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FROM MNA&T 


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IN THE UNITED STATES DISTRICT COURT 
FOR THE DISTRICT OF DELAWARE 


ARTHROCARE CORPORATION, 
Plaintiff, 

v. 

SMITH & NEPHEW, INC., 
Defendant 


C.A. No. 01-504 SLR 


DEFENDANT SMITH & NEPHEW, INC'S SUPPLEMENTAL RESPONSES TP 
PLAINTIFF ARTHROCARE CORPORATION'S INTERROGATORIES NOS. 4 AND 5 

Smith & Nephew, Inc. ("Smith & Nephew") supplements its answers and objections to 
ArthroCare Corporation's ("ArthroCare") First Set of Interrogatories [Nos. 1-7] as follows; 

GENERAL OBJECTIONS 

1 . Smith & Nephew objects to the definitions and instructions and to each 
interrogatory to the extent they are inconsistent with and mora burdensome than the Federal 
Rules of Civil Procedure, the Delaware Local Rules and die orders of this Court For example, 
Smith & Nephew objects to instruction No* 1 1 as inconsistent with and more burdensome than 
the applicable rules and orders governing claims of privilege and work product for interrogatory 
responses. Smith & Nephew will comply with the Federal Rules of Civil Procedure, the 
Delaware Local Rules and the orders of this Court. 

2. Smith & Nephew objects to each interrogatory to the extent it seeks disclosure of 
information protected by the attorney-client privilege, work product doctrine, or other applicable 
privilege or immunity. Any disclosure Smith & Nephew makes of such information is 


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inadvertent and does not constitute a waiver of the applicable privilege or immunity as to such 
information. 

3. Smith & Nephew objects to each interrogatory to the extent it seeks disclosure of 
confidential ^formation, until such time that a suitable protective order is entered in this case. It 
is expected that the parties will be able to agree to the terms of such a protective order without 
assistance from the Court, which will inter alia, specify how confidential information is to be 
designated. Smith & Nephew is in the process of drafting a suitable protective order, which will 
be provided shortly. Smith & Nephew also objects to Closing information that Smith & 
Nephew is obligated to third parties to maintain as confidential. Smith & Nephew will seek the 
permission of such third parties to disclose such information, once a suitable protective order is 
entered. 

4. Smith & Nephew objects that the definition of w ArthroCare* > is vague. Smith & 
Nephew will respond on the basis that the term "ArthroCare" is understood to refer to the 
plaintiff in this action. ArthroCare Corp., and its employees and agents. 

5. Smith &. Nephew objects that the definition of "Defendant," "Smith & Nephew," 
"Yon," and "Your" is vague and overbroad, and seeks irrelevant information not related to any 
claim or defense in this action. The only Smith & Nephew business unit that is involved in 
making and selling the accused product is the Endoscopy Division of Smith & Nephew. 
Accordingly, Smith & Nephew will respond on the basis that the terms "Defendant," "Smith & 
Nephew," "You," and "Your" are understood to mean Smith & Nephew's Endoscopy Division. 

6. Smith & Nephew objects that the definition of "Relates To," "Relating To," **In 
Relation To," and "Related To" is overbroad, unduly burdensome, and seeks irrelevant 
information not related to any claim or defense in this action. Smith & Nephew will interpret 
these terms as meaning "constituting, containing, referring to, describing, analyzing, arid 
discussing" and their cognates to "Relates To" and "Related To." 


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7. Smith & Nephew objects thai the definition of "identify" is overbroad and unduly 
burdensome. Rather than provide the information requested, where an interrogatory asks that 
Smith & Nephew "identify** an individual. Smith & Nephew may instead provide sufficient 
information from which ArthroCare can contact the individual; where an interrogatory asks that 
Smith & Nephew "identify** a document, Smith & Nephew may instead produce the document 
and/or provide the production number range for the document 

8. Smith & Nephew objects that the definition of •'Accused Device" is overbroad 
and unduly burdensome and seeks irrelevant information not related to any claim or defense in 
this action. The only products falling within ArthroCare' s definition of "Accused Device** which 
have been introduced to the marketplace are the Dyonics Control RF Adaptor and the Dyonics 
Series 7000 RF RS Probe. Accordingly, Smith & Nephew will respond on the basis that the term 
"Accused Device** is understood to mean only the Dyonics Control RF Adaptor and the Dyonics 
Series 7000 RF RS Probe. 

9. In accordance with Local Rule 26. 1(b), Smith & Nephew shall count each subpart 
as a separate interrogatory. Smith &. Nephew notes that ArthroCare *s First Set of Interrogatories 
has numerous subparts, each of which comprises a separate interrogatory under the Federal Rules 
of Civil Procedure. Smith & Nephew objects to ArthioCare serving more than 35 
interrogatories, thereby violating the agreed upon Scheduling Order. In order to expedite 
discovery, Smith & Nephew has not undertaken the task of enumerating each separate subpart 
contained within ArthroCare's interrogatories. If ArthroCare propounds additional 
interrogatories, however. Smith & Nephew will undertake such a task to ensure that ArthroCare 
does not exceed the numerical limit imposed by the Scheduling Order. 

10. Discovery and analysis are ongoing m this case. Smith & Nephew reserves the 
right to supplement its responses as such discovery and analysis make necessary. 


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INTERROC ATORY NO. 4 

State in detail all facts upon which Defendant bases its denial of infringement of any of 
the Patents-In-Suit, including without limitation the Identity of the individuals with knowledge 
of any such facts and the Identity of all Documents and things Relating To any such facts. 

RESPONSE TO INTERROGATORY NO. 4 

In addition to the General Objections, Smith & Nephew also objects to this intenogatory 
to the extent it seeks information protected by attorney-client privilege and/or work product 
immunity. Smith & Nephew Anther objects to this intenogatory as overly broad and premature 
contention discovery: discovery in the case has Just begun, there are more than 160 claims in the 
patents-in-suit, and only recently, i.e., on November 2, 2001, did ArthroCare disclose the identity 
of certain independent claims it is asserting, and even then, ArthroCare' s claim designation was 
indicated to be tentative. ArthroCare still has not disclosed the identity of the dependent claims 
it is asserting despite having been asked to do so several times by Smith & Nephew. 
Accordingly, Smith & Nephew objects to AithroCare's attempts to take contention disco very in 
such a piecemeal fashion. 

Further answering, Smith & Nephew notes thai in its interrogatories served on October 
10, 2001, and in particular in Interrogatory Nos. 1-3, Smith & Nephew asked ArthroCare to 
identify the asserted claims and to provide its contentions as to claim construction. ArthroCare 
has requested an extension until December 10, 2001 to respond to these interrogatories. 
Accordingly, Smith & Nephew reserves its right to supplement its response to this interrogatory 
once ArthroCare answers Smith & Nephew's interrogatories, and as discovery proceeds. 


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SUPPLEMENTAL RESPONSE TO INTERROGATORY NO. 4 

In addition to the information provided in response to this interrogatory and subject to 
and without waiving the general and specific objections therein, and based on the information 
currently available to it, Smith & Nephew supplements its response as follows: Smith Sl 
Nephew further objects to this interrogatory as being premature in light of the current status of 
this case, as disco very has just begun, ArthroCare has produced almost no confidential 
documents to Smith & Nephew, expert discovery in this case has not begun, and initial expert 
reports are not due until September 13, 2002. 

Smith & Nephew also objects to this interrogatory on the grounds that ArthroCare has 
improperly refused to respond to Smith & Nephew's interrogatory requesting that ArthroCare 
identify how the asserted claims of the patents-in-suit should be construed on the grounds that 
any interrogatory requesting such information is purportedly superseded by the Court's 
scheduling order in this case. Arthrocare is wrong. The court's decision to set a date for 
exchange of final claim construction contentions does not relieve Arthrocare of its responsibility 
to timely respond to relevant discovery directed to Arthrocare*s claim construction contentions. 
As clearly set forth in Smith & Nephew's initial response, Smith & Nephew indicated that it 
would supplement its response to this interrogatory once ArthroCare provided its contentions as 
to claim construction as requested in Smith & Nephew's interrogatories. However, ArthroCare 
has refused to do so. Smith & Nephew further objects to this interrogatory on the grounds that 
ArthroCare has failed to meaningfully respond to Smith & Nephew's interrogatory seeking 
ArthroCare's infringement contentions. It is manifestly unfair, as well as nonsensical since 
ArthroCare bears the burden of proof on the issue, for ArthroCare to demand Smith & Nephew's 


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non-infringement contentions without first providing meaningful responses to Smith & 
Nephew's interrogatory seeking ArthroCare's infringement contentions. Accordingly, Smith & 
Nephew reserves its right to supplement its response to this interrogatory once ArthroCare 
answers Smith & Nephew's interrogatories, and as discovery proceeds. 

INTERROGATORY NO. 5 

State in detail all facts upon which Defendant bases its allegation that any of the Patents- 
In-Suit are invalid, including without limitation the Identity of the individuals with knowledge of 
any such facts and the Identity of all Documents and things Relating To any such facts. 

RESPONSE TO INTERROGATORY NO. S 

In addition to the General Objections, Smith & Nephew also objects to this interrogatory 
to the extent it seeks information protected by attorney-client privilege and/or work product 
immunity* Smith & Nephew further objects to this 

contention discovery: discovery in the case has just begun, there are more than 160 claims in the 
paients-in-suk, and only recently, Le M on November 2, 2001, did ArthroCare disclose the identity 
of certain independent claims it is asserting, and even then, ArthroCare's claim designation was 
indicated to be tentative. ArthroCare still has not disclosed the identity of the dependent claims 
it is asserting despite having been asked to do so several times by Smith & Nephew, 
Accordingly, Smith & Nephew objects to AnhroCare's attempts to take contention discovery in 
such a piecemeal fashion. „ 

Further answering, Smith & Nephew notes that in its interrogatories served on October 
1 0, 2001, and in particular in Interrogatory Nos. 1-3, Smith & Nephew asked ArthroCare to 
identify the asserted claims and to provide its contentions as to claim construction, hi addition, 
in Interrogatory Nos. 4, 5, 7, and 12, and in its First Request For Production And Things, Smith 
& Nephew asked ArthroCare to provide certain information regarding the subject matter of this 
interrogatory. ArthroCare has requested an extension until December 10, 2001 to respond to 
these interrogatories and requests for production. Accordingly, Smith & Nephew reserves its 

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nght to supplement its response to this interrogatory once ArthroCart provides its responses to 
Smith & Nephew's interrogatories and requests for production, and as discovery proceeds. 

Subject to its objections and without waiving any objection, Smith & Nephew responds 
as follows: 

As of the present time, Smith & Nephew contends that the asserted claims are invalid for 
at least the same reasons as, and to the same extent as, set forth in Judge Orrick's Memorandum 
Decision and Order of December 1, 1998 in the case ofArthrocare Corp. v. Ethicon. Inc., Civil 
Action No. C-98-0609-WHO (N.D. Cal.) 

SUPPLEMENTAL RESPONSE TO INTERROGATORY NO. 5 

In addition to the information provided in response to this interrogatory and subject to 
and without waiving the general and specific objections therein, and based on the information 
currently available to it, Smith & Nephew supplements its response as follows: Smith & 
Nephew further objects to this interrogatory as being premature fa light of the current status of 
this case, as discovery has just begun, ArthroCarc has produced almost no confidential 
documents to Smith & Nephew, expert discovery in this case has not begun, and initial expert 
reports are not due until September 13, 2002. Smith & Nephew further objects to this 
interrogatory on the grounds that ArthroCare has refused to identify how the asserted claims of 
the paients-m-suit should be construed. Smith & Nephew's discovery and investigation are 
ongoing. Smith & Nephew reserves the right to supplement and/or modify this response as 
additional material or information become available. 

Subject to these objections, Smith & Nephew states that it may rely on one or more of the 

following references (or others to be identified later) to support Smith & Nephew's prior art 

invalidity defenses under 35 U.S.C §§ 102 and 103 for each of the asserted claims set forth in 

Jared Bobrow's letter of November 2, 2001. Smith & Nephew is continuing to evaluate the 

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relevant prior art and, if necessary, will provide additional detail on its contentions at 

appropriate later date. 

OS. Patent No. 5.697.536: C^ mAS 


an 


ISSUE/ 
PUBLICATION 
DATE 

08/16733 

PATENT NUMBER/ 

rUtJLlLATIUN 
US 2,056,377 

INVENTOR/AUTHOR TITLE 

ac/aa/^a 

Bio-Medical 
Engineering 206-216 

_ F.C Wapplcr Electronic Instrument 
aj^ uownc t he Electrical Aspects of 

Surgical Diathermy 

0671 1/74 

US 3,815,604 

Conor C. O Maiicy, Apparatus For Intraocular" " 
Ralph M Heintz, Sr. Surgery 

08/26775 

US 3,901,242 

Karl Stoiz Electric Surgical 

I Instrument 

00/00/76 

Acta Medicotechnica 
(Medizmal-Marfct), 
Vol. 24, No. 4, 1976 
129^134 

E. Elsasser and E. Roos J Uber ein Instrument zur "'" 

leckstromfrden 
1 transurcthralen Resection 
J (Concerning An 
J Instrument for 

Transurethral resection 
1 without leakage of current) 

02/24/76 

US 3,939,839 

Lawrence E. Curtiss Resectoscopc and 

Electrode Therefor 

01/07/77 

2 313 949/ 
N 76 17587 

Siegfoed Hiltebrandt et Boucle de sectlonncment a 
Ludwig Bonnet 1 une ou deux branches pour 

reseitoscope 

00/00/78 

Gastroenterology, 
Vol. 74, No. 3.527- 
534, 1978 

JJLA. Piereey, M D_ J Electrosurgical Treatment 

D.C Auth, PhD, P.E., of Experimental Bleeding 
rjz. ^uverstein, eA.u~, I canine Gastric Ulcers: 
H JL Wilted, PkD, Development and testing 
MB. Dennis; D.V.M., of a computer control and 
DAL Ellefcan, B.S„ a better electrode 
DAL Davis, 
RX. Protell, MD. and 
CERubin,MIX 

09/26/76 

US4 t 116,198 

Eberfaard Roos ( Electro-Surgical Device 

H/00/79 

Digestive Diseases 
and Science, Vol. 24. 
No. 11,845-848 

MJB. Dennis, J. Peoples, I Evolution 6f 
R. Hulett; D.C. Auth, j Electrofulguration in 
RL Pttrtell, C.E. Rubin. Control of Bleeding of 
and F.E. Silverstein J Experimental Gastric 

J Ulcers 

01/01/80 

•. 

US 4,181,131 

HisaoOgiu HighFrequency 

1 Electrosurgical Instrument 


from mm 


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ISSUE/ 
DATE 

PATVnrr Mrr&/n>irt>/ 
JrAi JL£> 1 nUMJBILK/ 

PUBLICATION 

IN V fcfY i UR/AUTHOR 

TITLE 




for Cutting Human Body 
Cavity Structures 

01/22/80 

US 4,184,492 

Hans H. Meinke, 
Gahard Flachenecker, 
Karl Fastenmeier, 
Fricdrich Landstorfcr, 
Heinz Lidenmeier 

Safety Circuitry for High 
Frequency Cutting and 
Coagulating Devices 

11/1 1/80 

US 4,232,676 

Andrew Herczog 

Surgical Cutting 
Instrument 

02/03/81 

US 4,248,231 

Andrew Herczog and 
James A: Murphy 

Surgical Cutting 
Instrument 

02/00/82 

CRG Press, American 
Heart Journal, Vol. 
117,332-341 

Kevin J. Barry, MS» 
Jonathan Kaplan, MD, 
Raymond J. Connolly, 
PhD, Paul Nardella, BS, 
Benjamin L Lee, MD, 
Gary J* Becker, MD, 
Bruce F. Waller, MD, 
and Allan D. Callow, 
MD,Ph.D 

The effect of 
radiofrequency-generated 
thermal energy on the 
mechanical and histologic 
characteristics of the 
arterial wall in vivo: 
Implications for 
radiofrequency angioplasty 

04/27/82 

US 4,326.529 

James D. Doss and 
Richard L. Hutson 

Comeal-Shaping Electrode 

04/26/83 

US 4,381,007 

James D. Doss 

Multipolar Comeal- 
Shaping Electrode with 
Flexible Removable Skirt 

00/00/85 

Uro logical Research 
13:99-102 

J.W-A, Ramsay, RA. 
Shepherd, M, Butler, 
P.T. Gosling, Rj^ 
Miller, D.MA Wallace, 
HJM. Whitfield 

A Comparison of Bipolar 
and Monopolar Diathermy 
Probes in Experimental 
Animals 

06/00/85 

JACCVoL5,No.6, 
1382^6 

Cornells J. Slager* MSc, 
Catbarina E. Essed, MD, 
Johan C.H. Scbuurbiers, 

x3ovt iNlCOlaQS &OIH, 

PLD, Patrick W. 
Serniys, MD, GecrtT. 
Meester, MD» FACC 

Vaporization of 
Atherosclerotic Plaques by 
Spark Erosion 

05/27/86 

US 4,590.934 

Jerry L. Mali's, Leonard 
I. Malis, Robert R 
Acorcey, David Soil 

Bipolar Cutter/Coagulator 

06/23/87 

US 4,674,499 

David S,C,Pao 

Coaxial Bipolar Probe 

00/00/89 

The Organizing 

ill 

Robert Tucker and 

A Bipolar Elcctrosurgioal 


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PUBLICATION 
DATE 

PATENT NUMBER/ 
PUBUCATION 

INVENTOR/AUTHOR 

TITLE 


Committee of the 7™ 
World Congress on 
Endourology and 
ESWL Foundation for 
Advancement of 
International Science 

Stefan Loening 

TuipLoop 

02/21/89 

US4.805.616 

David S.CPao 

Bipolar Probes for 
Ophthalmic Surgery and 
Methods of Performing 
Anterior Capsulotomy 

03/00/89 

Journal of Urology 
Vol. 141,662-665 

Robert D.Tucker, 
Eugene V. 
Kramolowsky. Eric 
Bedell and Charles E. 
Platz 

A Comparison of Urologic 
Application of Bipolar 
Versus Monopolar Five 
French EJectrosurgical 
Probes 

04/00/89 

JACC Vol. 13 No. 5, 
1167-75 

Benjamin I. Lee; MD, 
FACC, Gary J, Becker, 
MD, Bruce F. Waller, 
MDi FACC, Kevin J. 
Barry, MS, Raymond J. 
Connblrv. Ph.D. 
Jonathan Kaplan, MD, 
Alan R. Shapiro, MS, 
PaulC Nardeila,BS 

Thermal Compression and 
Molding of Atherosclerotic 
Vascular Tissue With Use 
of Radioftequency Energy: 
Implications for 
Radio frenuenrv ftallnnrt 

Angioplasty 

04/25/89 

US 4,823.791 

Frank D. D'Amelio, 
iOawn M. DeLemos, 
Dominick G. Esposito, 
Michelle MaXfidd, 
Claude E.PetruzzL, 
Robert a Quint 

Electrosurgical Probe 
Apparatus 

00/00/90 

Urological Research 
18:291-294. 

RJ). Tucker, E.V. 

1 Cramolowsky, ami CJL 

Platz 

In vivo effect of 5 French 
bipolar and monopolar 
electrosurgica} probes on 
the porcine bladder 

02/00/90 

Journal of Urology 
Vol. 143.275-277 

Eugene V. 

\ Cramolowsky and 

Robert D, Tucker 

Use of 5F Bipolar 
Electros'utgical Probe in 
Endoscopic Urologiical 
Procedures 

04/05/90 

WO 90/03152 

, ohn Considine, John 
Colin 

Electro-surgical Apparatus 
for Ronoving Tumours 
from Hollow Organs of the 
Body 


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ISSUE/ 

PUBLICATION 
DATE 

PATENT NUMBER/ 

Plim lrATirau 
rUHU^A 1 i w» 

INVENTOR/AUTHOR 

TITLE 

05/01/90 

US 4,920,978 

David P. Colvin 

Method and Apparatus for 
the Endoscopic Treatment 
of Deep Tumors Using RF 
Hyperthermia 

06/05/90 

US 4,931,047 

Alan Broadwin, Charles 
Vassal lo> Joseph R 
Logan, Robert W. 
Hornlein 

Method and Apparatus For 
Providing Enhanced 
Tissue Fragmentation 
And/Or Hemostasia 

12/11/90 

US 4,976,711 

David J. Parins, Mark A. 
RydeJl, Peter Stasz 

Ablation Catheter With 
Selectively Deployoble 
Electrodes 

12/25/90 

US 4,979,948 

Lesslie A. Geddea, 
Marvin fL Hinds, Joe D. 
Bourland, William DV 
Voorhees 

Method and Apparatus for 
Thermally Destroying A 
Layer of An Organ 

03/21/91 

DE 39304S1 Al 

Ellen Hoffmann, 
Gerhard, Steinbeck, 
Rudi Mattmuller 

Vorrichtung fur die . 
Hochfrequenzkoagulation 
von biologischem Gewebe 

04/16/91 

US 5.007,908 

MarkA.RydeU 

Electrosurgical Instrument 
Having Needle Cutting 
Electrode And Spot-Coag 
Electrode 

04/23/91 

US 5,009,656 

Hairy G. Reimels 

Bipolar Electrosurgical 
Instrument 

07/30/91 

US 5.035,696 

MarkA.Rydell 

Electrosurgical Instrument 
for Conducting 
Endoscopic Retrograde 
Sphincterotomy 

09/00/91 

Journal of Urology 
Vol. 146, 669 

Eugene V. 
Kramolowsky and 
Robert D. Tucker 

The Urological 
Application of 
Electrosurgcry 

09/10/91 

US 5,047.027 

MarkA-Rydell 

Tumor Reflector 

10/07/91 

Bipolar Laparoscopic 
Lecture 

Dr.OIsen 

Bipolar Laparoscopic 
Cholecystectomy 

01/14/92 

US 5,080,66) 

Terrence J. Buetaa 

Electrosurgical Electrode 

02/04/92 

03 5,68^50 

MarkA-Rydell 

Biopsy Device With 
Bipolar Coagulation 
Capability 

02/18/92 

US 5,0848,997 

Louis Delahuerga, 
Robert B. Stoddard, 
Michael S.Klicek 

Gas Coagulation Device 


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ISSUE/ 
PUBLICATION 
DATE 

PATENT NUMBER/ 
pi rot irATiow 

INVENTOR/AUTHOR 

TITLE 

03/24/92 

US 5.098,431 " 

MaricA-Rydell 

RF Ablation Catheter 

OS/12/92 

US 5,1 12330 

Shinichi Ntshigaki, 
Shiro Bifo 

Resectoscope Apparatus 

06/1692 

US 5,122,138 

Kim H. Manwaring 

Tissue Vaporizing 
Accessory ami Method for 
an Endoscope 

12/01/92 

* 1-^ it f /no 

US 5,167,659 

Naoki Ohtotao; Shizuo 
Ninomiya 

Blood Coagulating 
Apparatus 

12/15/92 

US 5,171,311 

Marie A. RydeN, David 
J. Parins, Steven W. 
Beihow 

Percutaneous Laparoscopic 
Cholectectomy Instrument 

05/04/93 

US 5,207.675 

Jerome Canady 

Surgical Coagulation 
Device 

06/08/93 

US 5,217,459 

William Kamerting 

Method and Instrument for 
Performing Eye Surgery 

04/26/94 

1155306,238 

Richard P. Fleenor 

Laparoscopic 
ElectrosurgicaJ Pencil 

06/13/95 

US 5,423,882 

Warren Jackman, 
Wilton W. Webster, Jr. 

Catheter Having Electrode 
With Annular Recess and 
Method of Using Same 

10/03/95 

US 5,454,809 

Michael Janssen 

Electrosurgical Catheter 
And Method For 
tesohring Artherosclerotic 
Plaque By Radio 
Frequency Sparking 


In addition, Smith & Nephew may rely on the findings of feet made by Judge William H. 


Orrick in his Memorandum Decision and Order dated December 1, 1 998, in which he found that 
"every element of claim 45 of the '536 patent . . . appearfs] in the Rdos '198 patent" Smith & 
Nephew may also rely on the file history of US. Patent No. 4,1 16, 1 98. 
US. Patent No. SjS&7f Sli Claim 1 


ISSUE/ 
PUBLICATION 
DATE 

PATENT NUMBER/ 
PUBLICATION 

INVENTOR/AUTHOR 

TITLE 

08/16733 

US 2,056,377 

F.C. Wappler 

Electronic Instrument 

. 05/00/69 

Bio-Medical 
Engineering 206-216 

AJC Dobbte 

The Electrical Aspects of 
Surgical Diathermy 


12 


FflOM mm 


(THU)12. 20*01 9:35/ST. 8: 56/NO. 4261979446 P 16 


08/26/75 

US 3,901,242 

Karl Storz 

Electric Surgical 
Instrument 

06/1 1/74 

US 3,815,604 " 

Conor C.O'Malley, 
Ralph M. Heintz, Sr. 

Apparatus For intraocular 
Surgery 

00/00/76 

Acta Medicotechnica 
(Medizinal-Markt), 
Vol. 24, No; 4,1976 
129- t34 

E. Elsasser ami £. Roos 

Uber ein Instrument tmt 
leckstromfreien 
transurethralen Resection 
(Concerning An 
Instrument for 

transurethral resection 
without leakage of cutt^urt 

vz/zq/fo i US 3,939,839. 

Lawrence E/Curtiss 

Resecfoscope and 

Electrode Therefor 

07/20/76 US 3.970,088 

Charles F, Morrison 

Electmsurgicai Devices 
Having Sesquipolar 
Electrode Structures 
Incorporated Therein 

01/07/77 2313 949/ 
N76 17587 

02/21/78 US 4,074,718 

Siegfried Hiltebrandt et 
Ludwig Bonnet 

Charles F. Morrison, Jr. 

Boucle de secaonnement a 

Une Ott dfilTjt hmnrKp^ nrMir 

»w mvma vi auwuvd pour 

rescrtoscope 

ilectrosurgical Instrument 

09/26/78 1 US 4,1 16,198 
1 1/00/79 Digestive Diseases ~~ 
and Sciences, VoL 24, 
No. 11,845-848 

EberhaidRoos 

M.B. Dennis J Peonies. 

R.Hulett,D.CAuth, 

RX. ProtelI.CE, Rubin, 

andRE. Silverstein 

Electro-Surgical Device 

VA Itlfl An - " 

cvoiunon 01 

?lectrofuIguration in 
Control of Bleeding of 

Experimental Gastric 
Ulcers 

01/01/80 US 4,181,131 

Htsao Ogiu 

Electrosurgica] Instrument 
] br Cutting Human Body 
Cavity Structures 

01/22/80 US 4,184.492 

Hans H* Meinkc 
Gerhard Flachenecker, 
Karl Fastenmeier, 
Friedrich Undstorfer, 
Heinz Lidenmeter 

Safety Circuitry for High 
frequency Cuttine and 
Coagulating Devices 

4/27/82 J US 4,326,529 

James D. Doss and 
Richard L. Hutson 

Comeai-Shaping Electrode 

04/26/83 US 4,381.007 

James D. Doss 

Multipolar Corneal- 
Shaping Electrode with 
Flexible Removable Skirt 

00/00/84 Gut, 25, 1424-1431 

I 

j 

l < 

CP. Swain, TN Mills, E. 
Shemesh, Julia M. Dark, < 
MIL Lewin, J.S. i 
Clifton, T.CNorthfield, < 

Which Electrode? A 
comparison of four 
endoscopic methods of 
electrocoagulation in 


13 


FROM MNA&T 


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8 :56/NO. 4261979446 P 17 




P-B. Cotton, and PJt 
Salmon 

experimental bleeding 
ulcers 

00/00/85 

Urological Research 
13:99-102 

J.W.A. Ramsay, N.A. 
Shepherd, M. Butler, 
PX Gosling, R.A. 
Miller, D.M.A. Wallace, 
H.N. Whitfield 

A Companson of Bipolar 
and Monopolar Diathermy 
Probes in Experimental 
Animals 

06/00/85 

JACCVol. 5, No. 6, 
1382-6 

Cornells J. Slager, MSc, 
Calharma E Esscd, MD, 
Johan C JL Schuurbiers, 
BSc/Nicolaas Bom, 
PhD, Patrick W. 
Senuys,MD,GeertT. 
Meester^MD/FACC 

Vaporization of 
Atherosclerotic Plaques by 
Spark Erosion 

10/22/85 

US 4,548,207 

HanyG* Reimels 

Disposable Coagulator 

05/27/86 

US 4,590,934 

Jerry U Malis, Leonard 
L Malis, Robot R. 
Acorccy, David Solt 

Bipolar Cutter/Coagulator 

00/00/87 

Kardiologie, 
KardioL76: Supp. 6\ 
67-71 (1987) 

CJ: Slager, A.C.Phafi; 
CEEssedJ.CH. 
Schuurbiers, N. Bom, 
V A. Vandenbroucke, 
andP.W. Serxuys 

Spark Erosion of 
Arteriosclerotic Plaques 

4/28/87 

US 4,660,571 

Stanley R. Hess, Jerri 
Kovacs 

Percutaneous Lead Having 

Radially Adjustable 
Electrode 

06/23/87 

US 4,674,499 

David S.C Pad 

Coaxial Bipolar Probe 

00/00/89 

The Organizing 
Committee of the 7* 
World Congress on 
Endourology and 
ESWL Foundation for 
Advancement of 
International Science 

Robert Tucker and 
Stefan Loening 

A Bipolar Eiectrosurgical 
TurpLoop 

OO/O0/89 

SPffiVoL1068 
Catheter-based 
Sensing and Imaging 
Technology 

Paul C. Nardella 

Radio Frequency Energy 
and Impedance Feedback 

02/21/89 

US 4,805,616 

David S.C. Pao 

Bipolar Probes for 
Ophthalmic Surgery and 
Methods of Performing 
Anterior Capsulotomy 

03/00/89 

Journal of Urology 
Vol 141,66^5 

Robert D. Tucker, 
Eugene V. 
Kxamolowsky, Eric 

A Comparison of Urologic 
Application of Bipolar 
Versus Monopolar Five 


14 


FROM MNA&T (THU) 1 2. 20" 01 9 : 36/ST. 8 : 56/NO. 4261 979446 P 1 8 




Bedell and Charles B. 
Plat2 

French Electrosurgical 
Probes 

04/00/89 

JACCVol. 13 No. 5, 
1167-75 

Benjamin!, Lee, MD, 
FACC, Gary J. Becker, 
MD, Bruce F. Waller, 
MD. FACC, Kevin J. 
Barry, MS, Raymond J. 
Connolly, Phi), 
Jonathan Kaplan, MD, 
Alan R. Shapiro, MS, 
Paul C Nardella, BS 

Thermal Compression and 
Molding of Atherosclerotic 
Vascular Tissue With Use 
of Radiofrequency Energy: 
Implications for 
Radiofrequency Balloon 
Angioplasty 

00/00/90 

Urological Research 
18.291-294 

R.D. Tucker, B.-V. 
Kramolowsky, and C.E. 
Plate 

In vivo effect of 5 French 
bipolar and monopolar 
electrosurgical probes on 
the porcine bladder 

02/00/90 

Journal of Urology 
Vol. 143, 275-277 

Eugene V. 
Kramolowsky and 
Robert D. Tucker 

Use of 5F Bipolar 
Electrosurgical Probe in 
Endoscopic Urologncal 
Procedures 

04/05/90 

WO 90/03152 

John Considine, John 
Colin 

Electro-surgical Apparatus 
for Removing Tumours 
from Hollow Organs of the 
Body 

06/05/90 

US 4,931,04? 

Alan Broadwin, Charles 
Vassallo, Joseph N. 
Logan, Robert W. 
Hornlein 

Method and Apparatus For 
Providing Enhanced 
Tissue Fragmentation 
And/Or Hemo$ta$i$ 

06/26/90 

US 4,936,281 

Peter Stasz 

Ultrasonically Enhanced 
RF Ablation Catheter 

12/11/90 

US 4,976,711 

David J. Parins, Mark A. 
RydeH, Peter Stasz 

Ablation Catheter With 
Selectively Deployable 
Electrodes 

12/25/90 

US 4,979,948 

• 

Le$$lieA.Gedde$, 
Marvin H. Hinds, Joe D. 
Bourland, William D. 
Voorhees 

Method and Apparatus for 
Thermally Destroying A 
Layer of An Organ 

04/16/91 

US 5,007,908 

Mark A. Rydell 

Electrosurgical Instrument 
Having Needle Cutting 
Electrode And Spot-Coag 
Electrode 

04/23/91 

US 5,009,656 

Harry G.Reimels 

Bipolar Electrosurgical 
Instrument 

07/30/91 

US 5,035,696 

Mark A, Ry dell 

Electrosurgical Instrument 
for Conducting 
Endoscopic Retrograde 


15 


FROM MNA&T 


(THU)12.20'01 9:36/ST. 


8 : 56/NO. 4261979446 P 19 


09/00/91 

Journal of Urology 
Vol. 146,669 

Eugene V. 
Kramolowsky and 
Robert D.Tucker 

Sphincterotomy 
The Urolocical 
Application of 
Electrosurgery 

09/10/91 

US 5,047.026 

Mark A. Rydell 

Electrosurgical Implement 
For Tunneling Throueh 
Tissue 

09/10/91 

US 5.047.027 

Mark A. Rydell 

Tumor Resector 

10/07/91 

Bipolar Laparoscopic 
Cholecystectomy ' 
Lecture 

Dr.Oben 

Bipolar Laparoscopic 
Cholecystectomy 

01/14/92 

US 5.080.660 

TerrenceJ. Buelna 

Electrosurgica] Electrode 

02/18/92 

US 5.088.997 

Louis Deiabuerga, 
Robert B. Stoddard, 
Michael S.Kficek 

^J**** VV<»tU lolil/il awvjvv 

03/24/92 

US 5,098.431 

Mark A. Rydell 

RF Ahtarinn Path<*>rW 
av* AuiaUUu Vainvtvl 

04/28/92 

US 5,108,391 

Gerhard Flachieneckcr, 
Karl Fastenmeier Heinz 
Lindenmeier 

Higb-Frequency Generator 

For Coagulating In High- 
Frequency Surgery 

05/12/92 

US5.112J30 

Shiro Bito 

ivcsccu/scope Apparatus 

06/16/92 

US 5,122,138 

Kim H. Manwariiig 

fTissuc Vaporizing 
Accessory and Method for 
an Endoscope 

12/01/92 

US 5.167659 

- rMdnlri OhtfVTTWv qfii7iiA 

Ninomiya 

oiuou Vroagutaiiiig 
Apparatus 

12/15/92 

US 5,171,311 

Mark A. Rydell, David 
J. Parins. Steven W. 
Berfaow 

Percutaneous Laparoscopic 

C*holectectontv Irtjtfm n \**nt 

^ *i **** 1 Jf Al«04i UXJ1C1U 

03/30/93 

US 5,197,963 

David J. Paring 

Electrosurgical Instrument 
with Extendable Sheath for 
Irrigation and Aspiration 

04/26/94 ' 

US 5,306,238 

Richard P. Flecnor 

Laparoscopic 
Electrosurgical Pencil 

06/13/95 

US5.423.882 

Waircn M. Jacbnan, 
WHionW. Webster, Jr 

Catheter Having Electrode 
with Annular Recess and 
Method of Using Same 

10/03/95 

US 5,454,869 

Michael Janssen 

Electrosurgical Catheter 
And Method For 
Resolving Arthero&clerotic 
Plaque By Radio 
Frequency Sparking 


16 


FROM MNA&T 


(THUJ 1 2. 20' 01 9 : 36/ST. 8 : 56/NO. 4261 979446 P 20 


Smith.& Nephew may also rely on the file history of US. Patent No. 4,1 16,1 98. 


U.S. Patent No. 5,697.882: Claim 26 


ISSUE/ 
PUBLICATION 
DATE 

PATENT NUMBER/ 
PUBLICATION 

INVENTOR/AUTHOR 

TITLE 

05/00/69 

Bio-Medical 
Engineering 206-2 1 6 

AJC Dobbie 

The Electrical Aspects of 
Surgical Diathermy 

OS/16/33 

OS 2,056,377 

KC. Wappter 

Electronic instrument 

06711/74 

US 3,815,604 

Conor C O'Malley, 
RalphM.Heintz,Sr. 

Apparatus For Intraocular 
Surgery 

08/13/74 

US 3,828,780 

Charles F. Morrison, Jr« 

Combined 

Electrocoagulator-Suction 
Instrument 

01/00/75 

IEEE Transactions On 

Biomedical 

Engineering 

William M, Hoing 

The Mechanism of Cutting 
in Electrosurgety 

08/26/75 

US 3,901,242 

Kari Store 

Electric Surgical Instrument 

11/18/75 

US 3,920,021 

Siegfried Hiltebrandt 

Coagulating Devices 

02/24/76 

US 3,939,839 

Lawrence E. Curtiss 

Resectoscope and Electrode 
Therefor 

07/20/76 

US 3,970,088 

Charles F. Morrison 

Electrosurgical Devices 
Having Sesquipolar 
Electrode Structures 
Incorporated Therein 

00/00/76 

Acta Medicotechnica 
(Medizinal-Markt), 
Vol 24, No. 4, 1976 
129-134 

E. Elsasser and E. Roos 

Uber ein Instrument zur 
leckstromfreien 
transurethralen Resection 
(Concerning An instrument 
for transurethral resection 
without leakage of current) 

01/07/77 

2313 949/ 
N 76 17587 

Siegfried Hiltebrajidt et 
Ludwig Bonnet 

Boucle de sectionnemcnt a 
une ou deux branches pour 
resertoscope 

02/21/78 

US 4,074,718 

Charles F. Morrison, Jr. 

Electrosurgical Instrument 

06/06778 

US 4,092,986 

Max Schneidennan 

Constant Output 
Electrosurgical Unit 

09/26778 

US 4,1 16,198 

Eberhaid Roos 

Electro-Surgical Device 

11/00/79 

Digestive Diseases 
and Sciences, Vol. 24, 
No. 11,845-848 

M.B. Dennis, J. Peoples, 
R- Hulett, D.C Auth, 
RX. ProtelU CE. Ruhin, 
and FJEv Silyexstein 

Evolution of 

Electrofulguration in Control 
of Bleeding of Experimental 
Gastric Ulcers 

01/01/80 

US 4,181,131 

Hlsao Ogiu 

High Frequency 


17 


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Elcctrosurgical Instrument 
for Cutting Human Body 
Cavity Structures 

01/22/80 

US 4,184,492 

Hans H. Meinke, 
Gerhard Flachenecker* 
Karl Fastenmeier, 
Friedrich Landstorfer, 
Heinz Lidenmcier 

Safety Circuitry for High 
Frequency Cutting and 
Coagulating Devices 

04/27/82 

US 4,326,529 

James D. Doss and 
Richard L Hutson 

Comcal-Shaping Electrode 

04/26/83 

US 4,381,007 

James D. Doss 

Multipolar Corncal-Shaping 
Electrode with Flexible 
Removable Skirt 

00/00/84 

Gut, 25, 1424-1431 

CP. Swain, TN Mills, E. 
Shemesh, Julia M Dark, 
MR. Lewin,J.S. 

Clifton, T.CNorthfield, 
RB_ Cotton, and PJL 
Salmon 

Which Electrode? A 
comparison of four 
endoscopic methods of . 
electrocoagulation in 
experimental bleeding ulcers 

00/00/85 

< 

Urologies] Research 
13:99-102 

J.W.A. Ramsay, N. A. 
Shepherd, M. Butler, 
P.T. Gosling, RLA. 
Miller, D^IA. Wallace, 
H.N. Whitfield 

A Comparison of Bipolar 
and Monopolar Diathermy 
Probes in Experimental 
Animals 

06/00/85 

JAUt: Vol. 5, No. 6, 

1382-6 

Conielis J. Slagcr, MSc, 
Catharina E Esscd, MD, 
Johan CJL Schuurbiers, 
BSc, Nicolaaa Bom, 
Ph.D, Patrick W. 
Serniy5 > MD,GccrtT, 
Meester,MD,FACC 

Vaporization of 
Atherosclerotic Plaques by 
Spark Erosion 

10/22/85 

US 4,548,207 

Hairy G- Retmeis 

Disposable Coagulator 

05/27/86 

US 4^90,934 

Jeny L. Malls, Leonard 
1. Malis, Robert R. 
Acorcey, David SoK 

Bipolar Cuttex/Coagulator 

AA/AATOT "" — ' 

Kaidiologk* 
67-71 (1987) 

CJ.Slager,A.C.Phaff; 

Schuurbiers, N. Bom, 
Vj\. Yandenbrouckc, 
andP.W.Senuys 

Spark Erosion of 
Arteriosclerotic Plaques 

4/28/87 

US 4,660,571 

Stanley R. Hess, Tern 
Kovacs 

Percutaneous Lead Having 
Radially Adjustable 
Electrode 

06/23/87 

US 4,674,499 

David S.C. Pao 

Coaxial Bipolar Probe 

07A)0/88 

Valleylab Part 

Valleylab, Inc. 

Surgistat Service Manual 


18 


FROM MNA&T 


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8 :56/NO. 4261979446 P 22 



Number 945 100102 
A 



00/00/89 

SPDEVoL 1068 
Cathetcr-bascd 
Sensing and Imaging 
Technology 

Paul C Naidella 

Radio Frequency Energy and 
Impedance Feedback 

00/00/89 

The Organizing 
Committee of the 7 th 
World Congress on 
Endourology and 
ESWL Foundation for 
Advancement of 
International Science 

Robeit Tucker and 
Stefan Loening 

A Bipolar Electrosurgical 
Turp Loop 

03/00/89 

Journal of Urology 
Vol. 141,662-665 

Robert D. Tucker, 
Eugene V. 
Kramolowsky, Eric 
Bedell and Charles E. 
Plate 

A Comparison of Urologic 
Application of Bipolar 
Versus Monopolar Five 
French Electrosurgical 
Probes 

02/21/89 

US 4,805,616 

David S,CPao 

Bipolar Probes for 
Ophthalmic Surgery and 
Methods of Performing 
Anterior Capsulotomy 

04/00/89 

JACC VoL 13 No. 3. 
1167-75 

Benjamin L Lee, MD, 
FACC, Gary J. Becker, 
MD, Bmce R Waller, 
MD, FACC, Kevin J. 
Barry, MS, Raymond J. 
Connolly, PhJ>, 
Jonathan Kaplan, MD, 
Alan R. Shapiro, MS, 
Paul C Naidella^BS 

Thermal Compression and 
Molding of Atherosclerotic 
Vascular Tissue With Use of 
Radio frequency Enecrgy: 
Implications for 
Radiofrequency Balloon 
Angioplasty 

00/00/90 

Urological Research 
18:291-294 

RD. Tucker, E.V* 
Kramolowsky, and CE- 
Platz 

In vivo effect of 5 French 
bipolar and monopolar 
electrosurgical probes on the 
porcine bladder 

02/00/90 

Journal of Urology 

VOL 1*0, Z/>-2 / / 

Eugene V. 
Kramolowsky and 
Robert D, Tucker 

Use of 5F Bipolar 
Electrosurgical Probe in 
Endoscopic Urologiical 
Procedures 

04/05/90 

WO 90/03152 

John Considinc, John 
CoHn 

Electro-surgical Apparatus 
for Removing Tumours from 
Hollow Organs of the Body 

06/05/90 

US 4,931,047 

Alan Broadwin, Charles 
Vassallo, Joseph N. 
Logan, Robert W. 

Method and Apparatus For 
Providing Enhanced Tissue 
Fragmentation And/Or 


19 


FROM MNA&T 


(THU) 1 2. 20" 01 9 : 37/ST. 8 : 56/NO. 4261 979446 P 23 


uo/zo/yu 

US 4,936,281 

Homlein 
Peter Stasz 

Hemostasis 

UltrasomcaJly Enhanced RF 
_ Ablation Catheter 

12/11/90 

US 4,976,71 1 

David L Parins, Mark A. 
Rydell, Peter Stasz 

Ablation Catheter With 
Selectively Deployable 
Electrodes 

12/25/90 

US 4,979,948 

Lesslic A. Geddes, 
Marvin H. Hinds, Joe D. 
Bouriand, William D. 
Vooihees 

Method and Apparatus For 
Thermally Destroying A 
Layer Of An Organ 

04/16/91 

US 5.007,90* 

toark A. Rydell 

Electrosurgtcal Instrument 
Having Needle Cutting 
Electrode And Spot-Coag 
Electrode 

04/23/91 ~ 

US 5,009,656 

Harry G. Reimels 

bipolar fclectrosurgical 
Instrument 

07/30/91 

US 5,035,696 

Mark A. Rydell 

Electrpsurgical Instrument 
For Conducting Endoscopic 
Retrograde Sphincterotomy 

09/10/91 

US 5,047,026 

Mark A. Rydell 

Electrosurgical Implement 
For Tunneling Through 
Tissue 

09/1091 

US 5,047,027 

MarkA.RydeU 

Tumor Rescctor 

09/00/91 

Journal of Urology 
Vol 146,669 

Eugene V,- 
Kramolo wsfcy and 
Robert p. Tucker 

Tlie Uroloaica] AvDHcatian 
ofElectrosurgery 

10/07/91 

Bipolar Laparoscopic 

Cholecystectomy 

Lecture 

Dr. Olsen 

Bipolar Laparoscopic 
Cholecystectomy 

Ot/14/92 

US 5.080,660 

Texrcnce ). Buelna 

ilectrosurgical Electrode 

ta/ia/92 

US 5,088*997 

Louis Delahuerga, 
Robert B.Stoddarf, 
Michael S.KKcck 

Uas Coagulation Device 

03/24/92 

US 5,098,431 

Mark A. Rydell 

RF Ablation Catheter 

04/28/92 

US 5.108391 

Gerhard Flachenecker, 
Carl Fastenmeier, Heinz 
Lindenmeier 

Htgh-Frequency Generator 
For Tissue Cutting And For 
Coagulating In High- 
Frequency Surgery 

05/12/92 

US 5,112,330 

Shinichi Nishigaki, 
ShiroBito 

lesectoscope Apparatus 

06/16/92 

US 5,112,138 

Kim H. Manwaring 

Tissue Vaporizing 
Accessory and Method for 
an Endoscope 

12/01/92 

US 5,167,659 

Maoki Ohtomo; Shizuo 
^finomiya 

Blood Coagulating 
Apparatus 


20 


FROM MNA&T 


(THU) 1 2. 20' 01 9 : 37/ST. 8 : 56/MO. 4261 979446 P 24 


12/15/92 

US 5,171,311 

Mark A. Rydell, David 
J. Parins, Steven W. 

Percutaneous Laparoscopic 
Cholectectomy Instrument 

03/30/93 

US 5,197,963 

David J, Parins 

Elcctrosurgical Instrument 
with Extendable Sheath for 
Irrigation and Aspiration 

04/26/94 

US 5,306,238 

Richard P, Fleenor 

L.dpaitj$cQpic ciccxrosurgicai 
Pencil 

06/13/95 

US 5,423,882 

Warren M. Jackman, 
Whon W.Webster, Jr. 

Catheter Having Electrode 
With Annular Recess and 
Method of Using Same 

10/03/95 

US 5,454,809 

Michael Janssen 

Electrosurgicai Catheter And 
Method For Resolving 
Aterosclerotic Plaque By 
Radio Frequency Sparking 


In addition, Smith & Nephew may rely on the findings of feet made by Judge William H. 
Orrick in his Memorandum Decision and Order dated December 1> 1998, in which he found that 
there was "a substantial question to whether claim 26 of the '882 patent is invalid for 
obviousness in light of the Roos '198 patent and the Elsasser and Robs article." Smith & 
Nephew may also rely on the file history of US. Patent No, 4,1 16,198, 


VJS. Patent No. ^97^*2- rfaim » 


ISSUE/ 
PUBLICATION 
DATE 

PATENT NUMBER/ 
PUBLICATION 

INVENTOR/AUTHOR 

TITLE 

08/16/33 

US 2,056,377 

F.CWappter 

Electronic Instrument 

08/26/75 

US 3,901,242 

Karl Store 

Electric Surgical Instrument 

11/18/75 

US 3,920,021 

Siegfried Hiltebrandt 

Coagulating Devices. 

00/00/76 

Acta Medicotechnica 
(Medizinal-Markt), 
Vol. 24, No. 4, 1976 
129-134 

E. Elsasser and E. Roos 

Uber ein Instrument zur 
leckstromfrcien 
transurethralen Resection 
(Concerning An Instrument for 
Transurethral resection 
without leakage of current) . 

02/24/76 

US 3,939,839 

Lawrence £ Curtiss 

Resectoscope and Electrode 
Therefor 


21 


FROM MNA&T 


(THU) 12. 20" 01 9:38/ST. 


8 -. 56/Na 4261 979446 P 25 


07720/76 

US 3,970,088 

Charles F. Morrison 

Electrosurgical Devices 
Having Sesquipolar Electrode 
Structures Incorporated 
Therein 

01/07/77 

2 313 949/ 
N 76 17587 

Siegfried Hiitebrandt et 
Ludwig Bonnet 

Boucle de sectionnement a une 
ou deux branches pour 
resertoscope 

02/21/78 

US 4,074,718 

Charles F. Morrison, Jr. 

Electrosurgical Instrument 

09/26/78 

US 4,116,198 

Eberhard Roos 

I*lectro*£rtrtnjr2il ITWvi**** 

01/01/80 

US 4,181,131 

HisaoOgiu 

High Frequency 
Electrosurgical Instrument for 
Cutting Human Body Cavity 
Structures 

01/22/80 

US 4,184,492 

kansH-MeJnke, 
Gerhard Flachcuecker, 
Karl Fasteraneier, 
Friedrich Landstorfer, 
Heinz Lidettmetfir 

Safety Circuitry for High 
Frequency Cutting and 
Coagulating Devices 

02/00/82 

CRC Press, American 
Heart Journal Vol 
117,332-341 

KevinJ.Bany.MS, 

TfYndtfifin Ionian "iWfl^ 
JUitdumil IViipiciCL, IVLL/, 

Raymond J. Connolly, 
Ph.D, Paul Naidella, BS, 

Gary J. Becker, MD, 
Bruce F. Wallet; MD, 
and Allan D. Callow, 
MD,PhJ> 

The effect of radiofrequency- 
generaiea inenziaj energy on . 
the mechanical and histologic 
characteristics of die arterial 
wall in vivo: Implications for 
radiofrequency angioplasty 

4/27/82 

US 4,326,529 

James D. Doss and 
Richard L Hntson 

Coraeal-Shaping Electrode 

04/26/83 

US 4381,007 

James D. Doss 

Multipolar Corneal-Shaoint' 
Electrode with Flexible 
Removable Skirt 

00/00/84 

Gut, 25,1424-1431 

CP. Swain, TN Mills, E. 
Sbernesh, Julia M. Dai*, 
MJL Lewin, J.S. 
Clifton, T.aNorthfield, 
P.B. Cotton, and PJL 
Sahnon 

Which Electrode? A 
comparison of four endoscopic 
methods of electrocoagulation 
in experimental bleeding 
ulcers 

10/22/85 

US 4,548,207 

Harry G, Reimcb 

Disposable Coagulator 

00/00/85 

Urological Research 
13:99-102 

J.W^A. Ramsay, NJC 
Shepherd, M. Butler, 
P.T. Gosling. R. A. 
Miller, DJMA. Wallace, 
RN. Whitfield 

A Comparison of Bipolar and 
Monopolar Diathermy Probes 
m Experimental Animals 

06/00/85 

JACCVoL5,No.6, 

Comelis J. Slager, MSc, 

Vaporization of 


22 


FROM MNA&T 


(THU)12.20'01 9 : 38/ST. 


8 :56/NO. 4261979446 P 26 



1382-6 

CatharinaE F<s«l MD 
Johan C.H. Schuurbiers, 
BSc, Nicolaas Bom, 
PhX>, Patrick W. 
Serruys, MD, Geert T. 

/^uicivscicronc riaques oy 
Spark Erosion 

05/27/86 

US 4,590,934 

Jeny L. Mails, Leonard 
i« iviaus, xvoucn iv 

A j-ij-lia1j.ii 1\***tZJt 0_.1* 

Acorcey, uavid oou 

Bipolar Cutter/Coagulator 

00/00/87 

Kaidiologie, 
Kardiol.76: Supp. 6, 
67-71 (1987) 

CJ,Slager,A.CPhaff; 
CE, E&sed,J.OH. 
Schuurbieis, R B<mu 
V. A* Vandenbroucke, 

Spark Erosion of 

Arteriosclerotic Plaques 

04/28/87 

US 4,660,571 

Stanley R. Hess, Terri 
Kovacs 

Percutaneous Lead Having 
Radially Adjustable Electrode 

06/23/87 

US 4,674,499 

David S.C Pao 

Coaxial Bipolar Probe 


journal ot urology 
VoL 141, 662-665 

KODertu. lucicer, 
Eugene V . 
Kramolowsky, Eric 
Bedell and Charles £. 

Platz 

A Comparison of Urologic 
Application of Bipolar Versus 
Monopolar Five French 
Electrosurgical Probes 

. 00/00/89 

SPIE VoL 1068 
Catheter-based ensing 
and imaging 
Technology 

PaulC.Nardella 

Radio Frequency Energy and 
Impedance Feedback 

00/00/89 

The Organi7.ing 
Committee of the 7 th 
worjfl congress on 
Endourology and 
ESWL Foundation for 
Advancement of 
International Science 

Robert Tucker and 
Stefan Loening 

A Bipolar Electrosurgical Turp 
Loop 

02/21/89 

US 4,805,616 

David S,C Pao 

Bipolar Probes for Ophthalmic 
Surgery and Methods of 
Performing Anterior 
Cahstilotomv 

04/00/89 

JACCVoL 13 No. 5, 
1167-75 

Benjamin 1. Lcc, MD, 
FACC, Gary h Becker, 
MD, Brace R Waller, 
MD, FACC, Kevin J, 
Barry, MS, Raymond J. 
Connolly, Ph-D, 
Jonathan Kaplan, MD, 
Alan R. Shapiro, MS, 

Thermal Compression and 
Molding of Atherosclerotic 
Vascular Tissue With Use of 
Radiofrequency Energy: 
Implications for . 
Radiofrequency Balloon 
Angioplasty 


23 


FROM MNA&T 


ITHU)12.20'01 9:38/ST. 


8 : 56/HO. 4261979446 P 27 




Paul C. NardeUa, BS 



TIC il fit*) fVl6 

Donald Cohen 

Suction Ablation Catheter 

00/00/90 

Urological Research 
18:291-294 

R.D. Tucker, E.V. 
Kramolowsky* and C.E; 
Piatt 

in vivo effect of 5 French 
bipolar and monopolar 
electrosurgical probes on the 
porcine bladder 

02/00/90 

Journal of Urology 
Vol. 143,275-277 

fcugeneV. 
Kramolowsky and 
Robert D. Tucker 

Use of 5F Bipolar 
Electrosurgical Probe in 
Endoscopic UroiogUcal 
Procedures 

04/05/90 

WO 90/03152 

John Considine, John 
Colin 

electro-surgical Apparatus for 
Removing Tumours from 
Hollow Organs of the Body 

05/01/90 

US 4,920,978 

David P.CoIvin 

Method and Apparatus for the 
Endoscopic Treatment of Deep 
Tumors Using RP 
Hyperthermia 

06/26/90 

US 4,936,281 

Peter Stasz 

Ultrasonicalry Enhanced RF 
Ablation Catheter 

10/30/90 

US 4,966,597 

Eric R. Cosman 

Thermomctric Cardiac Tissue 
Ablation Electrode with Ultra- 
sensitive Temperature 
Detection 

12/11/96 

US 4,976,711 

David J. Parins, Mark A. 
Rydeh\ Peter Stasz 

Ablation Catheter With 
Selectively Deployable 
Electrodes 

12/25/90 

US 4,979,948 

LcssEe A. Geddes, 
Marvin ft Hinds, Joe D, 
Bmiriand. William D. 
Voorhccs 

Method and Apparatus for 
Thermally Destroying A Layer 
of An Organ 

09/00/91 

Journal of Urology 
Vol. 146,669 

Eugene V. 
Kramolowsky and 
Robert D. Tucker 

The Urological Application of 
Electrosurgery 

04/16/91 

US 5,007,908 

MarkARydetl 

EiectrosurgicaJ Instrument 
Having Needle Cutting 
Electrode And Spot-Coag 
Electrode : 

04/23/91 

US 5,009,656 

Harry <}. Reimels 

Bipolar Electrosurgical 
Instrument 

07/30/91 

US 5.035,696 

Mark A. Ry dell 

Electrosurgical Instrument for 
Conducting Endoscopic 
Retrograde Sphincterotomy 

09/10/91 

US 5,047,026 

MarkA-Rydell 

Electrosurgical Implement For 
Tunneling Through Tissue 

09/10/91 

US 5.047,027 

MarkA/Rydell 

Tumor Resector 


24 


FROM MNA&T 


(THU) 1 2. 20' 01 9 : 38/ST. 8 : 56/NO. 4261 979446 P 28 


10/07/91 

Bipolar Laparoscopic 

(!nAllH k wtfv*tnmv 

Lecture 

Dr. Olsen 

Bipolar Laparoscopic 
Cholecystectomy 

01/14/92 

US 5,080,660 

TerrenceLBuelna 

Electrosurgical Electrode 

01/28/92 

US 5,084,044 

Robert H, Quint 

Apparatus for Endometrial 
Ablation and Method of Using 
Same 


1 TC < fkOQ At i 

Mark A. Rydell 

RF Ablation Catheter 

05/12/92 

US 5,112,330 

Shinichi Nishigaki, 
Shir© Bito 

Resectoscope Apparatus 

04/28/92 

US 5,108,391 

Gerhard Flachenecker, 
Karl Fastenmeier, Heinz 
Lindemneier 

High-Frequency Generator For 
Tissue Cutting And For 
Coagulating In High- 
Frequency Surgery 

06/16/92 

US 5,122,138 

Kim H, Manwaring 

Tissue Vaporizing Accessory 
and Method for an Endoscope 

12/01/92 

US 5,167,659 

Naoki Ohtomo; Shizuo 
Ninomiya 

Blood Coagulating Apparatus 

12/15/92 

US5.17U11 

Mark A_ Rydell, David 
J. Parins, Steven W. 
Berbow 

Percutaneous Laparoscopic 
Cholectectpmy Instrument 

03/30/93 

US 5,197,963 

David J. Parins 

Electrosurgical Instrument 
with Extendable Sheath for 
Irrigation and Aspiration 



Richard P. Fleenor 

Laparoscopic Electrosurgical 
Pencil 

06/13/95 

US 5,423,882 

Warren M. Jackrnan, 
Wilton W.Webster, Jr. 

Catheter Having Electrode 
With Annular Recess and 
Method of Using Same 

10/03/95 


Michael Janssen 

Electrosurgical Catheter And 
Method For Resolving 
Aterosclerotic Plaque By 
Radio Frequency Sparking 


In addition. Smith & Nephew may rely on the findings of fact made by Judge William H. 
Orrick in his Memorandum Decision and Order dated December 1, 1 998, in which he found that 
there was u a substantial question as to whether claim 28 of the *882 patent is invalid for 
obviousness in light of the Rbos * 1 98 patent and the Elsasser and Rdos article." Smith & 
Nephew may also rely on the file history of U.S, Patent No. 4,1 16,198. 


FROM MNA&T 


(THU) 12- 20* 01 9:39/ST. 8 :56/NO. 4261979446 P 29 


U.S. Patent No. 5J24.592 Bl: Claim 1 


ISSUE/ 
PUBLICATION 
DATE 

PATENT NUMBER/ 
PUBLICATION 

INVENTOR/AUTHOR 

TITLE 

00/00/76 

Acta Medtcotechnica 
(Medizmal-Maikt), 
Vol. 24, No. 4, 1976 
129-134 

E. Elsasser and E. Roos 

Uber em Instrument zur 
leckstromfreien 
transurethralen Resection 
(Concerning An 
Instrument for 
Transurethral resection 
without leakage of current) 

02/24-76 

US 3,939,839 

Lawrence E. Curtiss 

Resectoscope and 
Electrode Therefor 

07/20/76 

US 3,970.088 

Charles F. Morrison 

Electrosurgical Devices 

Having Sesquipolar 

Electrode Structures 
Incorporated Therein 

01/07/77 

2313 949/ 
N76 17587 

Siegfried Hiltcbrandt ct 
Ludwig Bonnet 

fiouclc dc scctionncmcat a 
une ou deux branches pour 
reseatoscope 

02/21/78 

US 4,074,718 

Charles F. Morrison, Jr. 

Electrosurgical Instrument 

09/26/78 

US 4,116,198 

Ebeiiiard Roos 

Electro-Surgical Device 

04/26/83 

US 4,381,007 

James D. Doss 

Multipolar CorneaJ- 
Shaping Electrode with 
Flexible Removable Skirt 

06/00/85 

JACCVoL5,No.6, 
1382-6 

Conwlis J. Slager, MSc, 
Catharina E. Essed, MD, 
iohan Cii Schuurbiers, 
BSc, Nicolaas Bom, 
PhJD, Patrick W. 
Semiys>MD t GeertT. 
Meester, MD, FACC 

Vaporization of 
Atherosclerotic Plaques by 
Spark Erosion 

04/2S/87 

US 4,6«V571 

Stanley R. Hess, Tern 
Kovacs 

Percutaneous Lead Having 
Radially Adjustable 
Electrode 

0603/87 

US 4,674,499 

David S.CPao 

Coaxial Bipolar Probe 

11/22/88 

US 4,785,823 

Philip E. Eggcre, Robert 
P.Shaw 

Methods And Apparatus 
For Perforating In Vivo 
Blood Thermodilution 
Procedures 

00/00/89 

SPffiVoLl068 

Caihctcr-based 

PaulC Naidella 

Radio Frequency Energy 
and Impedance Feedback 


26 


from mm 


(THU) 1 2. 20' 01 9:39/ST. 


8 :56/NO. 4261979446 P 30 



Sensing and Imaging 

i cwimoiogy 



00/00/89 

The Organizing 
committee of tnc 7 
World Congress on 
Endourology and 
cowl roundation for 
Advancement of 
International Science 

Robert Tucker and 

Stefan Loening 

A Bipolar Electrosurgical 
Turp Loop 

04/23/91 

US 5,009,656 

HanyG.Reimels 

Bipolar ElectrosurgicaJ 

Instrument 

09/10/91 

US 5,047.026 

■■ / 

MarkA.RydeIl 

Electrosurgical implement 
For Tunneling Through 
Tissue 

lLvU//yi 

Bipolar Laparoscopic 

Cholecystectomy 

Lecture 

Dr. Olsen 

Bipolar Laparoscopic 
Cholecystectomy 

01/14/92 

US 5,080,660 

Terrence J. Buelna 

Electrosurgical Electrode ~~ 

02/18/92 

US 5,088,997 

Louis Delahuerga, 
Robert Stoddard, 
Michael S- Klicek 

Gas Coagulation Device 

03/24/92 

US 5,098,431 

MarkA.Rydell 

RF Ablation Catheter 

05/12/92 

US 5,112,330 

Shinichi Nishigaki, 
Shiro Bito 

Resectoscope Apparatus 

04/28/92 

US 5,108,391 

Gerhard Flachenecker, 
Karl Pastenmeier, Heinz 
Lindenroeier 

High-Frequency Generator 
For Tissue Cutting And 
For Coagulating In High- 
Frequency Surgery 

12/61/52 

US 5,1^9 

Naoki Ohtomo; Shizno 
Ninomiya 

Blood Coagulating 
Apparatus 

05/04/93 

US 5,207,675 

Jerome Canady 

Surgical Coagulation 

Device 

04/26/94 

US 5.306.238 

Richard P. Fleenor 

Laparoscopic 
Electrosurgical Pencil 

wv I j/y j 

TTO c An. CO"> 
Ud 3,4ZJ,oo2 

ITT . •» M W < 

Warren M. Jackman* 
Wihon W.Webster, Jr. 

Catheter Having Electrode 
Witt Annular Recess and 
Method of Using Same 

10/03/95 

US 3,454,809 

Michael Janssen 

Electrosurgical Catheter 
And Method For 
Resolving Atherosclerotic 
Plaque By Radio 
Frequency Sparking 


Smith & Nephew may also rely on the file history of U.S. Patent No. 4,116,198. 

27 


FROM MNA&T 


(raft 12. 20' 01 9: 39/ST. 8-.56/NC. 4261979446 ? 31 


U.S. Patent No. S.224.592B1; Claim 23 


ISSUE/ 
PUBLICATION 
DATE 

PATENT NUMBER/ 
PUBLICATION 

INVENTOR/AUTHOR 

TITLE 

00/00/76 

Acta Medicotechnica 

(Medizinal-MaifctX 
Vol 24 No 4 1976 

TUL **Tf I^V» *T» 17 /U 

129-134 

E. Elsasscr and E. Roos 

Ubcr cin Instrument zur 
leckstromfreien 
transurethralen Resection 
(concerning An instrument 
ior 1 ransure inrai resection 
without leakage of current) 

02/24/76 

US 3,939,839 

Lawrence E. Curtiss 

Rescctoscopc and Electrode 
Therefor 

07/20/76 

US 3,970,088 

Charlies F. Morrison 

Electrosurgical Devices 
Having Scsquipolar 
Electrode Structures 
Incorporated Therein 

01/07/77 

2313 949/ 
N 76 17587 

Siegfried Hiltebraadr et 
Ludwig Bonnet 

Boucle de sectionnement a 
une ou deux branches pour 
resertoscope 

02/21/78 

US 4,074,718 

Charles F. Morrison, Jr. 

Electrosurgical Instrument 

09/26/78 • 

US 4,116,198 

Eberhard Roos 

Electro-Surgical Device 

06/00/85 

JACCVol. 5, No. 6, 

1382-0 

Cornells J. Slager, MSc, 
Catbarinafi. Essed, MD, 
Johan CJL Schuurbiers, 
BSc, Nicolaas Bom, 
PhJJ, Patrick W. 
Semjys, MD, Oeert T. 
Meester, MD, F ACC 

Vaporization of 
Atherosclerotic Plaques by 
Spark Erosion 

04/28/87 

US4,^0^7l 

Stanley R. Hess, Tern 
Ko vacs 

Percutaneous Lead Having 
Radially Adjustable 
Electrode 

00/00/89 

SPIEV0HO68 
Catheter-based 
Sensing and Imaging 
Technology 

Paul C Nardella 

Radio Frequency Energy and 
Impedance Feedback 

00/00/89 

Hie Organizing 
OmanitteeoftheT* 
World Congress on 
Endourology and 
ESWL Foundation for 

Advancement of 
International Science 

Robert Tucker and 
Stefan Loening 

A Bipolar Electrosurgical 
TorpLoop 


28 


FROM MNA&T 


(THU) 12- 20*01 9:40/ST. 8: 56/NO. 4261 979446 P 32 


09/10/91 

US 5,047,026 

Marie A. Rydell 

ElectrosurgicaJ Implement 
For Tunneling Through 

10/07/91 

B molar Labaroscooic 

Cholecystectomy 

Lecture 

Dr Olsen 

oipoiar Laparoscopic 
Cholecystectomy 

01/14/92 

US 5,080,660 

Terrencc J. Buelna 

Electrosurgical Electrode 

02/18/92 

US 5,088,997 

Louis Delahuerga, 
Robert B. Stoddard, 

lYUwilaCl o* AllvCK 

Gas Coagulation Device 

03/24/92 

US 5.098,431 

Marie A. Rydell 

RF Ablation Catheter 



oDIDlCni INl$ulg3JQ» 
OUlIU JPHO 

Resectoscope Apparatus 

04/28/92 

US 5,108,391 

Gerhard Flachenecker. 
jvan rasienmeier, ncinx 
Undenmeier 

High-Frequency Generator 
ror tissue Cutting And For 
Coagulating In High- 
Frequency Surgery 

17/01/07 

t rc « i /err rco 

iNfloia untomo; onizuo 
Ninomiya 

Blood Coagulating 
Apparatus 

05/04/93 

US 5,207,675 

Jerome Canady 

Surgical Coagulation Device 

04/2&94 

US 5,306,238 

Richard P. Fleenor 

Laparoscopic Electrosurgical 

06/13/95 

US 5,423,882 

Warren M. Jackman, 
Wilton W.Webster, Jr. 

Catheter Having Electrode 
With Annular Recess and 
Method of Using Same 

10/03/95 

US 5,454,809 

Michael Janssen 

Electrosurgical Catheter And 
Method For Resolving 
Artheroscleiotic Plaque By 
Radio Frequency Sparking 


Smith & Nephew may also rely on the file history of U.S. Patent No. 4,1 16,198, 
Smith & Nephew further contends that claims 1 and 28 of U.S. Patent No. 5,697,882 are 
invalid under 35 US.C. § 1 12 because the specification of U f S. patent No. 5,697,882 does not 
describe the manner and process of making and using the alleged invention, in such full, clear, 
concise and exact terms as to enable any person skilled in the art to which it pertains, or with 
which it is most nearly connected, to make and use the same. Rather, undue experimentation 
would be necessary to successfully practice the claimed apparatus. In addition, Smith & Nephew 

29 

/ 


FROM MNA&T 


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may rely on the findings of fart made by Judge William H. Oirick in his Memorandum Decision 
and Order dated December 1, 1998. in which he concluded that there was a substantia] question 
that claim 1 of the '882 patent is invalid for lack of enablement 

Smith A Nephew also contends thai claim 28 of U.S. Patent No. 5,697,882 and claim 1 of 
U.S. Patent No. 5*224,592 Bl are indefinite, and therefore invalid under 35 US.C. § 112. 
$mith & Nephew's investigation into its defenses is cc^miraing, and it may assert additional 
invalidity defenses as discovery pro gr e s s es. 


Dated: December 2001 -£KH A RICHARDSON P C 



William Y MarsdaO 
919 N. Market Street,; 
P.O. Box fn 

Wilmington, DE 19899-1114 
Telephone: (302) 652-5070 
Facsimile: (302)6524)607 

MarkJ.Hebert 
225 Franklin S treet 
Boston, MA 02110-2804 
Telephone: (617) 542-5070 
Facsimile: (617) 542-8906 

Kurtis MacFerrin 
2200 Sand H01 Road. Suite 100 
Menlo Part, CA 94025 
Telephone: (650) 322-5070 
Facsimile: (650) 8544)875 

Attorneys for Defendant 
SMITH & NEPHEW, INC. 


30 


FROM MHMT 


(THU) 12. 20' 01 9:40/ST. 8:56/NO. 4251979446 P 34 


CERTIFICATE OF SERVICE 


I hereby certify that on this day of December, 2001, a true and correct copy of the 

within document was caused to be served on the attorneys of record at the following addresses as 
indicated: 


BY HAND DELIVERY 

Jack B. Blumenfeld (#1014) 

MORRIS, NICHOLS, ARSHT & TUNNELL 

1201 N. Market Street 

P.O. Box 1347 

Wilmington, DE 19899 

Telephone: 302-658-9200 

Facsimile: 302-658-3989 

BY FEDERAL EXPRESS 

Matthew D. Powers 
Jared Bobrow 
Perry Clark 

WEIL, GOTSHAL & MANGES 
201 Redwood Shores Parkway 
Redwood Shores, C A 94065 
Telephone: 650-802-3000 
Facsimile: 605-802-3100 


80O0J494.doc 



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