not qualify as research tools because they do not “offer an immediate, real world benefit”
because further research is required to understand the underlying gene.
This court further
he EST research for lacking any “assurance that anything useful will be discovered
in the end.”
These criticisms would foreclose much scientific research and many vital
Often scientists embark on research with no assurance of success and
knowing that even success will demand “significant additional research.”
Nonetheless, this court, oblivious to the challenges of complex research, discounts
these ESTs because it concludes (without scientific evidence) that they do not supply
This court reasons that a research tool has a “specific” and
if the studied object is readily understandable using the claimed
that no further research is required.
Surely this cannot be the law.
the final step of a lengthy incremental re
search inquiry gets protection.
Even with a microscope, significant additional research is often required to
ascertain the particular function of a “revealed” structure.
To illustrate, a cancerous
d with a patented microscope, can be identified and distinguished from
other healthy cells by a properly trained doctor or researcher.
But even today, the scientific
community still does not fully grasp the reasons that cancerous growths increase in mass
and spread throughout the body,
or the nature of compounds that interact with them, or
the interactions of environmental or genetic conditions that contribute to developing
Significant additional research is required to answer these questions.
answers to these questions, the cure for cancer will remain in the distance.
microscope still has “utility” under § 101.
Because it takes the researcher one step
closer to answering these questions.
Each step, even if small in iso
lation, is nonetheless a
benefit to society sufficient to give a viable research tool “utility” under § 101.
experiments that fail still serve to eliminate some possibilities and provide infor
the research process.
The United States Pate
nt Office, above all, should recognize the incremental nature
of scientific endeavor.
Yet, in the interest of easing its administrative load, the Patent
Office will eliminate some research tools as providing “insubstantial” advances.
Office know which “insubstantial” research step will contribute to a substantial
breakthrough in genomic study?
Quite simply, it does not.
In addition, this court faults Fisher for not presenting evidence of utility showing
that the claimed ESTs “have bee
n used in the real world.”
To the contrary, this court
misapprehended the proper procedure.
Fisher asserted seven different utilities.
rejected two of these assertions outright as “insubstantial.”
This summary dismissal
deprived Fisher of any
chance to proffer evidence.
Rather than fault Fisher for not
presenting evidence it was prevented from offering, this court should instead observe that
the Board did not satisfy its burden of challenging Fisher’s presumptively correct assertion
of performing those functions.
MPEP § 2107.02(IV) at
40 (noting that the initial burden is on the office to establish a prima facie case as to
lack of utility and to provide evidentiary support thereof);
In re Brana
, 51 F.3d 156
(Fed. Cir. 1995) (where an applicant has asserted utility in the disclosure, the
has the initial burden of challenging this presumptively
correct assertion of utility).
Abandoning the proper legal procedure, the Board reasoned that th
studied with these ESTs showed no particular use, therefore the ESTs themselves also
lacked a utility.
In so ruling, the Board did not reject Fisher’s utilities on the basis that the
unable to perform
the purported utilities.
the Board did not establish a
prima facie challenge to the ESTs’ ability to perform these two utilities.
to rebut, Fisher had no obligation or opportunity to provide evidence in rebuttal.
ESTs have already been used to advance cancer
research well beyond what is achievable using
Andy J. Minn,
That Mediate Breast Cancer Metastisis To Lung
, Nature, July
28, 2005 at 518
24 (discussing research to identify genes that mark and mediate breast cancer metastisis
respectfully disagree with this court’s c
onclusion that the Board’s decision can be affirmed
on the basis that Fisher did not supply evidence of the ESTs’ ability to
perform the asserted
In truth, I have some sympathy with the Patent Office’s dilemma.
The Office needs
some tool to rej
ect inventions that may advance the “useful arts” but not sufficiently to
warrant the valuable exclusive right of a patent.
The Patent Office has seized upon this
utility requirement to reject these research tools as contributing “insubstantially” to the
advance of the useful arts.
The utility requirement is ill suited to that task, however,
because it lacks any standard for assessing the state of the prior art and the contributions of
the claimed advance.
The proper tool for assessing sufficient contrib
ution to the useful arts
is the obviousness requirement of 35 U.S.C. § 103
Unfortunately this court has deprived
the Patent Office of the obviousness requirement for genomic inventions.
See In re Deuel
51 F.3d 1552 (Fed. Cir. 1995); Martin J. Adelman et al.,
, 517 (West Group
1998) (commenting that scholars have been critical of
, which “overly favo
applicants in biotech by adopting an
overly lax nonobviousness standard.” (
Varma & David Abraham,
DNA Is Different: Legal Obviousness and the Balance Between
Biotech Inventors and the Market
, 9 Harv. J. L. & Tech. 53 (1996))); Phili
Federal Circuit and In re Deuel: Does §103 apply to Naturally Occurring DNA?
, 77 J. Pat.
& Trademark Off. Soc’y 871, 883 (Nov. 1995) (“The Court of Appeals for the Federal
Circuit could have formulated its opinion in only one sentence: ‘35 U
.S.C. § 103 does not
apply to newly retrieved natural DNA sequences.’”); Philippe Ducor,
Products and Nonobviousness: A Typology
, 13 Santa Clara Computer and High Tech. L.J.
45 (Feb. 1997) (“This amounts to a practical elimination of the
nonobviousness for these products, even when all the information necessary to discover
them is previously available.”);
over fifty additional articles critical of
“Citing References” tab for
ess, rather than distort the utility
test, the Patent Office should seek ways to apply the correct test, the test used world wide
for such assessments (other than in the United States), namely
inventive step or
Thus, for the foregoing reasons,
I would find that Fisher’s asserted utilities qualify
the claimed ESTs as research tools useful in the study of other molecules.
research tools provide a cognizable benefit to society, much like a microscope, the ESTs
claimed here have “utility”
under § 101.
In addition, the enablement rejection should also
be reversed because it was a consequence of the finding of lack of utility.
The requirement that an invention be “new” to deserve a patent reaches far back
into the antecedents of U
.S. patent law. To many minds, it probably seems to be
If an invention was already publicly known, then why should an
individual be able to obtain the exclusive rights to it? But what does it mean for an
invention to be “new”?
Section 102 of the Patent Act defines the requirement for
“novelty” of inventions:
§ 102. Conditions for patentability; novelty and loss of right to patent
35 U.S.C. § 102
A person shall be entitled to
a patent unless
(a) the invention was known or used by others in this country, or patented or
described in a printed publication in this or a foreign country, before the invention thereof
by the applicant for patent, or
(b) the invention was patented or
described in a printed publication in this or a
foreign country or in public use or on sale in this country, more than one year prior to the
date of the application for patent in the United States, or
(c) he has abandoned the invention, or
(d) the inventio
n was first patented or caused to be patented, or was the subject of
an inventor’s certificate, by the applicant or his legal representatives or assigns in a foreign
country prior to the date of the application for patent in this country on an application
patent or inventor’s certificate filed more than twelve months before the filing of the
application in the United States, or
(e) The invention was described in
(1) an application for patent, published under
ection 122(b), by another
filed in the Unit
ed States before the invention by the applicant for patent, except
that an international application filed under the treaty defined in
ection 351(a) shall
have the effect under this subsection of a national application published under
ection 122(b) only
if the international application designating the United States
was published under Article 21(2)(a) of such treaty in the English language; or
(2) a patent granted on an application for patent by another filed in the
United States before the invention by t
he applicant for patent, except that a patent
shall not be deemed filed in the United States for the purposes of this subsection
based on the filing of an international application filed under the treaty defined in
section 351(a); or
(f) he did not himself
invent the subject matter sought to be patented, or
(g)(1) during the course of an interference conducted under section 135 or section
291, another inventor involved therein establishes, to the extent permitted in section 104,
that before such person’s in
vention thereof the invention was made by such other inventor
and not abandoned, suppressed, or concealed, or (2) before such person’s invention thereof,
the invention was made in this country by another inventor who had not abandoned,
suppressed, or conce
In determining priority of invention under this subsection,
there shall be considered not only the respective dates of conception and reduction to
practice of the invention, but also the reasonable diligence of one who was first to conceive
ast to reduce to practice, from a time prior to conception by the other.
As is readily apparent, this is a complicated set of definitions and requirements to
determine whether an invention is truly novel
. The following case analyze
some of the
salient requirements of § 102 for purposes of patenting genetic technologies.
Chiron Corp. v. Genentech, Inc.
363 F.3d 1247 (Fed. Cir. 2004)
After a jury trial, the United States District Court for the Eastern District of
California entered jud
gment in favor of Genentech that all claims of U.S. Patent No.
6,054,561 are invalid under 35 U.S.C. § 102
because none of the asserted claims is entitled
to priority to a series of applications filed in 1984, 1985, and 1986.
cause Chiron did not
adequately disclose or support the subject matter of its '561 patent in its 1984, 1985, or
1986 applications, this court affirms the district court's denial of a motion for judgment as a
matter of law (JM
OL) and motion for a new trial.
The '561 patent claims particular monoclonal antibodies.
claim 19 states:
"A monoclonal antibody that binds to human c
According to modern understanding, a monoclonal antibody is a composition with a
neous antibody population.
An antibody is a protein generated by the immune
system that is capable of recognizing and binding to a specific antigen.
Described in terms
of its structure, an antibody is a Y
shaped protein consisting of four amino acid chai
Chiron also relies upon independent claims 1 and 9.
Claim 1 recites:
A monoclonal antibody that binds to a human breast cancer antigen that is also bound by
monoclonal antibody 454C11 which is produced by the hybridoma deposited with the
Type Culture Collectio
n having Accession No. HB 8484.
Claim 9 recites:
A monoclonal antibody that binds to a human breast cancer antigen that is also bound by
monoclonal antibody 520C9 which is produced by the hybridoma deposited with the Americ
Culture Collection having Accession No. HB 8696.
heavy and two light.
In a simplified model sufficient for this appeal, each antibody has
primarily two regions:
a variable region and a constant region.
The variable region,
located on the ends of the arms of the Y, binds to and interacts with t
he target antigen.
This variable region includes a complementary determining region (CDR) that recognizes
and binds to a specific binding site on a particular antigen.
The constant region, located on
the tail of the Y, is recognized by and in
the immune system.
A target antigen generally has numerous binding sites, also called epitopes,
recognized by CDRs on multiple antibodies.
Each antibody that specifically binds to a
different epitope has a different structure.
Thus, one antigen may have
more than one
In this case, claim 19 of the '561 patent reads on monoclonal
antibodies that bind to human c
2 antigen (also named HER2)
associated with breast cancer cells.
There are various methods of producing
One method uses
hybridoma technology, which refers to a cloned cell line that produces a single type of
The hybridoma method uses the cells of various species, including mice,
hamsters, rats, and humans.
derived from mouse cells
y important for this invention.
Another method uses genetic engineering including recombinant DNA techniques.
Monoclonal antibodies made from these techniques include, among others, chimeric
A chimeric antibody combines DNA encoding
regions from more than one type of species.
For example, a chimeric antibody may derive
the variable region from a mouse and the constant region from a human.
antibody comes pre
dominantly from a human, even though it contains nonhuman portions.
Like a chimeric antibody, a humanized antibody may contain a completely human constant
But unlike a chimeric antibody, the variable region may be partially derived from a
The nonhuman, synthetic portions of a humanized antibody often come from
CDRs in murine antibodies.
In any event, these regions are crucial to allow the antibody to
and bind to a specific antigen.
As noted, murine antibodies play an important r
ole in these technologies.
useful for diagnostics and short
term therapies, murine antibodies cannot be administered
to people long
term without increasing the risk of a deleterious immunogenic response.
This response, called Human Anti
ody (HAMA), occurs when a human
immune system recognizes the murine antibody as foreign and attacks it.
response can c
ause toxic shock or even death.
Chimeric and humanized antibodies reduce the likelihood of a HAMA response by
minimizing the nonhu
man portions of administered antibodies.
Furthermore, chimeric and
humanized antibodies have the additional benefit of activating secondary human immune
responses, such as antibody dependent cellular cytoxicity.
In the early 1980s, scientists at Chiron's
predecessor corporation, Cetus Corp.,
(collectively, Chiron) began investigating monoclonal antibodies that target human breast
As noted above, the antigen that facilitates diagnosis and treatment of
breast cancer was eventually named HER
This investigational work led to a series of
The inventors filed their first application on February 8, 1984.
a year, on January 11, 1985, they filed a continuation
part (CIP) application claiming
priority based on that
first 1984 application.
The inventors filed another CIP application on
May 21, 1986.
Eventually, the application that led to the '561 patent was filed as another
CIP on June 7, 1995.
This appeal focuses on the '561 patent's claims to priority based on
the applications filed in 1984, 1985, and 1986.
The 1984 application discloses one monoclonal antibody (454C11) that binds to
The 454C11 is a murine antibody produced by the hybridoma method.
application discloses the deposit of the hybri
doma that produced the monoclonal antibody,
the application does not identify the structure, function, or molecular weight of the antigen.
Because the first publication that disclosed chimeric antibody technology did not appear
until four months after thi
s filing, it is not surprising that the 1984 application does not
disclose any chimeric antibodies.
Similarly, the first publication to disclose humanized
antibodies appeared in May 1986.
Thus, for good reason, this 1984 application also does
any humanized ant
The 1985 application discloses six additional monoclonal antibodies that bind to
HER2, all of which are murine antibodies.
The disclosure also refers to the deposit of an
additional hybridoma for one of these monoclonal antibodi
application provides an approximate antigen molecular weight of 210 kilodaltons,
application does not describe the identity, structure, or function of the antigen.
application does, however, note that six of the seven antibo
dies likely bind to the same
By the time of this application, chimeric antibody technology was known in this
Although the application does not specifically disclose chimeric or humanized
antibodies, it adds the following disclosure:
s used herein the term "monoclonal antibody" means an antibody
composition having a homogeneous antibody population.
It is not intended
to be limited as regards the source of the antibody or the manner in which it
The 1986 application discloses s
ix additional murine antibodies that bind to HER2
and the deposit for three additional hybridomas.
Thus, this application discloses a total of
thirteen murine antibodies and deposits for five of their corresponding hybridomas,
including those correspondin
g to 454C11 and 520C9.
The application discloses that these
antibodies likely bind to at least three different epitopes on HER2.
Although still not
identifying the antigen by name, the application discloses that its molecular weight is
Although the 1986 application makes no specific mention
The HER2 antigen is now known to have a molecular weight of 185 kilodaltons.
of chimeric or humanized antibodies, it quotes again the statement that the term
monoclonal antibody "is not intended to be limited as regards the source of the antibody or
the manner in
When the '561 patent issued, Chiron sued Genentech over sales of Herceptin®, a
humanized antibody useful for the long
term treatment of breast cancer.
Herceptin binds to
the HER2 antigen and thus inhibits the growth of cancerous cells.
Because Herceptin is a
humanized antibody, it minimizes any HAMA
response in patients.
Before trial, the district court broadly construed the claims of the '561 patent to
embrace chimeric and humanized antibodies in addition to the murine antibodies that
Accordingly, the district court subsequently granted Chiron's motion for partial
summary judgment of infringement.
Also before trial, the parties stipulated that the '561
patent would be invalid under § 102 based on intervening prior art i
f the patent were not
entitled to claim priority to the filing date of any one of the 1984, 1985, and 1986
Thus, the thirteen
day jury trial adjudicated only whether any of the priority
applications satisfy the written description and enable
ment requirements of 35 U.S.C. §
, first paragraph.
Specifically the trial determined whether the 1980s applications
adequately disclosed, and thus supported, the claim to chimeric and humanized antibodies
claimed in the '561 patent (w
ith its filing date in 1995).
The jury determined that
Genentech proved by clear and convincing evidence that none of the applications satisfy
both the written description and the enablement requirement for the subject matter in the
'561 patent's claims.
The verdict form, however, did not require the jury to specify the
particular requirement of § 112 left unfulfilled by each disclosure of the priority
After trial, the district court denied Chiron's motions for JMOL and a new
appeals the denial of its post
trial motions, and Genentech conditionally
appeals" the district court's claim construction.
Although styled as a cross
this court treats this claim construction issue as an alternative ground for affirming th
appeal is only proper if "a party seeks to enlarge its own rights under
the judgment or to lessen the rights of its adversary under the judgment."
. . .
. . .
Section 120 of title 35 provides:
"An application for patent for an inv
disclosed in the manner provided by the first paragraph of section 112 of this title in an
application previously filed in the United States . . . shall have the same effect, as to such
invention, as though filed on the date of the prior application
Accordingly, the '561
patent may only claim priority to an earlier application if the earlier application fulfills the
requirements of § 112, first paragraph.
In turn, that paragraph requires, in part, that the
application "shall contain a written des
cription of the invention, and of the manner and
process of making and using it, 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 s
35 U.S.C. § 112
This court has interpreted this passage as setting forth two requirements:
description and enablement. As explained further below, this court affirms because neither
the 1985 nor the 1986 application
enables the claims of the '561 patent.
application does not support the new matter added to the '561 patent and thus does not
satisfy the written description req
Whether the earlier applications enable the claims of the '561 patent is a
law based on underlying facts
This court reviews the underlying factual findings for clear
error and the legal component of enablement without deference. Because the '561 patent is
presumed valid, clear and convincing evidence must support a
conclusion of invalidity
. . .
Whether the earlier applications enable the claims of the '561 patent is determined
as of the filing date of each application. As noted above, a patent disclosure need not
enable information within the knowledge of an ord
inarily skilled artisan.
Thus, a patentee
preferably omits from the disclosure any routine technology that is well known at the time
At the other end of the knowledge continuum, a patent document cannot
enable technology that arises after
the date of
. . .
"Because a patent specification must enable the full scope of a claimed invention,
an enablement inquiry typically begins with a construction of the claims."
In this case,
neither party challenges the district court's clai
m construction in the first instance.
. . .
district court's claim construction reads the claims of the '561 patent to embrace not only
murine antibodies but also chimeric and humanized antibodies that bind to HER2.
At the outset, this court focuses pr
imarily on chimeric antibodies.
applications in this case do not enable or provide new matter support for chimeric
antibodies, this court need not proceed to examine humanized antibodies.
The trial record
shows that genetically engineered antibodi
es, specifically chimeric antibodies, first
appeared as a successful technology in the literature of this art field in May 1984, four
months after the February filing date of the first application.
Because the first publication
documenting the successful
creation of chimeric antibodies occurred after the filing of the
1984 application, this sequence of events shows that this new technology arose after the
filing date and thus was, by definition, outside the bounds of the enablement
t court in this case attempted to justify the jury's enablement verdict on
the basis that the 1984 applicants might have known about chimeric antibodies before the
initial publication on that subject.
The trial court cited speculative testimony in the tri
about the hypothetical possibility that information may leak out in advance of an initial
publication on an important academic topic.
At no point did the record show that Chiron
scientists actually knew of chimeric antibodies before their filing, only
that it was
hypothetically possible for them to have acquired some advance knowledge.
Even if the
record shows that scientists routinely discuss their work with others in the same art field
before publication, ethics would suggest impropriety in publishin
g that information in
advance of the actual originator of the ideas.
In any event, as noted, the enablement
requirement does not extend to technology that arises after the time of filing.
In sum, the
district court erred to the extent that it attempted t
o create an obligation for Chiron
scientists to enable nonexistent
technology in the 1984 filing.
In the context of the 1984 application, the trial court and this court need not rely on
enablement to support the jury's verdict.
The jury may have found tha
t the 1984
application does not provide any support for the new matter, chimeric antibodies, claimed
in the '561 patent.
Because chimeric antibody technology did not even exist at the time of
the 1984 filing, the record conclusively supports that the Chir
on scientists did not possess
and disclose this technology in the February 1984 filing.
Thus, the '561 patent cannot
claim priority based on the 1984 application because it fails to comply with the w
The written description
requirement prevents applicants from using the amendment
process to update their disclosures (claims or specifications) during their pendency before
the patent office.
Otherwise applicants could add new matter to their disclosures and date
them back to th
eir original filing date, thus defeating an accurate accounting of the priority
35 U.S.C. § 132
Priority is always a vital issue in patent prosecution
often determining entitlement
to an invention.
In 1967, this court's
predecessor began to enforce priority as a component of the 35 U.S.C. § 112
paragraph, written description requirement.
. . .
As later explained, "[t]he function of the
t is to ensure that the inventor had possession, as of the filing date of
the application relied on, of the specific subject matter later claimed by him."
n this case,
the Chiron scientists, by definition, could not have possession of, and disclose, the
matter of chimeric antibodies that did not even exist at the time of the 1984 application.
Thus, axiomatically, Chiron cannot satisfy the written description requirement for the new
matter appearing in the '561 patent, n
Turning next to the 1985 and 1986 applications, this court examines compliance
with the enablement requirement.
For these applications, the jury was entitled to determine
as a matter of fact that chimeric antibodies were not future technology, but were na
technology requiring a "specific and useful teaching."
This question, in turn, depends on
evidence that undue experimentation would be required to make and use the chimeric
antibodies claimed by the '561
. . .
Evidence presented to the jury
showed that creation of genetically engineered
antibodies, such as chimeric antibodies, required significant experimentation in 1985 and
1986 because those antibodies were unpredictable at that early stage of development.
record also shows that only
a few laboratories contained the necessary equipment to make
these new antibodies
another indication of the excessive experimentation necessary to
make and use that technology at that time.
The 1985 and 1986 applications provide no
disclosure of either
how to make and use chimeric antibodies or working examples of
chimeric antibodies within the sco
pe of the '561 patent's claims.
Moreover, as mentioned above, "[t]he enabling disclosure of the specification
[must] be commensurate in scope with the claim u
ere, the scope of
the claim includes not only murine but also chimeric antibodies.
applications certainly enable murine antibodies, they do not enable chimeric antibodies.
Although an aspect of the claimed invention
included the binding of an antibody to a breast
cancer antigen, Chiron's disclosure fell short of providing a "specific and useful teachin
of all antibodies within the scope of the claim.
By the filing date of the 1986 application, Chiron contends that
were so well known that they had become routine technology.
highlights a number of publications before the 1986 application that disclosed methods of
making chimeric antibodies.
Accordingly, Chiron argues that the
1986 application need
not specifically enable chimeric antibodies, because technicians of ordinary skill in this art
could make and use them by that time without undue experimentation.
evidence, however, supports the jury's implicit finding th
at the technology was still nascent
at the time of the 1986 application (as well as, of course, at the time of the 1985
application) and thus would have still
required undue experimentation.
In particular, Genentech's expert, Dr. French, testified that mak
antibodies was not routine technology in 1985 or 1986.
Dr. French also testified that, by
1986, only a few laboratories had the capacity and expertise necessary to make genetically
Dr. Larrick, another one of Genentech
's experts, testified that
polymerase chain reaction (PCR), a technique that facilitated the manufacture of
genetically engineered antibodies including chimeric antibodies, did not become
widespread until sometime between 1986 and 1988.
Although PCR is no
t necessary to
make chimeric antibodies, PCR diminishes the difficulties associated with manufacturing
genetically engineered antibodies.
Furthermore, by 1989, an article authored by a pioneer
in the field described techniques of chimeric antibodies as "o
bviously those of a very
young and very ambitious field."
Sherie L. Morrison,
Genetically Engineered (Chimeric)
, 24 Hosp. Practice (No. 10) 65, 75 (Oct. 15, 1989).
The article further noted:
"We are all new to the game."
Thus, substantial evi
dence supports the finding that
chimeric antibodies were still a nascent technology at the time the 1985 and 1986
applications were filed.
Accordingly, the record amply supports the jury's conclusion that
and 1986 applications do not enable the c
laims of the '561 patent without undue
. . .
Because the '561 patent is invalid for the reasons noted above, this court need not
reach the question of claim construction.
This case poses a particular challenge for
accurate assessment of t
he meaning of the claim terms.
In this case, the meaning of
"monoclonal antibody" may not have been stagnant between the earlier applications and
the '561 patent.
The ordinary usage of "monoclonal antibody" in the early 1980s was
For example, on
e treatise defines "monoclonal antibody" in these narrow terms:
"Antibody secreted by a hybridoma clone.
Because each such clone is derived from a
single B cell, all of the antibody molecules it makes are identical."
Bruce Alberts et al.,
gy of the Cell G
15 (3d ed. 1994); accord Bruce Alberts et al., Molecular
Biology of the Cell 182
Indeed, another textbook expressly equated
"monoclonal antibody" with "hybridoma antibody."
Leroy E. Hood et al., Immunology 20
e term "monoclonal antibody" in 1984 apparently referred to antibodies
made with hybridoma and was not broad enough to encompass chimeric antibodies.
Uses of Chimaeric Antibodies
, 312 Nature 597 (1984) (differentiating
s from chimeric antibodies).
Accordingly, when the earliest priority
application was filed, "monoclonal antibody" apparently referred only to a hybridoma
The 1984 application did n
ot expressly redefine the term.
The '561 patent, howeve
r, included a definition for "monoclonal antibody":
The term "antibody" encompasses polyclonal and monoclonal antibody
preparations, as well as preparations including hybrid antibodies, altered
antibodies, chimeric antibodies a
nd, [sic] humanized antibodie
As used herein, the term "monoclonal antibody" refers to an antibody
composition having a homogeneous antibody population.
The term is not
limited regarding the species or source of the antibody, nor is it intended to
be limited by the manner in which
it is made.
The term encompasses whole
Thus, the '561 patent defined "monoclonal antibody" to include chimeric and
Still only a portion of this updated meaning of "monoclonal
antibody" can claim priority to the earl
If required to engage in claim
construction, therefore, this court would face a dilemma:
Either construe the term
according to the meaning of the earliest application but contrary to the explicit definition in
the '561 patent or constru
e the term according to the explicit definition in the '561 patent
but broader than the disclosure of the earliest application.
Again, the latter alternative
would run afoul of the prohibition against importing new matter into later patent
noted, however, the record amply supports the jury's verdict of invalidity
without reaching this complex claim construction question.
. . .
The additional disclosure of the 1985 and 1986 applications, which stated that "monoclonal antibody" "is
to be limited as regards the source of the antibody or the manner in which it is made," may have
had some broadening effect on the ordinary meaning of the term. This court, however, need not decide that
In any event, the 1984 application did not e
xercise the lexicographer's option of expressly defining the
Because substantial evidence supported the jury's verdict that the '561 patent cannot
claim priority to any of t
he 1984, 1985, and 1986 applications and because the district court
did not err in denying Chiron's motion for a new trial, this court affirms the judgment of the
. . .
One of the most challenging areas of patentability
d the source of most patent
claim rejections from the USPTO
is the requirement that an invention must not be obvious,
even if it
is novel. Section 103 of the Patent Act
Note that §
(b) is directed exclusively t
o patentable biotechnological processes
Conditions for patentability; non
obvious subject matter
35 U.S.C. § 103
(a) A patent may not be obtained though the invention is not identically disclosed or
described as set
forth in section 102 of this title, if the differences between the subject
matter sought to be patented and the prior art are such that the subject matter as a whole
would have been obvious at the time the invention was made to a person having ordinary
ill in the art to which said subject matter pertains.
Patentability shall not be negatived by
the manner in which the invention was made.
(b)(1) Notwithstanding subsection (a), and upon timely election by the applicant for
patent to proceed under this sub
section, a biotechnological process using or resulting in a
composition of matter that is novel under section 102 and nonobvious under subsection (a)
of this section shall be considered nonobvious if
(A) claims to the process and the composition of matter
are contained in
either the same application for patent or in separate applications having the same
effective filing date; and
(B) the composition of matter, and the process at the time it was invented,
were owned by the same person or subject to an oblig
ation of assignment to the
(2) A patent issued on a process under paragraph (1)
(A) shall also contain the claims to the composition of matter used in or
made by that process, or
(B) shall, if such composition of matter is claimed in another
patent, be set
to expire on the same date as such other patent, notwithstanding section 154.
(3) For purposes of paragraph (1), the term “biotechnological process” means
(A) a process of genetically altering or otherwise inducing a single
(i) express an exogenous nucleotide sequence,
(ii) inhibit, eliminate, augment, or alter expression of an endogenous
(iii) express a specific physiological characteristic not naturally
associated with said organism;
) cell fusion procedures yielding a cell line that expresses a specific
protein, such as monoclonal antibody; and
(C) a method of using a product produced by a process defined by
subparagraph (A) or (B), or a combination of subparagraphs (A) and (B).
ubject matter developed by another person, which qualifies as prior art only
under one or more of subsections (e), (f), and (g) of section 102 of this title, shall not
preclude patentability under this section where the subject matter and the claimed inven
were, at the time the invention was made, owned by the same person or subject to an
obligation of assignment to the same person.
In re Deuel
51 F.3d 1552 (Fed. Cir. 1995)
Thomas F. Deuel, Yue
Sheng Li, Ned
R. Siegel, and Peter G. Milner
"Deuel") appeal from the November 30, 1993 decision of the U.S. Patent and Trademark
Office Board of Patent Appeals and Interferences affirming the examiner's final rejection of
7 of application Serial
No. 07/542,232, entitled "Heparin
Factor," as unpatentable on the ground of obviousness under
35 U.S.C. § 103
Because the Board erred in concluding that Deuel's claims 5 and 7 directed to specific
cDNA molecules wou
ld have been obvious in light of the applied references, and no other
basis exists in the record to support the rejection with respect to claims 4 and 6 generically
covering all possible DNA molecules coding for the disclosed proteins, we reverse.
The claimed invention relates to isolated and purified DNA and cDNA molecules
binding growth factors ("HBGFs"). HBGFs are proteins that stimulate
mitogenic activity (cell division) and thus facilitate the repair or replacement of damag
or diseased tissue. DNA (deoxyribonucleic acid) is a generic term which encompasses an
enormous number of complex macromolecules made up of nucleotide units. DNAs consist
of four different nucleotides containing the nitrogenous bases adenine, guanine,
and thymine. A sequential grouping of three such nucleotides (a "codon") codes for one
amino acid. A DNA's sequence of codons thus determines the sequence of amino acids
assembled during protein synthesis. Since there are 64 possible codons,
but only 20 natural
amino acids, most amino acids are coded for by more than one codon. This is referred to as
the "redundancy" or "degeneracy" of the genetic code.
DNA functions as a blueprint of an organism's genetic information. It is the major
ent of genes, which are located on chromosomes in the cell nucleus. Only a small
part of chromosomal DNA encodes functional proteins.
Messenger ribonucleic acid ("mRNA") is a similar molecule that is made or
transcribed from DNA as part of the process of
("cDNA") is a complementary copy ("clone") of mRNA, made in the laboratory by reverse
transcription of mRNA. Like mRNA, cDNA contains only the protein
encoding regions of
DNA. Thus, once a cDNA's nucleotide sequence
is known, the amino acid sequence of the
protein for which it codes may be predicted using the genetic code relationship between
codons and amino acids. The reverse is not true, however, due to the degeneracy of the
Many other DNAs may code for a p
articular protein. The functional relationships
between DNA, mRNA, cDNA, and a protein may conveniently be expressed as follows:
Collections ("libraries") of DNA and cDNA molecules derived from various species
may be constructed in the labor
atory or obtained from commercial sources.
Complementary DNA libraries contain a mixture of cDNA clones reverse
the mRNAs found in a specific tissue source.
Complementary DNA libraries are tissue
specific because proteins and their corre
sponding mRNAs are only made ("expressed") in
specific tissues, depending upon the protein. Genomic DNA ("gDNA") libraries, by
contrast, theoretically contain all of a species' chromosomal DNA. The molecules present
in cDNA and DNA libraries may be of un
known function and chemical structure, and the
proteins which they encode may be unknown. However, one may attempt to retrieve
molecules of interest from cDNA or gDNA libraries by screening such libraries with a gene
probe, which is a synthetic radiolabel
led nucleic acid sequence designed to bond
("hybridize") with a target complementary base sequence. Such "gene cloning" techniques
thus exploit the fact that the bases in DNA always hybridize in complementary pairs:
adenine bonds with thymine and guanine
bonds with cytosine. A gene probe for
potentially isolating DNA or cDNA encoding a protein may be designed once the protein's
amino acid sequence, or a portion thereof, is known.
As disclosed in Deuel's patent application, Deuel isolated and purified HBG
bovine uterine tissue, found that it exhibited mitogenic activity, and determined the first 25
amino acids of the protein's N
Deuel then isolated a cDNA molecule
encoding bovine uterine HBGF by screening a bovine uterine cDNA li
brary with an
oligonucleotide probe designed using the experimentally determined N
of the HBGF. Deuel purified and sequenced the cDNA molecule, which was found to
consist of a sequence of 1196 nucleotide base pairs. From the cDNA's nucl
sequence, Deuel then predicted the complete amino acid sequence of bovine uterine HBGF
disclosed in Deuel's application.
Deuel also isolated a cDNA molecule encoding human placental HBGF by
screening a human placental cDNA library using the isolated
bovine uterine cDNA clone
as a probe. Deuel purified and sequenced the human placental cDNA clone, which was
found to consist of a sequence of 961 nucleotide base pairs. From the nucleotide sequence
of the cDNA molecule encoding human placental HBGF, De
uel predicted the complete
amino acid sequence of human placental HBGF disclosed in Deuel's application. The
predicted human placental and bovine uterine HBGFs each have 168 amino acids and
calculated molecular weights of 18.9 kD. Of the 168 amino acids
present in the two
HBGFs discovered by Deuel, 163 are identical. Deuel's application does not describe the
chemical structure of, or state how to isolate and purify, any DNA or cDNA molecule
except the disclosed human placental and bovine uterine cDNAs, w
hich are the subject of
claims 5 and 7.
7 on appeal are all independent claims and read
, in relevant part, as
4. A purified and isolated DNA sequence consisting of a sequence encoding
human heparin binding growth factor of 168 amino acid
s having the
following amino acid sequence: Met Gln Ala
. . .
er of 168 amino
5. The purified and isolated cDNA of human heparin
binding growth factor
having the following n
ucleotide sequence: GTCAAAGGCA
. . .
of 961 n
6. A purified and isolated DNA sequence consisting of a sequence encoding
bovine heparin binding growth factor of 168 amino acids having the
Deuel determined that the N
terminal sequence of bovine uterus HBGF is Gly
ino acid sequence: Met Gln Thr
. . .
er of 168 amino
The purified and isolated cDNA of bovine heparin
binding growth factor
having the following nucleotide sequence: GAGT
. . .
of 1196 nucleotide sequence].
Claims 4 and 6 generically encompass
solated/purified DNA sequences
synthetic) encoding human and bovine HBGFs, despite the fact that Deuel's application
does not describe the chemical structure of, or tell how to obtain, any DNA or cDNA
except the two disclosed cDNA molecules. Because of the redundancy of the genetic co
claims 4 and 6 each encompass an enormous number of DNA molecules, including the
isolated/purified chromosomal DNAs encoding the human and bovine proteins. Claims 5
and 7, on the other hand, are directed to the specifically disclosed cDNA molecules
coding human and bovine HBGFs, respectively.
During prosecution, the examiner rejected claims 4
35 U.S.C. § 103
unpatentable over the combined teachings of Bohlen
reference discloses a group of protei
n growth factors designated as heparin
mitogens ("HBBMs") useful in treating burns and promoting the formation, maintenance,
and repair of tissue, particularly neural tissue. Bohlen isolated three such HBBMs from
human and bovine brain tissu
e. These proteins have respective molecular weights of 15
kD, 16 kD, and 18 kD. Bohlen determined the first 19 amino acids of the proteins' N
terminal sequences, which were found to be identical for human and bovine HBBMs.
Bohlen teaches that HBBMs are
specific, and suggests that the proteins may be
homologous between species. The reference provides no teachings concerning DNA or
cDNA coding for HBBMs.
Maniatis describes a method of isolating DNAs or cDNAs by screening a DNA or
cDNA library with
a gene probe. The reference outlines a general technique for cloning a
gene; it does not describe how to isolate a particular DNA or cDNA molecule. Maniatis
does not discuss certain steps necessary to isolate a target cDNA,
selecting a tissue
fic cDNA library containing a target cDNA and designing an oligonucleotide probe
that will hybridize with the target cDNA.
The examiner asserted that, given Bohlen's disclosure of a heparin
and its N
terminal sequence and Maniatis's gene cl
oning method, it would have been
obvious to one of ordinary skill in the art at the time of the invention to clone a gene
pean Patent Application No. 0326075, naming Peter Bohlen as inventor, published August 2, 1989.
Maniatis et al.,
Molecular Cloning: A Laboratory Manual,
"Screening Bacteriophage [lambda] Libraries
for Specific DNA Sequences by Recombination in
" Cold Spring Harbor Laboratory, New
York, 1982, pp. 353
Bohlen's dis clos ed N
terminal s equence for human and bovine HBBMs is Gly
Gln. This s equence matches the firs t 19 am
ino acids of
Deuel's dis clos ed N
terminal s equence.
According to the examiner, Bohlen's published N
terminal sequence would
have motivated a person of ordinary sk
ill in the art to clone such a gene because cloning
the gene would allow recombinant production of HBGF, a useful protein. The examiner
reasoned that a person of ordinary skill in the art could have designed a gene probe based
on Bohlen's disclosed N
inal sequence, then screened a DNA library in accordance
with Maniatis's gene cloning method to isolate a gene encoding an HBGF. The examiner
did not distinguish between claims 4 and 6 generically directed to all DNA sequences
encoding human and bovine HB
GFs and claims 5 and 7 reciting particular cDNAs.
In reply, Deuel argued,
that Bohlen teaches away from the claimed
cDNA molecules because Bohlen suggests that HBBMs are brain
specific and, thus, a
person of ordinary skill in the art would not
have tried to isolate corresponding cDNA
clones from human placental and bovine uterine cDNA libraries. The examiner made the
final, however, asserting that
[t]he starting materials are not relevant in this case, because it was well
known in the
art at the time the invention was made that proteins, especially
the general class of heparin binding proteins, are highly homologous
between species and tissue type. It would have been entirely obvious to
attempt to isolate a known protein from differen
t tissue ty
pes and even
No prior art was cited to support the proposition that it would have been obvious to screen
human placental and bovine uterine cDNA libraries for the claimed cDNA clones.
Presumably, the examiner was relying on B
ohlen's suggestion that HBBMs may be
homologous between species, although the examiner did not explain how homology
between species suggests homology between tissue types.
The Board affirmed the examiner's final rejection. In its opening remarks, the
d noted that it is "constantly advised by the patent examiners, who are highly skilled in
this art, that cloning procedures are routine in the art." According to the Board, "the
examiners urge that when the sequence of a protein is placed into the public
gene is also placed into the public domain because of the routine nature of cloning
techniques." Addressing the rejection at issue, the Board determined that Bohlen's
disclosure of the existence and isolation of HBBM, a functional protein, wou
ld also advise
a person of ordinary skill in the art that a gene exists encoding HBBM. The Board found
that a person of ordinary skill in the art would have been motivated to isolate such a gene
because the protein has useful mitogenic properties, and iso
lating the gene for HBBM
would permit large quantities of the protein to be produced for study and possible
commercial use. Like the examiner, the Board asserted, without explanation, that HBBMs
are the same as HBGFs and that the genes encoding these prot
eins are identical. The Board
concluded that "the Bohlen reference would have suggested to those of ordinary skill in
The examiner and the Board apparently used the term "gene" to refer both to natural (chromosomal) DNA
and synthetic cDNA. We will use the several terms as appropriate.
this art that they should make the gene, and the Maniatis reference would have taught a
technique for 'making' the gene with a reasonable
expectation of success." Responding to
Deuel's argument that the claimed cDNA clones were isolated from human placental and
bovine uterine cDNA libraries, whereas the combined teachings of Bohlen and Maniatis
would only have suggested screening a brain t
issue cDNA library, the Board stated that
"the claims before us are directed to the product and not the method of isolation.
Appellants have not shown that the claimed DNA was not present in and could not have
been readily isolated from the brain tissue u
tilized by Bohlen." Deuel now appeals.
Obviousness is a question of law, which we review
though factual findings
underlying the Board's obviousness determination are reviewed for clear error. The
examiner bears the burden of establis
case of obviousness. Only if this
burden is met does the burden of coming forward with rebuttal argument or evidence shift
to the applicant. When the references cited by the examiner fail to establish a
case of obviousness,
the rejection is improper and will be overturned.
On appeal, Deuel challenges the Board's determination that the applied references
case of obviousness.
In response, the PTO maintains that the
claimed invention would have been
obvious over the combined teachings of
Bohlen and Maniatis. Thus, the appeal raises the important question whether the
combination of a prior art reference teaching a method of gene cloning, together with a
reference disclosing a partial amino ac
id sequence of a protein, may render DNA and
cDNA molecules encoding the protein
Deuel argues that the PTO failed to follow the proper legal standard in determining
that the claimed cDNA molecules would hav
obvious despite the lack of
structurally similar compounds in the prior art. Deuel argues that the PTO has not cited a
reference teaching cDNA molecules, but instead has improperly rejected the claims based
on the alleged obviousness of
a method of making the molecules. We agree.
Because Deuel claims new chemical entities in structural terms, a
of unpatentability requires that the teachings of the prior art suggest
to a person of ordinary skill in
obviousness is based upon structural similarity,
an established structural relationship
between a prior art compo
und and the claimed compound.
Structural relationships may
provide the requisite motivation or
suggestion to modify known compo
unds to obtain new
For example, a prior art compound may suggest its homologs because
homologs often have similar properties and therefore chemists of ordinary skill would
Deuel is supported in its appea
l by an
brief submitted by the Biotechnology Industry
Organization and the Bay Area Science Center. Amici urge that, contrary to controlling precedent, the PTO
has unlawfully adopted a
rule that a gene is
obvious when at l
east part of the amino acid
sequence of the protein encoded by the gene is known in the prior art.
ordinarily contemplate making them to tr
y to obtain compou
nds with improved properties.
Similarly, a known compound may suggest its analogs or isomers, either geometric isomers
(cis v. trans) or position isomers (
ortho v. para).
In all of these cases, however, the prior art teaches a spec
compound and the question becomes whether the prior art would have suggested making
the specific molecular modifications necessary to achieve the claimed invention.
Here, the prior art does not disclose any relevant cDNA molecu
les, let alone close
relatives of the specific, structurally
defined cDNA molecules of claims 5 and 7 that might
render them obvious. Maniatis suggests an allegedly obvious process for trying to isolate
cDNA molecules, but that, as we will indicate below,
does not fill the gap regarding the
subject matter of claims 5 and 7. Further, while the general idea of the claimed molecules,
their function, and their general chemical nature may have been obvious from Bohlen's
teachings, and the knowledge that some g
ene existed may have been clear, the precise
cDNA molecules of claims 5 and 7 would not have been obvious over the Bohlen reference
because Bohlen teaches proteins, not the claimed or closely related cDNA molecules. The
redundancy of the genetic code prec
luded contemplation of or focus on the specific cDNA
molecules of claims 5 and 7.
Thus, one could not have conceived the subject matter of
claims 5 and 7 based on the teachings in the cited prior art because, until the claimed
molecules were actually isol
ated and purified, it would have been highly unlikely for one
of ordinary skill in the art to contemplate what was ultimately obtained. What cannot be
contemplated or conceived cannot be obvious.
The PTO's theory that one might have been motivated to try
to do what Deuel in
fact accomplished amounts to speculation and an impermissible hindsight reconstruction of
the claimed invention. It also ignores the fact that claims 5 and 7 are limited to specific
compounds, and any motivation that existed was a gene
ral one, to try to obtain a gene that
was yet undefined and may have constituted many forms. A general motivation to search
for some gene that exists does not necessarily make obvious a specifically
that is subsequently obtained as a result o
f that search. More is needed and it is not found
The genetic code relationship between proteins and nucleic acids does not
overcome the deficiencies of the cited references. A prior art disclosure of the amino acid
sequence of a protein does not n
ecessarily render particular DNA molecules encoding the
protein obvious because the redundancy of the genetic code permits one to hypothesize an
enormous number of DNA sequences coding for the protein. No particular one of these
DNAs can be obvious unless
there is something in the prior art to lead to the particular
DNA and indicate that it should be prepared.
We recently held that a broad genus does not
necessarily render obvious each compound within its scope. Similarly, knowledge of a
protein does not
give one a conception of a particular DNA encoding it. Thus,
Bohlen's disclosure of the N
terminal portion of a protein, which the PTO urges is the same
as HBGF, would not have suggested the particular cDNA molecules defined by claims 5
. This is so even though one skilled in the art knew that some DNA, albeit not in
purified and isolated form, did exist. The compounds of claims 5 and 7 are specific
compounds not suggested by the prior art. A different result might pertain, however, if
there were prior art,
a protein of sufficiently small size and simplicity, so that lacking
redundancy, each possible DNA would be obvious over the protein. That is not the case
The PTO's focus on known methods for potentially isolating the cl
molecules is also misplaced because the claims at issue define compounds, not methods. In
the PTO asserted a rejection based upon the combination of a primary
reference disclosing a protein (
and its complete amino acid sequence
th a secondary
reference describing a general method of gene cloning. We reversed the rejection, holding
in part that "[t]he PTO's focus on Bell's method is misplaced. Bell does not claim a
method. Bell claims compositions, and the issue is the obviousn
ess of the claimed
compositions, not of the m
ethod by which they are made."
We today reaffirm the principle, stated in
that the existence of a general
method of isolating cDNA or DNA molecules is essentially irrelevant to the question
whether the spe
cific molecules themselves would have been obvious, in the absence of
other prior art that suggests the claimed DNAs. A prior art disclosure of a process
a particular compound
or obvious variant thereof as a product of the process is, of course,
another matter, raising issues of anticipation under
35 U.S.C. § 102
as well as obviousness
. Moreover, where there is prior art that suggests a claimed compound, the
existence, or lack thereof, of an
enabling process for making that compound is surely a
factor in any patentability determination. There must, however, still be prior art that
suggests the claimed compound in order for a
case of obviousness to be made
out; as we have already
indicated, that prior art was lacking here with respect to claims 5
and 7. Thus, even if, as the examiner stated, the existence of general cloning techniques,
coupled with knowledge of a protein's structure, might have provided motivation to prepare
A or made it obvious to prepare
cDNA, that does not necessarily make obvious a
particular claimed cDNA. "Obvious to try" has long been held not to constitute
A general incentive does not make obvious a particular result, nor does the
ence of techniques by which those efforts can be carried out. Thus, Maniatis's
teachings, even in combination with Bohlen, fail to suggest the claimed invention.
The PTO argues that a compound may be defined by its process of preparation and
t a conceived process for making or isolating it provides a definition for it and
can render it obvious. It cites
Amgen Inc. v. Chugai Pharmaceutical Co
proposition. We disagree. The fact that one can conceive a general process in advance for
compound does not mean that a claimed
precisely envisioned and therefore obvious. A substance may indeed be defined by its
process of preparation. That occurs, however, when it has already been prepared by tha
process and one therefore knows that the result of that process is the stated compound. The
process is part of
the definition of the compound.
But that is not possible in advance,
especially when the hypothetical process is only a general one. Thus, a
of preparing some undefined DNA does not define it with the precision necessary to render
it obvious over the protein it encodes. We did not state otherwise in
We conclude that, because the applied references do not teach or sugge
claimed cDNA molecules, the final rejection of cla
ims 5 and 7 must be reversed.
Claims 4 and 6 are of a different scope than claims 5 and 7. As is conceded by
Deuel, they generically encompass all DNA sequences encoding human and bovine
tten in such a result
oriented form, claims 4 and 6 are thus tantamount to the
general idea of all genes encoding the protein, all solutions to the problem. Such an idea
might have been obvious from the
amino acid sequence of the protein, coupled
with knowledge of the genetic code, because this information may have enabled a person
of ordinary skill in the art to envision the idea of, and, perhaps with the aid of a computer,
even identify all members of the claimed genus. The Bohlen reference, ho
discloses a partial amino acid sequence, and thus it appears that, based on the above
analysis, the claimed genus would not have been obvious over this prior art disclosure. We
will therefore also reverse the final rejection of claims 4 and 6
because neither the Board
nor the patent examiner articulated any separate reasons for holding these claims
unpatentable apart from the grounds discussed above.
. . .
We have considered the PTO's remaining arguments and find them not persuasive.
The Board's decision affirming the final rejection of claims 4
7 is reversed.
Written Description, Enablement, and Best M
The final main set of requirements for patentability with
biotechnology products and processes is that of w
ritten description, enablement, and best
mode within the patent application itself. Set forth in § 112
of the Patent Act, which
defines the “specification”
section of the patent applic
, these criteria
seek to help exam
iners and others determine whether the applicant is truly in possession of
the claimed invention as well as to
assure that the public is able to practice the
technology of the invention from the patent application disclosure alone, without the need
r extra disclosure or “undue experimentation.” Some of the issues in the cases that
follow were already raised along the way in cases excerpted above.
35 U.S.C. § 112
The specification shall contain a wri
tten description of the invention, and of the
manner and process of making and using it, 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 u
se the same, and shall set forth the best mode contemplated by the
inventor of carrying out his invention.
The specification shall conclude with one or more claims particularly pointing out
and distinctly claiming the subject matter which the applicant reg
ards as his invention.
A claim may be written in independent or, if the nature of the case admits, in
dependent or multiple dependent form.
Subject to the following paragraph, a claim in dependent form shall contain a
reference to a claim previously set fo
rth and then specify a further limitation of the subject
matter claimed. A claim in dependent form shall be construed to incorporate by reference
all the limitations of the claim to which it refers.
A claim in multiple dependent form shall contain a refer
ence, in the alternative
only, to more than one claim previously set forth and then specify a further limitation of the
subject matter claimed.
A multiple dependent claim shall not serve as a basis for any other
multiple dependent claim.
A multiple depen
dent claim shall be construed to incorporate by
reference all the limitations of the particular claim
in relation to which it is being
An element in a claim for a combination may be expressed as a means or step for
performing a specified functi
on without the recital of structure, material, or acts in support
thereof, and such claim shall be construed to cover the corresponding structure, material, or
acts described in the specification and equivalents thereof.
Enzo Biochem, Inc. v. Gen
323 F.3d 956 (Fed. Cir. 2002)
Enzo Biochem, Inc. petitions for rehearing of this appeal following our prio
. . .
in which we affirmed the decision of the United States District Court for the
Southern District of New York.
The district court had granted Gen
Chugai Pharma U.S.A., Inc., Chugai Pharmaceutical Co., Ltd., Biomerieux, I
Biomerieux SA, and Becton Dickinson and Company's (collectively, "the defendants")
motion for summary judgment that claims 1
U.S. Patent 4,900,659
are invalid for
failure to meet the written description requirement of
35 U.S.C. §
, ¶ 1
considered Enzo's petition for rehearing and the defendants' response, we have determined
that our prior decision that a deposit may not satisfy the written description requirement
was incorrect. We therefore grant Enzo's petition for r
ehearing, vacate the prior decision,
and reverse the district court's grant of summary judgment that Enzo's claims are invalid
for failure to meet the written description requirement. Because genuine issues of material
fact exist regarding satisfaction of
the written description requirement, we remand.
Enzo is the assignee of the '
, which is directed to nucleic acid probes that
selectively hybridize to the genetic material of the bacteria that cause gonorrhea,
reportedly has between eighty and ninety
Such a high degree of homology has made
difficult, as any probe capable of detecting
may also show a posi
tive result when only
is present. Enzo recognized the
need for a chromosomal DNA probe specific for
and it derived three such
sequences that preferentially hybridized to six common strains of
The inventors believed that if the preferential
hybridization ratio of
were greater than about five to
one, then the "discrete nucleotide sequence [would] hybridize to virtually all strains of
and to no strain of
The three sequences
that the inventors actually derived had a selective hybridization ratio of greater than fifty.
Enzo deposited those sequences in the form of a recombinant DNA molecul
e within an
bacterial host at the Ame
rican Type Culture Collection.
Claim 1 is as follows:
1. A composition of matter that is specific for
comprising at least one nucleotide sequence
for which the ratio of the
amount of sai
d sequence which hybridizes to chromosomal DNA of
Neisseria gonorrhoeae to the amount of said sequence which hybridizes to
chromosomal DNA of Neisseria meningitidis is greater than about five
ratio being obtained by a method comprising the following
(a) providing a radioactively labeled form of said nucleotide
(b) providing a serial dilution series of purified chromosomal DNA
from each of the
strains; (1) ATCC 53420, (2)
ATCC 53421, (3) ATCC 53422, (4) ATCC 53423, (5
) ATCC 53424,
(6) ATCC 53425, and forming test dots from each of said dilution
series on a matrix;
(c) providing a serial dilution series of purified nucleotide sequences
from each of the
strains: (1) ATCC 53414, (2)
ATCC 53415, (3) ATCC
53416, (4) ATCC 53417, (5) ATCC 53418,
(6) ATCC 53419, and forming test dots from each of said dilution
series on a matrix;
(d) hybridizing equal portions of the labeled nucleotide sequences to
the matrix provided in step (b) and (c), respectively; where
hybridization is conducted in a solution having a salt concentration
of 2X SSC at (i) 65° C. in cases in which the sequence has greater
than 50 base pairs or (ii) at Tm (° C.) minus 30° C. in cases in which
the sequence has less than 50 base pairs,
wherein Tm is the
denaturation temperature of the sequence;
(e) quantifying the labeled nucleotide sequence hybridized in step
(d) to each test dot;
(f) subtracting from the data of step
(e) an averaged amount of radioactivity attributable to background
obtain a corrected amount of hybridized radioactivity at each test
(g) normalizing the data of step (f) by multiplying the amount of
corrected radioactivity at each test dot by a factor which adjusts the
amount of radioactivity to equal amounts o
f chromosomal DNA at
each test dot;
(h) selecting two normalized values that are most nearly the same
and that correspond to adjacent members of the dilution series for
each of the above strains of
and obtaining the
average of the selected
(i) selecting two normalized values that are most nearly the same and
that correspond to adjacent members of the dilution series for each
of the above strains of
and obtaining the average of
the selected values;
(j) dividing the l
owest average obtained in step (h) by the highest
average obtained in step (i) to obtain said ratio.
(emphasis added). Claims 2 and 3 depend from claim 1 and further limit the hybridization
ratio to greater than about twenty
five and fifty, respectively.
Claim 4 is directed to the
three deposited sequences (referenced by their accession numbers) a
nd variants thereof as
4. The composition of claim 1 wherein said nucleotide sequences are
selected from the group consisting of:
[sic] DNA insert of ATCC 53409, ATCC
53410 and ATCC 53411, and discrete nucleotide subsequences thereof,
b. mutated discrete nucleotide sequences of any of the foregoing inserts that
are within said hybridization ratio and subsequences thereof;
c. mixtures thereof.
Claim 5 is directed to an assay for detection of
using the composition of
Claim 6 further limits the method of claim 5 to the nucleotide sequences that Enzo
those in claim 4) and variant
Enzo sued the defendants for infringement of the '
, and the defendants
moved for summary judgment that the claims were invalid for failure to meet the written
description requirement of
35 U.S.C. § 112
, ¶ 1
rict court, in oral remarks from
the bench, granted that motion. It concluded that the claimed composition of matter was
defined only by its biological activity or function,
the ability to hybridize to
in a ratio of better than about
five with respect to
was held was insufficient to satisfy the § 112, ¶ 1 requirement
. . . .
The court rejected
Enzo's argument that the reference in the specification to the deposits of biological
materials in a public depository
inherently disclosed that the inventors were in possession
of the claimed sequences.
It distinguished this court's precedents concerning deposits as
relating to the enablement requirement of § 112, ¶ 1.
Enzo appealed to this
. . . .
mary judgment is appropriate when there is no genuine issue of material fact
and the moving party is entitled to judgment as a matter of law. On motion for summary
judgment, the court views the evidence and any disputed factual issues in the light most
vorable to the party opposing the motion. A patent is presumed to be valid,
35 U.S.C. §
, and this presumption can be overcome only by facts supported by clear and
convincing evidence to the contrary
Compliance with the written description req
is a question of fact.
Enzo argues that the testimony of its expert, Dr. Wetmer, raised a genuine factual
issue whether the reference to the deposits inherently described the claimed nucleotide
sequences. Enzo also argues that its description of
the binding affinity of the claimed
nucleotide sequences satisfies the requirement set forth in the
of Patent Applications Under the 35 U.S.C. 112, ¶ 1 "Written Description" Requirement,
66 Fed. Reg. 1099 (Jan. 5, 2001)
"). Enzo asserts that the court erred in not
evaluating the patentability of the claims separately, pointing out that claims 4 and 6 are
directed to the three deposited sequences and variations and mixtures thereof. Enzo further
asserts that the claim
meet the written description requirement because they appear
in ipsis verbis
in the written description. Enzo also argues that this court's articulation of
the written description requirement for genetic material in
should not apply to
case because Enzo reduced the invention to practice and deposited the derived biological
materials, thereby demonstrating its "possession" of the invention.
The defendants respond that the district court properly granted summary judgment
because the p
atent described the claimed nucleotide sequences only by their function,
which they state is insufficient to meet the requirements of § 112
, ¶ 1 as a matter of law,
even as to the narrower claims directed to the deposited materials. The d
assert that Dr. Wetmur's opinion that the deposited genetic materials could have been
sequenced did not cure the actual failure of the inventors to identify them by some
distinguishing characteristic, such as their structure. Moreover, the
defendants point out
that claims 4 and 6, which are directed to the deposited materials, each cover a broad genus
of nucleic acids. The defendants also urge that
in ipsis verbis
support for the claims in the
specification does not
nce with the written description requirement.
Finally, the defendants assert that the district court did not err in its determination that
Enzo's "possession" of three nucleotide sequences that it reduced to practice and deposited
nevertheless did not sat
isfy the written description requirement of § 112, ¶ 1.
The written description requirement of § 112
, ¶ 1 is set forth as follows:
The specification shall contain a written description of the invention,
the manner and process of ma
king and using it, 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, and
shall set forth the best mode contemplated by the inve
ntor of carrying out
We have interpreted that section as requiring a "written description" of
an invention separate from enablement. Compliance with the written description
requirement is essentially a fact
that will "necessarily vary depending on the
ure of the invention claimed."
We have also previously considered the written
description requirement as applied to certain biotechnology patents, in which a gene
material has been defined only by a stateme
nt of function or result, and have held that such
a statement alone did not adequately describe the claimed invention. In
concluded that a claim to a microorganism containing a human insulin cDNA was not
adequately described by a statement t
hat the invention included human insulin cDNA. The
recitation of the term human insulin cDNA conveyed no distinguishing information about
the identity of the claimed DNA sequence, such as its relevant structural or physical
We stated tha
t an adequate written description of genetic material "
'requires a precise definition, such as by structure, formula, chemical name, or physical
properties,' not a mere wish or plan for obtaining the claimed chemical invention," and that
none of those des
criptions appeared in that patent. The specification in the
thus did not show that the inventors had possession of human insulin cDNA.