Wirtgen America, Inc. v. Caterpillar, Inc.

District Court, D. Delaware·Decided January 16, 2024·No. 1:17-cv-00770·Unknown

Opinion

IN THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF DELAWARE

WIRTGEN AMERICA, INC., Case No. 1:17-cv-00770-JDW-MPT

,

v.

CATERPILLAR, INC.,

.

MEMORANDUM In this patent litigation, Wirtgen America, Inc. and Caterpillar, Inc. seek to exclude certain expert testimony before trial. I’ll exclude the testimony of Caterpillar’s ITC expert because his opinion wouldn’t help the jury in determining willfulness and one of Wirtgen’s experts whose doctrine of equivalents theory is conclusory and therefore unreliable. I. LEGAL STANDARD Regional circuit law governs aspects of expert opinion admissibility, unless the issues are unique to patent law. , 317 F.3d 1387, 1390 (Fed. Cir. 2003). A district court has wide discretion in determining whether to admit expert testimony. ., 520 F.3d 237, 243 (3d Cir. 2008). Federal Rule of Evidence 702 provides that a qualified expert may testify in the form of an opinion if: “(a) the expert’s scientific, technical, or other specialized knowledge will help the trier of fact to understand the evidence or to determine a fact in issue; (b) the testimony is based on sufficient facts or data; (c) the testimony is the product of reliable principles and methods; and (d) the expert has reliably applied the principles and methods to the facts of the case.”

FED. R. EVID. 702. Rule 702’s requirements establish “three distinct substantive restrictions on the admission of expert testimony: qualifications, reliability, and fit.” , 233 F.3d 734, 741 (3d Cir. 2000).

Regarding the reliability requirement, Rule 702 mandates that the relevant expert testimony “must be supported by appropriate validation—i.e., ‘good grounds,’ based on what is known.” , 509 U.S. 579, 590 (1993); , 320 F.3d 396, 404 (3d Cir. 2003). “While ‘the

focus, of course, must be solely on principles and methodology, not on the conclusions that they generate,’ … a district court must examine the expert's conclusions in order to determine whether they could reliably follow from the facts known to the expert and the methodology used.” , 167 F.3d 146, 153 (3d Cir. 1999) (quoting

, 509 U.S. at 595). When there’s “too great a gap between the data and the opinion proffered[,]” a court may conclude that the expert testimony isn’t reliable. , 234 F.3d 136, 146 (3d Cir. 2000).

As to fit, the expert testimony should assist the trier of fact in determining a fact in issue. , 509 U.S. at 591. The expert’s opinion must relate to a “pertinent inquiry” of the case. Otherwise, that testimony “is not relevant and, ergo, non-helpful.” (citation omitted). While the standard for “fit” is “not that high[,]” the bar is “higher than bare relevance.” , 35 F.3d 717, 745 (3d Cir. 1994).

The party offering the expert's opinion bears the burden of proving that it meets Rule 702’s restrictions. at 744. While the party must make more than a showing that an expert's methodology is reliable, “[t]he evidentiary requirement of

reliability is lower than the merits standard of correctness.” , 520 F.3d at 247. Rule 702 “has a liberal policy of admissibility.” at 243 (quoting , 128 F.3d 802, 806 (3d Cir. 1997)). II. ANALYSIS

Contemporaneous with their cross-motions for summary judgment, the Parties filed motions. ( D.I. 210, 217.) Wirtgen moves to exclude a single expert, Paul Bartkowski. Caterpillar moves to exclude various aspects of multiple experts’ opinions. As the Parties did in their briefs, I will address Mr. Bartkowski first and then the

categories of information that Caterpillar seeks to exclude.1 A. Paul Bartkowski On July 19, 2017, Wirtgen filed a complaint with the ITC, claiming infringement of

five of the twelve patents in Wirtgen’s initial complaint in this case. The ITC found infringement for three patents and issued a limited exclusion order, which the Federal

1 Caterpillar has moved to exclude the testimony of Wirtgen’s damages expert, Dr. Pallavi Seth. I have scheduled a hearing on that aspect of the Motion and will rule after that hearing. I therefore do not address Dr. Seth’s testimony in this Memorandum. Circuit affirmed in part. , 847 Fed. App'x 893, 894 (Fed. Cir. 2021) (affirming infringement findings for the ’530 and

‘309 Patents).2 On remand, the ITC issued a modified exclusion order to include the ‘641 Patent.3 Caterpillar offers Mr. Bartkowski to opine on how the ITC works and the ITC

litigation between Wirtgen and Caterpillar, including their respective claims and defenses. In explaining the ITC proceedings to the jury, he will opine that Caterpillar’s defense before the ITC was “not without merit.” (D.I. 229-23 at ¶ 183.) He reaches that conclusion based on his assessment of the outcome of the various invalidity defenses

that Caterpillar offered in the ITC proceeding. He also opines that Caterpillar’s redesigns are “indicative of a party that vigorously presented meritorious defenses to infringement allegations (and infringement findings).” ( ¶ 200.) Mr. Bartkowski’s testimony about the ITC proceedings doesn’t meet ’s fit

requirement. , 509 U.S. at 591. The prior litigation before the ITC is relevant in a jury’s determination of willfulness because the jury will measure Caterpillar’s culpability “against [its] knowledge … at the time of the challenged conduct.”

, 579 U.S. 93, 105 (2016). And Wirtgen accuses Caterpillar of continuing to infringe on Wirtgen’s patents after it was put on notice of infringement

2 U.S. Patent Nos. 9,656,530, and 7,828,309, respectively. 3 U.S. Patent No. 7,530,641. during the ITC litigation. While the ITC litigation is relevant, it doesn’t automatically follow that Mr. Bartkowski’s opinion “will aid the jury in resolving a factual dispute.” , 509

U.S. at 591. The standard for “fit” is “higher than bare relevance.” , 35 F.3d at 745. What matters for the jury is Caterpillar’s state of mind from a subjective (as

opposed to objective) standpoint. “[S]ubjective willfulness alone” can support an award of enhanced damages. , 876 F.3d 1350, 1371 (Fed. Cir. 2017) (citing , 579 U.S. 93). The jury will need to evaluate if Caterpillar “acted despite a risk of infringement that was either known or so obvious that

it should have been known to the accused infringer.” (internal quotations omitted). Mr. Bartkowski has no knowledge about Caterpillar’s subjective state of mind, nor can an expert offer an opinion about a party’s subjective state of mind. , No. CV 17-414, 2021 WL 1227097, at *5 (D. Del. Mar.

31, 2021). To the extent that Mr. Bartkowski intends to point to objective facts—like Caterpillar prevailing on some arguments before the ITC—as evidence of its state of mind, that’s nothing more than lawyer argument. It’s not expert analysis. Rules 702 and 703 do

not permit parties to cloak attorney argument in the guise of expert testimony. And Caterpillar has not explained how Mr. Bartkowski’s summary of the procedures before the ITC that led to the ITC’s decision will aid the jury in assessing Caterpillar’s state of mind.

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Wirtgen America, Inc. v. Caterpillar, Inc., (D. Del. 2024).

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