UNITED STATES INTERNATIONAL TRADE COMMISSION
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`Washington, D.C.
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`
`In the Matter of
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`CERTAIN VAPORIZER DEVICES,
`CARTRIDGES USED THEREWITH, AND
`COMPONENTS THEREOF
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`INV. NO. 337-TA-1368
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`ORDER NO. 2:
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` NOTICE OF GROUND RULES
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`(August 7, 2023)
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`The conduct of this investigation shall be governed by the Commission Rules and the
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`attached Ground Rules.
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`SO ORDERED.
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`GROUND RULES FOR THIS SECTION 337 INVESTIGATION
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`
`These Ground Rules supplement the Commission’s Rules of Practice and Procedure,
`19 C.F.R. Parts 201 and 210 (Commission Rules), to aid the Administrative Law Judge in the
`orderly conduct of this Section 337 investigation pursuant to the Administrative Procedure Act, 5
`U.S.C. § 556(c).
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`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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`1
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`5
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`TABLE OF CONTENTS
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`Filings and Submissions .....................................................................................................1
`1.1
`Definitions............................................................................................................... 1
`1.2
`Address of the Administrative Law Judge .............................................................. 1
`1.3
`Format of Filings and Submissions......................................................................... 1
`1.4
`Filing Requirement ................................................................................................. 1
`1.4.1 Public Version Required ..............................................................................1
`Service..................................................................................................................... 2
`1.5
`Confidentiality ........................................................................................................ 2
`1.6
`1.7 Word Limits ............................................................................................................ 2
`1.8
`Citation of Cases ..................................................................................................... 3
`1.9
`Coordination of Briefs Among Interested Parties ................................................... 3
`1.10 Courtesy Copies ...................................................................................................... 3
`1.10.1 Documents Requiring a Courtesy Copy ......................................................3
`1.10.2 Procedure .....................................................................................................3
`1.10.2.1 Submissions Via Box ................................................................................3
`1.10.2.2 Paper Copies .............................................................................................3
`Time ......................................................................................................................................4
`Preliminary Conference .....................................................................................................4
`Procedural Schedule ...........................................................................................................5
`Motions.................................................................................................................................7
`5.1
`Obligation to Confer ............................................................................................... 7
`5.2
`Numbering Responses to Motions .......................................................................... 7
`5.3
`Deadline for Filing Response to Motion ................................................................. 8
`5.4
`Extension of Time ................................................................................................... 8
`5.5
`Reply Briefs ............................................................................................................ 8
`5.6
`Rules for Certain Motions ....................................................................................... 8
`5.6.1 Discovery-Related Motions .........................................................................8
`5.6.1.1 Videoconference Requirement .....................................................................8
`5.6.1.2 Content of Discovery-Related Motions .......................................................9
`5.6.2 Motions for Summary Determination and Responses .................................9
`5.6.2.1 Motion ..........................................................................................................9
`5.6.2.2 Response ......................................................................................................9
`5.6.2.3 Oral Argument ...........................................................................................10
`Effect of Filing Unopposed Motions to Terminate ............................................... 10
`5.7
`Discovery ............................................................................................................................10
`6.1
`Resolution of Disputes and Coordinated Discovery ............................................. 10
`6.2
`Conferring to Resolve Disputes ............................................................................ 10
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`6.5
`6.6
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`6.7
`6.8
`6.9
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`Service of Discovery Requests and Responses ..................................................... 10
`Timing of Discovery Requests, Responses, and Objections................................. 11
`6.4.1 Depositions – Notice ..................................................................................11
`6.4.2 Deadline for Responses and Objections to Interrogatories ........................11
`6.4.3 Deadline for Responses and Objections to Requests for
`Production of Documents or Things or for Entry Upon
`Land ...........................................................................................................11
`6.4.4 Period for Service and Deadline for Answers and
`Objections to Requests for Admission .......................................................11
`6.4.5 Discovery Cutoff and Completion .............................................................11
`Interrogatory Limitation........................................................................................ 12
`Subpoenas ............................................................................................................. 12
`6.6.1
`Issuance and Service ..................................................................................12
`6.6.2 Motion to Quash Subpoena and Deadline .................................................12
`6.6.3 Withdrawing Subpoena ..............................................................................12
`Bates Numbering .................................................................................................. 13
`Originals and Translations .................................................................................... 13
`Privileged Matter .................................................................................................. 13
`6.9.1 Privileged Document List ..........................................................................13
`6.9.2 Motion to Compel Production of Privileged Matter ..................................13
`Claim Construction ...........................................................................................................14
`7.1
`Terms Requiring Construction .............................................................................. 14
`7.2
`Claim Construction Briefing ................................................................................. 14
`7.3
`Claim Construction Hearing Exhibits ................................................................... 14
`Notice of Prior Art ............................................................................................................14
`Expert Witnesses and Reports .........................................................................................15
`Narrowing Issues, Mediation, and Settlement ...............................................................15
`Pre-hearing Submissions ..................................................................................................15
`11.1 Pre-hearing Statement ........................................................................................... 15
`11.2 Pre-hearing Brief ................................................................................................... 16
`11.3 Motions in Limine ................................................................................................. 16
`Exhibits ..............................................................................................................................17
`12.1 Form and Marking ................................................................................................ 17
`12.1.1 One Document Per Exhibit ........................................................................17
`12.1.2 Labeling Exhibits .......................................................................................17
`12.1.3 Physical Exhibits ........................................................................................17
`12.1.4 Demonstrative Exhibits ..............................................................................17
`12.1.5 Confidential Exhibits .................................................................................18
`12.1.6 Foreign Language Exhibits ........................................................................18
`12.2 Pre-Hearing Disclosure ......................................................................................... 18
`12.2.1 Content of Exhibit Lists .............................................................................18
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`6.3
`6.4
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`12.2.2 Exchange of Proposed Exhibit Lists ..........................................................19
`12.2.3 Exchange of Proposed Exhibits .................................................................19
`12.3 Use in Hearing ...................................................................................................... 19
`12.3.1 Authenticity................................................................................................19
`12.3.2 Exhibits Not in Dispute ..............................................................................19
`12.3.3 Witness Exhibits ........................................................................................19
`12.4 Final Exhibit List and Final Exhibits .................................................................... 19
`12.4.1 Final Exhibit List .......................................................................................19
`12.4.2 Final Exhibits Must Be Submitted to the Administrative
`Law Judge ..................................................................................................20
`12.4.3 Format and Organization of the Original Set .............................................20
`12.4.4 Duplicate Set for the Administrative Law Judge .......................................22
`13 Hearing Procedure ............................................................................................................22
`13.1 Final Pre-hearing Conference ............................................................................... 22
`13.2 Hearing Hours ....................................................................................................... 22
`13.3 Hearing Decorum .................................................................................................. 23
`13.3.1 Conversations During the Hearing .............................................................23
`13.3.2 Audible Devices; Food and Beverages ......................................................23
`13.3.3 Photos or Video Recording ........................................................................23
`13.4 Opening Statements .............................................................................................. 23
`13.5 Material to Be Received into Evidence ................................................................ 23
`13.6 Examination of Witnesses..................................................................................... 23
`13.6.1 Live Direct Testimony ...............................................................................23
`13.6.2 Scope of Cross-examination ......................................................................23
`13.6.3 Scope of Redirect Examination. ................................................................23
`13.6.4 Order of Witnesses .....................................................................................24
`13.6.5 Documents Presented to Witnesses ...........................................................24
`13.6.6 Scope of Expert Witness Testimony ..........................................................24
`13.6.7 Use of Interpreters......................................................................................24
`13.6.8 Conferring with a Witness during a Break in Testimony ..........................24
`13.7 Timekeeping ......................................................................................................... 24
`13.8 Corrections to Hearing Transcripts ....................................................................... 24
`Post-hearing Briefs............................................................................................................25
`14.1
`Initial Post-hearing Briefs ..................................................................................... 25
`14.2 Responsive Post-hearing Briefs ............................................................................ 25
`Ex Parte Contacts ..............................................................................................................25
`Suspension, Waiver, and Modification of Ground Rules ..............................................26
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`Filings and Submissions
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`GROUND RULES
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`Definitions
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` 1
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`1.1
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`As used in these Ground Rules, “file” means filing a document 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) and “submit” means providing an item to
`the Administrative Law Judge without using EDIS.
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`Address of the Administrative Law Judge
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`The address of the Administrative Law Judge is:
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`1.3
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`All filed or submitted documents shall be on 8.5” x 11” paper, at least 12-point font, double
`spaced, with 1-inch margins. Footnotes shall be at least 12-point font, single spaced.
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`1.4
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`1.2
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`The Honorable Doris Johnson Hines
`U.S. International Trade Commission
`500 E Street, S.W., Room 317
`Washington, D.C. 20436
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`Format of Filings and Submissions
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`Filing Requirement
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`All documents submitted 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 and submissions must be PDF version 1.5 or higher.
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`1.4.1 Public Version Required
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`If a filed document contains confidential business information, as defined in Commission
`Rule 201.6(a), the private parties must file a public version of the document within five (5) business
`days of the date of filing. For those investigations in which a Commission investigative attorney
`is a party, the Commission investigative attorney shall have ten (10) business days to submit a
`public version. When redacting confidential business information, a high level of care shall be
`exercised to ensure that only information meeting the Commission’s definition of confidential
`business information is redacted.
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`The public version of all motions shall include the Motion Docket Number assigned to the
`original motion by the Commission’s Office of the Secretary in either the title or the first
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`paragraph. Motion Docket Numbers are available on EDIS.
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`1.5
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`Service
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`Whenever possible, service of all documents filed with the Secretary or submitted to the
`Administrative Law Judge shall be by email, addressed to all 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 to by the parties.
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`1.6
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`Confidentiality
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` 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 paper shall be stapled or
`otherwise attached to a filing or submission that obscures the confidential marking.
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`When making claims of confidentiality, parties are expected to follow the definition of
`confidential business information 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 times specified in Ground Rule 1.4.1.
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`If the Administrative Law Judge issues a confidential order or initial determination, the
`parties must within seven (7) days jointly submit a single proposed public version 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 of confidential business information in Commission Rule 201.6(a). To the extent
`possible, proposed redactions should be made electronically, in a single PDF file, using the
`“Redact Tool” in Adobe Acrobat. The proposed redactions should be submitted as “marked” but
`not yet “applied.” The proposed redactions or a statement of no redactions shall be submitted by
`email to JohnsonHines1368@usitc.gov1 and not filed on EDIS.
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`1.7 Word Limits
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`Certain Ground Rules provide word limits for certain briefs. Any brief that is word-count
`limited must include a certificate by an attorney or by an unrepresented party that the brief
`complies with the word-count limitation. The person preparing the certificate may rely on the word
`count of the word-processing system used to prepare the brief. The certificate must state the
`number of words in the brief and must appear immediately before the signature block. The word
`count must include footnotes. The word count need not include captions, table of contents, table
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`1 Correspondence should not be submitted to JohnsonHines1368@usitc.gov and will not be
`answered.
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`of authorities, words in figures, the word count certificate, the signature block, or the certificate of
`service.
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`1.8
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`Citation of Cases
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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 filings or submissions. The docket number and the full date of the disposition
`must be included in the citation of any unreported decision or order. The specific page(s) of the
`cited decision or order containing the holding for which the authority is cited must be identified.
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`1.9
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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 submit a single
`brief.
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`Coordination of Briefs Among Interested Parties
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`1.10 Courtesy Copies
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`1.10.1 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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`1.10.2 Procedure
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`1.10.2.1
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`Submissions Via Box
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`On the same day that any document is filed, the filer shall submit a courtesy copy of the
`filing in Microsoft Word format and a courtesy copy of the filing as a single PDF document
`including all attachments (with exhibits bookmarked) via the cloud-based content management
`platform Box. For any motion, the filer shall create a folder on Box for all the filer’s courtesy
`copies related to the motion. The folder should have a descriptive title. The folder for a response
`to a motion should have the motion number in the title. When all courtesy copies of the filing have
`been submitted, the filer should email JohnsonHines1368@usitc.gov with notice that the upload
`is complete. Documents submitted according to this procedure should not be compressed or
`password protected. Access to Box will be provided on request to JohnsonHines1368@usitc.gov.
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`1.10.2.2
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`Paper Copies
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`For claim construction briefs, summary determination briefs, pre-hearing briefs, and post-
`hearing briefs, the private parties shall also serve two paper copies, including attached exhibits, on
`the Administrative Law Judge within one (1) business day of the filing. Paper copies should be
`double-sided, provided in a notebook, bound, clipped, stapled, or otherwise provided in an
`organized way and delivered to the Administrative Law Judge at the address in Ground Rule 1.2.
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`The Commission investigative attorney is not required to provide paper copies of the briefs
`identified in this paragraph. If a confidential version of a brief is provided, a public version of that
`brief should not be provided.
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`Time
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`Time shall be computed as stated in Commission Rules 201.14, 201.16(d), and 210.6.
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`As used in these Ground Rules, “business day” shall mean a day that is not a Saturday,
`Sunday, or Federal legal holiday. “Federal legal holiday” refers to any full calendar day designated
`as a legal holiday by the President or the Congress of the United States.
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` 3
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`Preliminary Conference
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`By separate order, the Administrative Law Judge will instruct the parties to appear at a
`preliminary conference, in person or by 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.
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` By noon on the last business day before the preliminary conference, the parties shall jointly
`submit proposed dates for the procedural schedule, as detailed in Ground Rule 4. At the
`preliminary conference the parties should be prepared to discuss:
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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 and documents, and setting dates for further conferences if
`necessary;
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`G. settlement and mediation;
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`H. disposing of pending motions;
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`I. adopting special procedures for managing potentially difficult or protracted actions
`that may involve complex issues, multiple parties, difficult legal questions, or
`unusual proof problems, including the possible consolidation or severance of
`proceedings;
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`J. opportunities for less-experienced attorneys to participate in substantive oral
`arguments or examine witnesses at the hearing in accordance with the NEXT
`Advocates program;2 and
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`K. facilitating, in other ways, the just, speedy, and inexpensive disposition of the
`action.
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`Procedural Schedule
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` 4
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`The Administrative Law Judge will issue by separate order a procedural schedule for the
`investigation after inviting input from the parties. Parties are encouraged to reach consensus on
`procedural schedule proposals. Once ordered, modifications to the procedural schedule shall be
`made following a written motion demonstrating good cause. The event and deadline dates in the
`procedural schedule will generally follow the framework and order below, although parties may
`suggest modifications as they deem necessary for the efficient and orderly disposition of the
`investigation:
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`Preliminary conference
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`Exchange list of claim terms to be construed
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`Exchange proposed constructions for all terms on all lists
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`File chart of agreed and disputed constructions
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`File identification of expert witnesses, including their expertise and curriculum vitae
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`File opening claim construction briefs
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`File responsive claim construction briefs
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`Claim construction hearing
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`2 Information about the NEXT Advocates program is available at
`https://usitc.gov/next_advocates_nurturing_excellence_in_trial_advocates.htm.
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`5
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`File notice of prior art
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`Fact discovery cutoff and completion
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`Deadline for motions to compel discovery
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`Exchange initial expert reports (identify tests/surveys/data)
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`Exchange rebuttal expert reports
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`File tentative list of witnesses a party will call to testify at the hearing, with an
`identification of each witness’s relationship to the party
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`Expert discovery cutoff and completion
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`One-day mediation session3
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`Submit joint report on mediation
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`Deadline for filing summary determination motions
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`Exchange of exhibit lists among the parties
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`Complainant and respondent serve proposed direct exhibits, including direct
`demonstrative exhibits,4 and identify physical exhibits
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`Commission investigative attorney serves proposed direct exhibits, including direct
`demonstrative exhibits, and identifies physical exhibits.
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`Complainant and respondent file pre-hearing statements and briefs
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`Serve proposed rebuttal exhibits, including rebuttal demonstrative exhibits, and identify
`rebuttal physical exhibits
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`File joint list of unopposed exhibits
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`3 For questions about the mediation program, parties should refer to the materials at: Mediation
`Program | United States International Trade Commission (usitc.gov).
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`4 The parties may agree on a time to exchange demonstrative exhibits different from the
`exchange of documentary exhibits.
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`Deadline for motions in limine
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`Commission investigative attorney files pre-hearing statement and brief
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`File responses to motions in limine
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`Final pre-hearing conference
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`Hearing
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`File final exhibit list
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`Complainant and respondent file initial post-hearing briefs and submit final exhibits
`(original set)
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`Commission investigative attorney files initial post-hearing brief
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`Complainant and respondent file responsive post-hearing briefs
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`Commission investigative attorney files responsive post-hearing brief
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`Initial determination due
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`Target date for completion of investigation
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`Motions
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`5.1 Obligation to Confer
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`5
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`All motions shall include a certification that the moving party has made reasonable, good-
`faith efforts to resolve the matter with the other parties before filing the motion and shall state, if
`known, the position of the other parties on such motion. The certification shall be placed at the
`beginning of the motion.
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`5.2
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`Numbering Responses to Motions
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`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. Motion Docket Numbers may be obtained through EDIS.
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`5.3
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`Deadline for Filing Response to Motion
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`Extension of Time
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`Reply Briefs
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`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,
`no matter the method of service. If the last day for filing a response falls on a day on which weather
`or other conditions have made the Office of the Secretary inaccessible, the period shall run until
`the end of the next business day on which the Office of the Secretary is accessible.
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`5.4
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`Any request for an extension of time to respond to a motion must be made by written
`motion at least two (2) business days before the due date demonstrating good cause for the
`requested extension.
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`5.5
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`Except for motions in limine, discovery-related motions, or as otherwise ordered, the
`moving party may file a reply brief within three (3) business days of the deadline for filing the
`response to the motion, limited to no more than ten (10) pages. A reply brief must include the
`Motion Docket Number per Ground Rule 5.2.
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`Sur-reply briefs are not permitted.
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`5.6
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`Rules for Certain Motions
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`5.6.1 Discovery-Related Motions
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`5.6.1.1 Videoconference Requirement
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`The Administrative Law Judge will schedule monthly videoconferences with the parties
`until the evidentiary hearing in this investigation. Dates for these videoconferences will be
`included in the procedural schedule. Connection information will be provided to the parties in a
`separate communication. The Commission will provide a court reporter who will transcribe these
`conferences and the transcript for each conference will be made available on EDIS.
`
`Before filing any motion related to a discovery dispute, the party seeking to file such a
`motion must discharge its obligation to confer under Ground Rule 5.1. If, after discharging that
`obligation, any discovery dispute persists, that party shall submit a letter explaining all ripe
`discovery disputes. The letter shall be submitted by e-mail to JohnsonHines1368@usitc.gov no
`later than three (3) business days before a scheduled videoconference and shall be no more than
`three pages. Any party submitting a responsive letter must do so no later than one (1) business day
`following submission of the initial letter. Any responsive letter should be submitted by e-mail to
`the address above and shall address all issues in no more than three pages.
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`On the last business day before each scheduled videoconference, the parties shall jointly
`submit to JohnsonHines1368@usitc.gov a proposed agenda, which shall include only disputes
`raised according to the above procedure. The agenda should indicate if any issues raised in the
`parties’ letters have been resolved. If no disputes are pending, the parties shall notify the
`Administrative Law Judge by e-mail to JohnsonHines1368@usitc.gov that the videoconference
`may be cancelled. Leave to file a discovery-related motion will be granted, if at all, only after the
`intended movant has complied with the above procedure.
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`5.6.1.2 Content of Discovery-Related Motions
`
`Any discovery-related motion must have appended to it the pertinent parts of the discovery
`request and all objections and responses. If a party serves any supplemental response after a motion
`to compel is filed, that party must file the supplemental response, along with a detailed accounting
`of the supplemental response. If any portion of a discovery-related motion becomes moot before
`an order is issued on that motion, the moving party shall promptly file a Notice identifying any
`portion of its motion that is moot. If the entirety of the motion becomes moot, the moving party
`shall promptly file a Notice of Withdrawal. No motion stops discovery, except a timely motion to
`quash a subpoena.
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`5.6.2 Motions for Summary Determination and Responses
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`5.6.2.1 Motion
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`No more than one motion for summary determination may be filed by a party without leave
`from the Administrative Law Judge. A motion for summary determination is limited to 10,000
`words as counted in Ground Rule 1.7.
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` A
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` motion for summary determination shall be accompanied by a separate chart of the
`material facts as to which the moving party contends there is no genuine issue, and which entitles
`them to summary determination. The chart shall consist of short, factual statements with specific
`references to supporting declarations, affidavits or other materials. Whenever possible, the factual
`statement should be a direct quote from record evidence, using quotation marks. The format of the
`chart should substantially be:
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`Factual Statement
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`Citation Disputed? Factual Rebuttal
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`Citation
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`Item
`#
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`The moving party shall fill out the first three columns of the chart. The chart shall not be
`included in the word count in Ground Rule 1.7.
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`5.6.2.2 Response
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`A response to a motion for summary determination is limited to 10,000 words as counted
`in Ground Rule 1.7. Any