UNITED STATES INTERNATIONAL TRADE COMMISSION
`
`Washington, D.C.
`
`In the Matter of
`
`CERTAIN ACTIVE MATRIX
`ORGANIC LIGHT-EMITTING DIODE
`DISPLAY PANELS AND MODULES
`FOR MOBILE DEVICES, AND
`COMPONENTS THEREOF
`
`Inv. No. 337-TA-1351
`
`ORDER NO. 37:
`
`ISSUING REPLACEMENT GROUND RULES
`
`(December 7, 2023)
`
`Effective immediately, the attached Ground Rules replace the original Ground Rules and
`
`shall control the remainder of this investigation.
`
`The new Ground Rules contain changes to the following rules: (1) Ground Rule 3; (2)
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`Ground Rule 5.4.1.1; and (3) Ground Rule 5.4.2.1. Additionally, I have added Ground Rule
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`13.6.11, which concerns remote witness testimony.
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`SO ORDERED.
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`

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`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 Administrative Law Judge
`Bryan F. Moore (he/him) in the orderly conduct of the section 337 investigation pursuant to the
`Administrative Procedure Act, 5 U.S.C. § 556(c).
`
`
`In case of any conflict between these Ground Rules and any subsequent order issued by
`the Administrative Law Judge or the Commission in this investigation, the subsequent order shall
`control.
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`TABLE OF CONTENTS
`
`Filings and Submissions. ....................................................................................................1
`1.1
`Definitions............................................................................................................... 1
`1.2
`Format of Filings and Submissions......................................................................... 1
`1.3
`Filing Requirement. ................................................................................................ 1
`1.3.1 Public Version Required. .............................................................................1
`Service..................................................................................................................... 1
`Confidentiality. ....................................................................................................... 2
`Citation of Cases. .................................................................................................... 2
`Coordination of Briefs Among Interested Parties. .................................................. 2
`Courtesy Copies. ..................................................................................................... 3
`1.8.1 Documents Requiring a Courtesy Copy. .....................................................3
`1.8.2 Procedure. ....................................................................................................3
`
`1.4
`1.5
`1.6
`1.7
`1.8
`
`Time. .....................................................................................................................................3
`2.1
`Request for Extension of Time ............................................................................... 3
`
`Preliminary Conference. ....................................................................................................4
`
`Procedural Schedule. ..........................................................................................................5
`
`Motions.................................................................................................................................7
`5.1
`Obligation to Confer. .............................................................................................. 7
`5.2
`Page Limitations. .................................................................................................... 8
`5.3
`Numbering Responses to Motions. ......................................................................... 8
`5.4
`Rules for Certain Motions. ...................................................................................... 8
`5.4.1 Discovery-Related Motions. ........................................................................8
`5.4.1.1 Videoconference Requirement.....................................................................8
`5.4.1.2 Contents of Discovery-Related Motions. .....................................................8
`5.4.2 Motions for Summary Determination and Responses
`Thereto. ........................................................................................................9
`5.4.2.1 Motion. .........................................................................................................9
`5.4.2.2 Response. .....................................................................................................9
`5.4.2.3 Courtesy Copies. ..........................................................................................9
`Effect of Filing Unopposed Motions to Terminate. ................................................ 9
`
`5.5
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`Discovery. .............................................................................................................................9
`6.1
`Resolution of Disputes; Coordinated Discovery..................................................... 9
`6.2
`Discovery Committee. ............................................................................................ 9
`6.3
`Service of Discovery Requests and Responses. .................................................... 10
`6.4
`Timing of Discovery Requests, Responses and Objections. ................................. 10
`6.4.1 Depositions; Notice. ...................................................................................10
`6.4.2
`Interrogatories; Deadline for Responses and Objections. ..........................10
`6.4.3 Contention Interrogatories. ........................................................................10
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`6.4.4 Requests for Production of Documents or Things or for
`Entry Upon Land; Deadline for Responses and Objections. .....................10
`6.4.5 Request for Admission; Period for Service; Deadline for
`Responses and Objections..........................................................................11
`6.4.6 Discovery Related to Redesign Products. ..................................................11
`6.4.7 Discovery Cutoff and Completion. ............................................................11
`Subpoenas. ............................................................................................................ 11
`6.5.1
`Issuance and Service. .................................................................................11
`6.5.2 Motion to Quash Subpoena; Deadline. ......................................................12
`6.5.3 Subpoenas Ad Testificandum for Hearings. ...............................................12
`6.5.4 Withdrawing A Subpoena. .........................................................................12
`Bates Numbering. ................................................................................................. 12
`Translations. .......................................................................................................... 12
`Privileged Matter. ................................................................................................. 13
`6.8.1 Privileged Document List. .........................................................................13
`6.8.2 Motion to Compel Production of Privileged Matter. .................................13
`
`6.5
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`6.6
`6.7
`6.8
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`Claim Construction. ..........................................................................................................13
`7.1
`Terms Requiring Construction. ............................................................................. 13
`7.2
`Claim Construction Briefing. ................................................................................ 14
`7.3
`Claim Construction Hearing Exhibits. .................................................................. 14
`7.4
`Proposed Claim Construction Chart. .................................................................... 14
`
`Notice of Prior Art. ...........................................................................................................15
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`Expert Witnesses and Reports. ........................................................................................15
`
`Narrowing Issues, Mediation, Settlement. ......................................................................15
`
`Pre-hearing Submissions. .................................................................................................16
`11.1 Pre-hearing Statement. .......................................................................................... 16
`11.2 Pre-hearing Brief. .................................................................................................. 16
`11.3 Motions in Limine. ................................................................................................ 16
`11.3.1 Requirement to Include Evidence in Question. .........................................17
`
`Exhibits. .............................................................................................................................17
`12.1 Form and Marking. ............................................................................................... 17
`12.1.1 Inclusion on Exhibit List. ...........................................................................17
`12.1.2 One Document Per Exhibit. .......................................................................17
`12.1.3 Labeling Exhibits. ......................................................................................17
`12.1.4 Physical Exhibits. .......................................................................................17
`12.1.5 Demonstrative Exhibits. .............................................................................18
`12.1.6 Confidential Exhibits. ................................................................................18
`12.1.7 Foreign Language Exhibits. .......................................................................18
`12.2 Pre-Hearing Disclosure. ........................................................................................ 18
`12.2.1 Content of Exhibit Lists. ............................................................................18
`12.2.2 Exchange of Proposed Exhibit Lists. .........................................................19
`12.2.3 Exchange of Proposed Exhibits. ................................................................19
`12.2.4 Exchange of Demonstrative Exhibits.........................................................19
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`12.3 Use in Hearing. ..................................................................................................... 19
`12.3.1 Authenticity................................................................................................19
`12.3.2 Witness Exhibits. .......................................................................................19
`12.4 Admission of Exhibits into Evidence. .................................................................. 20
`12.5 Final Exhibit List and Final Exhibits. ................................................................... 20
`12.5.1 Final Exhibit List. ......................................................................................20
`12.5.2 Final Exhibits Must Be Submitted to the Administrative
`Law Judge. .................................................................................................20
`12.5.3 Submission of Final Exhibits. ....................................................................20
`12.5.4 Uploaded Exhibit Requirements. ...............................................................21
`
`13 Hearing Procedure. ...........................................................................................................21
`13.1 Hearing Hours. ...................................................................................................... 21
`13.2 Webex Procedures. ............................................................................................... 22
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`13.2.1 Naming Conventions. ................................................................................. 22
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`13.2.2 Monitors for Confidential Business Information. ...................................... 22
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`13.2.3 Demonstrative Exhibits. ............................................................................. 22
`13.3 Hearing Decorum. ................................................................................................. 22
`13.3.1 Audible Devices; Food and Beverages. .....................................................22
`13.3.2 Photos or Video Recording. .......................................................................22
`13.4 Opening Statements. ............................................................................................. 22
`13.5 Material to Be Received into Evidence. ............................................................... 23
`13.6 Examination of Witnesses..................................................................................... 23
`13.6.1 Direct Witness Testimony..........................................................................23
`13.6.2 Scope of Cross-examination. .....................................................................24
`13.6.3 Scope of Redirect and Re-cross Examination. ...........................................24
`13.6.4 Coordination of Respondents’ Cross-Examination. ..................................24
`13.6.5 Order of Witnesses. ....................................................................................25
`13.6.6 Scope of Expert Witness Testimony. .........................................................25
`13.6.7 Use of Interpreters......................................................................................25
`13.6.8 Conferring with Witness during a Break in Testimony. ............................25
`13.6.9 Sequestration of Witnesses. .......................................................................25
`13.5.10 Use of Video Impeachment ......................................................................25
`13.6.11 Remote Witness Testimony ......................................................................25
`13.7 Submission of Updated Schedule of Witnesses. ................................................... 26
`13.8 Time-Keeping ....................................................................................................... 26
`13.9 Closing Argument ................................................................................................. 26
`13.10 Close of Hearing Procedures. ............................................................................... 26
`13.10.1 Physical Exhibits. ....................................................................................26
`13.10.2 Correction to Transcripts. .......................................................................26
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`Post-Hearing Briefs. ..........................................................................................................26
`14.1 Undisputed Claim Limitations. ............................................................................. 26
`14.2 Post-hearing Initial Briefs. .................................................................................... 27
`14.3 Post-hearing Responsive Briefs. ........................................................................... 27
`14.4 Citations to Evidence. ........................................................................................... 27
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`14.5 Citations to Pre-Hearing Briefs. ............................................................................ 28
`14.6 Courtesy Copies of Post-hearing Briefs. ............................................................... 28
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`NEXT Advocates Program...............................................................................................28
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`Ex Parte Contacts. .............................................................................................................29
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`Suspension, Waiver, and Modification of Ground Rules. .............................................29
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`GROUND RULES
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`Filings and Submissions.
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` 1
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`Definitions.
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`Format of Filings and Submissions.
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`1.1
`
`As used in these Ground Rules, “file” refers to filing with the Office of the Secretary of the
`Commission using the Commission’s Electronic Document Information System (EDIS), in
`accordance with Commission Rule 210.4(f).
`
`As used in these Ground Rules, “submit” refers to providing an item to the Administrative
`Law Judge without using EDIS.
`
`1.2
`
`All motions, briefs, notices, and reports filed or submitted to the Administrative Law Judge
`shall be on 8.5” x 11” pages, at least 12-point Times New Roman font, double spaced, with 1-inch
`margins. Footnotes shall be at least 10-point font, single spaced.
`
`1.3
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`Filing Requirement.
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`All pleadings, motions, briefs, notices, and other documents directed to the Administrative
`Law Judge 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 Administrative Law Judge.
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`All PDF-format filings must be PDF version 1.5 or higher.
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`1.3.1 Public Version Required.
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`If a document is filed that contains confidential business information as defined in 19
`C.F.R. § 201.6(a), the party that filed the document must file a public version of the document
`within five business days from the date of filing. For those investigations where a Commission
`investigative attorney is a party, the Commission investigative attorney shall have ten business
`days to file a public version of the document. When redacting confidential business information,
`a high level of care shall be exercised to ensure that information that does not meet the
`Commission’s definition of confidential business information is not redacted.
`
`
`For motions and related documents, the public version of the motion or related document
`shall also include the Motion Docket Number assigned to the original motion by the Office of the
`Secretary of the Commission in either the title or the first paragraph of the public version. Motion
`Docket Numbers may be obtained online through EDIS.
`1.4
`Service.
`
`
`
`Whenever practicable, service of all documents filed with the Office of the Secretary of the
`Commission or submitted to the Administrative Law Judge shall be by email addressed to all
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`parties, including the Commission investigative attorney. Otherwise, service shall be as specified
`in Commission Rules 210.4(i), 210.7, 210.16, or as agreed by the parties.
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`1.5
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`Confidentiality.
`
` A
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` protective order shall be entered in each investigation. Parties shall mark filings and
`submissions as required by the protective order. 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.
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`When making claims of confidentiality, parties are expected to follow the definition of
`confidential business information found in Commission Rule 201.6(a).
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`When a document is filed confidentially, a public version of the document must be filed
`within the timelines specified in Ground Rule 1.3.1.
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`If an exhibit to a motion is not capable of redaction, this must be clearly indicated on the
`exhibit cover sheet. In addition, the party shall file a declaration justifying why the entire document
`must remain confidential.
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`If the Administrative Law Judge issues a confidential order or initial determination, the
`parties must jointly submit within seven (7) days of the order a single proposed public version of
`that order with any proposed redactions indicated in red. If the parties submit excessive redactions,
`they may be required to provide declarations from individuals with personal knowledge, justifying
`each proposed redaction and specifically explaining why the information sought to be redacted
`meets the definition for confidential business information set forth in 19 C.F.R. § 201.6(a). To the
`extent possible, the proposed redactions should be made electronically, in a single PDF file of the
`issued order or initial determination, using the “Redact Tool” within Adobe Acrobat. The proposed
`redactions should be submitted as “marked” but not yet “applied.” The proposed redactions or
`statement of no redactions should be submitted via email to Moore337@usitc.gov and not filed on
`EDIS.
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`1.6
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`Citation of Cases.
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`
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`The official case reporter citation must be included for any published decision or order that
`is cited in a party’s briefs or pleadings. 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. 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.
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`1.7
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`When there is more than one complainant and/or respondent in an investigation,
`complainants and/or respondents shall respectively coordinate their efforts and file a single brief.
`
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`Coordination of Briefs Among Interested Parties.
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`Courtesy Copies.
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`1.8
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`1.8.1 Documents Requiring a Courtesy Copy.
`
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`Courtesy copies are required for all documents filed on EDIS except protective order
`undertakings.
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`1.8.2 Procedure.
`
`
`On the same day that any document is filed, the filer shall submit a courtesy electronic
`copy of the filing in Microsoft Word format whenever possible, and otherwise in PDF format via
`Box, a cloud-based content management platform. When all related documents have been
`submitted, the filer should email Moore337@usitc.gov1 with notice that the upload is complete.
`Documents submitted according to this procedure should not be compressed or password protected
`
`Certain filings require additional hyperlinked courtesy copies submitted on Box, a cloud-
`based content management platform, as indicated in the Ground Rules listed below:
`
`
`• Summary Determination Motions and Responses – see Ground Rules 5.4.2
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`• Claim Construction Briefing – see Ground Rule 7.2
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`
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`• Post-Hearing Briefing – see Ground Rule 14
`
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`Access to Box will be provided upon request to Moore337@usitc.gov. Documents
`submitted to Box should not be compressed or password protected.
`
`The Commission Investigative Attorney is not required to submit hyperlinked courtesy
`copies of any filing.
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`Time.
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` 2
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`Time shall be computed as stated in Commission Rules 201.14, 201.16(d), and 210.6.
`
`When computing the due date for a response to a motion under Commission Rule
`210.15(c), the first day shall be the first business day following the date that the motion was filed
`with the Office of the Secretary of the Commission, no matter the method of service of the motion.
`If the last day 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 on which the Office of the Secretary of the Commission is accessible.
`
`
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`Request for Extension of Time
`
`2.1
`
`
`1 Questions or general correspondence should not be submitted to the email address
`Moore337@usitc.gov. Questions or correspondence sent to this mailbox will not be answered. See
`Ground Rule 16.
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`Any request for an extension of time must be made by written motion two days before the
`due date. 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. If the motion is opposed, the moving party must
`demonstrate good cause for the extension of time.
`
`If a deadline requires only that a document or item be served on the parties (and not filed
`on EDIS or submitted to the Administrative Law Judge), the parties may modify the deadline
`without seeking judicial approval, provided that all parties and the Commission Investigative
`attorney agree to the new date.
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` 3
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`Preliminary Conference.
`
`By separate order, the Administrative Law Judge will instruct the parties to appear at a
`preliminary conference, in person or via videoconference. If by videoconference, connection
`information will be provided to the parties in a separate communication. The Commission will
`provide a court reporter who will transcribe this conference and the transcript will be made
`available on EDIS.
`
` By noon on the last business day prior to the preliminary conference, the parties shall
`jointly submit proposed dates for the procedural schedule below. At the conference, the parties
`should be prepared to discuss the following:
`
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`A. formulating and simplifying the issues, and eliminating frivolous claims or
`defenses;
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`B. amending the pleadings if necessary or desirable;
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`C. obtaining admissions and stipulations about facts and documents to avoid
`unnecessary proof, and ruling in advance on the admissibility of evidence;
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`D. avoiding unnecessary proof and cumulative evidence;
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`E. controlling and scheduling discovery, including discovery involving non-parties;
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`F. identifying witnesses (including the possibility of remote witnesses) and
`documents, and setting dates for further conferences if necessary;
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`G. settlement and mediation;
`
`I.
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`H. disposing of pending motions;
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`the NEXT Advocate Program (see Ground Rule 15);
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`J. adopting special procedures for managing potentially difficult or protracted actions
`that may involve complex issues, multiple parties, difficult legal questions, or
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`unusual proof problems, including the possible consolidation or severance of
`proceedings; and
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`K. facilitating in other ways the just, speedy, and inexpensive disposition of the action.
`
`Procedural Schedule.
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` 4
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`The Administrative Law Judge will promulgate a procedural schedule for the investigation.
`
`Once ordered, modifications of the procedural schedule by any party shall be made by written
`motion showing good cause, except for events listed in italics. Per Ground Rule 2.1, the parties
`may modify these deadlines without seeking judicial approval, provided that all parties and the
`Commission Investigative Attorney agree to the new date. Deadlines marked with an asterisk only
`apply if it is determined that a Markman hearing shall be held. The event and deadline dates in the
`procedural schedule will generally adhere to the following chronological order, although parties
`may suggest other procedures as they deem necessary for the efficient and orderly disposition of
`the investigation:
`
`
`Preliminary conference
`
`Exchange list of claim terms to be construed*
`
`Exchange proposed constructions for all terms on all lists*
`
`File identification of expert witnesses, including their expertise and curriculum vitae
`
`Complainant files list of products it plans to rely upon to satisfy the domestic industry
`requirement
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`Exchange of initial expert reports on claim construction issues*
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`Exchange of rebuttal expert reports on claim construction issues*
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`Meet and confer to discuss and limit number of disputed claim terms*
`
`File opening claim construction briefs*
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`File responsive claim construction briefs*
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`Markman claim construction hearing*
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`Submit proposed claim construction chart incorporating any revisions to date*
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`File notice of prior art
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`5
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`Deadline for responses to contention interrogatories on issues for which the responding party
`bears the burden of proof, and on public interest (if applicable)
`
`Deadline for responses to contention interrogatories on issues for which the responding party
`does not bear the burden of proof
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`Fact Discovery cutoff and completion
`
`Deadline to submit letters regarding fact discovery disputes
`
`File joint statement identifying accused products
`
`Exchange initial expert reports (identify tests/surveys/data)
`
`File tentative list of witnesses a party will call to testify at the hearing, with an identification of
`each witness’ relationship to the party
`
`Exchange rebuttal expert reports
`
`Expert discovery cutoff and completion
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`Deadline to submit letters regarding expert discovery disputes
`
`One-day mediation session2
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`Submit joint report on mediation
`
`Deadline for filing summary determination motions
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`Exchange of exhibit lists among the parties
`
`Complainant and respondent serve proposed direct exhibits (including witness statements) and
`identify physical exhibits
`
`Commission Investigative Attorney serves proposed direct exhibits (including witness statements)
`and identifies physical exhibits
`
`File joint stipulation regarding representative accused products and domestic industry products
`
`Complainant and respondent file pre-trial statements and briefs
`
`
`2 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.
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`Serve proposed rebuttal exhibits (including witness statements) and identify rebuttal physical
`exhibits
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`File joint list of unopposed exhibits
`
`Deadline for motions in limine
`
`Commission Investigative Attorney files pre-trial statement and brief
`
`Submit witness statements (and exhibits cited therein) to Box
`
`Deadline for responses to motions in limine3
`
`Final pre-hearing conference
`
`Hearing
`
`File identification of undisputed claim limitations (see Ground Rule 14.1)
`
`File final exhibit list
`
`Complainant and respondent file post-hearing initial briefs
`
`Staff files post-hearing initial brief
`
`Complainant and respondent file post-hearing responsive briefs
`
`Staff files post-hearing responsive brief
`
`Initial determination due
`
`Target date for completion of investigation
`
`
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`Motions.
`
`5.1 Obligation to Confer.
`
`5
`
`
`
`All motions shall include a certification that the moving party has made reasonable, good-
`faith efforts to resolve the matter with the other parties prior to filing the motion and shall state, if
`
`
`3 Responses to motions in limine must be submitted no later than a week prior to the pre-trial
`conference.
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`known, the position of the other parties on such motion. The certification shall be placed at the
`beginning of the motion.
`
`5.2
`
`Page Limitations.
`
`
`
`Motions other than motions for summary determination shall not exceed fifteen pages
`(excluding exhibits). Likewise, responses to such motions shall not exceed fifteen pages. A
`separate memorandum is not necessary for motions.
`
`
`5.3
`
`Numbering Responses to Motions.
`
`
`
`All responses to motions shall include the Motion Docket Number assigned to the motion
`by the Office of the Secretary of the Commission in either the title or the first paragraph of any
`such response. Motion Docket Numbers may be obtained online through EDIS.
`
`5.4
`
`
`Rules for Certain Motions.
`
`5.4.1 Discovery-Related Motions.
`
`
`
`
`
`5.4.1.1 Videoconference Requirement.4
`
`All discovery disputes will be addressed in a videoconference with the Administrative Law
`Judge. Prior to filing any motion related to a discovery dispute, the party that seeks to file such a
`motion must discharge its obligation to meet and confer under Ground Rule 5.1. If, after
`discharging its obligation under that rule, any discovery disputes persist, that party shall submit a
`letter explaining all ripe discovery disputes. The letter shall be submitted by e-mail to
`Moore337@usitc.gov (and a copy should be uploaded to Box) and shall be no more than two
`pages. Any party submitting a responsive letter must do so no later than one (1) business day
`following submission of the initial letter by the intended movant. Any responsive letter should be
`submitted by e-mail to the address above and shall address all issues in no more than two pages.
`After receiving these submissions, the parties will be notified of the date for the videoconference
`and provided with connection information. The Commission will provide a court reporter who
`will transcribe this conference and the transcript will be made available on EDIS.
`
`Leave to file a discovery-related motion will be granted, if at all, only after the intended
`movant has complied with the procedure provided herein.
`
`
`
`5.4.1.2 Contents of Discovery-Related Motions.
`
`Any discovery-related motion must have appended to it the pertinent parts of the discovery
`request and all objections and answer