Festo Corporation v. Shoketsu Kinzoku Kogyo Kabushiki Co., Ltd., A/K/A Smc Corporation, and Smc Pneumatics, Inc.

344 F.3d 1359
CourtCourt of Appeals for the Federal Circuit
DecidedNovember 5, 2003
Docket95-1066
StatusPublished
Cited by178 cases

This text of 344 F.3d 1359 (Festo Corporation v. Shoketsu Kinzoku Kogyo Kabushiki Co., Ltd., A/K/A Smc Corporation, and Smc Pneumatics, Inc.) is published on Counsel Stack Legal Research, covering Court of Appeals for the Federal Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Festo Corporation v. Shoketsu Kinzoku Kogyo Kabushiki Co., Ltd., A/K/A Smc Corporation, and Smc Pneumatics, Inc., 344 F.3d 1359 (Fed. Cir. 2003).

Opinions

Opinion for the court filed by Circuit Judge LOURIE, in which Circuit Judge MICHEL, Senior Circuit Judge PLAGER, and Circuit Judges CLEVENGER, RADER, SCHALL, BRYSON, GAJARSA, LINN, DYK, and PROST join.

Concurring opinion filed by Circuit Judge RADER. Opinion concurring in part and dissenting in part filed by Circuit Judge PAULINE NEWMAN, in which Chief Judge MAYER joins.

LOURIE, Circuit Judge.

This case is back to this court on remand from the Supreme Court of the United States for adjudication as to whether prosecution history estoppel bars Festo from relying on the doctrine of equivalents in this patent infringement suit. Festo Corp. v. Shoketsu Kinzoku Kogyo Kabushiki Co., 535 U.S. 722, 122 S.Ct. 1831, 152 L.Ed.2d 944 (2002) (“Festo VIII”). The sole issue specifically before us is whether Festo can rebut the presumption that the filing of narrowing amendments for the two patents in suit surrendered all subject matter between the original claim limitations and the amended claim limitations. Id. at 741, 122 S.Ct. 1831. For the reasons set forth herein, we conclude that Festo cannot overcome that presumption by demonstrating that the rationale underlying the narrowing amendments bore no more than a tangential relation to the accused equivalents or by demonstrating that there was “some other reason” such that the patentee could not reasonably [1364]*1364have been expected to have described the accused equivalents. However, we remand to the district court to determine whether Festo can rebut the presumption of surrender by establishing that the equivalents in question would have been unforeseeable to one of ordinary skill in the art at the time of the amendments.

BACKGROUND

Enough has been written about the facts and prior decisions in this case that we need not provide more than a brief summary here. This litigation began in 1988 when Festo filed suit against Shoketsu Kinzoku Kogyo Kabushiki Co. and SMC Pneumatics, Inc. (collectively, “SMC”) for infringement of United States Patents 4,354,125 (the “Stoll patent”) and B1 3,779,401 (the “Carroll patent”), which relate to magnetically coupled rodless cylinders. The United States District Court for the District of Massachusetts granted partial summary judgment that SMC’s accused device infringed claims 5, 6, and 9 of the Carroll patent under the doctrine of equivalents, and a jury found that SMC’s accused device infringed claim 1 of the Stoll patent under the doctrine of equivar lents. Festo Corp. v. Shoketsu Kinzoku Kogyo Kabushiki Co., No. 88-1814-PBS (D.Mass. Oct. 27,1994) (“Festo I”).

After initially affirming the district court’s judgment, Festo Corp. v. Shoketsu Kinzoku Kogyo Kabushiki Co., 72 F.3d 857 (Fed.Cir.1995) (“Festo II”), vacated and remanded, 520 U.S. 1111, 117 S.Ct. 1240, 137 L.Ed.2d 323 (1997) (“Festo III”),1 we eventually took the case en banc to address certain issues relating to prosecution history estoppel and the doctrine of equivalents that “remained in the wake of’ the Supreme Court’s decision in Warner-Jenkinson Co. v. Hilton Davis Chemical Co., 520 U.S. 17, 117 S.Ct. 1040, 137 L.Ed.2d 146 (1997). Festo Corp. v. Shoketsu Kinzoku Kogyo Kabushiki Co., 234 F.3d 558, 563 (Fed.Cir.2000) (en banc) (“Festo VI”). In our en banc decision, we held that: (1) a “substantial reason related to patentability” that may give rise to an estoppel is not limited to overcoming prior art under 35 U.S.C. § 102 or § 103, but encompasses other reasons relating to the statutory requirements for a patent, including compliance with 35 U.S.C. § 112, id. at 566; (2) a “voluntary” claim amendment — i.e., one neither required by a patent examiner nor made in response to a rejection by an examiner for a stated reason — may give rise to prosecution history estoppel, id. at 568; (3) no range of equivalents is available for an amended claim limitation when prosecution history estop-pel applies, id. at 569; and (4) “unexplained” amendments are not entitled to any range of equivalents, id. at 578 (citing Warner-Jenkinson, 520 U.S. at 33, 117 S.Ct. 1040). Applying those principles to the facts of this case, we concluded that the limitations at issue in the Stoll and Carroll patents had been narrowed by amendments made during prosecution and reexamination, respectively, and that Fes-to had failed to establish reasons unrelated to patentability for those amendments. Id. at 587-91. We therefore held that no range of equivalents was available for the amended claim limitations and reversed the district court’s judgment of infringement with respect to both patents. Id. at 588-91.

[1365]*1365The Supreme Court then granted certio-rari to review our en banc decision. Festo Corp. v. Shoketsu Kinzoku Kogyo Kdbushiki Co., 583 U.S. 915, 121 S.Ct. 2519, 150 L.Ed.2d 692 (2001) (“Festo VII”). First, the Court agreed with our holding that “a narrowing amendment made to satisfy any requirement of the Patent Act may give rise to an estoppel.” Festo VIII, 535 U.S. at 736, 122 S.Ct. 1831. Second, however, the Court disagreed with our adoption of a complete bar to the doctrine of equivalents when prosecution history estoppel arises. Id. at 737, 122 S.Ct. 1831. The Court instead established a presumption that a narrowing amendment made for a reason of patentability surrenders the entire territory between the original claim limitation and the amended claim limitation, and explained that a patentee may overcome that presumption by showing that “at the time of the amendment one skilled in the art could not reasonably be expected to have drafted a claim that would have literally encompassed the alleged equivalent.” Id. at 741, 122 S.Ct. 1831. Specifically, the Court enumerated the three ways in which the patentee may overcome the presumption — i.e., by demonstrating that “the equivalent [would] have been unforeseeable at the time of the [amendment],”2 that “the rationale underlying the amendment [bore] no more than a tangential relation to the equivalent in question,” or that “there [was] some other reason suggesting that the patentee could not reasonably be expected to have described the insubstantial substitute in question.” Id. at 740-41, 122 S.Ct. 1831. Observing that the narrowing amendments at issue in this case were made for reasons of patentability, the Court remanded for this court or the district court to determine in the first instance whether Festo can demonstrate that those narrowing amendments did not surrender the particular equivalents in question. Id. The Court accordingly vacated and remanded the judgment of our en banc court. Id. at 742, 122 S.Ct. 1831.

On remand, we asked the parties to brief the following issues:

1.

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Bluebook (online)
344 F.3d 1359, Counsel Stack Legal Research, https://law.counselstack.com/opinion/festo-corporation-v-shoketsu-kinzoku-kogyo-kabushiki-co-ltd-aka-smc-cafc-2003.