Federal Circuits, Fed. Cir. (June 08, 2001)
Docket number: 00-1163
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US Code - Title 35: Patents - 35 USC 116 - Sec. 116. Inventors
US Code - Title 35: Patents - 35 USC 112 - Sec. 112. Specification
US Code - Title 35: Patents - 35 USC 111 - Sec. 111. Application
U.S. Court of Appeals for the 4th Cir. - Levin v. Septodont Inc (4th Cir. 2002)
Appealed from: United States District Court for the Northern District of Ohio Senior Judge Ann Aldrich [Copyrighted Material Omitted][Copyrighted Material Omitted]
Robert C. Kahrl, Jones, Day, Reavis & Pogue, of Cleveland, Ohio, argued for plaintiff-appellee. With him on the brief were Calvin P. Griffith, Richard H. Sayler, Michael L. Snyder, Patrick J. Norton, and Deborah L. Hamilton.Donald R. Dunner, Finnegan, Henderson, Farabow, Garrett & Dunner, L.L.P., of Washington, DC, argued for defendants-appellants. With him on the brief were Thomas H. Jenkins, of Washington, DC, and Barry D. Biddle, of Atlanta, Georgia.Before MICHEL, RADER, and LINN, Circuit Judges.RADER, Circuit Judge.At the close of evidence, the United States District Court for the Northern District of Ohio granted judgment as a matter of law (JMOL) that AcroMed Corporation's (AcroMed's) U.S. Patent No. 4,696,290 ('290 patent) is not invalid for improper inventorship. The jury's verdict found that Sofamor Danek Group, Inc., and Danek Medical, Inc., (collectively Danek) literally infringed the claims of the '290 patent and AcroMed's U.S. Patent No. 4,854,311 ('311 patent). The jury further found the claims of the '311 patent not invalid. Because the district court correctly found insufficient evidence to invalidate the '290 patent and correctly upheld the jury verdict that the claims of the '311 patent were infringed and not invalid, this court affirms.* AcroMed is assignee of the '290 patent which names Dr. Arthur D. Steffee as its sole inventor. The '290 patent discloses a plate for surgical implantation onto a patient's spinal column. The spine plate straightens a spine misshapen by disc degeneration or fracture. This invention can thus alleviate pain and restore a patient's mobility.In his first spine straightening operations, Dr. Steffee hooked and wired rods to patients' spines. This early method straightened spines somewhat, but the rods would later slip, thereby undercutting the effectiveness of the operation. To prevent slippage, Dr. Steffee began to use a plate-and- screw system similar to that described in the '290 patent.Dr. Steffee's first plate-and-screw system used a long plate with fixed location screw holes. Dr. Steffee implanted this type of plate-and-screw system by drilling or tapping holes into a patient's vertebrae, aligning the vertebral holes with holes in the plate, and then attaching the plate with bone screws. Dr. Steffee typically installed two such plates, one on each side of the spine. These systems fixed the vertebrae more rigidly than wire and rod systems. The plates with holes in fixed locations, however, were difficult to install and adapt to different patients because the holes were rarely spaced identically to pedicel distances between a patient's vertebrae.Dr. Steffee thus improved his plate-and-screw system in 1982 while working at a hospital in Cleveland. He conceived of headless screws that would permit him to first optimally locate such screws in each vertebral pedicel, and then attach the spine plate to the installed screws. Dr. Steffee took his regular bone screws to the Cleveland Research Institute (CRI) hospital machine shop, and asked Frank Janson, a machinist, to cut the heads off of the screws. Without screw heads, Dr. Steffee needed to find another means to attach the plate to the screws in the spine. He conceived of using a tapered, conical nut from a Hagie pin, a pin commonly used by orthopedists to fix broken hips in children.Next, Dr. Steffee recognized that he would need to modify the fixed location screw holes in the plate to facilitate attachment at different pedicel distances between vertebrae. Dr. Steffee looked to another well- known device-a small, slotted Egger's plate which orthopedic surgeons use to fix long bone fractures. Dr. Steffee asked Mr. Janson to make a bigger Egger's plate to accommodate a spine.Dr. Steffee's final problem was that the slots in the plate could slide along the screws and defeat proper fixation of the plate to the spine. To solve this problem, Dr. Steffee told Mr. Janson that he needed a plate designed so that the Hagie pin nut "sinks in and stays right there." Mr. Janson responded to this instruction by putting nests in the slots. The '290 patent claims the resulting combination.[Tabular or Graphical Material Omitted]The disclosed spine plate (30) has a series of elongated slots (52) configured with a series of nests, or arcuate recesses (116). Claim 1 of the '290 patent recites:An apparatus for use with fasteners for maintaining vertebrae in a desired relationship, said apparatus comprising:an elongated plate for connecting at least two vertebrae . . .said elongated plate also having at least one elongated slot extending there through . . . said slot being capable of receiving a fastener therein . . . andsaid slot being defined by opposed slot surfaces extending longitudinally of said elongated plate and arcuate recesses in said opposed slot surfaces and spaced there along, the recesses in one of said opposed slot surfaces being aligned with the recesses in the other of said opposed slot surfaces to define said plurality of locations, said recesses comprising means for blocking sliding movement of [s]aid elongated plate relative to the fastener and of said elongated plate relative to the vertebrae when the fastener is located in a pair of aligned recesses(emphasis added).Dr. Steffee also improved the headless bone screw. The '311 patent discloses a bone screw with an elongated shank to, e.g., fasten the plate of the '290 patent to a spine, connect broken bones, or connect prostheses to bones in any part of the body. The '311 patent describes the bone screw as having three identifiable segments: (1) a first externally threaded portion (142) for receiving a connecting member, such as a nut; (2) a cylindrical body portion for projecting into and engaging the bone opening surface (182); and (3) a second threaded portion for attaching the screw to the bone (144).Bones have a hard outer shell (called cortical bone) and a spongy center (called cancellous bone). Cancellous bone contains blood vessels. Thus, once a hole is drilled or[Tabular or Graphical Material Omitted]tapped into a bone, effluence (blood and other bodily fluids) may leak into the hole. This effluence can corrode and weaken the screw. According to the '311 patent, the claimed bone screw has a cylindrical body portion and a shoulder portion (184) that act as a sort of stopper, blocking effluence from leaking out of the bone. Claim 5 of the '311 patent recites:A bone screw for connecting a bone portion with a bone connecting member, said bone screw comprising:an elongated shank having a longitudinal central axis, a first externally threaded portion for receiving an internally threaded nut and a second externally threaded portion for threaded engagement with a surface defining an opening in the bone portion to attach the bone screw to the bone portion; andmeans integral with said shank and having a transverse cross-section at least equal to the transverse cross-section of the opening in the bone portion for projecting into the opening and for engaging a portion of the surface defining the opening in the bone portion to restrict movement of said bone screw relative to the bone portion in a direction transverse to the longitudinal central axis of said shank and to block effluence from the opening in the bone portion, said means being located intermediate said first externally threaded portion and said second externally threaded portion(emphasis added).Dr. Steffee and another colleague founded AcroMed in 1983. Dr. Steffee assigned all of his rights in the '290 and '311 patents to AcroMed. In 1988, CRI disbanded and Mr. Janson went to work at AcroMed. When Mr. Janson began working for AcroMed, he completed an Employment Agreement requiring him to disclose any pre-existing invention in which he had an interest. Mr. Janson checked the box marked "Employee has no such property," and signed that agreement.Mr. Janson worked as a machinist at AcroMed until 1992, and then continued as a consultant for AcroMed until June 1994. In June 1994, Mr. Janson met with Danek's counsel on two occasions. Later that year AcroMed requested Mr. Janson to sign a declaration and power of attorney to add him as a co- inventor of the '290 patent. AcroMed also requested Mr. Janson to assign his rights in the '290 patent if he signed the declaration. Mr. Janson declined to sign either the declaration or the assignment. Instead, on January 25, 1995, Mr. Janson signed an agreement with Danek to assign his "patent rights" to Danek for $150,000.AcroMed first sued Danek for infringement of the '290 patent by Danek's "Luque" system in 1988. The Luque was a semi-constrained plate-and-screw system without a way to hold the screws completely rigid to the plate. In March 1989, the parties entered a settlement agreement whereby AcroMed granted Danek a limited license under the '290 patent. In return, Danek paid AcroMed a license fee until 1996.In 1992, Danek changed its technology into a constrained system. Danek developed several constrained systems, including the "DYNA-LOK" and "Z- PLATE" systems. In June 1993, AcroMed again filed suit claiming that Danek's DYNA-LOK, Z-PLATE, and various other spine plate systems infringe the '311 and '290 patents. Danek counterclaimed that AcroMed's '290 patent is invalid for failure to name Mr. Janson as an inventor. Danek further counterclaimed that AcroMed's '311 patent is invalid due to anticipation by United States Patent No. 3,554,193 to Ilias Konstantinou (Konstantinou patent).As depicted below, the Konstantinou patent discloses a hip-pinning device for repair of hip fractures. The device uses a lag screw to attach a bone plate to the upper region of a femur. The lag screw has a rounded head portion (38) that permits the screw to be angularly displaced within a hole in a bone plate. A surgeon can, thus, vary the angle at which he attaches the screw to the bone while maintaining the plate in a desired location. [Tabular or Graphical Material Omitted]After a ten-day jury trial, the district court judge granted AcroMed's motion for JMOL that the '290 patent was not invalid for improper inventorship. The jury returned a verdict that Danek's DYNA-LOK and Z-PLATE spine plates infringed the asserted claims of the '290 patent. The jury further found that Danek's DYNA-LOK and Z-PLATE 5.5 mm bone bolts infringed claims 5, 10, 14, and 16 of the '311 patent and that Danek's DYNA-LOK and Z-PLATE larger diameter bone bolts infringed claims 5, 10, 12, 13, 14, and 16. The jury additionally found all asserted claims of both the '290 and '311 patent to be neither anticipated nor obvious over prior art. The jury awarded AcroMed $32,913,444 in damages and found that Danek had willfully infringed the '290 patent.After the jury verdict, Danek renewed its motions for JMOL that the '290 patent is invalid for omitting an inventor, that its spine plates and screws do not infringe the '311 patent, and that the Konstantinou patent anticipates the '311 patent. The district court denied all of these motions. The district court then increased the damages to $47,806,701 to account for post-verdict damages and prejudgment interest. Danek appealed. This court has jurisdiction under 28 U.S.C. 1295(a)(1).II.Inventorship is a question of law that this court reviews without deference. Ethicon, Inc. v. U.S. Surgical Corp., 135 F.3d 1456, 1460, 45 USPQ2d 1545, 1547 (Fed. Cir. 1998). A district court may only grant a motion for JMOL when "a party has been fully heard on [that] issue and there is no legally sufficient evidentiary basis for a reasonable jury to find for that party." Fed. R. Civ. P. 50(a)(1). This court reviews a district court's decision on a motion for JMOL without deference, reapplying the above standard. Burroughs Wellcome Co. v. Barr Lab., Inc., 40 F.3d 1223, 1227, 32 USPQ2d 1915, 1919 (Fed. Cir. 1994).Literal infringement of a means-plus-function claim requires, inter alia, a showing that the accused device "performs the identical function specified in the claims." WMS Gaming Inc. v. Int'l Game Tech., 184 F.3d 1339, 1350, 51 USPQ2d 1385, 1393 (Fed. Cir. 1999). Determination of the "specific function associated with the means limitation requires construction of the claim language." Unidynamics Corp. v. Automatic Prods. Int'l Ltd., 157 F.3d 1311, 1319, 48 USPQ2d 1099, 1105 (Fed. Cir. 1998). This court reviews claim construction without deference. Cybor Corp. v. FAS Techs., Inc., 138 F.3d 1448, 1454, 46 USPQ2d 1169, 1172 (Fed. Cir. 1998) (en banc). Application of the claim to the accused device is a question of fact that receives substantial deference on review. Embrex, Inc. v. Serv. Eng'g Corp., 216 F.3d 1343, 1348-49, 55 USPQ2d 1161, 1164 (Fed. Cir. 2000).Anticipation is also a factual determination, including whether or not an element is inherent in the prior art. Shatterproof Glass Corp. v. Libbey-Owens Ford Co., 758 F.2d 613, 619, 225 USPQ 634, 637 (Fed. Cir. 1985). This court reviews a jury finding of anticipation for substantial evidence. Advanced Display Sys. v. Kent State Univ., 212 F.3d 1272, 1281, 54 USPQ2d 1673, 1678 (Fed. Cir. 2000).InventorshipThe Patent Act accords each patent a presumption of validity. 35 U.S.C. 282. Under this doctrine, each patent also receives the presumption that its named inventors are the true and only inventors. Hess v. Advanced Cardiovascular Sys., Inc., 106 F.3d 976, 980, 41 USPQ2d 1782, 1785-86 (Fed. Cir. 1997). In order to rebut this presumption, a party challenging patent validity for omission of an inventor must present clear and convincing evidence that the omitted individual actually invented the claimed invention. Environ Prods. v. Furon Co., 215 F.3d 1261, 1265, 55 USPQ2d 1038, 1042 (Fed. Cir. 2000).When an invention is the work of several inventors, they must jointly apply for the patent. 35 U.S.C. 116; 35 U.S.C. 111. Omission of an inventor can invalidate a patent unless the omission was an error "without any deceptive intention." 35 U.S.C. 256; 35 U.S.C. 102(f); Stark v. Advanced Magnetics, 119 F.3d 1551, 1553, 43 USPQ2d 1321, 1322 (Fed. Cir. 1997). Danek argues that Mr. Janson was an inventor of the '290 patent. Because Mr. Janson was not named as an inventor of the '290 patent, Danek asserts that a reasonable jury would have found the '290 patent invalid."Inventorship is a question of who actually invented the subject matter claimed in a patent." Sewall v. Walters, 21 F.3d 411, 417, 30 USPQ2d 1356, 1360 (Fed. Cir. 1994) (quoting Beech Aircraft Corp. v. EDO Corp., 990 F.2d 1237, 1248, 26 USPQ2d 1572, 1582 (Fed. Cir. 1993)). "Conception is the touchstone of inventorship." Burroughs Wellcome, 40 F.3d at 1227. Accordingly, each person claiming to be a joint inventor must have contributed to the conception of the invention. Fina Oil & Chem. Co. v. Ewen, 123 F.3d 1466, 1473, 43 USPQ2d 1935, 1942 (Fed. Cir. 1997). To prove that contribution, the purported inventor must "provide corroborating evidence of any asserted contributions to the conception." Id. at 1474; see Price v. Symsek, 988 F.2d 1187, 1194, 26 USPQ2d 1031, 1036 (Fed. Cir. 1993) ("[T]he case law is unequivocal that an inventor's testimony respecting the facts surrounding a claim of derivation or priority of invention cannot, standing alone, rise to the level of clear and convincing proof."). Beyond conception, a purported inventor must show that he made "a contribution to the claimed invention that is not insignificant in quality, when that contribution is measured against the dimension of the full invention, and [did] more than merely explain to the real inventors well-known concepts and/or the current state of the art." Pannu v. Iolab Corp.,Try vLex for FREE for 3 days
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