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THE SEDONA CONFERENCE JOURNAL V o l u m e 5 O Fall 2 0 0 4 ARTICLES Case Management Issues in Patent Litigation Ronald J. Schutz & Jonathan D. Goins Expert Witnesses & Daubert Motions R obert C. Morgan & Ashe P. Puri Examining Reexamination: Not Yet an Antidote to Litigation M. Patricia Thayer, James Fox & Marvin Motsenbocker Exemption to Patent Infringement Under 35 U.S.C. Section 271 (e)(1): Safe Harbor or Storm A-Brewing? Cathryn Campbell & R.V. Lupo Survey Results re: Opinions of Counsel and Willfulness R obert G. Sterne & David K.S. Cornwell Consumer Harm After Dentsply:N ot a Toothless Tiger Robert W. Doyle, Jr. & Suzanne B. Drennon The Consumer Harm Inquiry in Recent Cases: ARequired Element of Proof or an Afterthought? K evin J. Arquit & Charles E. Koob Williamson Oil v. Philip Morris: Whatever Happened to Jury Trials? Daniel R. Shulman Proof of Conspiracy in Vertical & Horizontal Price-Fixing Cases: The Intersection of Law,Economics & Policy Tyler A. Baker Grunts, Winks & Nods: What Meets the Agreement Element of a Section 1 Claim? Robert L. Hubbard The “Complexities” of Electronic Discovery Richard H. Middleton Safe Harbors & Preservation: A Response Thomas Y. Allman U.S. Discovery of Electronic Documents in Europe Ashish S. Prasad & Tara Thompson Cost Shifting in Electronic Discovery Laur a E. Ellsworth & Robert Pass The 2004 Sedona Principles: Best Practices, Recommendations & Principles for Addressing Electronic Document Production (post-public comment version) The Sedona Conference Overview of Changes to The Sedona Principles in 2004 The Sedona Conference ANTITRUST LAW, AND INTELLECTUAL COMPLEX PROPERTY RIGHTS,LITIGATION THE SEDONA CONFERENCE JOURNAL V OLUME 5 I F ALL 2004 The Sedona ConferenceSM Journal (ISSN 1530-4981) is published on an annual basis, containing approximately 15 selections from the preceding year’s Conferences and Working Groups. The Journal is available on a complementary basis to courthouses and public law libraries and by subscription to others ($95; $45 for Conference and Working Group participants). Send us an email ([email protected]) or call (1-866-860-6600) to order or for further information. Complete Conference Notebooks for each of our Conferences are separately available. Check our website for further information about our Conferences, Working Groups, and publications: www.thesedonaconference.org. Comments (strongly encouraged) and requests to reproduce all or portions of this issue should be directed to: Executive Director, The Sedona Conference, 180 Broken Arrow Way South, Sedona, AZ 86351 (toll free) 1-866-860-6600 or (tel.) 928-284-2698; fax 928-284-4240; email [email protected]. The Sedona ConferenceSM Journal designed by Margo Braman of Studio D: [email protected]. Cite items in this volume to “5 Sedona Conf. J. ____ (2004).” Copyright © 2004, The Sedona Conference. All Rights Reserved. PUBLISHER’S NOTE Welcome to Volume Five of The Sedona ConferenceSM Journal (ISSN 1530-4981), an annual collection of approximately15 articles originally presented at our conferences or prepared by our Working Groups over the past year. The Sedona ConferenceSM was founded in 1997 to provide a forum for advanced discussion by the nation’s leading attorneys, academics and jurists of cutting-edge issues of law and policy in the areas of antitrust, intellectual property rights, and complex litigation. We host Regular Season Conferences and several Working Groups each year, providing unique and rewarding opportunities to seriously explore the boundaries of various areas of the law with those who are creating them. This volume of the Journal contains articles selected from our most recent Conferences on antitrust law and litigation (November 2003), patent litigation (November 2003), complex litigation (March 2004), and our Working Group on Electronic Document Retention and Production (October 2003). We hope that you will find that the papers in this Journal reflect the same mix of theory and experience found at our Conferences and Meetings, including the bit of irreverence required to challenge traditional thinking. The views expressed herein are those of the authors’, and we encourage the submission of counterpoint pieces. Submissions can be sent to us electronically at [email protected], or by mail to The Sedona Conference, 180 Broken Arrow Way South, Sedona, AZ 86351-8998, USA. If you are interested in participating in one of our Conferences (limited to 45 participants in addition to the 15-person faculty, to encourage the dialogue that is our hallmark), please visit our website for information on upcoming Conferences, as well as information on our Working Group Series: www.thesedonaconference.org. Richard G. Braman Executive Director The Sedona Conference Sedona, Arizona USA The Sedona ConferenceSM gratefully acknowledges the substantial contributions of its Conference faculty, Working Group participants, members and observers, and our Advisory Board members, whose volunteer efforts make The Sedona ConferenceSM a “thought-provoking and inspiring” experience providing content of immediate benefit to the Bench and Bar. i THE SEDONA CONFERENCESM ADVISORY BOARD Joseph M. Alioto, Esq. Alioto Law Firm, San Francisco, CA Robert E. B. Allen, Esq. Allen, Price & Padden, Phoenix, AZ The Hon. Richard S. Arnold 8th Circuit Court of Appeals, Little Rock, AR Tyler A. Baker, Esq. Fenwick & West, Mountain View, CA Professor Stephen Calkins Wayne State University Law School, Detroit, MI Barbara Caulfield, Esq. Affymetrix, Inc. Santa Clara, CA Michael V. Ciresi, Esq. Robins, Kaplan, Miller & Ciresi, Minneapolis, MN John D. French, Esq. Faegre & Benson, Minneapolis, MN Michael D. Hausfeld, Esq. Cohen Milstein Hausfeld & Toll, Washington, D.C. Professor George A. Hay Cornell Law School, Ithaca, NY David H. Marion, Esq. Montgomery McCracken Walker & Rhoads, Philadelphia, PA Gary L. Hayden, Esq. Ford Motor Company, Dearborn, MI The Hon. J. Thomas Marten District of Kansas, Wichita, KS Dianne M. Nast, Esq. Roda & Nast, Lancaster, PA Raymond L. Ocampo, Jr., Esq. Berkeley Center for Law & Technology, Berkeley, CA Vance K. Opperman, Esq. Key Investment, Inc., Minneapolis, MN Jonathan M. Redgrave, Esq. Jones Day, Washington, D.C. The Hon. James M. Rosenbaum District of Minnesota, Minneapolis, MN Prof. Stephen A. Saltzburg, Esq. GWU Law School, Washington, D.C. The Hon. Shira Scheindlin, Esq. Southern District of New York, New York, NY Daniel R. Shulman, Esq. Gray Plant Mooty, Minneapolis, MN Robert G. Sterne, Esq. Sterne Kessler Goldstein & Fox, Washington, D.C. Dennis R. Suplee, Esq. Schnader, Philadelphia, PA Professor Jay Tidmarsh Notre Dame Law School, Notre Dame, IN Barbara E. Tretheway, Esq. HealthPartners, Bloomington, MN Craig W. Weinlein, Esq. Carrington Coleman Sloman & Blumental, Dallas, TX Kenneth J. Withers, J.D. Federal Judicial Center, Washington, D.C. ii TABLE OF CONTENTS Publisher’s Note, Acknowledgements & Advisory Board . .i-ii Table of Contents . .iii Case Management Issues in Patent Litigation . .1 Ronald J. Schutz & Jonathan D. Goins Expert Witnesses & Daubert Motions . .15 Robert C. Morgan & Ashe P. Puri Examining Reexamination: Not Yet an Antidote to Litigation . .23 M. Patricia Thayer, James Fox & Marvin Motsenbocker Exemption to Patent Infringement Under 35 U.S.C. Section 271 (E)(I): Safe Harbor or Storm A-Brewing? . .29 Cathryn Campbell & R.V. Lupo Survey Results re: Opinions of Counsel and Willfulness . .39 Robert G. Sterne & David K.S. Cornwell Consumer Harm After Dentsply: Not a Toothless Tiger . .65 Robert W. Doyle, Jr. & Suzanne B. Drennon The Consumer Harm Inquiry in Recent Cases: A Required Element of Proof or an Afterthought? . .73 Kevin J. Arquit & Charles E. Koob Williamson Oil v. Philip Morris: Whatever Happened to Jury Trials? . .81 Daniel R. Shulman Proof of Conspiracy in Vertical & Horizontal Price-Fixing Cases: The Intersection of Law, Economics & Policy . .93 Tyler A. Baker Grunts, Winks & Nods: What Meets the Agreement Element of a Section 1 Claim? . .99 Robert L. Hubbard The “Complexities” of Electronic Discovery . .105 Richard H. Middleton Safe Harbors & Preservation: A Response . .117 Thomas Y. Allman U.S. Discovery of Electronic Documents in Europe . .119 Ashish S. Prasad & Tara Thompson Cost Shifting in Electronic Discovery . .125 Laura E. Ellsworth & Robert Pass The 2004 Sedona Principles: Best Practices, Recommendations & Principles for Addressing Electronic Document Production (post-public comment version) . .151 The Sedona ConferenceSM Working Group on Electronic Document Retention & Production Overview of Changes to The Sedona Principles in 2004 . .215 The Sedona ConferenceSM Working Group on Electronic Document Retention & Production iii 2004 THE SEDONA CONFERENCE JOURNAL 1 CASE MANAGEMENT ISSUES IN PATENT LITIGATION Ronald J. Schutz 1 & Jonathan D. Goins 2 Robins, Kaplan, Miller & Ciresi L.L.P. Minneapolis, MN “Management is not an end in itself. It must be conducted to serve its purpose of bringing about ‘the just, speedy, and inexpensive determination’ of the litigation, avoiding unnecessary and unproductive activity.” MANUAL FOR COMPLEX LITIGATION Section 10.1, at 3 (West Pub. 3d. 1995) (quoting FED. R. CIV. P. 1). INTRODUCTION From fast-tracking to bifurcation to special verdicts, judges and lawyers must decide an insurmountable number of procedures and considerations in a relatively short period of time. Such decisions may often dictate a winning or losing result in patent litigation cases. While judges may adopt special procedures for managing potentially difficult