Harmonizing Prosecution History Estoppel and the Doctrine of Equivalents in Patent Infringement Actions

2002 ◽  
Author(s):  
Armando Irizarry
2016 ◽  
Author(s):  
Mark Lemley

We have conducted an empirical study of every reported doctrine ofequivalents decision in both the Federal Circuit and the district courtsduring three periods - one before the Federal Circuit's 2000 Festo opinion,one after that opinion but before the Supreme Court's 2002 opinion, and athird after the Supreme Court's opinion. Two broader findings stand out.First, the multiple changes in the doctrine of equivalents rules over thelast ten years have had surprisingly little effect on the actual outcome ofdoctrine of equivalents cases, and even less effect on the subset of casesdealing directly with prosecution history estoppel. Indeed, to the extentthere is any relationship it is an inverse one - patentees did better underless patent-friendly rules. The attention everyone has paid to Festo aschanging the value of patent rights therefore seems to have been largelywasted from a practical perspective.The second finding is even more significant: the reason the Festo changeshad so little effect seems to be that the doctrine of equivalents wasalready near death by the late 1990s. Even under the permissive doctrine ofequivalents rules in place before 2000, while everyone was focused on thedoctrine of equivalents, equivalents claims usually failed, most often onsummary judgment. That became even more true after 2000, and the SupremeCourt's 2002 decision didn't change the trend. In fact, district courts aremore likely to reject doctrine of equivalents claims today than everbefore.This left us with a bit of a puzzle: what killed the doctrine ofequivalents in the 1990s? We suspected the answer was the growth of claimconstruction Markman hearings after the Supreme Court's 1996 decision inthat case. Once courts were construing claims as a matter of law pre-trial,and finding themselves in a position to resolve virtually all infringementissues on summary judgment, they were naturally inclined to decide thedoctrine of equivalents issues too. And a court that has just rejected aliteral infringement argument - the only courts likely to spend much timethinking about equivalents issues pre-trial - is unlikely to undo the workof claim construction by sending the issue of infringement by equivalentsto the jury. To test this hypothesis, we constructed a fourth dataset,including cases decided in the 1993 to 1995 timeframe. That data bears outour hypothesis. The doctrine of equivalents was alive and well beforeMarkman, but has been in decline ever since.


Author(s):  
Олена Штефан

Currently, the development of a modern economy is based on the rapid development of the latest achievements of science and technology, which in turn are the dominant indicators of state development. Globally, economic globalization and trade liberalization are accelerating, leading not only to the international division of labor, the expansion of markets and the corresponding increase in production, but also to an even greater intensification of competition, increasing the need for innovation and their sound legal protection. The principle (doctrine) of equivalence, which the courts apply in the event of patent disputes, is inextricably linked to these processes. The article reveals the essence and specifics of applying the principle of equivalents by studying the specialized literature and conducting comparative legal analysis of foreign jurisprudence.Despite the fact that the principle of equivalence has attracted the attention of many experts in the field of patent law, however, no criteria and approaches have been developed to put it into practice. An analysis of the literature indicates that researchers focus their attention on determining the principle of equivalence.As a result of the analysis of doctrinal approaches to determining the principle of equivalence, it is concluded that at the legislative level there is no differentiation of features (elements), but there is an indication of the identity of the feature as equivalent. Therefore, the substitution of the characteristic (element) indicated in the claims by the equivalent may be recognized as equivalent from the technical point of view and not from the legal position. Usually, the principle (doctrine) of equivalents is applied after the grant of the patent, and the possibility of assigning features (elements) to equivalents can be evaluated by the real technical means that appeared after the grant of the patent.The principle of equivalents or the doctrine of equivalents is a legal doctrine that was developed in the United States of America in 1850-1860 to counteract imitation, substitution of minor or minor components of a patented invention, while maintaining its other essential identity, to avoid liability.In Germany, the courts have widely used the principle of equivalents in interpreting the formula when dealing with patent infringement cases. In England, the doctrine of equivalents was not used, and the traditional British approach to determining the scope of protection was to interpret the claims literally. The analysis of the jurisprudence of foreign countries on the application of the principle of equivalence in the resolution of patent disputes allows us to draw the following conclusions: the application of the principle of equivalence in resolving the question of the scope of patent protection of inventions strikes a balance between the fair protection of the exclusive rights of the patentee and a certain variation of the elements of the claims by third parties, which will not infringe the patent rights of the patent owners; in determining the limits of patent protection by interpreting the claims, the German courts resort to the principle of equivalence when the claims contain ambiguous restrictions such as numerical ranges; in English courts, patent  infringement and patent jurisdiction issues are dealt with in a single trial, whereby judges' reasoning in the prior art has a greater influence on the understanding of the claims, in contrast to German courts that exclusively deal with patent infringement rights without touching on the aspects of the patent power.The analysis of the Ukrainian legislation has led to the conclusion that the understanding of the principle of equivalence coincides with a literal interpretation of the claims, while the new application of a known  product or process is not foreseen, since the scope of legal protection of such inventions is exhausted only by their formula, and equivalent features are not taken into account.


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