UNITED STATES INTERNATIONAL TRADE COMMISSION
`
`Washington, D.C.
`
`
`
`
`In the Matter of
`
`CERTAIN IP CAMERA SYSTEMS
`INCLUDING VIDEO DOORBELLS
`AND COMPONENTS THEREOF
`
`ORDER NO. 2:
`
`
`GROUND RULES
`
`
`
` Inv. No. 337-TA-1242
`
`
`
`
`(January 26, 2021)
`
`The conduct of this investigation before the Administrative Law Judge shall be governed
`
`by the Commission Rules and the Ground Rules attached hereto.
`
`SO ORDERED.
`
`
`
`
`
`_______________________________
`Dee Lord
`Administrative Law Judge
`
`

`

`GROUND RULES FOR SECTION 337 INVESTIGATION
`
`
`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 Administrative Law Judge in the
`orderly conduct of the section 337 investigation pursuant to the Administrative Procedure Act, 5
`U.S.C. § 556(c).
`
`Failure to comply with these Ground Rules may result in rejection of a submission, with or
`without leave to re-file.
`
`Certain of these Ground Rules (e.g., Ground Rules 4.11, Ground Rule 5, and Appendix B) only
`apply to U.S. patent-based investigations pursuant to section 337(a)(1)(B). In the case of an
`investigation based upon unfair methods of competition and unfair acts pursuant to section
`337(a)(1)(A) or a registered copyright, registered trademark, or registered mask work pursuant to
`section 337(a)(1)(B), (C) or (D), additional Ground Rules may govern. In addition, in a case
`involving an early initial determination pursuant to Commission Rule 210.10(b)(3) or a motion
`for temporary relief pursuant to section 337(e), additional Ground Rules may also govern.
`
`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.
`
`
`
`
`
`

`

`TABLE OF CONTENTS
`
`i
`
` 1
`
`
`
`Address; Requirements for Filing, Service, and Copies; Time ..................................... 1
`
`1.1 Address of Administrative Law Judge ................................................................................. 1
`1.2
`Filing Requirement .............................................................................................................. 1
`1.3
`Service Copy Requirements ................................................................................................. 1
`1.4
`Electronic and Word Processor Copy .................................................................................. 1
`1.5
`Service on Unrepresented Parties ........................................................................................ 2
`1.6 Concurrent Service............................................................................................................... 2
`1.7 Computation of Time ........................................................................................................... 2
`1.8 Request for Extension of Time ............................................................................................ 2
`1.9 Confidential Filings; Public Versions .................................................................................. 2
`1.10 Public Versions of Confidential Orders ............................................................................... 3
`1.11 Style Guide; Citations .......................................................................................................... 3
`2
`Complaint and Response; Procedural Schedule; Preliminary Teleconference ........... 4
`2.1
`Service of Complaint ........................................................................................................... 4
`2.2 Response to Complaint and Notice of Investigation............................................................ 4
`2.2.1
`Deadline for Filing; Domestic and Foreign Respondents ................................................ 4
`2.2.2
`Affirmative Defenses ....................................................................................................... 4
`2.3
`Procedural Schedule............................................................................................................. 5
`2.4
`Preliminary Teleconference ................................................................................................. 6
`3
`Motions; Deadlines for Responses .................................................................................... 6
`3.1 Contents; In General ............................................................................................................ 6
`3.2 Certification ......................................................................................................................... 7
`3.3 Motion for Summary Determination ................................................................................... 7
`3.3.1
`Limitation on Motions for Summary Determination ....................................................... 7
`3.3.2
`Statement of Undisputed Material Facts Not Required ................................................... 7
`3.3.3
`Response and Reply Brief ................................................................................................ 7
`3.3.4
`Early Summary Determination and Oral Argument ........................................................ 7
`3.4 Motion for Termination. ...................................................................................................... 8
`3.5 Discovery-Related Motions ................................................................................................. 8
`3.6 Request for Shortened Time to Respond to Motion ............................................................ 8
`3.7 Response to Motion ............................................................................................................. 8
`3.7.1
`Deadline for Filing Responses ......................................................................................... 9
`3.7.2
`Contents of Response ....................................................................................................... 9
`3.8 Reply Briefs ......................................................................................................................... 9
`3.9 Cover Page and Footer ......................................................................................................... 9
`3.10 Notice of Supplemental Authority ....................................................................................... 9
`3.11 Resolving Motions by Teleconference ................................................................................ 9
`3.12 Motion for Reconsideration; Interlocutory Review ........................................................... 10
`4
`Discovery ........................................................................................................................... 10
`4.1 Resolution of Disputes; Coordinated Discovery................................................................ 10
`4.1.1
`Discovery Committee ..................................................................................................... 10
`4.2
`Stipulations Regarding Discovery Procedure .................................................................... 11
`4.3
`Service of Discovery Requests and Responses .................................................................. 11
`
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`

`

`Timing of Discovery Requests, Responses and Objections............................................... 11
`4.4
`Depositions ..................................................................................................................... 11
`4.4.1
`Interrogatories ................................................................................................................ 11
`4.4.2
`Requests for Production ................................................................................................. 11
`4.4.3
`Request for Admission ................................................................................................... 12
`4.4.4
`Discovery Cutoff and Completion ................................................................................. 12
`4.4.5
`4.5 Discovery Limitations ........................................................................................................ 12
`4.6
`Subpoenas .......................................................................................................................... 12
`4.6.1
`Issuance and Service ...................................................................................................... 12
`4.6.2
`Response to Subpoena .................................................................................................... 13
`4.7 Bates Numbering ............................................................................................................... 13
`4.8
`Translations ........................................................................................................................ 13
`4.9
`Privileged Matter ............................................................................................................... 13
`4.9.1
`Privilege Log .................................................................................................................. 13
`4.9.2 Motion to Compel Production of Privileged Matter ...................................................... 14
`4.9.3
`Production of Disputed Documents without Waiver of Privilege.................................. 14
`4.9.4
`Submission of Documents for Review in Camera ......................................................... 14
`4.10 Tentative List of Witnesses ................................................................................................ 15
`4.11 Notice of Prior Art ............................................................................................................. 15
`5
`Markman Hearing on Claim Construction ................................................................... 15
`5.1
`Identification of Disputed Claim Terms ............................................................................ 15
`5.2 Claim Construction Briefing .............................................................................................. 16
`5.3 Markman Hearing .............................................................................................................. 16
`5.4 Markman Order .................................................................................................................. 17
`6
`Expert Witnesses and Reports ........................................................................................ 17
`6.1
`Identification of Expert Witnesses ..................................................................................... 17
`6.2
`Expert Reports ................................................................................................................... 17
`7
`Settlement/Mediation ....................................................................................................... 17
`8
`Pre-Hearing Submissions ................................................................................................ 18
`8.1
`Pre-Hearing Statement ....................................................................................................... 18
`8.2
`Pre-Hearing Brief ............................................................................................................... 18
`8.3 High Priority Evidentiary Objections ................................................................................ 18
`8.4 Motions in Limine .............................................................................................................. 19
`9
`Hearing - Evidence and Exhibits .................................................................................... 20
`9.1 Material To Be Received Into Evidence ............................................................................ 20
`9.2
`Legal Experts ..................................................................................................................... 20
`9.3 Witness Testimony............................................................................................................. 20
`9.3.1 Witness Statements ........................................................................................................ 20
`9.3.1.1
`Format of Witness Statements .................................................................................... 20
`9.3.1.2
`Language of Witness Statements ................................................................................ 21
`9.3.1.3
`Length of Witness Statements .................................................................................... 21
`9.3.2
`Adverse Witnesses; Outline of Live Testimony ............................................................ 21
`9.3.3
`Supplemental Direct Examination by Staff .................................................................... 21
`9.3.4 Witness Examination Binders ........................................................................................ 21
`9.3.5
`Exclusion of Witnesses During Hearing ........................................................................ 22
`9.4
`Exhibits .............................................................................................................................. 22
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`Exchange of Proposed Exhibits Among Parties ............................................................. 22
`9.4.1
`Service of Proposed Exhibits Upon Administrative Law Judge .................................... 23
`9.4.2
`Public and Confidential Exhibits.................................................................................... 23
`9.4.3
`Foreign Language Exhibits ............................................................................................ 23
`9.4.4
`One Document Per Exhibit; All Pages Bates-numbered ................................................ 23
`9.4.5
`Numbering and Labeling of Exhibits ............................................................................. 23
`9.4.6
`Confidential Exhibits .................................................................................................. 24
`9.4.6.1
`Physical Exhibits ........................................................................................................ 24
`9.4.6.2
`Demonstrative Exhibits .............................................................................................. 24
`9.4.6.3
`Exhibit Lists ................................................................................................................... 24
`9.4.7
`Citations to Exhibits ....................................................................................................... 25
`9.4.8
`Authenticity .................................................................................................................... 25
`9.4.9
`9.4.10 Sponsoring Witness ........................................................................................................ 25
`9.4.11 Request for Receipt of Evidence without a Sponsoring Witness ................................... 25
`9.4.12 Deposition Designations ................................................................................................ 26
`9.4.12.1 Deposition designations as affirmative evidence ....................................................... 26
`9.4.12.2 Deposition designations in lieu of cross-examination ................................................ 26
`9.4.12.3 De bene esse depositions ............................................................................................ 26
`9.4.12.4 Counter-Designations ................................................................................................. 27
`9.4.12.5
`Sponsoring Deposition Exhibits for Admission ......................................................... 27
`9.4.13 Exhibits in Dispute ......................................................................................................... 27
`9.4.14 Submission of Final Exhibits and Final Exhibit List ..................................................... 27
`9.4.14.1
`Final Exhibit List ........................................................................................................ 27
`9.4.14.2 Binder Exhibit Set for the Administrative Law Judge ............................................... 28
`9.4.15 Commission’s Exhibit Set .............................................................................................. 28
`9.4.15.1
`Filing of Exhibits by CD/DVD Media ....................................................................... 28
`9.4.15.2
`Filing Commission Exhibits on Paper ........................................................................ 28
`9.4.16 Binder Exhibit Set for the Office of General Counsel ................................................... 29
`10 Hearing Procedure ........................................................................................................... 29
`10.1 Hearing; Order of Examination ......................................................................................... 29
`10.2 Closing Argument .............................................................................................................. 30
`10.3 Hearing Hours .................................................................................................................... 30
`10.4 Hearing Decorum ............................................................................................................... 30
`10.4.1 Conversations at Hearing ............................................................................................... 30
`10.4.2 Reading Matter; Cell Phones; Food and Beverages ....................................................... 30
`10.4.3 Photos or Video Recording ............................................................................................ 30
`10.4.4 Swearing of Witnesses ................................................................................................... 30
`10.4.5 Arguments on Objection ................................................................................................ 30
`10.4.6 Use of Demonstratives ................................................................................................... 30
`10.5 Examination of Witnesses.................................................................................................. 31
`10.5.1 Scope of Examination; In General ................................................................................. 31
`10.5.2 Scope of Cross-examination........................................................................................... 31
`10.5.3 Scope of Redirect and Re-cross Examination ................................................................ 31
`10.5.4 Coordination of Witnesses ............................................................................................. 31
`10.5.5 Documents Presented to Witnesses ................................................................................ 31
`10.5.6 Scope of Expert Witness Testimony .............................................................................. 31
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`10.5.7 Coordination of Respondents’ Cross-examination ........................................................ 31
`10.5.8 Responding to Witnesses; Requests for Clarification .................................................... 32
`10.5.9 Use of Translators .......................................................................................................... 32
`10.5.10
`Conferring with Witness during a Break in Testimony .............................................. 32
`10.5.11
`Conferences Between Attorneys ................................................................................ 32
`10.5.12 Admission of Exhibits ................................................................................................ 32
`10.6 Corrections to Hearing Transcript ..................................................................................... 32
`10.7 Opportunities for Less Experienced Lawyers .................................................................... 32
`11
`Post-Hearing Briefs and Proposed Findings of Fact and Conclusions of Law .......... 33
`11.1
`Initial Post-Hearing Briefs; Filing and Content ................................................................. 33
`11.2 Post-Hearing Reply Briefs; Filing and Content ................................................................. 33
`11.3 Proposed Findings of Fact ................................................................................................. 33
`11.3.1 Form and Content ........................................................................................................... 33
`11.3.2 Objections and Rebuttals to Proposed Findings of Fact; Form and Content ................. 34
`11.4 Abbreviations ..................................................................................................................... 34
`11.5 Notice of Supplemental Authority ..................................................................................... 34
`11.6 Coordination of Post-Hearing Briefs ................................................................................. 34
`12
`Cooperation Among Parties ............................................................................................ 35
`13
`Ex Parte Contacts ............................................................................................................. 35
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`iv
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`

`

`JUDGE LORD’S GROUND RULES1
`
`1
`
`Address; Requirements for Filing, Service, and Copies; Time
`
`1.1
`
`Address of Administrative Law Judge
`
`The Administrative Law Judge may be contacted through her attorney-advisors, Ted Jou and
`Michael Maas, at the email addresses: edward.jou@usitc.gov and michael.maas@usitc.gov
`
`1.2
`
`Filing Requirement
`
`All submissions shall be filed on the Commission’s Electronic Document Information System
`(“EDIS”) in accordance with Commission Rule 210.4(f) and the procedures of the Office of the
`Secretary unless otherwise specifically provided for in these Ground Rules or by order of the
`Administrative Law Judge.2 When attaching exhibits to an electronic filing on EDIS, each
`exhibit shall be contained in a separate file with a filename that includes the designation of the
`exhibit, e.g., “Exhibit 1.pdf,” “Exhibit A – ’123 patent.pdf,” or “01.pdf.”
`
`Unless otherwise specified, all submissions shall conform to the formatting requirements of
`Ground Rule 3.9. Submissions that fail to comply with these Ground Rules will not be
`considered.
`
`1.3
`
`Service Copy Requirements
`
`In accordance with the requirements of Commission Rules 210.4(i), copies of each submission
`shall be served on all other parties, including the Commission Investigative Attorney, with a
`certificate of service pursuant to Commission Rule 201.16(c)(2).
`
`Paper copies shall not be filed at the Commission pursuant to the temporary change to filing
`procedures issued by the Commission on March 16, 2020. 85 Fed. Reg. 15798 (2020).
`
`1.4
`
`Electronic and Word Processor Copy
`
`On the same day that any submission is filed on EDIS, other than a subscription to the Protective
`Order, a courtesy electronic copy of the filed documents shall be sent as an attachment to the
`Administrative Law Judge’s attorney-advisors, Ted Jou and Michael Maas, at the email
`addresses: edward.jou@usitc.gov and michael.maas@usitc.gov. For any motion or brief, the
`electronic service shall include a Word format version of the motion, brief, or memorandum
`attached thereto.
`
`
`1 Revised December 29, 2020.
`2 For guidance regarding filing documents with the Commission, please consult the USITC
`Handbook on Filing Procedures, available at http://www.usitc.gov.
`
`
`1
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`
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`

`

`1.5
`
`Service on Unrepresented Parties
`
` Pursuant to Commission Rules 201.16(a) and 210.7(a)(1), Complainant(s) shall complete
`service of any public documents in this investigation originating within the Commission (e.g.,
`orders and determinations issued by the Administrative Law Judge, or filings of the Office of
`Unfair Import Investigations (OUII)) upon all non-defaulted parties for whom there is no known
`method of electronic service. Complainants shall also complete service of any OUII discovery
`requests upon such parties in coordination with the Commission Investigative Attorney. This
`requirement does not apply to confidential documents, and Complainant(s) shall NOT serve the
`confidential version of any document originating within the Commission in this investigation
`upon any party.
`
`Any unrepresented party who seeks access to confidential documents should contact the
`Administrative Law Judge.
`
`1.6
`
`Concurrent Service
`
`Service on opposing counsel may be by hand, 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.
`
`1.7
`
`Computation of Time
`
`The first day of the ten (10) calendar days for parties responding to a motion before the
`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, e-mailed
`or served by overnight courier on the other parties. For third parties, the deadline shall be
`counted from the date of actual service. The additional time provided under Commission Rule
`201.16(d) after service by mail does not apply in such instances, unless service is to an
`unrepresented party in a foreign country, in which event the additional time allowed for
`responses to motions shall be five (5) days. 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.
`
`1.8
`
`Request for Extension of Time
`
`Any request for extension of time must be made by written motion at least two business days
`before the due date and good cause for such extension must be established.
`
`1.9
`
`Confidential Filings; Public Versions
`
`The confidential nature of any filing with the Office of the Secretary of the Commission or of
`any submission to the Administrative Law Judge shall be conspicuously noted on the top page of
`
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`2
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`

`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.
`
`If a party makes any filing with a confidential designation, a public version of that filing must be
`made within five (5) business days from the date of the original filing, including public versions
`of any exhibits attached thereto. For pre-hearing and post-hearing briefs, the parties shall have
`ten (10) business days to comply with this rule. For any filing made by the Office of Unfair
`Import Investigations, the Commission Investigative Staff shall have ten (10) business days to
`comply. A designation of “Public Version” shall be conspicuously noted on the top page, and all
`confidential labels shall be removed. If an exhibit is not capable of redaction, this must be
`clearly indicated on the exhibit cover sheet, and the party must attach a declaration justifying
`why the entire document must remain confidential. When redacting confidential business
`information, parties shall limit their redactions to information that meets the definition for
`confidential business information set forth in Commission Rule 201.6(a).
`
`
`1.10 Public Versions of Confidential Orders
`
`The Administrative Law Judge shall issue public versions of confidential orders and initial
`determinations pursuant to Commission Rule 210.5(f). These public versions shall rely on the
`public versions of motions and briefs filed by the parties pursuant to Ground Rule 1.9, unless the
`Administrative Law Judge orders the parties to submit proposed redactions.
`
`If so ordered, any party seeking to have a portion of the order deleted from the public version
`thereof must submit a copy of the order with red brackets indicating the portion(s) asserted to
`contain confidential business information. To avoid depriving the public of the basis for
`understanding the result and reasoning underlying the decision, redactions should be limited.
`Parties who submit excessive redactions may be required to provide an additional written
`statement, supported by 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 Commission Rule 201.6(a). The
`parties’ submissions under this rule need not be filed with the Commission Secretary but shall be
`submitted by e-mail to the Administrative Law Judge’s attorney-advisor.
`
`1.11 Style Guide; Citations
`
`Unless otherwise specified, all text in any submitted paper shall use at least 12-point font. In
`addition, all briefs shall be double-spaced (with the exception of headings, footnotes, quotations,
`etc.) with one-inch margins (excluding headers for CBI and footers, such as page numbers).
`Parties shall refrain from excessive use of italics and bold lettering in their briefs.
`
`Any filing with multiple pages shall include a footer as specified in Ground Rule 3.9.
`
`The official case reporter citation must be included for any published decision or order that is
`cited in a party’s briefs or pleadings. When a cited document is not published in an official case
`reporter or available on the Commission’s Electronic Document Information System (EDIS), a
`
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`3
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`copy of the document must be attached as an exhibit to the paper in which it is cited.3
`Unreported cases that are not so attached will not be considered. Parties shall refrain from
`excessive use of block quotes from judicial decisions.
`
`2
`
`Complaint and Response; Procedural Schedule; Preliminary Teleconference
`
`2.1
`
`Service of Complaint
`
`The complainant(s) shall serve a Word version of the final complete version of the complaint, on
`the Administrative Law Judge pursuant to Ground Rule 1.4.
`
`2.2
`
`
`Response to Complaint and Notice of Investigation
`
`2.2.1 Deadline for Filing; Domestic and Foreign Respondents
`
`The deadline for filing a response to the complaint and notice of investigation shall be twenty
`(20) days from the date of service pursuant to Commission Rule 210.13(a) and Commission Rule
`201.16. When an investigation involves both domestic and foreign respondents, the deadline for
`all respondents to file a response shall be extended to add the five (5) days that would apply to
`foreign respondents served by express delivery under subsection (e) of Commission Rule
`201.16.4
`
`2.2.2 Affirmative Defenses
`
`Pursuant to subsection (c) of section 337 and Commission Rule 210.13(b), respondents may raise
`affirmative defenses in their response to the complaint and notice of investigation, and these
`defenses “shall be pleaded with as much specificity as possible.” 19 C.F.R. § 210.13(b); 19
`U.S.C. § 1337(c).
`
`In addition to the Commission’s rules, Respondents who raise affirmative defenses are required
`to set forth the legal elements of each affirmative defense and the facts that support each legal
`element. Affirmative defenses that require heightened pleading in accordance with Fed. Rule
`Civ. P. 9(b), such as inequitable conduct, must be pled with specificity, in accordance with
`Exergen Corp. v. Wal-Mart Stores, Inc., 575 F.3d 1312 (Fed. Cir. 2009).
`
`Affirmative defenses that fail to satisfy these requirements may be summarily dismissed.
`
`
`3 For unreported cases, parties should cite electronic databases in accordance with the relevant
`Bluebook format (e.g., LEXIS or WESTLAW), but these documents must also be attached as
`exhibits.
`4 Foreign respondents served by mail (slower than the next business day) shall have additional
`time to file a response pursuant to subsection (d) of Commission Rule 201.16.
`
`
`4
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`

`2.3
`
`Procedural Schedule
`
`The proceedings before the Administrative Law Judge will adhere to a procedural schedule for
`the investigation. Pursuant to Commission Rule 210.51, the Administrative Law Judge shall set
`a target date and hearing dat