US Philips Corp. v. Iwasaki Elec. Co. Ltd.

505 F.3d 1371, 85 U.S.P.Q. 2d (BNA) 1097, 2007 U.S. App. LEXIS 25585, 2007 WL 3225917
CourtCourt of Appeals for the Federal Circuit
DecidedNovember 2, 2007
Docket2007-1117
StatusPublished
Cited by65 cases

This text of 505 F.3d 1371 (US Philips Corp. v. Iwasaki Elec. Co. Ltd.) 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.

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US Philips Corp. v. Iwasaki Elec. Co. Ltd., 505 F.3d 1371, 85 U.S.P.Q. 2d (BNA) 1097, 2007 U.S. App. LEXIS 25585, 2007 WL 3225917 (Fed. Cir. 2007).

Opinion

LINN, Circuit Judge.

U.S. Philips Corporation appeals from a final judgment entered pursuant to Fed. R.Civ.P. 54(b) in favor of Iwasaki Electric Company Ltd. by the United States District Court for the Southern District of New York. Specifically, U.S. Philips challenges the district court’s decision to limit U.S. Philips’s right of recovery to acts of infringement after the complaint was filed, based on a failure of notice; its claim construction ruling relating to U.S. Patent No. 5,109,181 (“the '181 patent”); and its decision to grant partial summary judgment of noninfringement as to those accused products not subject to the temporal limitation of liability. Because Iwasaki was properly on notice of potential infringement before the filing of the complaint, we reverse the district court’s determination that notice was inadequate until the instant suit was filed and the concomitant limitation of liability. We affirm the district court’s claim construction, and with it the entry of partial summary judgment of no literal infringement. Finally, because the district court erred in concluding that the doctrine of equivalents is foreclosed as to the disputed claim limitation, we vacate the partial summary judgment of nonin-fringement under the doctrine of equivalents, and we remand for consideration of *1373 infringement under the doctrine of equivalents as well as for consideration of literal infringement from June 7, 2000, the date notice was provided, until the filing of the complaint.

I. BACKGROUND

The '181 patent is directed to high-pressure mercury vapor discharge lamps filled with a gaseous mixture in which “at least one of the halogens Cl, Br or I is present in a quantity between 10 and 10 ^ irmol/mm3.” '181 patent, claim 1. The halogen transports tungsten evaporated during the normal operation of the lamp back onto the electrodes, creating “an improved color rendition and a longer life.” Id., col. 1,1. 49.

U.S. Philips is the assignee of the '181 patent. On June 7, 2000, Mr. Rolfes, an employee of Philips International B.V., Corporate Intellectual Property, sent Iwa-saki a letter on Philips International B.V. letterhead (“the Rolfes letter”). That letter notified Iwasaki of potential infringement of “at least four of our patents and patent applications” by Iwasaki’s UHE-U HSCR 120 E5H lamp. The '181 patent was listed in the letter, and a copy of the patent was enclosed. The letter also contained an offer for a non-exclusive license. The letter did not identify U.S. Philips as the patent owner or identify Mr. Rolfes as an attorney, nor did it disclose the corporate relationship between U.S. Philips and Philips International B.V. The letter did, however, identify Mr. Rolfes as “Patent Portfolio Manager,” speaking on behalf of “Corporate Intellectual Property, Philips International B.V.” Before the district court, witnesses for U.S. Philips testified that the corporate intellectual property department of Philips International B.V. is responsible for prosecution, licensing, and enforcement of many of the patents that belong to the Philips family of companies, including patents assigned to U.S. Philips Corporation. U.S. Philips Corporation is “an IP holding company on behalf of ... the overall Philips organization” and has no employees.

U.S. Philips filed suit against Iwasaki, alleging infringement of independent claim 1 of the '181 Patent, which reads in relevant part:

A high-pressure mercury vapor discharge lamp comprising ... a filling essentially consisting of mercury, a rare gas, and a halogen for maintaining a tungsten transport cycle during lamp operation, characterized in that ... at least one of the halogens Cl, Br or I is present in a quantity between 10 ~6 and 10 ~4 ixmol/mm3.

'181 patent, claim 1. The district court construed the phrase “a quantity between 10 and 10 |xmol/mm3” as “a quantity between 1 divided by 1,000,000 and 1 divided by 10,000 micromoles per cubic millimeter,” or, in alternative terms also stated by the district court, “a quantity between 1 x 10 and 1 x 10-4 ¡xmol/mm3.” U.S. Philips Corp. v. Iwasaki Electric Co., No. 1:03-CV-172-PKC, slip op. at 9, 2006 WL 20504 (S.D.N.Y. Jan. 3, 2006) (“Claim Construction Opinion ”).

In a subsequent partial summary judgment opinion, the district court confronted the question of whether the Rolfes letter provided adequate notice within the meaning of 35 U.S.C. § 287(a). U.S. Philips Corp. v. Iwasaki Electric Co., No. 1:03-CV-172-PKC, slip op. at 5-8, 2006 WL 2792693 (S.D.N.Y. Sept. 28, 2006) (“Summary Judgment Opinion”). The district court addressed this as a preliminary matter, rather than simply as a question of damages, because it considered the issue potentially dispositive of literal infringement. Because it was uncontested that Philips did not mark its lamps as permitted by § 287(a), if the Rolfes letter did not *1374 constitute notice under § 287(a), then Iwa-saki’s liability would be limited to any acts of infringement since January 8, 2003, the date the complaint in this action was filed. Since that date, it is uncontested that Iwa-saki’s lamps have had a target concentration of bromine (one of the named halogens) of 1.6 ± 0.4 x 10 "4 (rmol/mm3, and U.S. Philips has not alleged that Iwasaki has produced any lamps with a concentration lower than 1.08 x 10 "* p,mol/mm3. In contrast, there appears to be at least some evidence that before the filing of the complaint, but after the date of the Rolfes letter, Iwasaki produced lamps with a bromine concentration as low as 0.68 x 104 ixmol/mm3, a concentration within the claimed range even under a strict interpretation of Iwasaki’s proffered claim construction. Citing Lans v. Digital Equipment Corp., 252 F.3d 1320 (Fed.Cir.2001), the district court concluded that the Rolfes letter was inadequate to provide notice to Iwasaki under § 287(a) because it failed to identify U.S. Philips as the owner of the '181 patent and did not purport to speak for U.S. Philips.' Summary Judgment Opinion at 7-8.

The district court then proceeded to grant summary judgment of noninfringement both as to literal infringement and under the doctrine of equivalents. As to literal infringement, and looking only to lamps sold or manufactured after January 8, 2003, the court concluded that Iwasaki’s entire target concentration range of 1.6 ± 0.4 x 10 pmol/mm3 “unquestionably exceeds the 10 (1/10,000) |xmol/mm3 disclosed in the patent,” and noted that U.S. Philips did not challenge the factual accuracy of Iwasaki’s claims that it had not made or sold any lamps during the relevant period with a bromine concentration below 1.0 x 10 A Id. at 10-11. The court therefore held that summary judgment of noninfringement was appropriate. Under the doctrine of equivalents, the court held that a finding of infringement would vitiate the claim limitation that “a ‘quantity’ ... is ‘present’ and that ‘quantity’ is ‘between’ one value ‘and’ another.” Id. at 18.

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505 F.3d 1371, 85 U.S.P.Q. 2d (BNA) 1097, 2007 U.S. App. LEXIS 25585, 2007 WL 3225917, Counsel Stack Legal Research, https://law.counselstack.com/opinion/us-philips-corp-v-iwasaki-elec-co-ltd-cafc-2007.