JAMES F. HOLDERMAN, Chief Judge:
Plaintiffs McDavid, Inc. and Stirling Mouldings Limited ("Stirling") (collectively "McDavid") initiated this action on November 17, 2008, against their competitor defendant Nike USA, Inc. ("Nike") for infringement of U.S. Patent No. 6,743,325 ('325 Patent) based on Nike's importation of certain foam padded sportswear garments manufactured in Taiwan. The case was originally assigned to Senior United States District Judge Suzanne B. Conlon and reassigned to this court on July 24, 2009. After the parties presented their positions on the meaning of certain disputed claim terms in the '325 Patent, this court issued its claim construction opinion on September 17, 2009, 2009 WL 3010851. (Dkt. No. 137.) The court denied McDavid's motion for a preliminary injunction on January 14, 2010 (Dkt. No. 170). McDavid appealed and on October 13, 2010, the Federal Circuit affirmed this court's denial of McDavid's motion for a preliminary injunction. See McDavid Knee Guard, Inc. v. Nike USA, Inc., No. 2010-1171, 397 Fed.Appx. 655 (Fed.Cir. 2010). Meanwhile, while McDavid's appeal was pending, Stirling on May 25, 2010, obtained a reissue of the '325 Patent: U.S. Patent No. RE41,346 ('346 Patent). On July 28, 2010, 2010 WL 3003556, the court granted McDavid leave to amend its complaint to assert a claim against Nike for infringement of the '346 Patent. (Dkt. No. 267.) Disclosures and discovery proceeded consistent with this district's Local Patent Rules.
On August 17, 2011, the court denied McDavid's motion for summary judgment on claims 22-23 of the '346 Patent, granted Nike summary judgment of non-infringement as to all claims of the '346 Patent based on literal infringement, and granted Nike summary judgment of noninfringement as to claim 1 of the '346 Patent under the doctrine of equivalents. (Dkt. No. 344.) On September 13, 2011, Stirling obtained a second reissue of the '325 Patent: U.S. Patent No. RE42,689 ('689 Patent). The court again granted McDavid leave to amend its complaint to assert
Pending before the court is Nike's "Motion for Summary Judgment of Invalidity," in which it contends that Claims 1-4, 6-8, 13 and 22-25 of the '346 Patent and Claims 15, 17, 19, 20, 22, 24, 26, 30, 31, 33, 34, 36, and 38-40 of the '689 Patent are invalid. (Dkt. No. 454.) For the reasons explained below, Nike's motion is granted with respect to the asserted claims of the '689 Patent and denied with respect to the asserted claims of the '346 Patent.
The '689 Patent, like the '346 Patent,
The disclosed invention achieves the benefit of increased flexibility by including a layer of separate, spaced apart elements (usually made of foam) bonded to one or sometimes two substrates (usually made of fabric). Id. at col. 2 ll. 52-66. As the specification explains, making the foam elements separate and spaced apart "facilitates flexing of the substrate to form a curved surface and enables the material to flex in all directions without `locking up' or preventing movement in a particular direction." Id. at col. 2 ll. 64-67.
To make the manufacture of the invention feasible, the '689 Patent discloses a method for efficiently bonding the foam elements in a spaced apart relationship to the fabric substrates. Id. at col. 2 ll. 37-48. For example, in the preferred embodiment, a sheet of foam is coated with an adhesive that activates when heat is applied. Id. at col. 4 ll. 14-16. That sheet of foam is cut into the separate elements by a cutter arranged into a grid. Id. at col. 4 ll. 32-34. After cutting, the cutter acts as a jig that holds the foam elements in place while the excess material from between the elements is removed, a fabric substrate is placed over the elements, the substrate is heated to activate the adhesive, and the elements are bonded to the substrate. Id. at col. 4 ll. 35-41. As the specification explains, "[i]t will be appreciated that in this embodiment, the cutter grid acts as a jig, holding the elements in placed while the substrate layer is applied." Id. at col. 4 ll. 41-43. In some embodiments, the elements are then held by the first fabric substrate while the second fabric substrate is bonded to the other side of the elements. Id. at col. 6 ll. 21-29.
Claim 1 of the '346 Patent (which matches claim 1 of the '325 Patent) recites the process:
'346 Patent col. 6 ll. 35-48.
Much of this litigation to this point has focused on the definition of the word "jig" in that claimed process. McDavid's infringement theories regarding the '325 Patent and the '346 Patent depend on the court finding that, in the accused process, the excess foam material from which the foam elements are cut can act as the "jig" that holds the cut elements in place during bonding. (See Dkt. No. 345, at 18.) On September 17, 2009, however, the court construed the claim term "jig" to mean "a device or tool that is different from the material on which the manufacturing work is performed that holds the elements created by the patented manufacturing process in the correct position during the manufacturing process." (Dkt. No. 137, at 9 (emphasis added); see also Dkt. No. 345, at 6-8.) That definition excludes the excess foam material from the definition of a jig, a fact that formed the basis of the court's summary judgment that Nike does not literally infringe claim 1 of the '346 Patent. (Dkt. No. 345, at 18.)
McDavid filed the application that became the '689 Patent on December 18, 2009 (three months after the court's claim construction decision), and the '689 Patent issued on September 13, 2011. (Dkt. No. 457 ("Def.'s SMF") ¶ 24.) The priority date of the '689 Patent is April 23, 2002, the date the application of the '325 Patent was filed. See 35 U.S.C. § 252. Unlike claim 1 of the '346 Patent, none of the claims of the '689 Patent include a limitation requiring that a jig hold the cut elements in place.
'689 Patent col. 8 ll. 19-47 (emphasis added). By claiming only that the elements are "held" by something, but without specifying the subject, the asserted claims of the '689 Patent, unlike claim 1 of the '346 Patent, all read on an embodiment in which the excess material left after the foam elements are cut holds the elements in place during bonding.
Nike's "Motion for Summary Judgment of Invalidity" (Dkt. No. 454) now contends (among other arguments) that all asserted claims of the '689 Patent are invalid because the '689 Patent fails to satisfy the written description and enablement requirements of 35 U.S.C. § 112 by omitting from its specification any description of using excess material to hold elements during bonding.
A grant of summary judgment is proper "if the movant shows that there is no genuine dispute as to any material fact and the movant is entitled to judgment as a matter of law." Fed.R.Civ.P. 56(a); see also Celotex Corp. v. Catrett, 477 U.S. 317, 322-23, 106 S.Ct. 2548, 91 L.Ed.2d 265 (1986). "In deciding a motion for summary judgment, `[t]he evidence of the nonmovant is to be believed, and all justifiable inferences are to be drawn in his favor.'" Boston Scientific Corp. v. Johnson & Johnson, 647 F.3d 1353, 1361 (Fed.Cir. 2011) (alteration in original) (quoting Anderson v. Liberty Lobby, Inc., 477 U.S. 242, 255, 106 S.Ct. 2505, 91 L.Ed.2d 202 (1986)). "Because issued patents are presumed valid, 35 U.S.C. § 282, a party seeking to invalidate a patent must submit
Nike argues that all asserted claims of the '689 Patent are invalid because they fail to comply with the written description and enablement requirements of 35 U.S.C. § 112, ¶ 1, and that they improperly broaden claims more than two years after issuance in violation of 35 U.S.C. § 251. In addition, Nike contends that claims 15, 22, and 26 of the '689 Patent are invalid under the rule against recapture of 35 U.S.C. § 251. Finally, Nike asserts that all asserted claims in both the '346 Patent and the '689 Patent are invalid because the patentee failed to submit a declaration supporting the errors corrected during reissue as required by 37 C.F.R. § 1.175(a)(1). The court will begin by addressing the invalidity of the asserted claims of the '689 Patent under 35 U.S.C. § 112, ¶ 1.
The first paragraph of 35 U.S.C. § 112 provides that for every patent:
The Federal Circuit has recently reconfirmed that the first paragraph of § 112 contains two separate requirements: a written description requirement and an enablement requirement. Ariad Pharm., Inc. v. Eli Lilly & Co., 598 F.3d 1336, 1344 (Fed.Cir.2010) (en banc) ("We ... read the statute to give effect to its language that the specification `shall contain a written description of the invention' and hold that § 112, first paragraph, contains two separate description requirements: a `written description [i] of the invention, and [ii] of the manner and process of making and using [the invention']." (alteration in original)). The enablement requirement tests whether "one skilled in the art, after reading the specification, could practice the claimed invention without undue experimentation." Sitrick, 516 F.3d at 999. By contrast, the written description requirement tests whether "the disclosure of the application relied upon reasonably conveys to those skilled in the art that the inventor had possession of the claimed subject matter as of the filing date." Ariad Pharm., 598 F.3d at 1351. As that language suggests, both requirements test the adequacy of the specification's disclosure of the invention, but they do so in different ways.
First, enablement tests whether the specification provides sufficient information to allow one of skill in the art to practice the invention. Because a person of skill in the art already possesses substantial knowledge about the field, the disclosure need not explain the practice of the invention from scratch. Falko-Gunter
The focal point of the written description requirement, by contrast, is not the person of skill in the art, but instead the inventor. The ultimate policy interest of the requirement is to ascertain the state of mind of the inventor — specifically, whether "the inventor actually invented the invention claimed"
That is not to say that evidence extrinsic to the specification is completely irrelevant to the written description inquiry. To the contrary, the written description inquiry "is a question of fact," the outcome of which "will necessarily vary depending on the context." Id. at 1351 (citations omitted). Evidence from outside the specification is thus relevant, for "the level of detail required to satisfy the written description requirement varies depending on the nature and scope of the claims and on the complexity and predictability of the relevant technology." Id. While the enablement inquiry considers whether the invention is adequately described by the specification plus the background knowledge of one skilled in the art, the written description inquiry considers whether the invention is adequately described by the specification considered in the context of background information about the invention and the relevant field of technology.
An example will perhaps clarify the practical importance of that difference. Consider a hypothetical method claim added as part of an amendment or reissue application comprising the steps A, B, and C. In the hypothetical claim, steps A and B are novel and unfamiliar to one of skill in the art. Step C, by contrast, is well known. The claim will likely be enabled if the specification describes how to complete steps A and B, even if it does not mention step C, because the hypothetical facts support the finding that a person of skill in the art would understand without undue experimentation that step C must be appended to steps A and B to practice the invention. In other words, the steps described in the specification (A and B) are added to the knowledge that a person of skill in the art would apply to the invention without performing undue experimentation (C) to obtain the scope of enablement (A, B, and C).
By contrast, to satisfy the written description requirement, steps A, B, and C all must appear in the specification to indicate that the inventor actually thought of combining steps A, B, and C. The fact that step C is already well known in the field is context indicating that step C need not be described to the same extent as steps A and B, but the specification must at least sufficiently demonstrate that the inventor conceived of step C as part of the invention. If the specification fails to mention step C at all, the claimed invention will not be adequately described, even if one of skill in the art could figure out to use step C as part of the invention without undue experimentation.
Because that distinction will not come into play in every case, however, it is plain that "written description and enablement often rise and fall together." Ariad Pharm., 598 F.3d at 1352. In the hypothetical example above, the invention would meet both the enablement and written description requirements if the specification explicitly and adequately described all three steps A, B, and C, regardless of the state of the field or the level of knowledge of a person of skill in the art. The first consideration in applying both the law of enablement and written description is therefore to determine whether the specification expressly describes each element of the claimed invention, an analysis to which this court now turns.
An examination of the specification of the '689 Patent, which is identical to the specification of the '325 Patent, reveals that it does not expressly disclose the use of excess material to hold the foam elements in place during bonding to the fabric substrate. It is undisputed that the preferred embodiment of the '689 Patent refers to only the use of the cutter acting as a jig to hold the elements in place during bonding. See '689 Patent col. 4 ll. 23-25 ("[A] cutter which acts as the jig ... to hold the elements in place while the substrate layer is applied thereto."); id. at col. 4 ll. 42-44 ("It will be appreciated that in this embodiment, the cutter grid acts as a jig, holding the elements in placed [sic], while the substrate layer is applied."). McDavid contends that the court should nonetheless find an express disclosure of the use of excess material to hold the elements in place in the alternative embodiments of the specification.
First, McDavid points to the alternative embodiment disclosing that "[i]f the flexible material is to be cut into large pieces, in particular large irregularly shaped pieces, then these pieces may be assembled into a specially constructed jig to hold them into place before application of the substrate." Id. at col. 4 ll. 43-47; see also id. at col. 6 ll. 6-10 ("If the foam 10 is to be cut into large pieces, in particular large irregularly shaped pieces such as may be suitable for use in an equestrian jacket, then these pieces may be assembled into a specially constructed jig to hold them into place before application of the fabric substrate 14."). McDavid contends, consistent with the testimony of David Taylor, the inventor of the '689 Patent (Dkt. No. 508 ("Pl.'s SMF") ¶ 5), that the "specially constructed jig" can be made out of the same foam material from which the elements are cut. There are two problems with McDavid's argument. First, the court has already construed the claim term "jig" to be "a device or tool that is different from the material on which the manufacturing work is performed." (Dkt. No.
McDavid next argues that dependent claim 4 of the original '325 Patent provides express disclosure of using excess material to hold the foam elements. See Crown Packaging Tech., 635 F.3d at 1380 ("Original claims are part of the specification and in many cases will satisfy the written description requirement."). Dependent claim 4 specifies the method of claim 1 "wherein any excess resilient material located between the plurality of spaced separate elements is retained in the cutter." As McDavid's expert, Glenn Beall, stated in his July 26, 2012, declaration, claim 4 discloses an embodiment in which the elements are "held in place by both the cutter and excess material during the first bonding operation." (Dkt. No. 511 ("Beall Decl.") ¶ 15 (emphasis added).) According to Mr. Beall, that alternative embodiment discloses the use of the excess material to hold the cut elements. Mr. Beall states that the same embodiment is disclosed by two statements in the specification. (Beall Decl. ¶¶ 11, 14, 21.) The first, in context, reads as follows:
'689 Patent col. 4 ll. 24-29 (emphasis added). The second states that "[i]n an alternative method, ejectors are disposed in the cutter grid to eject the elements, leaving any waste material behind in the cutters." Id. at col. 6 ll. 3-5. According to Mr. Beall, both of those statements also disclose the same embodiment in which the elements are held by both the cutter acting as a jig and the excess material.
As Mr. Beall's own statements indicate, however, even in this alternative embodiment, the elements are not held solely by the excess material. (See Beall Decl. ¶ 14 ("The excess material thus assists in holding the cut elements in position ...." (emphasis added)); id. ¶ 16 ("[I]n this alternative disclosed embodiment, the excess material surrounds the cut elements and thereby performs the function of holding the elements in place during bonding, along with the cutter blades. (emphasis added)).) Common sense, moreover, suggests that the cutter is the actual instrumentality performing the holding function. After cutting the elements from the excess material, the cutter must logically be in between the elements and the excess material. Indeed, Mr. Beall's sketch of the alternative embodiment shows that to be the case. (See Beall Decl. ¶ 16.) Moreover, because the cutter must be rigid to perform the cutting function, the cutter can perform the function of holding the elements in place regardless of whether the excess material is on the side of the cutter blade opposite the elements. Even if the excess material remains in the cutter, therefore, the cutter itself is actually performing the holding function, and the excess material is merely extraneous.
As described above, however, the asserted claims of the '689 Patent may still be enabled if the knowledge of a person of skill in the art supplies enough of the missing information to make or use the invention without undue experimentation. On that point, Mr. Beall opines that "it was well known in the art to use excess material to hold a workpiece in place during manufacturing." (Beall Decl. ¶ 22; see also Pl.'s SMF ¶¶ 6, 10.) In support of that opinion, Mr. Beall points to five different patents and one trade publication, all of which precede the priority date of the '689 Patent, that describe the use of excess material to hold elements after cutting. (Dkt. No. 300, ¶¶ 29-31.) As one patent for a method of toy manufacturing teaches:
U.S. Patent No. 1,839,889 p. 2 ll. 6-14, 36-51 (filed Apr. 9, 1930). Mr. Beall also states that, because using excess material for holding is common, a person of skill in the art could practice the method of the claims of the '689 Patent after only a few hours of experimentation. (Beall Decl. ¶¶ 28-29.) Viewing those facts in the light most favorable to McDavid, as the court must on summary judgment, the court concludes that a reasonable jury could find that holding elements in place with excess waste material during bonding was well known in the art before the priority date of the '689 Patent.
Nike next contends, however, that a person of skill in the art nonetheless would not necessarily be enabled to use the excess material to perform the holding function in this particular context. (Dkt. No. 456, at 6; Dkt. No. 514, at 4-6; Dkt. No. 523, at 4-7.) Specifically, Nike points out that the test is not whether a person of skill in the art would know how to use excess material to hold the elements in the abstract, but instead whether he knows how to use excess material to hold the elements to complete the claim step of "bonding the top and bottom surfaces of
McDavid responds that the "bonding" limitation in claims 15 and 22 of the '689 Patent does not require the excess material to hold the elements while both the top and bottom surfaces are bonded to the fabric substrates. (Dkt. No. 507, at 6-7; Dkt. No. 522, at 5-8.) Instead, McDavid asserts that the bonding limitation reads on a process in which the excess material holds the elements during bonding of one of the surfaces to one of the fabric substrates. The excess material is then removed prior to bonding the second fabric substrate to the other surface, just as the jig is removed prior to bonding the second substrate in the preferred embodiment. See '689 Patent col. 4 ll. 38-40, col. 6 ll. 1-2. The elements are still "held" however, because the first fabric substrate holds the elements in place during bonding of the elements to the second fabric substrate. According to McDavid, the "bonding" limitation is therefore enabled.
In essence, the parties disagree over an issue of claim construction. Nike contends that the elements are not "held" unless they are held by the same apparatus while each of the steps in the "bonding" limitation is completed. By contrast, McDavid asserts that "the elements are
Unlike the enablement requirement, however, the written description requirement cannot be satisfied merely by plugging any gaps in the specification with the knowledge of one of skill in the art. See supra Part 1A. That is because "a description that merely renders the invention obvious does not satisfy the requirement." Ariad Pharm., 598 F.3d at 1352 (citing Lockwood v. Am. Airlines, Inc., 107 F.3d 1565, 1571-72 (Fed. Cir.1997)). Instead, the specification must provide "sufficient detail that one skilled in the art can clearly conclude that the inventor invented the claimed invention as of the filing date sought." Lockwood, 107 F.3d at 1572; see also id. at 1571-72 ("Entitlement to a filing date does not extend to subject matter which is not disclosed, but would be obvious over what is expressly disclosed. It extends only to that which is disclosed."). The court has already concluded that the specification of the '689 Patent does not refer to the use of excess material to hold the elements during bonding. See supra Part I.B. Thus, even if the use of excess material was obvious to one of skill the art, Mr. Taylor failed to explicitly disclose that he actually invented a process including the use of excess material for holding.
McDavid contends that the written description is nonetheless sufficient because it need not describe every possible embodiment of the "bonding" limitation, so long as it describes at least one embodiment. (Dkt. No. 507, at 5-7; Dkt. No. 522, at 7-8.)
Significantly, although the problem of a broad unsupported genus claim "is particularly acute in the biological arts," id. at 1352-53, the Federal Circuit has applied the same standard in other contexts to invalidate generic claims supported by a limited number of specific embodiments. See, e.g., LizardTech, Inc. v. Earth Res. Mapping, Inc., 424 F.3d 1336, 1344 (Fed. Cir.2005) (holding that, in a method for compressing digital images, the disclosure of only one method to achieve a step of the compression does not support a claim that is generic as to the particular method used for that step); Gentry Gallery, Inc. v. Berkline Corp., 134 F.3d 1473, 1475 (Fed. Cir.1998) (holding that a broad claim allowing the controls on a reclining sofa to be mounted anywhere is not supported by a specification describing only controls mounted on a console); In re Barker, 559 F.2d 588, 591 (C.C.P.A.1977) (holding that a broad claim requiring selecting a backing board having a length at least as long as six shingles is not supported by a specification contemplating only backing boards the length of eight or sixteen shingles). Thus, the Federal Circuit has reiterated the standards for addressing broad genus claims in a recent case involving a computer engineering patent:
Hynix Semiconductor Inc. v. Rambus Inc., 645 F.3d 1336, 1352 (Fed.Cir.2011)
Here, the court holds that McDavid's generic claim to all embodiments in which the "elements are held" is not sufficiently supported by a specification that describes only a jig performing the holding step, because a person of skill in the art would not understand the inventor, Mr. Taylor, to have possessed the broader genus. To be sure, a person of skill in the art would understand from the specification that the inventor possessed the entire genus comprising a jig holding the elements in place. The specification repeatedly teaches the use of a jig to hold the elements in place, and it describes at least two specific jigs that could be used for the purpose. '689 Patent col. 4 ll. 23-25 (a cutter acting as the jig); id. at col. 4 ll. 42-44 (same); id. col. 6 l. 9 (specially constructed jig).
The specification does not, however, support the broader genus including all possible means of holding the elements. To see why, one must understand the relationship between the two genuses. The narrower jig genus already possesses considerable breadth. The court has defined a jig to be "a device or tool that is different from the material on which the manufacturing work is performed that holds the elements created by the patented manufacturing process in the correct position during the manufacturing process." (Dkt. No. 137, at 9; see also Dkt. No. 345, at 6-8.) In other words, a "jig" is a device or tool A) that holds and B) that is different from the excess material. The broader claims of the '689 Patent including all means of holding have therefore merely removed "B" from the limitations applicable in the jig genus. In other words, the only additional material that the new genus adds is the embodiment in which the excess material holds the elements. Every other device or tool that could possibly hold the elements already falls within the definition of a "jig."
The adequacy of the written description therefore turns on the question of whether the specification would indicate to one of skill in the art that the inventor contemplated, beyond using a jig, that one could use the excess material to hold the elements. The court has already held during claim construction, however, that a person of skill in the art would not have understood a jig to include excess material. (Dkt. No. 137, at 6 ("The court finds that after reviewing both the intrinsic evidence and the dictionary definition that neither the material upon which work is performed nor any parts of that material would qualify as a `jig' according to the plain and ordinary meaning of the word as it would be understood by a person of ordinary skill in the art in July 2000."); see also id. at 7 (explaining that the available extrinsic evidence, including the testimony of both side's experts, supports the exclusion of excess material from the definition of a jig).) The specification's description of various jigs to perform the holding step is therefore inadequate. No matter how many different jigs the specification describes, it does not indicate that the inventor thought of using something other than a jig — the excess material — to hold the elements in place.
Moreover, on summary judgment McDavid has not produced any additional evidence indicating that a person of skill in
The only remaining argument that must be addressed is Nike's contention that the '346 Patent is invalid because the patentee failed to submit a declaration supporting the errors corrected during reissue as required by 37 C.F.R. § 1.175(a)(1). McDavid asserts that Nike's argument regarding the insufficiency of the declaration is waived because Nike failed to assert that argument in its invalidity contentions. Nike does not dispute that its original invalidity contentions did not assert that argument, but instead argues that it added the contention when the court granted it leave to supplement its invalidity contentions on February 12, 2012. (Dkt. Nos. 437, 446.) The court's order granting leave to amend, however, plainly stated that "[t]he parties may file supplemental or amended infringement, non-infringement, and invalidity contentions that relate to the '689 Patent." (Dkt. No. 446 (emphasis added).) At no point did the court grant Nike leave to amend its invalidity contentions with respect to the '346 Patent. Accordingly, Nike's argument that the '346 Patent is invalid because the patentee failed to submit a declaration supporting the errors corrected during reissue is waived.
For the reasons explained above, Nike's "Motion for Summary Judgment of Invalidity" (Dkt. No. 454) is granted in part and denied in part. The court grants Nike summary judgment that all asserted claims of the '689 Patent are invalid. The court denies Nike summary judgment that all asserted claims of the '346 Patent are invalid. Accordingly, "Nike's Motion for Summary Judgment of Non-Infringement" (Dkt. No. 462), Nike's "Motion to Strike Plaintiffs' Reply to Nike's Non-infringement Contentions" (Dkt. No. 473), McDavid's "Motion for Summary Judgment of No Invalidity of U.S. Patent No. RE42,689 Under 35 U.S.C. § 251" (Dkt. No. 470), McDavid's "Motion for Summary Judgment of No Invalidity of U.S. Patent No. RE42,689 Under 35 U.S.C. § 112" (Dkt. No. 477), and McDavid's "Motion for Claim Construction of U.S. Patent No. RE42,689" (Dkt. No. 483) are terminated as moot. To the extent any of the mooted motions address issues related to the '346 Patent, they may be refiled. A status hearing is set for 9/27/12.