by the claims."
With respect to Plaintiffs' "preferred embodiment" argument, Plaintiffs' reliance on
Additionally, with respect to claim differentiation, as the Supreme Court has held, "[c]laim differentiation is a guide, not a rigid rule. If a claim will bear only one interpretation, similarity will have to be tolerated."
Based on the intrinsic evidence, this Court finds that the disputed language related to the location of the recess relative to the taper including "juxtaposed with" means "the recess is essentially midway along the taper such that the effectiveness of each is not compromised."
Plaintiffs and Defendants disagree on the construction of "bearing member" as it appears in claim 20. The terms "bearing member" appear in claim 20 in the following context:
(U.S. Patent No. '243, Reexam., Cl. 20 (issued Dec. 7, 2010) (emphasis added); Pls. Op. Br. 27; Defs. Op. Br. 37.) Plaintiffs contend that "bearing member" as used in claim 20 should be construed as "bearing member that could be chosen." (Pls. Op. Br. 27.) Defendants contend that "bearing member" as used in claim 20 should be construed as "a single bearing member including both a complementary interlocking taper structure and a rib projecting from the bearing member." (Defs. Op. Br. 37-38.)
First, both parties rely on intrinsic evidence in support of their proposed constructions of "bearing member." Specifically, both parties refer to the language in claim 20's preamble which recites:
(U.S. Patent No. '243, Reexam., Cl. 20 (issued Dec. 7, 2010); Defs. Op. Br. 38; Pls. Op. Br. 27.) Based on the language in the preamble, Defendants contend that claim 20 refers to a single internal bearing member that is actively selected. (Defs. Op. Br. 38.) Furthermore, Defendants assert that the disputed claim language—namely the two "wherein clauses"—requires that the bearing member have both a tapered outer surface and a rib to lock into a recess. (
To the contrary, Plaintiffs argue that "a person of ordinary skill in the art reading claim 20 would understand that the bearing member of the claimed assembly can be selected from different bearing members that each have different securement characteristics." (Pls. Op. Br. 28.) Plaintiffs further contend that consistent with the alternate bearings described repeatedly throughout the specification, the disputed language in the "wherein" clauses describes these different bearings and their securement mechanisms. (Pls. Resp. Br. 23.) The first clause describes a bearing member with an external securing surface and a taper mechanism—such as a ceramic or metal bearing. (
Defendants accurately couch this dispute as "whether [Plaintiffs] should be permitted to read the phrase `that could be chosen' into the claim, or whether the claim language should be construed as written." (Defs. Op. Br. 37.) Defendants claim that Plaintiffs' proposed construction has no basis in the claim language as it improperly seeks to insert the words "could be chosen." (
Rather than provide clarification to the plain language, the parties' constructions needlessly complicate the otherwise understandable claim language. Thus, in light of the claim language and this Court's analysis, "bearing member" does not need to be construed and should be given its plain and ordinary meaning.
Plaintiffs and DePuy disagree on the construction of "selectable . . . for effective selective securement" as it appears in claims 20, 27, and 41.
Plaintiffs argue that the disputed terms should be considered in the context of claim 20's language as a whole. Claim 20 recites:
U.S. Patent No. '243, Reexam., Cl. 20 (issued Dec. 7, 2010). Plaintiffs argue that in this context, alternate bearings can be chosen to be secured within the shell. (Pls. Op. Br. 25-26.) According to Plaintiffs, nothing in the claim language requires that only one type of bearing be selected for securement as Defendants suggest. (
DePuy argues that the word "selective" requires that one bearing be effectively secured by one securing structure or the other, but not both. (DePuy Suppl. Op. Br. 2.) Furthermore, DePuy asserts that the specification does not describe or propose any type of bearing that includes both types of securement mechanisms—taper and rib securements. (
In reviewing the language in claim 20, the context for the disputed language is helpful, namely "whereby the one and the another of the internal bearing members each is selectable for effective selective securement within the shell member to complete the acetabular cup assembly interoperatively." The plain and ordinary meaning of this language suggests that "the one" bearing and "the another" bearing members are each selectable for effective securement within the shell member. However, nothing in the plain language indicates that more than one bearing member can be selected at the same time for securement. In fact, the briefing and Markman hearing made clear that only one bearing member can be secured in a shell at any given time and because there is no intrinsic evidence indicating that any bearing member engages both securing elements (taper and rib), it would follow that only one securement element is engaged by each bearing member. Thus, only one securement element is "selectable" for effective securement. To the extent that one bearing is chosen and not actually secured, it can be argued that the alternative bearing member could still be chosen for securement. This, however, would not be effective "selective" securement.
Accordingly, this Court finds that it would be instructive to a jury and for purposes of clarifying the terms—as understood in the patent claim language and specification—to include the concept that only one bearing can be chosen for securement at any given time. Neither party's proposed construction effectively captures this concept. Thus, a combination of the parties' proposed constructions is appropriate here. This Court finds that "selectable [for] effective selective securement" means that it "requires that the selected bearing be effectively secured by one securing structure or the other, but not both simultaneously."
Plaintiffs and Defendants—with the exception of S&N—disagree about the language relating to the securement tapers as it appears in claims 20, 27, 41, and 53. The disputed language appears in the following context:
(U.S. Patent No. '243, Reexam., Cl. 20, 41, 53 (issued Dec. 7, 2010); U.S. Patent No. '243, Cl. 27 (issued Nov. 5, 2002).) Defendants propose the following construction for the disputed language: "requires that the internal taper of the shell mates with the external taper of a sleeve secured to and separate from the bearing member." (Defs. Op. Br. 31.) Plaintiffs do not offer a construction for these terms and argue that the ordinary meaning applies. (Pls. Op. Br. 29.) S&N agree with Plaintiffs that no construction is required for these terms. (
In support of their proposed construction, Defendants assert that the '243 Patent explains that the tapered securing surface of the shell is compatible with a bearing only by using an intervening sleeve. (Defs. Op. Br. 32.) Further, Defendants point to the prosecution history where Plaintiffs described the acetabular shell as capable of accepting plastic, ceramic, or metal liners where a "titanium adapter" or sleeve is necessary to use the ceramic or metal liner. (
Plaintiffs argue that Defendants' proposed construction which includes the word "sleeve" has no basis in the claim language. (Pls. Op. Br. 30.) Specifically, Plaintiffs note that the word sleeve does not appear anywhere in the asserted claims. (
It is appropriate for this Court to first consult the intrinsic evidence related to the disputed language.
Accordingly, this Court concludes that the disputed claim language is construed to mean "requires that the internal taper of the shell mates with the external taper of a metallic securing member (i.e. sleeve) secured to and separate from the bearing member."
Plaintiffs and DePuy seek claim construction for fourteen disputed claim terms in connection with the '097 Patent. These terms will be addressed categorically as follows: location terms, connection terms, anti-rotation terms, bearing terms, and typographical errors.
Plaintiffs and DePuy dispute the meaning of "between" and "cavity" as they appear in the context of six claim terms. These six claim terms relate to the location of elements relative to either the "shell cavity" or the "bearing cavity." The disputed terms include the following:
U.S. Patent No. '097, Cl. 1, 9, 14 (issued Aug. 26, 2003). These six claim terms—namely the construction of "between" and "cavity"—will be addressed in tandem as they present common issues to be resolved uniformly.
Plaintiffs argue that the term "between" should be construed as "located in the space that separates." (Pls. Op. Br. 8.) Plaintiffs state that their proposed construction is supported by the intrinsic record and they identify Figures 8-12 for support. (
Plaintiffs argue that the word "cavity" should be construed as "the interior volume defined by the shell/bearing." (Pls. Op. Br. 8.) Plaintiffs contend that the claim language supports this construction. For instance, the claim language requires "a shell defining a shell cavity" and a "bearing defining a bearing cavity." (
U.S. Patent No. '097, Fig. 11 (issued Aug. 26, 2003). Plaintiffs note that the bearing fits in the entire interior volume of the shell and would not fit "into" something smaller. (Pls. Op. Br. 9.) Thus, Plaintiffs argue that the cavity should be construed as "the interior volume defined by the shell/bearing."
DePuy does not offer a specific construction for "between" and instead argues that the disputed language should include "is located, in an axial direction" before the word "between." (DePuy's Opening Markman Brief ("DePuy Op. Br.") at 11.) Additionally, DePuy contends that "cavity" should be construed to mean "the apex of the shell." (
(DePuy Op. Br. 11-12 (citing Ex. A, U.S. Patent No. '097 at col.6:64 — col.7:11 (issued Aug. 26, 2003)).) DePuy argues that in simpler terms, this language means that the anti-rotation recesses are near the upper rim of the shell; the annular recess is below that moving toward the apex of the shell; and the female taper extends around the entire periphery of the cavity. (DePuy Op. Br. 12.) DePuy also cites to figures in support of their proposed construction. For instance, DePuy argues that in Figure 9, as reproduced below, the female taper is located in an axial direction between the locking recess and the apex of the shell. (
(DePuy Op. Br. 13; U.S. Patent No. '097, Fig. 9 (issued Aug. 26, 2003).)
First, Plaintiffs' proposed construction of "between" as "located in the space that separates" is not rooted in intrinsic evidence and is merely a dictionary definition. In this instance, it is not appropriate to reference dictionary definitions or any other extrinsic evidence because the claim language is not ambiguous.
Next, Plaintiffs' construction of cavity being the entire volume of the shell is broad and does not necessarily comport with the intent of the inventors based on the specification. Plaintiffs state that their proposed construction is supported by the intrinsic record, but fail to articulate anything particular in the claim language or patent specification for support other than pointing to various figures. Additionally, Plaintiffs' proposed construction would not aid the jury in further understanding or clarifying the disputed language. Likewise, DePuy's proposed construction of "cavity" unnecessarily complicates the meaning of the word. This Court finds that "cavity" should be given its plain and ordinary meaning and does not require construction.
Accordingly, this Court finds that the disputed language shall be given the following meanings. First, as used in claim 1, "a female taper between said locking recess and said shell cavity" means "a female taper is located between said locking recess and said shell cavity." Second, as used in claim 1, "a male taper between said locking member and said bearing cavity" means "a male taper is located between said locking member and said bearing cavity." Third, as used in claim 9, "a female taper between said anti-rotation recesses and said shell cavity" means "a female taper is located between said anti-rotation recesses and said shell cavity." Fourth, as used in claim 9, "a male taper between said anti-rotation protrusions and said bearing cavity" means "a male taper is located between said anti-rotation protrusions and said bearing cavity." Fifth, as used in claim 14, "a locking recess disposed between said anti-rotation recesses and said shell cavity" means "a locking recess is located between said anti-rotation recesses and said shell cavity." Lastly, as used in claim 14, "a locking member disposed between said anti-rotation protrusions and said bearing cavity" means "a locking member is located between said anti-rotation protrusions and said bearing cavity."
Plaintiffs and DePuy disagree about the meaning of two "connection" terms: (1) the taper-taper connection, and (2) the locking member-locking recess connection. The disputed language—although substantially similar—will be addressed individually as they appear in different contexts.
The disputed language relating to the taper-taper connection appears in claims 1 and 9 in the following context: "wherein when said bearing is positioned within said shell cavity, (i) said male taper and said female taper engage each other to provide a first connection between said bearing and said shell." U.S. Patent No. '097, Cl. 1, 9 (issued Aug. 26, 2003). Plaintiffs argue that these terms should be construed to mean "wherein when said bearing is positioned within said shell cavity, (i) said male taper and said female taper come together to restrict relative motion between each other to provide a first locked association between said bearing and said shell." (Pls. Op. Br. 14.) DePuy argues that the terms should mean "when the bearing is placed within the shell, the male taper of the bearing engages the female taper of the shell; this is a first connection between the bearing and shell." (DePuy Op. Br. 19.)
As a preliminary matter, Plaintiffs contend that "engage" means "to come together and restrict relative motion." (Pls. Resp. Br. 13.) At the Markman hearing, DePuy noted that it "does not oppose this aspect of Styker's proposed construction." (DePuy '097 Patent Markman Powerpoint Presentation ("DePuy '097 Markman PP") at 17; Markman Hrg. Tr. at 31 (May 9, —).) Because "engage" should be given its plain and ordinary meaning, it is unnecessary to construe this term specifically. The key dispute between the proposed constructions relates to whether there is a "locked" connection. Plaintiffs argue that there is a "locked association" between the bearing and the shell whereas DePuy does not.
In support of their proposed construction, Plaintiffs rely first on intrinsic evidence. As explained in the patent specification, "[t]he taper feature of the present invention provides mechanical lock integrity . . . ." (Pls. Op. Br. 15 (citing U.S. Patent No. '097, col.6:3-4).) Plaintiffs note that the specification expressly states that the purpose of tapers is to secure the bearing in the shell. (
DePuy argues that the specification makes clear that the tapers have a "connection" to maintain alignment, but there is no requirement that there be a "locked association." (DePuy Op. Br. 21 (citing Ex. A, U.S. Patent No. '097 at col.5:1-5 (issued Aug. 26, 2003)).) DePuy notes that the specification explicitly states that tapers "may be a self-holding taper (i.e. self-locking) or a self releasing taper." (DePuy Op. Br. 20 (citing Ex. A, U.S. Patent No. '097 at col.5:5-6 (issued Aug. 26, 2003)).) DePuy contends that requiring a "locked" connection essentially reads out the "self-locking" limitation of dependent claim 4. (
This Court agrees with DePuy that the patent claim language and specification do not require that the "connection" be a "locked" association. Even putting aside the "self-locking" embodiment for which both Plaintiffs and DePuy put forth arguments, nothing in the intrinsic evidence suggests that the connection must be "locked." This Court concludes that DePuy's proposed construction is appropriate here. Thus, the disputed language "wherein when said bearing is positioned within said shell cavity, (i) said male taper and said female taper engage each other to provide a first connection between said bearing and said shell" will be construed as "when the bearing is placed within the shell, the male taper of the bearing engages the female taper of the shell; this is a first connection between the bearing and shell."
The disputed language relating to the locking member-locking recess connection appears in claim 14 and states the following: "wherein when said bearing is positioned within said shell cavity, (i) said locking member is positioned within said locking recess to provide a first connection between said bearing and said shell." U.S. Patent No. '097, Cl. 14 (issued Aug. 26, 2003). Plaintiffs argue that the disputed language should be construed as "wherein when said bearing is positioned with said shell cavity, said locking member is positioned within said locking recess to provide a first locked association between said bearing and said shell." (Pls. Op. Br. 18.) DePuy argues that the disputed language should mean "when the bearing is placed within the shell, a locking member on the bearing is positioned within a locking recess on the shell, providing a first connection between said bearing and the shell." (DePuy Op. Br. 22.)
As previously discussed with respect to the taper-taper connection, the key dispute between the proposed constructions is whether there is a "locked" connection. Plaintiffs argue that there is a "locked" association whereas DePuy asserts there is not. (
For the same reasons articulated with respect to the taper-taper connection, this Court finds that the intrinsic evidence does not require that the locking member-locking recess connection be a "locked association." The term "locked" does not appear in the claim language or patent specification. Including the word "locked" is too specific and potentially misleading as it is not based in the patent. Defendants' proposed construction provides a clear construction of the disputed language. Accordingly, this Court concludes that "wherein when said bearing is positioned within said shell cavity, (i) said locking member is positioned within said locking recess to provide a first connection between said bearing and said shell" will be construed as "when the bearing is placed within the shell, a locking member on the bearing is positioned within a locking recess on the shell, providing a first connection between said bearing and the shell."
Plaintiffs and DePuy dispute the meaning of two "anti-rotation" terms relating to recesses in the shell and protrusions on the bearing. The disputed language relating to both terms appears in the following context in claim 5: "anti-rotation recesses defined in said inner surface" and "anti-rotation protrusions in said outer surface." U.S. Patent No. '097, Cl. 5 (issued Aug. 26, 2003). Although relating to different parts of the shell and the bearing, claim construction of these terms will be addressed simultaneously because the arguments and disputes are substantially similar.
Plaintiffs argue that the disputed language relating to anti-rotation recesses should be construed as "depressions defined in the inner surface of the shell to receive protrusions to prevent rotation of the bearing within the shell." (Pls. Op. Br. 20.) DePuy argues that the disputed language relating to anti-rotation recesses means "anti-rotation recesses are in the inner surface of the shell." (DePuy Op. Br. 23.)
Plaintiffs argue that the disputed language relating to anti-rotation protrusions should be construed as "extensions extending from the outer surface of the bearing to prevent rotation of the bearing within the shell." (Pls. Op. Br. 22.) DePuy argues that the disputed language relating to anti-rotation protrusions should be construed as "anti-rotation protrusions are in the outer surface of the bearing." (DePuy Op. Br. 23.)
There are two key disputes at issue with respect to the claim construction of the anti-rotation terms. First, Plaintiffs seek to clarify the meaning of the words "recess" and "protrusions" while DePuy does not. Secondly, Plaintiffs use the word "prevent" in their proposed constructions to clarify "anti-rotation" of the bearing within the shell while DePuy argues that the anti-rotation protrusions and recesses were designed only to "inhibit" rotational movement.
In construing the disputed language, it is appropriate to first consider the intrinsic evidence. First, as it relates to the "recesses," Plaintiffs point to Figure 8 which illustrates the "depressions or indentations in the shell's inner rim." (Pls. Op. Br. 21; U.S. Patent No. '097, Fig. 8 (issued Aug. 26, 2003).) Plaintiffs argue that "[i]f the recesses were not depressions, the bearing's protrusions could not be accommodated `within' them as the `097 Patent requires." (Pls. Op. Br. 21.) With respect to the "protrusions," Plaintiffs' reference to Figure 11 demonstrates that the protrusions or "extensions" on the bearing fit within the recesses of the shell. (
DePuy asserts that the terms "recesses" and "protrusions" should be given their plain and ordinary meaning. (DePuy Op. Br. 25.) DePuy opposes Plaintiffs' proposed inclusion of "depressions" for "recesses" and "extensions" for "protrusions" because it potentially "add[s] heightened functional requirements into the claims." (
Based on the claim language and patent specification, this Court finds that it is unnecessary to include the words "depressions" for "recesses" and "extensions" for "protrusions" in construing the disputed language. The terms "recesses" and "protrusions" do not present any ambiguity. Moreover, the words "depressions" and "protrusions" are merely synonyms which do not serve to clarify their meanings.
In proposing a construction for the term "anti-rotation," Plaintiffs point to the patent specification which states that the "anti-rotation" function provides that the "rotational movement of the bearing [ ] relative to the shell [ ] is inhibited." U.S. Patent No. '097 at col.8:57-59 (issued Aug. 26, 2003). Plaintiffs also note that the patent specification states that the projections "prevent rotation" of the bearing. (Pls. Resp. Br. 20 (citing U.S. Patent No. '097 at col.4:5-8 (issued Aug. 26, 2003)).)
DePuy argues that "the anti-rotation protrusions/recesses were designed to `inhibit' rotational movement, and the patent does not require such movement to be completely prevented." (DePuy Op. Br. 25-26 (citing Ex. A, U.S. Patent No. '097 at col.7:63-65, col.8:57-59 (issued Aug. 26, 2003)).) Additionally, DePuy argues that only dependent claim 5 requires that there rotational movement be inhibited. (DePuy Op. Br. 26.) However, claims 9 and 14 only require a "second connection" between the shell and the bearing. (
In construing the "anti-rotation" function aspect of the disputed claim language, this Court finds that including the word "prevent" rotational movement is too specific and potentially confusing. The word "anti-rotation" sufficiently describes the feature to be conveyed and does not require further construction.
Based on the intrinsic evidence and the arguments presented, this Court agrees with DePuy's proposed constructions relating to the anti-rotation terms in dispute. Accordingly, "anti-rotation recesses defined in said inner surface" is construed as "anti-rotation recesses are in the inner surface of the shell." Additionally, "anti-rotation protrusions defined in said outer surface" is construed as "anti-rotation protrusions are on the outer surface of the bearing."
Plaintiffs and DePuy dispute the meaning of "bearing" as it appears and is used in claims 1, 3, 5, 7, 9, and 12-15. Plaintiffs argue that "bearing" should be construed as "a unitary structure (as opposed to a liner/bearing subassembly) of a given material with an outer surface that is generally hemispherical in shape, and an inner surface configured to receive a prosthetic femoral ball." (Pls. Op. Br. 27.) DePuy argues that "bearing" should be given its plain and ordinary meaning. (DePuy Op. Br. 27.)
Plaintiffs make clear that they seek a limited construction of the term "bearing" in an effort to prevent DePuy from "assert[ing] its patent against a three-piece Stryker product." (Pls. Op. Br. 27.) Plaintiffs contend that "DePuy has thus far refused to acknowledge that its claimed `bearing' does not encompass a liner/bearing subassembly, thus necessitating construction of the term by this Court." (Pls. Resp. Br. 24.) Plaintiffs reference the PTO's restriction that DePuy limit its claims.
DePuy repeatedly argues that the term "bearing" is not ambiguous and should be given its plain and ordinary meaning. A bearing is the part that receives the femoral head, according to DePuy. (DePuy Op. Br. 27; DePuy Resp. Br. 18.)
Based on the claim language and intrinsic evidence, this Court finds that the term "bearing" is not ambiguous and does not require construction. Moreover, Plaintiffs' argument in support of its proposed construction relies heavily on the fact that the PTO restricted DePuy to limit its claims to either the two-piece or three-piece claims. However, several courts have articulated that restriction requirements are administrative tools and do not help inform courts with respect to claim construction.
It is within a district court's power to "correct obvious minor typographical and clerical errors in patents" but "major errors are subject only to correction by the PTO."
Plaintiffs and DePuy dispute the meaning of three claim terms in the '097 Patent that DePuy labels as "typographical errors." Each of the disputed claim terms will be addressed in turn.
Plaintiffs and DePuy disagree about the meaning of "configured with, and (ii)" as it appears in claims 1, 9 and 14 as follows:
U.S. Patent No. '097, Cl. 1, 9, 14 (issued Aug. 26, 2003). Plaintiffs argue that the disputed language is ambiguous and therefore indefinite. (Pls. Op. Br. 12.) DePuy argues that "configured with, and (ii)" was a typographical error and should be corrected to "configured with (i)." (DePuy Op. Br. 27-28.)
The relevant inquiries for this Court to determine are (1) whether the alleged correction is not subject to reasonable debate; and (2) whether the prosecution history does not suggest a different interpretation of the claims. It is appropriate to begin with the intrinsic evidence relating to the disputed language. First, it is helpful to review the disputed language in the context of the entirety of the claim. Claim 1, with the disputed language highlighted, reads as follows:
A prosthetic cup assembly, comprising:
U.S. Patent No. '097, Cl. 1 (issued Aug. 26, 2003) (emphasis added). The two other claims in dispute—claims 9 and 14—are similarly structured.
Plaintiffs argue that the disputed language could mean, for instance, "said bearing having an outer surface configured with, and (ii) (ii),
On the other hand, DePuy contends that the only reasonable reading of the claim is that instead of duplicate romanettes, the second paragraph should have included romanettes (i) and (ii), similar to the first and third paragraphs. (DePuy Op. Br. 29.) DePuy also points to the prosecution history to demonstrate that claim 33 in the originally filed parent application to the '097 Patent properly uses romanettes (i) and (ii) in each of the three paragraphs. (
Based on the intrinsic evidence, this Court finds that the disputed language resulted from a typographical error and should be corrected to properly use romanettes (i) and (ii). Despite Plaintiffs' arguments, there is no reasonable debate regarding correcting the disputed language. None of Plaintiffs' suggestions for alternate interpretations are reasonably viable. Additionally, the interpretation rendered from the correction is consistent with the prosecution history as well as the reasonable interpretation of the claim language. It is important to note that this Court is not construing the disputed terms here. Instead, as it is within the Court's discretion to correct typographical errors, it is appropriate in this instance to correct the typographical error in claims 1, 9, and 14. Accordingly, the disputed language "configured with, and (ii)" will be corrected to read "configured with (i)."
Plaintiffs and DePuy disagree about the meaning of "inner" as it appears in dependent claims 2, 13, and 15 of the '097 Patent. Specifically, the claim language in dispute is "and said locking member extends circumferentially around said inner surface of said bearing." U.S. Patent No. '097, Cl. 2, 13, 15 (issued Aug. 26, 2003). Plaintiffs' proposed construction is identical to the claim language—"and said locking member extends circumferentially around said inner surface of said bearing." (Pls. Op. Br. 19.) DePuy argues that the term "inner" in this context was a typographical error and should be corrected to "outer." (DePuy Op. Br. 31.)
Plaintiffs contend that the patent specifically references and defines the "inner surface" of the bearing as the interior surface of the bearing. (
DePuy contends that the use of "inner" rather than "outer" was a draftsman's mistake. (DePuy '097 Markman PP at 56.) DePuy argues that the claim language throughout the patent makes clear that the locking member is located on the outer surface of the bearing. (DePuy Op. Br. 32.) DePuy notes that "[s]uch a connection [between the shell and the bearing] would not be possible if the locking member was on the inner surface of the bearing." (
In considering whether to correct the disputed language or adopt a proposed construction, this Court must consider (1) whether the alleged correction is not subject to reasonable debate and (2) whether the prosecution history does not suggest a different interpretation of the claims.
Moreover, as DePuy correctly notes, a claim construction that excludes the preferred embodiment "is rarely, if ever, correct and would require highly persuasive evidentiary support."
Plaintiffs and DePuy dispute the meaning of the claim term "and said first number of recesses is positioned adjacent said upper bearing rim" as it appears in dependent claim 7. Plaintiffs argue that if the disputed language is amenable to construction, it should mean "and said first number of recesses is positioned close to said upper edge of the bearing opposite its apex." (Pls. Op. Br. 25.) Alternatively, Plaintiffs argue that the claim language be deemed indefinite. (
Plaintiffs point to figures 10 and 11 of the '097 Patent to illustrate that the "upper bearing rim" is the "upper edge of the bearing opposite its apex." (Pls. Op. Br. 25-26.) Specifically, for instance, Plaintiffs assert that figure 10 displays the apex of the bearing as opposite the opening of the bearing. (
DePuy contends that "bearing" should be corrected to "shell" because it was a typographical error. (DePuy Op. Br. 34-35.) DePuy argues that the patent specification demonstrates that the anti-rotation recesses are positioned on the shell, and not the bearing. Specifically, DePuy points to figures 8 and 9 where the anti-rotation recesses are around the upper rim of the shell. (
In considering whether to correct the disputed language or adopt a proposed construction, this Court must consider (1) whether the alleged correction is not subject to reasonable debate and (2) whether the prosecution history does not suggest a different interpretation of the claims.
For the reasons stated above, this Court orders that the disputed claims in the '243 Patent and the '097 Patent be construed as set forth in this Opinion. A summary of this Court's construction of the disputed claims is provided in the corresponding Order.
U.S. Patent No. '243, Cl. 20 (issued Nov. 5. 2002).