The requirements for the contents of a Section 337 complaint are set forth at 19 C.F.R. §§ 210.4, 210.8, and 210.12. Prospective complainants are encouraged to contact the Office of Unfair Import Investigations at 202-205-2560 to discuss procedural requirements in advance of filing a complaint. Information and instructions regarding the number of copies to be filed and other requirements for Section 337 complaints can also be accessed at https://www.usitc.gov/docket_services/documents/337_complaint_guidance_version_II_2008-10.pdf. pdf.9 There are substantial additional requirements for complaints that include a request for temporary relief. See 19 C.F.R. §§ 210.8(a)(2), and 210.52-210.56. Information regarding the requirements for these complaints can be accessed at https://www.usitc.gov/docket_services/documents/337_complaint_and_motion_for_temp_relief_guidance_version_II_2008-08.pdf.
When a complaint is based upon the alleged infringement of certain intellectual property rights, the Commission's Rules require that the complaint be accompanied by specified background materials relating to the rights asserted. See Rule 210.12(c)-(g), 19 C.F.R. § 210.12(c)-(g). For example, in patent-based cases, the Rules require that the complaint be accompanied by a certified prosecution history for each asserted patent, and copies of the technical references cited in the prosecution histories of each asserted patent. Additionally, the complainant must submit copies of license agreements if the complaint relies on license agreements to establish standing, or the complaint relies on license agreements to support contentions that a domestic injury as defined in Section 337(a)(3) exists, or is in the process of being established as the result of domestic activities of one or more licensees. See Rule 210.12(a)(9)(iv), 19 C.F.R. § 210.12(a)(9)(iv). After institution of an investigation, the complainant has the obligation to serve each Respondent represented by counsel with materials covered in 19 C.F.R. § 210.12(c)-(h), such as the prosecution history for each asserted patent, that were not included as exhibits to the complaint but were filed with the complaint, within five (5) days of service of notice of appearance and an agreement to be bound by the protective order.
Specified background materials must also be filed with complaints that assert registered trademarks, copyrights, mask works, or vessel hull designs. See Rule 210.12(d)-(h). Claim charts purporting to show infringement of each asserted independent claim of the patents at issue are also required. 19 C.F.R. § 210.12(a)(9)(vii).
9 As noted in these instructions, any complainant who requests confidential treatment for the contents of a complaint must also file the requisite number of copies of a public version of the complaint for use by the proposed respondents and the Commission. The government of a foreign proposed respondent will receive only the public version of the complaint. To avoid unnecessary copying costs, complainants are encouraged to prepare, where possible, a single public version of the complaint and place all confidential information in the accompanying exhibits rather than in the text of the complaint.
10 19 C.F.R. § 210.12(c).