`
`Washington, D.C.
`
`In the Matter of
`
`CERTAIN ELECTROCHEMICAL
`GLUCOSE MONITORING SYSTEMS
`AND COMPONENTS THEREOF
`
`Inv. No. 337-TA-1075
`
`NOTICE TO THE PARTIES REGARDING AMENDED GROUND RULES
`
`(April 19, 2018)
`
`The undersigned has recently modified Ground Rule 3.1. The parties should review the
`
`attached Ground Rules and familiarize themselves with the amendment.
`
`The parties should also review Ground Rule 1.3 and ensure that all submissions are
`
`served in accordance with this Rule.
`
`SO ORDERED.
`
`Li
`arles E. Bullock
`Chief Administrative Law Judge
`
`
`
`GROUND RULES FOR SECTION 337 INVESTIGATIONS
`
`These Ground Rules supplement the Commission's Rules of Practice and Procedure, 19
`C.F.R. Parts 201 and 210 ("Commission Rules"), in order to aid the Chief Administrative Law
`Judge in the orderly conduct of the section 337 investigation pursuant to the Administrative
`Procedure Act, 5 U.S.C. § 556(c).
`
`These Ground Rules govern a U.S. patent-based investigation pursuant to 19 U.S.C.
`§ 1337(a)(1)(B). In the case of an investigation based upon a registered copyright, registered
`trademark, or a trade secret pursuant to 19 U.S.C. § 1337(a)(1)(B), (C) or (D), additional Ground
`Rules may govern. In addition, in a case involving a motion for temporary relief pursuant to 19
`U.S.C. § 1337(e), additional Ground Rules may also govern.
`
`In case of any conflict between these Ground Rules and any subsequent order issued by the
`Chief Administrative Law Judge or the Commission in this Investigation, the subsequent order
`shall control.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`1.
`
`2.
`3.
`
`4.
`
`4.2
`4.3
`4.4
`
`TABLE OF CONTENTS
`Address; Requirements for Filing, Service, and Copies; Time
`1.1 Address of the Chief Administrative Law Judge.
`1.2
`Filing Requirement.
`1.3
`Service Copy Requirements.
`1.4
`Concurrent Service.
`1.5
`Computation of Time
`1.6
`Request for Extension of Time
`1.7
`Confidential Submissions.
`Procedural Schedule
`Motions; Deadlines for Responses
`3.1
`Contents; In General.
`3.1.1 Case Citations
`Contents; Certification.
`3.2
`Contents; Motion for Summary Determination
`3.3
`Contents; Response to Motion for Summary Determination.
`3.4
`Contents; Discovery-Related Motions
`3.5
`Deadline for Filing Response to Motion
`3.6
`Request for Shortened Time to Respond to Motion.
`3.7
`No Motion Stops Discovery Except Motion to Quash Subpoena.
`3.8
`Discovery
`Resolution of Disputes; Coordinated Discovery
`4.1
`4.1.1 Discovery Committee
`Stipulations Regarding Discovery Procedure.
`Service of Discovery Requests and Responses
`Timing of Discovery Requests, Responses and Objections.
`4.4.1 Depositions; Notice
`Interrogatories; Deadline for Responses and Objections
`4.4.2
`4.4.3 Contention Interrogatories.
`4.4.4 Requests for Production of Documents or Things or for
`Entry Upon Land; Deadline for Responses and Objections.
`4.4.5 Request for Admission; Period for Service; Deadline for
`Responses and Objections.
`4.4.6 Discovery Cutoff and Completion.
`Subpoenas.
`4.5.1 Issuance and Service.
`4.5.2 Motion to Quash Subpoena; Deadline.
`4.5.3 Subpoenas Ad Testificandum for Hearings.
`Bates Numbering
`Translations.
`Privileged Matter.
`4.8.1 Claiming Privilege
`4.8.2 Motions to Compel Production of Privileged Matter.
`4.8.3 Timing of Privilege Claims
`
`4.5
`
`4.6
`4.7
`4.8
`
` - 4 -
` - 4 -
` - 4 -
` - 4 -
` - 5 -
` - 5 -
` - 5 -
` - 5 -
` - 5 -
` - 8 -
` - 8 -
` - 8 -
` - 8 -
` - 9 -
` - 9 -
` - 9 -
` - 9 -
` - 10 -
` - 10 -
` - 10 -
` - 10 -
` - 10 -
` - 11 -
` - 11 -
` - 11 -
` - 11 -
` - 11 -
` - 11 -
`
` - 12 -
`
` - 12 -
` - 12 -
` - 12 -
` - 12 -
` - 13 -
` - 13 -
` - 13 -
` - 13 -
` - 14 -
` - 14 -
` - 14 -
` - 15 -
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`5.
`6.
`
`7.
`8.
`9.
`
`
`
`- 15 -
`
`Notice of Prior Art
`- 15 -
`Markman Hearing on Claim Construction
`
`6.1 Markman Presentation
` - 16 -
`- 16 -
`
`Expert Witnesses and Reports
`- 16 -
`
`Settlement/Mediation
`- 17 -
`
`Pre-trial Submissions
` - 17 -
`9.1
`Pre-trial Statement
` - 17 -
`Pre-trial Brief.
`9.2
` - 18 -
`9.3 High Priority Objections for Pre-hearing conference.
` - 18 -
`9.4 Motions in Limine.
` - 19 -
`Exhibits.
`9.5
` - 19 -
`9.5.1 Exhibit Lists.
` - 19 -
`9.5.2 Numbering and Labeling of Exhibits
` - 19 -
`9.5.2.1 Confidential Exhibits.
` - 20 -
`9.5.2.2 Physical Exhibits.
` - 20 -
`9.5.2.3 Demonstrative Exhibits
`9.4.2.4 One Document Per Exhibit; All Pages Bates-numbered - 20 -
` - 20 -
`Inclusion on Exhibit List.
` - 20 -
`9.5.3.1 Not Substantive Evidence.
` - 20 -
`9.5.3.2 Exhibits Used for Impeachment.
`9.5.3.3 Documents Not Included on Exhibit List
` - 20 -
` -21 -
`9.5.3.4 Documents Received After Close of Discovery
` - 21 -
`9.5.4 Sponsoring Witness
` - 21 -
`9.5.5 Foreign Language Exhibits.
` - 21 -
`9.5.6 Authenticity.
` - 21 -
`9.5.7 Exchange of Proposed Exhibits Among Parties
`9.5.7.1 Exchange of Demonstrative Exhibits
` -22 -
`9.5.8 Service of Proposed Exhibits Upon the Chief Administrative
`Law Judge
`10. Hearing - Evidence and Exhibits
`10.1 Material To Be Received Into Evidence
`10.1.1 Admission of Exhibits Into Evidence
`10.2 Legal Experts
`10.3 Witness Testimony.
`10.3.1 Format of Witness Statements.
`10.3.2 Language of Witness Statements.
`10.3.3 Deposition Testimony in Lieu of Live Testimony
`10.3.4 Witness Exhibit Binder.
`10.3.5 Exhibits in Dispute.
`IL Hearing Procedure
`11.1 Hearing; Order of Examination.
`11.2 Closing Argument.
`11.3 Hearing Hours.
`11.4 Trial Decorum.
`
` -22 -
` - 22 -
` - 22 -
` - 22 -
` - 23 -
` - 23 -
` -23 -
` -23 -
` - 23 -
` - 23 -
` - 24 -
` - 24 -
` -24 -
` - 25 -
` - 25 -
` - 25 -
`
`9.5.3
`
`11
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`- 25 -
`11.4.1 Conversations at Trial.
`11.4.2 Reading Matter; Cell Phones and Beepers; Food and Beverages.- 25 -
` - 25 -
`11.4.3 Photos or Video Recording
` 26 -
`11.4.4 Swearing of Witnesses
` 26 -
`11.4.5 Arguments on Objection
` 26 -
`11.4.6 Courtroom Attire.
` 26 -
`11.5 Examination of Witnesses.
`Scope of Examination; In General
` 26 -
`11.5.1
` 26 -
`Scope of Cross-examination.
`11.5.2
`Scope of Redirect and Re-cross Examination.
` 26 -
`11.5.3
` 27 -
`11.5.4 Coordination of Witnesses.
` 27 -
`Scope of Expert Witness Testimony.
`11.5.5
`11.5.6 Coordination of Respondents' Cross-examination.
` 27 -
` 27 -
`11.5.7 Requests for Clarification of a Question.
` 27 -
`11.5.8 Use of Translators.
`11.5.9 Conferring with Witness during a Break in Testimony.
` 27 -
` 27 -
`11.5.10 Sequestration of Witnesses.
`11.5.11 Submission of Updated Schedule of Estimated Time and
`Date of Witnesses
`11.6 Report on Time.
`11.7 Close of Hearing Procedures
`11.7.1 Removal of Binders.
`11.7.2 Physical Exhibits.
`11.7.3 Corrections to Transcripts.
`Submission of Exhibits.
`12.1 Final Exhibit List.
`12.2 Chief Administrative Law Judge's Binder Set
`12.3 Chief Administrative Law Judge's Electronic Copy.
`12.4 Commission's Copy.
`12.4.1 Native Files.
`12.4.2 Format of Commission's Exhibit Set.
`12.5 Binder Exhibit Set for the Office of General Counsel.
`Post-trial Briefs.
`Initial Post-trial Briefs; Filing and Content.
`13.1
`13.2 Post-trial Reply Briefs; Filing and Content
`Issues Not in Dispute
`13.3
`13.4 Citations to Evidence.
`13.5 Citations to Pre-hearing Briefs.
`13.6 Citation to Demonstrative Exhibits
`Cooperation Among Parties
`Ex Parte Contacts.
`
` - 28 -
` - 28 -
` -28 -
` -28 -
` - 28 -
` - 28 -
` -29 -
` - 29 -
` -29 -
` - 30 -
` - 30 -
` - 30 -
` - 31 -
` - 31 -
` - 31 -
` - 31 -
` - 32 -
` - 32 -
` - 32 -
` - 32 -
` - 32 -
` - 33 -
` -33 -
`
`12.
`
`13.
`
`14.
`15.
`
`111
`
`
`
`JUDGE BULLOCK'S GROUND RULES
`
`1.
`
`Address; Requirements for Filing, Service, and Copies; Time
`
`1.1 Address of the Chief Administrative Law Judge.
`
`The Chief Administrative Law Judge's address is as follows:
`
`The Honorable Charles E. Bullock
`U.S. International Trade Commission
`500 E Street, S.W., Room 317
`Washington, D.C. 20436
`
`1.2
`
`Filing Requirement.
`
`All submissions shall be filed with the Office of the Secretary of the Commission in
`accordance with Commission Rule 210.4(f), unless otherwise specifically provided for in these
`Ground Rules or by order of the Chief Administrative Law Judge.
`
`1.3
`
`Service Copy Requirements.
`
`In accordance with the requirements of Commission Rules 210.4(f)(2) and (g), copies of
`each submission shall be served on all other parties, including the Commission Investigative
`Staff. On the same day that the submission is filed, an electronic copy in Word or PDF format
`shall be sent to the Chief Administrative Law Judge's attorney-advisor, Irina Kushner, at
`Irina.Kushner@usitc.gov, with a copy to Bullock337@usitc.gov.1 If the filing is 25 pages or
`more (excluding attachments) or contains lengthy quotations from a patent, transcript, treatise, or
`other document, the electronic copy must be in Word format. Electronic copies of confidential
`documents must be encrypted and the password sent in a separate email.
`
`The service of paper copies is no longer required, except that two copies of all Markman
`briefs, pre-hearing briefs, exhibit lists, and post-trial briefs shall be submitted to the Chief
`Administrative Law Judge at the address listed in Ground Rule 1.1 the next business day after
`the submission is filed. Copies of briefs should be printed on double-sided paper and have three
`holes punched on the left side. If the next business day is a Saturday, Sunday, Federal legal
`holiday, or a day on which weather or other conditions have made the Commission inaccessible,
`the two courtesy paper copies shall be submitted the next business day that is not one of the
`aforementioned days.
`
`1 Questions should not be submitted to the email address Bu1lock337@usitc.gov. Questions sent to this mailbox will
`not be answered.
`
`4
`
`
`
`1.4
`
`Concurrent Service.
`
`Service on opposing counsel may be by hand, by facsimile, by e-mail, or by overnight
`courier. Parties are encouraged to agree upon a method of service so that the parties will receive all
`submissions at the same time the submissions are received by the Commission.
`
`1.5
`
`Computation of Time.
`
`The first day of the ten (10) calendar days for responding to a motion received by the Chief
`Administrative Law Judge shall be the first business day following the date that said motion was
`filed in the Office of the Secretary, and shall apply whether a motion is hand delivered, faxed or
`served by overnight courier on the other parties. In addition to the requirements of Commission
`Rules 201.14, 201.16(d), and 210.6 for computation of time, if the last day of the period of time for
`making a submission falls on a day on which weather or other conditions have made the Office of
`the Secretary of the Commission inaccessible, the period shall run until the end of the next
`business day which is not one of the aforementioned days.
`
`1.6
`
`Request for Extension of Time.
`
`Any request for extension of time must be made by written motion two days before the
`due date and good cause for such extension must be established. Motions filed after this date may
`not be ruled on prior to the expiration of the deadline and may be denied for failure to abide by this
`rule.
`
`1.7
`
`Confidential Submissions.
`
`The confidential nature of any filing with the Office of the Secretary of the Commission or
`of any submission to the Chief Administrative Law Judge shall be conspicuously noted on the top
`page of any filing or other submission. No cover letter or other document shall be stapled or
`otherwise attached to a filing or other submission so as to obscure the confidential marking on the
`top page.
`
`2.
`
`Procedural Schedule
`
`The Chief Administrative Law Judge will promulgate a procedural schedule for the
`investigation. Modifications of the procedural schedule by any party shall be made by written
`motion showing good cause. Deadlines marked with an asterisk only apply if it is determined that
`a Markman hearing shall be held. (See Rule 6.) The event and deadline dates in the procedural
`schedule will generally adhere to the following chronological order, although the parties may
`agree to modify this order when proposing dates in the Joint Proposed Procedural Schedule:
`
`5
`
`
`
`First settlement conference
`Submission of first settlement conference joint report
`File identification of expert witnesses, including their expertise
`and curriculum vitae
`Exchange list of claim terms to be construed*
`Exchange of proposed claim constructions*
`Initial deadline for responses to contention interrogatories on
`issues for which the responding party bears the burden of proof
`Exchange of initial expert reports on claim construction issues*
`Exchange of rebuttal expert reports on claim construction
`issues*
`Meet and confer to discuss and limit number of disputed claim
`terms*
`Initial Markman briefs*
`Rebuttal Markman briefs*
`Submission of joint proposed claim construction chart*
`Initial deadline for responses to contention interrogatories on
`issues for which the responding party does not bear the burden
`of proof
`Joint Tutorial2 and Markman hearing*
`Attendance at one-day mediation session3
`Submission of joint report on mediation
`Submission of updated joint proposed claim construction chart*
`Proposed issuance of claim construction order*4
`File notice of prior art
`Cut-off date for supplements to contention interrogatories on
`issues for which the responding party bears the burden of proof,
`and on public interest issues (if applicable)
`Cut-off date for supplements to contention interrogatories on
`issues for which the responding party does not bear the burden
`of proof
`Fact discovery cut-off and completion
`Deadlines for motions to compel fact discovery
`Exchange of initial expert reports (identify tests/surveys/data)
`
`2 The tutorial shall be limited to a general overview of the technology and should not include any discussion of the
`asserted patents, the claim terms at issue, or the accused products. In addition, the tutorial should not exceed one hour
`and should consist of one presentation agreed upon by all parties.
`3 For any questions regarding the mediation program, the parties should refer to the Revised Users' Manual for
`Commission Mediation Program, available at http://www.usitc.gov.
`4 If the parties limit the number of terms to four or less, the undersigned will generally issue the Markman order
`approximately five weeks after the Markman hearing. If, however, the parties propose more than four terms for
`construction, the earliest the Markman order will issue is two months after the Markman hearing.
`
`- 6 -
`
`
`
`File tentative lists of witnesses a party will call to testify at the
`hearing, with an identification of each witness' relationship to
`the party
`Exchange of rebuttal expert reports
`Expert discovery cut-off and completion
`Deadline for motions to compel expert discovery
`Deadline for filing motions for summary determination
`Second settlement conference
`Submission of second settlement conference joint report
`Exchange of exhibit lists among the parties
`Submit and serve direct exhibits (including witness statements),
`with physical exhibits available - Complainant(s) and
`Respondent(s)
`Submit and serve direct exhibits (including witness statements),
`with physical exhibits available - Staff
`File objections to direct exhibits (including witness statements)
`Submit and serve rebuttal exhibits (including witness
`statements), with rebuttal physical exhibits available — all parties
`File responses to objections to direct exhibits (including witness
`statements)
`File objections to rebuttal exhibits (including witness statements)
`File responses to objections to rebuttal exhibits (including
`witness statements)
`File pre-trial statements and briefs — Complainant(s) and
`Respondent(s)
`File pre-trial statement and brief - Staff
`File requests for receipt of evidence without a.sponsoring
`witness
`Deadline to file motions in limine
`File high priority objections statement
`File responses to requests for receipt of evidence without a
`sponsoring witness
`File responses to motions in limine
`File responses to high priority objections statements
`Pre-trial conference
`Hearing
`File initial post-trial briefs and final exhibit lists
`File reply post-trial briefs
`Initial Determination
`Target date for completion of investigation
`
`5 Responses to requests for receipt of evidence without a sponsoring witness, responses to motions in litnine, and
`responses to high priority objection statements must be submitted no later than a week prior to the pre-trial conference.
`
`- 7 -
`
`
`
`3.
`
`Motions; Deadlines for Responses
`
`3.1
`
`Contents; In General.
`
`All written motions shall consist of: (1) the motion; (2) a separate memorandum of points
`and authorities in support of the motion;6 (3) an appendix of declarations, affidavits, exhibits, or
`other attachments in support of the memorandum of points and authorities; and (4) a Certificate of
`Service as required by Commission Rule 201.16(c).
`
`All responses to motions shall include the Motion Docket Number assigned to the motion
`by the Commission's Office of the Secretary in either the title or the first paragraph of any such
`response,7 and shall consist of: (1) a memorandum of points and authorities in response to the
`motion; (2) an appendix of declarations, affidavits, exhibits, or other attachments in support of the
`memorandum of points and authorities; and (3) a Certificate of Service as required by Commission
`Rule 201.16(c).
`
`If a motion or related document (e.g., response or reply) contains confidential business
`information as defined in 19 C.F.R. § 201.6(a), a nonconfidential copy of the motion and/or related
`document must accompany the confidential version.
`
`3.1.1 Case Citations.
`
`The official case reporter citation must be included for any published decision or order that
`is cited in a party's motion, brief, or pleading. Additionally, the docket number and the full date of
`the disposition must be included in the citation of any unreported decision or order that is
`referenced by the parties. A copy of any cited decision or order that is not available on Westlaw or
`LEXIS shall be provided in an appendix to the brief or pleading. Further, every party must cite to
`the specific page(s) of the cited decision or order that includes the holding for which the authority
`is cited.
`
`3.2
`
`Contents; Certification.
`
`All motions shall include a certification that the moving party has made reasonable,
`good-faith efforts to resolve the matter with the other parties at least two business days8 prior to
`filing the motion, and shall state, if known, the position of the other parties on such motion. Said
`certification shall be placed at the beginning of the motion under a heading entitled "Ground Rule
`3.2 Certification" or similar language.
`
`6 For procedural motions, such as motions for extensions of time, and for motions less than ten pages, a separate
`memorandum is not necessary.
`7 Motion Docket Numbers may be obtained online through the Commission's Electronic Document Information
`System (EDIS).
`8 Parties can agree to waive the "two business days" requirement.
`
`- 8 -
`
`
`
`3.3
`
`Contents; Motion for Summary Determination.
`
`In addition to the foregoing requirements , for all motions, motions for summary
`determination shall be further accompanied by a separate statement of the material facts as to
`which the moving party contends there is no genuine issue and which entitle the moving party to a
`summary determination as a matter of law. The statement shall consist of short numbered
`paragraphs with specific references to supporting declarations, affidavits or other materials.
`Motions for summary determination are limited to 50 pages (excluding exhibits).
`
`3.4
`
`Contents; Response to Motion for Summary Determination.
`
`In addition to the foregoing requirements for all responses to motions, each party opposing
`a motion for summary determination shall append to the response a separate statement responding
`individually to the numbered paragraphs of the motion statement required by Ground Rule 3.3
`with which the party disagrees, with specific references to supporting declarations, affidavits or
`other materials. The responsive statement shall also include any similarly numbered paragraphs of
`additional facts, similarly referenced and supported, which the opposing party believes warrant
`denial of summary determination. All material facts set forth in the moving party's statement may
`be deemed admitted by a non-moving party unless so specifically controverted in the nonmoving
`party's responsive statement. Responses to motions for summary determination are limited to 50
`pages (excluding exhibits).
`
`3.5
`
`Contents; Discovery-Related Motions.
`
`Any discovery-related motion must have appended to it the pertinent parts of the discovery
`request and all objections and answers thereto. Additionally, if a party serves supplemental
`responses subsequent to the filing of a motion to compel, that party file copies of the supplemental
`responses, or where documents are produced, a detailed accounting of what additional documents
`were produced. If any portion of a discovery-related motion becomes moot prior to the issuance of
`an order, the moving party shall file a Notice identifying which portion(s) of its motion are moot. If
`a party intends to withdraw its motion, it shall file a Notice of Withdrawal.
`
`3.6
`
`Deadline for Filing Response to Motion.
`
`In addition to the requirements of Commission Rules 201.16 and 210.15(c) governing the
`time period for a nonmoving party's response to a written motion, the date of service of a motion
`on a nonmoving party by electronic mail, hand-delivery or by an express-type mail or courier
`service is the date of delivery. The additional time provided under Commission Rule 201.16(d)
`after service by mail does not apply in such instances, unless service by electronic mail,
`hand-delivery or by an express-type mail or courier service is to a nonmoving party in a foreign
`country, in which event the additional time allowed for responses to motions shall be five (5) days.
`
`9
`
`
`
`3.7
`
`Request for Shortened Time to Respond to Motion.
`
`A motion may include a request to shorten the period of time during which other parties
`may respond to the motion. The fact that a shortened response time is requested shall be noted in
`the title of the motion and the motion shall include an explanation of the grounds for such a
`request. A request for a shortened response time shall not be made through a separate motion.
`Requests for shortened response time are disfavored and should only be made for good cause.
`
`3.8
`
`No Motion Stops Discovery Except Motion to Quash Subpoena.
`
`No motion stops discovery except a timely motion to quash a subpoena.
`
`4.
`
`Discovery
`
`4.1
`
`Resolution of Disputes; Coordinated Discovery.
`
`All parties shall make reasonable efforts to resolve among themselves disputes arising
`during discovery. Parties with similar interests must coordinate and consolidate depositions and all
`other discovery.
`
`4.1.1 Discovery Committee.
`
`Commencing with the first full week after these Ground Rules are issued, a discovery
`conference committee (the "Discovery Committee") consisting of the lead counsel of each party
`and the Commission Investigative Staff shall convene at least once every two weeks during the
`discovery phase of this Investigation, either in person or by telephone, to resolve discovery
`disputes. The Discovery Committee shall confer in good faith to resolve every outstanding
`discovery dispute in a timely manner within the deadlines set forth in the Procedural Schedule.
`Within ten calendar days after the end of each calendar month during the discovery phase, the
`Discovery Committee shall report in writing to the Chief Administrative Law Judge all disputes
`that were resolved during the preceding month and all disputes on which there is an impasse as of
`the end of that month. No motion to compel discovery may be filed unless the subject matter of the
`motion has first been brought to the Discovery Committee and the Committee has reached an
`impasse in resolving the matter.
`
`- 10 -
`
`
`
`4.2
`
`Stipulations Regarding Discovery Procedure.
`
`Unless otherwise directed by the Chief Administrative Law Judge, the parties may by
`written stipulation provide that depositions may be taken before any person, at any time or place,
`upon any notice, and in any manner and when so taken may be used like other depositions. The
`parties may also modify other procedures governing or limitations placed upon discovery, except
`that stipulations extending the time provided in Ground Rules 4.4.2, 4.4.3, 4.4.4, and 4.4.5 for
`responses to discovery may, if they would interfere with the target date of the investigation or with
`any time set in the procedural schedule or in an order for completion of discovery, for hearing of a
`motion, or for the trial, be made only with the approval of the Chief Administrative Law Judge
`upon a written motion showing good cause.
`
`4.3
`
`Service of Discovery Requests and Responses.
`
`Discovery requests and responses thereto shall be served upon all parties, including the
`Commission Investigative Staff, but shall not be served on the Chief Administrative Law
`Judge unless they are pertinent to a motion. Discovery documents need not be served on the
`Office of the Secretary of the Commission, unless they are appended to motions.
`
`4.4
`
`Timing of Discovery Requests, Responses and Objections.
`
`4.4.1 Depositions; Notice.
`
`In addition to the requirements of Commission Rule 210.28(c), unless otherwise ordered,
`any party desiring to take a deposition shall give notice in writing to every other party of not less
`than ten (10) days if the deposition is to be taken of a person located in the United States, or of not
`less than fifteen (15) business days if the deposition is to be taken of a person located outside the
`United States.
`
`4.4.2
`
`Interrogatories; Deadline for Responses and Objections.
`
`In addition to the requirements of Commission Rule 210,29(b), unless otherwise ordered,
`the party upon whom interrogatories have been served shall serve a copy of the answers, and any
`objections, within ten (10) days after the service of the interrogatories.
`
`Any party may serve upon any other party written interrogatories not exceeding 175 in
`number including all discrete subparts. Leave to serve additional interrogatories shall be granted
`by the Chief Administrative Law Judge only upon a written motion showing good cause.
`
`4.4.3 Contention Interrogatories.
`
`Parties are expected to respond to contentions inteirogatories by the date set forth in the
`Procedural Schedule. A party may not introduce evidence at the hearing that is outside of the scope
`of its responses to contention interrogatories.
`
`
`
`Conclusory statements in responses to contention interrogatories are insufficient. For
`example, if a party simply states: "There is also infringement under the doctrine of equivalents,"
`the party is prohibited from later introducing evidence regarding the details of such infringement.
`
`Amendment or supplementation of responses to contention interrogatories after the
`deadlines set forth in the Procedural Schedule may be made only with leave of the Court and shall
`be entered only upon a showing of good cause.
`
`4.4.4 Requests for Production of Documents or Things or for Entry Upon
`Land; Deadline for Responses and Objections.
`
`In addition to the requirements of Commission Rule 210.30(b)(2) with respect to a request
`for the production of documents or things, or to permit entry upon land, unless otherwise ordered,
`the party upon whom a request has been served shall serve a written response within ten (10) days
`after the service of the request.
`
`4.4.5 Request for Admission; Period for Service; Deadline for Responses
`and Objections.
`
`In addition to the requirements of Commission Rule 210.31(a) and (b), unless otherwise
`ordered, a request for admission may be served at any time twenty (20) days after the date of
`service of the Complaint and Notice of Investigation. Unless otherwise ordered, a party upon
`whom a request for admission has been served, shall serve an answer or objection within ten (10)
`days after the service of the request, otherwise the matter may be deemed admitted.
`
`4.4.6 Discovery Cutoff and Completion.
`
`All discovery requests, including without limitatiOn requests for admissions, must be
`initiated in sufficient time prior to the fact discovery cutoff and completion date so that the
`responses will be due prior to that date within the time periods set forth above. Discovery requests
`by any party that would require responses after the fact discovery, cutoff and completion date must
`be approved in advance by the Chief Administrative Law Judge upon a showing of compelling
`circumstances.
`
`4.5
`
`Subpoenas.
`
`4.5.1
`
`Issuance and Service.
`
`Pursuant to Commission Rule 210.32, application for subpoena may be made ex parte to
`the Chief Administrative Law Judge. The application shall be in writing with the proposed
`subpoena attached, and two (2) copies thereof submitted to the office of the Chief Administrative
`Law Judges. A cover letter must accompany the application and should clearly indicate who to
`contact when the subpoena application is ready. The application shall set forth with specificity the
`
`- 12 -
`
`
`
`relevancy of the information sought and the reasonableness of the scope of the inquiry. In addition,
`the subpoena should set forth a time limit for a motion to quash and should also state that the
`subpoena will be served by overnight delivery, if not sooner. The signature page for the subpoena
`shall not be on a separate page. Any dates in a subpoena set for appearance of a deponent or
`production of documents should not be prior to the deadline for filing of any motions to quash.
`Samples of subpoenas are attached in Appendix A hereto.
`
`A copy of the issued subpoena and the application shall be served by the applicant upon the
`subpoenaed party and all other parties to the investigation on the next business day, at the latest,
`after the subpoena is issued. One (1) copy of the issued subpoena, the application, and the proof of
`service to the subpoenaed party shall be supplied to the Chief Administrative Law Judge. The
`application and subpoena need not be filed with or served on the Office of the Secretary of the
`Commission, including EDIS, unless they are appended to a motion to quash or motion for a
`protective order.
`
`4.5.2 Motion to Quash Subpoena; Deadline.
`
`In addition to the requirements of Commission Rule 210.32(d), any motion to limit or
`quash a subpoena shall be filed within ten (10) days after receipt thereof, or within such other time
`as the Chief Administrative Law Judge may allow. Filing of any motion to quash an issued
`subpoena automatically stays such subpoena pending disposition of the motion by the Chief
`Administrative Law Judge.
`
`4.5.3 Subpoenas Ad TestUicandum for Hearings.
`
`Applications for subpoenas ad testificandum to appear at the hearing must be submitted
`fourteen (14) days prior to the start of the hearing. Leave to subpoena a witness after this time will
`only be granted upon a written motion showing compelling circumstances.
`
`4.6
`
`Bates Numbering.
`
`If documents produced by any supplier in response to a document request are furnished to
`the requester as copies of original documents, every page of every such document shall be
`numbered sequentially by a unique number (commonly known as a "Bates number"). The Bates
`number shall appear stamped on the lower right-hand corner of the page.
`
`4.7
`
`Translations.
`
`All documents produced in response to a document request shall be the original or true
`complete copies of originals. If an English translation of any document produced exists, the
`English translation shall be produced. If any of the parties dispute the translation provided by the
`producing party, then the translation must be certified by a qualified and neutral translator upon
`whom counsel can agree.
`
`- 13 -
`
`
`
`4.8
`
`Privileged Matter.
`
`In order to expedite discovery, the following procedure shall be followed with respect to
`those documents for which coun