A Lawyer's Guide to Section 337 Investigations Before the U.S. International Trade Commission

by Schaumberg, Tom M.

• ISBN13: 9781604426496
• ISBN10: 1604426497
• Format: Paperback
• Copyright: 2011-07-16
• Publisher: Amer Bar Assn

Summary

As practice under Section 337 has grown, so has interpretation of the law. Many precepts once taken for granted have been overruled and others have arisen that will survive until challenged in the future. This guide provides an introduction to practice under Section 337 before the U.S. International Trade Commission for those who are not familiar with it, or for those who want a quick update. The guide will provide the reader with a better understanding of what to expect when filing a complaint or in being named as a respondent in a Section 337 investigation.

Table of Contents

Preface	p. ix
Acknowledgments	p. xi
About the Author	p. xiii
List of Abbreviations	p. xv
Introduction to Section 337 Investigations	p. 1
Historical Background	p. 4
Uniqueness of the ITC	p. 7
Statutory Elements	p. 8
Advantages of Section 337	p. 10
Types of Investigations	p. 17
Patent	p. 17
Trademark	p. 18
Trade Dress	p. 20
Trade Secret	p. 22
Copyright	p. 23
Other Unfair Acts	p. 24
Participants	p. 29
Commission	p. 29
Administrative Law Judge	p. 31
Office of Unfair Import Investigations	p. 33
Complainant	p. 34
Respondent	p. 35
Third Parties	p. 37
Elements of a Section 337 Investigation	p. 41
Importation	p. 41
Unfair Act	p. 44
Domestic Industry	p. 47
Economic Prong	p. 48
Manufacturing-Based Domestic Industry Analysis	p. 49
Non-Manufacturing-Based Domestic Industry Analysis	p. 53
Technical Prong	p. 56
Injury	p. 57
Factors Considered in an Injury Analysis	p. 58
Threat of Substantial Injury (Probable Future Injury)	p. 60
What Is Substantial Injury?	p. 62
Causal Nexus	p. 63
Commencement of the Investigation	p. 65
Preparing the Complaint	p. 65
Prefiling Review of the Complaint	p. 66
Institution of the Investigation	p. 66
Prehearing Procedures	p. 67
Modifying the Ground Rules	p. 69
Modifying the Protective Order	p. 70
Stays of the Procedural Schedule	p. 72
Consolidation of Investigations	p. 77
Temporary Relief Proceedings	p. 79
Discovery	p. 85
Timing	p. 85
Service Methods	p. 86
Limitations as to Scope or Number	p. 86
Ground Rules	p. 87
Protective Order	p. 87
Interrogatories	p. 88
Production of Documents	p. 89
Types	p. 89
Documents in Lieu of Answers	p. 92
Requests for Admission	p. 94
Requests for Entry on Land or Inspection	p. 96
Depositions	p. 98
Review and Alteration of Depositions	p. 99
Corporate Witnesses	p. 102
Deposition Notice Versus Contention Interrogatories	p. 103
Depositions in Foreign Countries	p. 104
Expert Discovery	p. 105
Third-Party Discovery	p. 106
Obtaining Discovery from Third Parties by Means of Subpoena	p. 107
Obtaining Discovery -from Controlled Third Parties	p. 109
Obtaining Discovery from Foreign Third Parties	p. 113
Obtaining Discovery from Third Parties with Whom Parties in Suit Have a Nondisclosure Agreement	p. 115
Privileges	p. 117
Application of Domestic Concepts of Privilege	p. 117
Foreign Privilege Laws	p. 119
Communications Between Clients and Foreign Patent Agents Who Are Not Attorneys	p. 121
Motions to Compel	p. 122
Sanctions	p. 122
Evidentiary	p. 122
Disqualification of Attorney or Firm	p. 125
Production of Highly Confidential Source Code	p. 127
Interlocutory Appeals and Summary Determination	p. 131
Interlocutory Appeals of ALJ Decisions	p. 131
Writs of Mandamus to the Court of Appeals for the Federal Circuit	p. 134
Motions for Summary Determination	p. 135
Termination Prior to Hearing	p. 139
Settlement	p. 139
Consent Order	p. 141
Default	p. 143
Arbitration	p. 144
Withdrawal	p. 145
Prehearing Preparation	p. 147
Prehearing Statements	p. 147
List of Testifying Witnesses	p. 147
List of Exhibits	p. 148
Stipulations	p. 148
Positions on the Issues	p. 148
Proposed Agenda for the Prehearing Conference	p. 148
Statement Regarding Use of Depositions	p. 149
Statement Regarding Opening and Closing Arguments	p. 149
Exhibits	p. 149
Motions in Limine	p. 150
Markman Hearings	p. 151
Tutorials	p. 151
Prehearing Conference	p. 152
Hearing and Post-hearing	p. 153
Opening Statements	p. 154
Order of Presentation	p. 154
Witness Examination	p. 155
Admission of Evidence	p. 155
Commission Record	p. 156
Post-hearing Briefs	p. 157
Closing Arguments	p. 158
Initial Determination and Recommended Determination	p. 158
Types of Relief	p. 159
Limited Exclusion Order	p. 159
General Exclusion Order	p. 163
temporary Exclusion Order	p. 165
Cease and Desist Order	p. 166
In Personam Jurisdiction over Foreign Respondents	p. 170
Policy Considerations Mandating Issuance of a Cease and Desist Order	p. 171
Bond	p. 171
Determination of the Appropriate Bond	p. 172
Bond Forfeiture Proceedings	p. 173
Downstream Relief	p. 173
Commission Review, Public Interest, and Presidential Review	p. 179
Commission Review	p. 179
Public Interest	p. 182
Presidential Review Period	p. 186
Federal Circuit Review of Section 337 Decisions	p. 191
Jurisdiction	p. 192
Adversely Affected Parties	p. 192
Determination on the Merits	p. 193
Final Determination	p. 194
Standards of Review	p. 195
Claim Construction	p. 195
Factual Findings	p. 195
Section 337 Interpretation	p. 196
Issue Preclusion	p. 197
Timing Issues	p. 198
Waiver	p. 198
Parallel and Subsequent District Court Litigation	p. 201
Stay	p. 202
Res Judicata	p. 205
Res Judicata Effect of Commission Determinations in District Court	p. 205
Res Judicata Effect of District Court Determinations Before the Commission	p. 206
Collateral Estoppel	p. 207
Transfer of Records	p. 208
Proper Request by the District Court	p. 209
Record Proffered by the Parties	p. 209
Use of Confidential Business Information	p. 210
Protective Order Destruction Clause	p. 211
Enforcement, Advisory Opinions, and Design- Around	p. 213
Commission Enforcement of Remedies	p. 213
Customs Patent Enforcement	p. 214
Customs Administrative Rulings Regarding Exclusion Orders	p. 215
Customs Penalty Action in Patent Enforcement Cases	p. 216
Advisory Opinions	p. 217
Design-Around	p. 218
Frontiers of Section 337	p. 223
Non-IP Causes of Action as Unfair Methods of Competition	p. 224
Antitrust	p. 225
Uncharted Waters: Child Labor and Sustainable Environmental Practices	p. 226
Non-practicing Entities and the Domestic Industry Requirement	p. 227
Index	p. 233
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