Lemelson v. United States

14 Cl. Ct. 318, 6 U.S.P.Q. 2d (BNA) 1657, 1988 U.S. Claims LEXIS 40, 1988 WL 15299
CourtUnited States Court of Claims
DecidedFebruary 29, 1988
DocketNo. 175-81C
StatusPublished
Cited by8 cases

This text of 14 Cl. Ct. 318 (Lemelson v. United States) is published on Counsel Stack Legal Research, covering United States Court of Claims primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

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Lemelson v. United States, 14 Cl. Ct. 318, 6 U.S.P.Q. 2d (BNA) 1657, 1988 U.S. Claims LEXIS 40, 1988 WL 15299 (cc 1988).

Opinion

OPINION

ANDEWELT, Judge.

In this patent action filed pursuant to 28 U.S.C. § 1498, plaintiff, Jerome H. Lemel-son, seeks compensation from the United States for the alleged unauthorized use of the inventions covered by three United States patents owned by plaintiff, Reissue Patent No. 26,904 (the ’904 patent), Patent No. 3,412,431 (the ’431 patent), and Patent No. 3,259,958 (the ’958 patent).1 The devices used by the United States that are alleged to be covered by plaintiff’s patents are industrial robots purchased from third-party defendants Cincinnati Milacron, Inc. (Milacron) and Champion Spark Plug Co. (Champion). Plaintiff contends that use of the Milacron robots infringes all three patents at issue, and that use of the Champion robots infringes the ’431 patent.2

[320]*320The case is presently before the Court on a motion to dismiss filed by Milacron, and on motions for summary judgment filed by Milacron and Champion which are joined in by defendant United States.3 Milacron’s motion for summary judgment covers the ’904 patent and the ’431 patent. Champion’s motion for summary judgment covers the ’431 patent.4 For the reasons set forth herein, all of the motions are denied with the exception of Milacron’s motion for summary judgment with respect to the ’431 patent, which will be resolved in a separate order.

I. Milacron’s Motion to Dismiss

Milacron moves to dismiss this action pursuant to RUSCC 41(b) as a sanction for plaintiff’s asserted failure to comply with the rules of this Court. As grounds for its motion, Milacron first contends that the complaint does not satisfy Court of Claims Rule 35(e), now RUSCC 9(h)(4). Second, Milacron contends that Lemelson instituted the suit based on a “guess” and lacked requisite knowledge that the United States infringed each of the patents listed in the complaint.

A. The Alleged Violation of RUSCC 9(h)(4)

Milacron is correct that Lemelson’s complaint does not satisfy the requirements of Rule 9(h)(4). That rule provides that “[t]he complaint shall include ... the claim or claims of the patent or patents alleged to be infringed.” But the only reference to patent claims in Lemelson’s complaint is in paragraph 6, which states that the accused devices infringe “one or more claims of each of” the cited patents. The complaint does not specify which particular claims of the cited patents were infringed.

Lemelson argues that his complaint complies with Rule 9(h)(4) because it alleges “unauthorized use ... of the inventions covered by” the patents. This broad allegation, Lemelson argues, put Milacron on notice that all claims of each listed patent were allegedly infringed. But if Lemelson meant to allege that all claims of the patents originally in issue were infringed, he should have specifically said so. Instead, he used the term “one or more claims,” which leaves indefinite precisely the information that the rule requires to be stated with definiteness.

The issue therefore becomes whether Lemelson’s failure to comply with Rule 9(h)(4) warrants dismissal of this action. While Rule 9(h)(4) is an important rule aimed at simplifying complex patent litigation, on the facts of this case, its violation does not warrant dismissal. Involuntary dismissal is “the most severe in the spectrum of sanctions provided by statute or rule.” National Hockey League v. Metropolitan Hockey Club, Inc., 427 U.S. 639, 643, 96 S.Ct. 2778, 2781, 49 L.Ed.2d 747 (1976). In a patent infringement action, dismissal has the extreme effect of depriving the patent owner of its right to enforce its patent property—property that typically is created as a result of a substantial investment by the patent owner in inherently risky research and development activities.

Involuntary dismissal is certainly appropriate where a plaintiff “repeatedly and without valid justification ignore[s] both court-imposed deadlines and court rules.” Kadin Corp. v. United States, 782 F.2d 175, 176 (Fed.Cir.1986), cert. denied, 476 U.S. 711, 106 S.Ct. 2895, 90 L.Ed.2d 982 [321]*321(1986). But here, there is no allegation that Lemelson’s violation of pleading Rule 9(h)(4) was a product of bad faith, or that he engaged in the type of dilatory and obstructionist conduct typically found to warrant involuntary dismissal. See, e.g., Kadin Corp., 782 F.2d at 176; Anchor Estates, Inc. v. United States, 11 Cl.Ct. 578, 587-588 (1987).

B. Lemelson’s Alleged Lack of Knowledge of Infringement

Milacron next asserts that the complaint should be dismissed because Lemelson had no basis for instituting this action at the time the complaint was filed and, further, continues to lack any basis for pursuing his claims. In support, Milacron relies upon certain passages from discovery responses obtained from Lemelson. For instance, when Lemelson was asked at his deposition whether, prior to the time he filed this suit, it was his opinion that the patents in suit were infringed, he answered:

I didn’t really know regarding some of the patents and I just—the patents were included because I wanted to find out from the Government if indeed they were all infringed, but I didn’t really know. I just took a guess that there may have been some relationship between all of these patents and what the Government was actually doing.

This aspect of Milacron’s motion fails for several reasons. First, Milacron places undue emphasis on Lemelson’s personal knowledge of and inquiries into infringement by the United States of his patents. Although not cited by Milacron, RUSCC 11 is controlling. That rule, in pertinent part, provides that for every pleading, motion, or other paper filed with the Court—

[t]he signature of an attorney or [absent an attorney, a] party constitutes a certificate ... that to the best of his knowledge, information, and belief formed after reasonable inquiry [the paper] is well grounded in fact....

Rule 11 thus imposes upon any individual who signs a paper submitted to the Court a duty to conduct a reasonable inquiry into the accuracy of the statements made in the paper. Here, the complaint was signed by Lemelson’s counsel, not Lemelson. The proper focus under Rule 11, therefore, should be on Lemelson’s counsel’s knowledge and level of inquiry, not Lemelson’s. DYN Logistics Services, Inc. v. United States, 6 Cl.Ct. 353, 362-363 n. 12 (1984). See also Thornton-Trump v. United States, 12 Cl.Ct. 127, 130-131 (1987). But Milacron’s motion does not discuss Lemelson’s counsel’s knowledge of or inquiry into possible infringement of plaintiff’s patents.

Second, even if we assume that Lemelson’s counsel had the same knowledge and made the same inquiries as Lemelson, Milacron still fails to establish the lack of foundation required to support a Rule 11 violation. Rule 11 does not require certainty that a plaintiff will prevail on a claim before a complaint can properly be filed. To be sure, Lemelson testified that he “guessed” that the Government was infringing some of his patents.

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14 Cl. Ct. 318, 6 U.S.P.Q. 2d (BNA) 1657, 1988 U.S. Claims LEXIS 40, 1988 WL 15299, Counsel Stack Legal Research, https://law.counselstack.com/opinion/lemelson-v-united-states-cc-1988.