MEMORANDUM OPINION AND ORDER
Plaintiff Not Dead Yet Manufacturing, Inc. (“NDY”) brings this patent infringement suit against Defendants Pride Solutions, LLC (“Pride Solutions”) and May West Manufacturing (“May West”). Plaintiffs president, Kenneth E. Shoup, is named as the inventor on a number of United States patents related to agricultural equipment. The two patents at issue in this case concern Shoup’s invention of a “quick connect and disconnect” apparatus for the assembly of agricultural devices known as “stalk stompers.” Stalk stompers are implements attached to the front of a combine or tractor that flatten cornstalks after they have been cut, thereby protecting the vehicle’s tires from damage caused by the sharp stalks. Shoup’s invention— the quick connect and disconnect apparatus—makes it easier to attach and remove stalk stompers from a tractor or combine by allowing users to secure the stalk stom-pers to a combine’s toolbar assembly without the use of tools. Shoup was awarded a patent for the “quick connect/disconnect coupling for a stalk stomper” in 2013. U.S. Patent No. 8, 418, 432 (the “’432 Patent”). In 2013, he was awarded a related patent that includes additional claims directed to the overall quick connect/disconnect design concept. U.S. Patent No. 8,745,963 (the “’963 Patent”). Plaintiff alleges that certain of Defendants’ stalk stomper products, which also contain quick connect and disconnect features, infringe at least one claim of both the ’432 Patent and the ’963 Patent.
In October 2015, this court issued an opinion construing certain. disputed terms in the patents’ claims. See Not Dead Yet Mfg., Inc. v. Pride Sols., LLC, No. 13 C 3418,
Plaintiff has moved to exclude [136] certain portions of Dr. Elder’s opinions under Rule 702 of the Federal Rules of Evidence and Daubert v. Merrell Dow Pharmaceuticals, Inc.,
DISCUSSION
A qualified expert may testify only if “(a) the expert’s scientific, technical, or other specialized knowledge will help the trier of fact to understand the evidence or to determine a fact in issue; (b) the testimony is based on sufficient facts or data; (c) the testimony is the product of reliable principles or methods; and (d) the expert has reliably applied the principles and methods to the facts of the case.” Fed. R. Evid. 702. Under Daubert, the district court plays the role of gatekeeper and must determine whether the expert’s proposed testimony is relevant and reliable. Higgins v. Koch Dev. Corp.,
The court concludes that some of Dr. Elder’s opinions would not help the trier of fact to understand the evidence or to determine a fact in issue; those opinions are irrelevant and must be excluded. Other opinions that Plaintiff challenges, however, are relevant to facts in issue in this case and are not so unreliable as to warrant exclusion. The court discusses Dr. Elder’s inadmissible and admissible opinions in turn.
I. Inadmissible Testimony
A. Construction of the Term “Support Member”
In his report, Dr. Elder opines that the term “support member,” which is included in claim 6 of the ’963 Patent, is synonymous with the term “plate member” or that it encapsulates “each of a plate member, cross bar member and a pair of sidewall members.” (Rep. of Frederick T. Elder, Ex. 1 to Defs.’ Resp. Mem. in Opp’n to PL’s Mot. to Excl. [137-1] (hereinafter “Elder Rep.”), at 44-45, 47-48, 53, 56, 59, 63.) Plaintiff argues that Dr. Elder’s attempt to define the term “support member” is a claim construction opinion. The court should prohibit him from presenting that opinion to the trier of fact, Plaintiff asserts, because “the construction of a patent, including terms of art within its claim, is exclusively within the province of the court.” Markman v. Westview Instruments, Inc.,
Although Defendants thus respond to Plaintiffs waiver argument, they have not addressed Plaintiffs contention that Dr. Elder’s opinion should be barred because it is an improper attempt at claim construction. Dr. Elder’s proposed definition for “support member” is not based on his technical expertise, but rather, on an interpretation of the language used in claim 6 of the ’963 Patent in light of the language used in the patent’s specification. (See, e.g., Elder Rep. at 44-45.) Dr. Elder thus appears to be offering “a classic claim construction determination.” The Medicines Co. v. Mylan Inc., No. 11-CV-1285,
B. Testimony Regarding the Structural Integrity of Elements of Defendants’ Products
The preferred embodiment of Patent ’432, identified as Figure 6 in the patent, see Not Dead Yet,
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In his report, Dr. Elder contends that the elements of Defendants’ products that Plaintiff has identified as the products’ “plate members” are designed in such a way that they have greater structural integrity than the claimed “plate member.” (Elder Rep. at 8-10, 30-31.) Dr. Elder points out that the accused elements are “ ‘C’ channels,” not single, flat plates. That is, instead of the “single smooth thin flat sheet of material” depicted in item 26 of Figure 6 of the ’432 Patent, the comparable element of Defendants’ products has side walls extended down from its top sur
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According to Dr. Elder, this “C” shape provides the “C” channel element with substantially more structural integrity than the claimed “plate member.” To demonstrate this point, Dr. Elder assumes that the plate member depicted in Figure 6 is 3 inches wide and one-quarter inch thick and also assumes “a field condition where the skid shoe [item 18 in Figure 6] encounters a rock and is forced up so high that the spring (item 28) is completely compressed and tubular projections (items 30 and 32) come into physical contact while the skid shoe is still being forced upward by the rock encountered while the machine is moving.” (Id. at 8.) Based on these assumptions and the specifications of the QD1 product’s “C” channel, Dr. Elder calculates the moment (bending) load that would be placed on the plate member and the “C” channel, respectively, and concludes that the “C” channel member is 15.2 times stronger in bending than the claimed plate member. (Id. at 9.) Because the “C” channel has greater structural integrity, Dr. Elder contends, it is not an equivalent of the claimed plate member. (Id. at 10.) In other words, Dr. Elder believes that Defendant’s product is superior.
Plaintiff argues that Dr. Elder’s opinion about the structural integrity of elements of Defendants’ products is irrelevant and should be excluded. Structural integrity is not relevant, according to Plaintiff, because it is not a claimed element, and is not discussed, in either patent. In addition, Plaintiff contends that Dr. Elder’s structural integrity analysis is improper because it is based on a comparison of Defendant’s products with a preferred embodiment (that is, Figure 6 from ’432 Patent) of the claimed plate member, and the law is clear that “[[Infringement, literal or by equivalence, is determined by comparing an accused product not with a preferred embodiment described in the specification, or with a commercial embodiment of the patentee, but with the properly and previously construed claims in the suit.” SRI Int’l v. Matsushita Elec. Corp. of Am.,
The court agrees with Plaintiff that Dr. Elder’s opinion concerning the structural integrity of the “C” channel member is irrelevant, even under a doctrine-of-equivalents analysis. As the Federal Circuit explains in a ease cited by Plaintiff, “[i]t is the limitations and functions of the invention described in the claims, not the elements or functions of the accused device, which establish the reference point for the doctrine of equivalents analysis.” Insta-Foam Prod., Inc. v. Universal Foam Sys., Inc.,
The irrelevance of Dr. Elder’s structural integrity opinions to the infringement analysis is reason enough to exclude them. But they must also be excluded because they are based on a comparison of the accused products to a preferred embodiment of the patent. Dr. Elder’s computation of the structural integrity of the plate member of the ’432 Patent is not based on the court’s construction of that term as “a single smooth thin flat sheet of material that may contain minor angles or curves.” Instead, Dr. Elder’s opinion rests on “looking at Fig. 6 of the ’432 Patent” and noting that the skid shoe in the preferred embodiment is free to rotate about the pivot pin, as well as other assumptions that are not contained anywhere within the terms of the patent. The inappropriate reliance on a preferred embodiment is another reason that Dr. Elder’s opinions concerning the structural integrity of Defendants’ products must be excluded. See SRI Int’l,
C. Testimony Regarding the Necessity of “Pivoting” or the Use of a Pin for Assembly of Defendants’ Products
Plaintiff also seeks to exclude certain of Dr. Elder’s opinions comparing the way in which Defendants’ products are assembled to the patented invention’s re
With respect to Dr. Elder’s opinion about the necessity of pivoting the stalk stomper during assembly, Plaintiff contends that such testimony is irrelevant because the pivoting of the stalk stomper is not a limitation in any of the patent claims at issue. As the court ruled in its claim construction decision, “the meaning of the term ‘pivoted,’ and whether the stalk stom-per is pivoted at all, is not integral to the invention.” Not Dead Yet,
Regarding Dr. Elder’s opinion that no pin is needed to assemble Defendants’ products, Plaintiff contends that this proposed testimony is irrelevant because Dr. Elder admits that a pin is necessary to maintain the assembly of those products while they are in use. Defendants do not dispute that a pin is required while the products are in use. They insist, however, that Dr. Elder’s opinion that Defendant’s products do not require that a pin be used to connect the stalk stomper to the toolbar assembly is nevertheless relevant under the doctrine of equivalents to show that Defendant’s products do not perform the same functions, in the same way, with the same result.
The court agrees with Plaintiff that Dr. Elder’s opinion on this issue is not relevant under the doctrine of equivalents or otherwise. The court’s claim construction opinion made clear that the pin functions to engage the claimed “retention means” in order to prevent longitudinal movement of
D. Testimony Regarding the Imper-missibility of Grouping Claim Limitations as Part of a Doctrine-of-Equivalents Analysis
At certain points in his expert report, Dr. Elder notes that Plaintiffs expert, Mr. Johnson, groups claim limitations together as part of Mr. Johnson’s doctrine-of-equivalents argument. Dr. Elder observes that it is his understanding that this tactic is impermissible under the law. (See Elder Rep. at 36, 43, 59, 63.) Plaintiff urges that this testimony contains an improper opinion of law that should be excluded. In their response, Defendants curiously argue that they expect that “the Court will make its own determination as to whether [Plaintiffs] infringement contentions under the doctrine of equivalents improperly conflate terms, if the issue is presented for summary judgment.” (Defs.’ Resp. at 14.) Defendants effectively concede, therefore, that Dr. Elder’s opinion regarding improper grouping of claim limitations is not an opinion related to a fact in issue about which he has expertise, Fed. R. Evid. 702, but an opinion of law. Thus the court excludes Dr. Elder’s opinion on this limited issue. Defendants’ counsel, of course, remains free to make the legal argument in the appropriate context.
E. Certain Testimony Concerning Aspects of the QD1 Product
Plaintiff also urges the court to exclude as irrelevant certain of Dr. Elder’s opinions concerning Defendants’ QD1 product. Dr. Elder explains, for example, that while the patented invention limits the longitudinal movement of the stalk stomper relative to the toolbar assembly’s bracket, the QDl’s pin bushings provide support in all directions, not only longitudinally. (See, e.g., Elder Rep. at 49.) Plaintiff argues that this opinion about an additional function performed by the QD1 is “legally irrelevant.” See Odetics, Inc. v. Storage Tech. Corp.,
II. Admissible Testimony
A. Assertion that Bending a Material Could Render It No Longer a Plate
Plaintiff objects to the admission of Dr. Elder’s opinion that the C-shaped
B. Certain Testimony Regarding Whether Defendants’ Products Contain Retention Means or Retention Members
Plaintiff presents a number of challenges to Dr. Elder’s testimony regarding whether the claimed “retention means” or “retention member” is part of Defendants’ products. According to Plaintiff, Dr. Elder’s testimony about the lack of retention means (the term used in the ’432 Patent) or a retention member (the term used in the ’963 Patent) in Defendant’s products rests improperly on a contention that a retention means or retention member must be limited to a particular shape. In its claim construction decision, the court determined that “retention means” and “retention member” are synonymous terms, each of which means “a block or stop that retains the position of the stalk stomper with respect to the mounting bracket by restricting the longitudinal movement via engagement with a pin member, and equivalents thereof.” Not Dead Yet,
As Defendants point out, however, although the court ruled that the patent language provides no limitation on the specific shape of the retention stop or block, the court did not hold that a component’s form or shape is irrelevant to whether that component constitutes a “stop” or “block” at all. Plaintiff contends that Dr. Elder’s opinion that a hole cannot be a “stop” or “block” at all because it is a “hollow place” and not a physical “stop” or “block” is scientifically absurd. (Pl.’s Mem. in Supp. of Mot. to Excl. (hereinafter “Pl.’s Mem.”) [136] at 12-13.) The court is less certain. Defendants are correct that the court’s claim construction leaves open the possibility that although the claimed retention stop or block is not confined to a particular shape, a person of ordinary skill in the art might understand that certain shapes would not be considered “stops” or “blocks.” And whether Dr. Elder’s opinion that a hole cannot be a “stop” or “block” is absurd is a point that Plaintiffs counsel can press on cross-examination. See Daubert,
Finally, Plaintiff objects to the admission of Dr. Elder’s opinion, with respect to the QD2 product, that a retention member must be a separate component from the support member. (See, e.g., Elder Rep. at 62.) According to Plaintiff, this constitutes an improper attempt at claim construction, an attempt that is clearly mistaken because the claim on its face suggests that the retention member is part of—and thus not a separate component from—the support member. (Pl.’s Mem. at 8.) Defendants respond that the court’s claim construction ruling provided that the retention means must be “on the plate member,” meaning that it is “physically in contact with and supported by the surface of the plate member.” Not Dead Yet,
CONCLUSION
For the reasons stated above, Plaintiffs motion [135] to exclude certain opinions of Dr. Elder is granted in part and denied in part.
Notes
. The court assumes familiarity with its claim construction opinion in this case, which includes a description of the patented invention and diagrams of its preferred embodiments. See Not Dead Yet,
. Plaintiff also argues that Dr. Elder is mistaken that the QD1 uses holes as a retention means, making irrelevant his opinion about whether a hole can constitutes a "stop” or "block.” The court concludes that whether Dr. Elders characterization of the QD1 is accurate or not is also a matter to be addressed by the presentation of contrary evidence and cross-examination.
