03-1304
Plaintiff-Appellant,
v.
G.D. SEARLE & CO., INC.,
MONSANTO COMPANY, PHARMACIA CORPORATION,
and PFIZER INC.,
Defendants-Appellees.
Gerald P. Dodson, Morrison &
Foerster, LLP, of
Gerald Sobel,
Kaye Scholer LLP, of
Daniel J. Furniss,
Townsend and Townsend and Crew LLP, of Palo Alto, California, filed an amici curiae brief for The Regents of the University of
California, et al. With him on the brief
were Susan M. Spaeth and Madison C. Jellins.
Appealed
from: United States District Court
for the Western District of New York
Judge
David G. Larimer
United States Court of Appeals
for the Federal Circuit
03-1304
UNIVERSITY OF ROCHESTER,
Plaintiff-Appellant,
v.
G.D. SEARLE & CO., INC.,
MONSANTO COMPANY, PHARMACIA CORPORATION,
and PFIZER INC.,
Defendants-Appellees.
ON PETITION FOR REHEARING EN BANC
O R D E R
A
petition for rehearing en banc was filed by the Appellant, and a response
thereto was invited by the court and filed by the Appellees[1].
This matter was referred first as a petition for rehearing to the merits panel that heard this appeal. Thereafter, the petition for rehearing en banc, response, and the amici curiae brief were referred to the circuit judges who are authorized to request a poll whether to rehear the appeal en banc. A poll was requested, taken, and failed.
Upon
consideration thereof,
IT
IS ORDERED THAT:
(1) The petition for rehearing is
denied.
(2) The petition for rehearing en
banc is denied.
NEWMAN, Circuit Judge,
dissents in a separate opinion.
LOURIE, Circuit Judge,
concurs in a separate opinion.
RADER, Circuit Judge, with
whom GAJARSA and LINN, Circuit Judges, join, dissents in a separate
opinion.
LINN, Circuit Judge, with
whom RADER and GAJARSA, Circuit Judges, join, dissents in a separate
opinion.
DYK, Circuit Judge,
concurs in a separate opinion.
The mandate of the court will
issue on July 9, 2004.
FOR
THE COURT
July
2, 2004 Jan
Horbaly
______________ _______________________
Date Jan
Horbaly
Clerk
cc: Gerald P. Dodson, Esq.
Robert L. Baechtold,
Esq.
Gerald Sobel,
Esq.
Daniel J. Furniss,
Esq.
James J. Kelley, Esq.
v.
G.D.
SEARLE & CO., INC., MONSANTO COMPANY,
and
PHARMACIA CORPORATION,
Defendants-Appellees,
and
PFIZER
INC.,
Defendant-Appellee.
NEWMAN,
Circuit Judge, dissenting from the denial of rehearing en banc.
I respectfully dissent from the
court's decision not to resolve en banc the burgeoning conflict in
pronouncements of this court concerning the written description and enablement requirements of the Patent Act. This question has been promoted from simple
semantics into a fundamental conflict concerning patent scope and the support
needed to claim biological products. The
appropriate forum is now the en banc tribunal, not continuing debate in panel
opinions applying divergent law.
I fully share Judge Lourie's understanding of the law. The continuing attack on well-established and
heretofore unchallenged decisions such as Vas-Cath
Inc. v.
Mahurkar, 935 F.2d 1555, 1563 (Fed. Cir.
1991) ("we hereby reaffirm, that 35 U.S.C. §112, first paragraph, requires
a 'written description of the invention' which is separate and distinct from
the enablement requirement") and earlier cases
such as In re Ruschig, 379 F.2d 990 (CCPA
1967) (written description is one of three distinct requirements under 35
U.S.C. §112) is not only unwarranted, but is disruptive of the stability with
which this court is charged. If
precedent has become obsolete or inapplicable, we should resolve the matter as
a court and again speak with one voice.
The new biology has indeed raised
new and important questions, with implications for policy as well as law. However, the answer is not the simplistic one
espoused by some commentators; it is simply incorrect to say that there is not
now and never has been a "written description" requirement in the
patent law. It has always been necessary
to disclose and describe what is patented.
It has never been the law that one can claim what is not made known and
set forth in the patent.
Various past decisions have been
offered to support the exotic proposition that it is not necessary for the
inventor to describe the patented invention, but that enablement
alone suffices under the statute. These
cases concern traditional issues of generic disclosures and specific examples,
and questions of support and predictability for scientific concepts and their
embodiments. Such traditional law was
applied in Regents of the University of California v. Eli Lilly & Co.,
119 F.3d 1559 (Fed. Cir. 1997), a case that is misdescribed
in this debate, for Lilly does not depart from precedent in its holding
that the written description requirement can be fulfilled by "a precise
definition, such as by structure, formula, chemical name, or physical
properties." Id. at 1565,
quoting Fiers v. Revel, 984 F.2d 1164,
1171 (Fed. Cir. 1993).
If the nature of the subject
matter is not amenable to precise description, some alternative mode of
disclosure is required, such as deposit in a public depository. Enzo Biochem, Inc. v. Gen-Probe, Inc., 323 F.3d 956 (Fed.
Cir. 2002). However, the public purpose
of patents is seriously disserved by eliminating the description requirement
entirely. Federal Circuit law of written
description has become encumbered with inconsistent pronouncements, leading me
to remark that "[c]laims to an invention that is
not described in the specification are an anachronism." Housey Pharms., Inc. v. Astrazeneca UK
Ltd., 366 F.3d 1348, 1357 (Fed. Cir. 2004) (Newman, J., dissenting). If the majority of this court is nonetheless
sympathetic to that position, there should be careful consideration of the
implications of precedent, for the law is that "Section 112 requires that
the application describe, enable, and set forth the best mode of carrying out
the invention." Festo
Corp. v. Shoketsu Kinzoku Kogyo Kabushiki Co.,
535 U.S. 722, 724 (2002).
The issue of whether patent law
contains a separate written description requirement has percolated through
various panels of this court, on a variety of facts. The differences of opinion among the judges
of the Federal Circuit, are, in microcosm, the "percolation" that scholars
feared would be lost by a national court at the circuit level. Percolation is the great justifier of
conflict among the regional circuits. In
the words of the Supreme Court:
We have in many instances recognized that when frontier
legal problems are presented, periods of "percolation" in, and
diverse opinions from, state and federal appellate courts may yield a better
informed and more enduring final pronouncement by this Court.
Arizona v. Evans, 514 U.S. 1, 24 n.1 (1995). This question has percolated enough; it is
ripe for en banc resolution.
03-1304
UNIVERSITY OF
ROCHESTER,
Plaintiff-Appellant,
v.
G.D. SEARLE & CO., INC.,
MONSANTO COMPANY, PHARMACIA CORPORATION,
and PFIZER INC.,
Defendants-Appellees.
LOURIE, Circuit Judge, concurring.
I concur in the decision of the
court not to rehear this case en banc, just as previously the
court also declined to hear a written description case en banc. See Enzo
Biochem, Inc. v. Gen-Probe, Inc., 323 F.3d 956,
970-75 (Fed. Cir. 2002). That is because
this case was properly decided based on one of the grounds relied on by the
district court in invalidating the Rochester patent, see Univ. of
Rochester v. G.D. Searle & Co., 358 F.3d 916
(Fed. Cir. 2004), the analysis of which will not be repeated here.
Contrary to the assertions of the
appellant, certain amici, and some of the dissenters,
there is and always has been a separate written description requirement in the
patent law. The requirement to describe
one’s invention is basic to the patent law, and every patent draftsman knows
that he or she must describe a client’s invention independently of the need to
enable one skilled in the relevant art to make and use the invention. The specification then must also describe how
to make and use the invention (i.e., enable it), but that is a different
task.
The requirements of the statute cannot be
swept away by claiming that it relates only to priority issues or that the
prohibition on introduction of new matter takes care of the need for a written
description. The statute does not
contain a limitation that it pertains only to priority issues. Moreover, the prohibition on introduction of
new matter (35 U.S.C. § 132) is not a substitute for the written description
requirement. Section 282 of the Patent
Act lists as a defense to an infringement action invalidity arising from a
failure to comply with a requirement of section 112 of the Act, which includes
written description. In contrast, the
new matter provision, section 132, appears in a provision entitled "Notice
of rejection; reexamination."
Failure to comply with that section is not expressly listed in the
statute as an invalidity defense to infringement, although we have held that
the unsupported claims are invalid. See,
e.g., Quantum Corp. v. Rodime, PLC, 65
F.3d 1577 (Fed. Cir. 1995) (invalidating claims that were broadened in scope
during reexamination in violation of 35 U.S.C. § 305, which is analogous to
section 132).
The separate written description
requirement poses no conflict with the role of the claims. It is well established that the specification
teaches an invention, whereas the claims define the right to exclude. SRI Int’l v. Matsushita Elec. Corp. of Am.,
775 F.2d 1107, 1121 n.14 (Fed. Cir. 1985).
While claims must be supported by the written description, the latter
contains much material that is not in the claims. The written description contains an
elucidation of various aspects of an invention as well as material that is
necessary for enablement. Moreover, the written description often
contains material that an applicant intended to claim that has been rejected in
examination. Thus, the written
description and the claims do not duplicate each other.
The fact, if it is a fact, that
written description has only been relied upon in recent years as a ground of
invalidity does not remove that requirement from the statute. Legal holdings arise when they do because
litigants raise them and courts have to decide them. Contrary to what has been asserted, the
interpretation of the statute as containing a separate written description
requirement did not originate with Lilly. See Vas-Cath
Inc. v. Mahurkar, 935 F.2d 1555 (Fed. Cir. 1991);
In re Ruschig, 379 F.2d 990 (CCPA 1967). It has always been there. And if a particular scope of claim has not
been sustained by the courts for failure to comply with the written description
requirement, it is because the applicant did not describe, and presumably did
not invent, the subject matter of the scope sought.
Moreover, it is not correct, as
has been asserted, that our decisions, particularly Regents of the Univ. of
Cal. v. Eli Lilly & Co., 119 F.3d 1559 (Fed. Cir. 1997), have created a
"heightened" written description requirement for biotechnology
inventions. We have applied the written
description requirement to cases that are not in the fields of chemistry or
biotechnology. See, e.g., In
re Curtis, 354 F.3d 1347 (Fed. Cir. 2004) (dental floss); Tronzo v. Biomet, Inc.,
156 F.3d 1154 (Fed. Cir. 1998) (artificial hip sockets); Gentry Gallery,
Inc. v. Berkline Corp., 134 F.3d 1473 (Fed. Cir.
1998) (sectional sofas); Lockwood v. Am. Airlines, Inc., 107 F.3d 1565
(Fed. Cir. 1997) (automated sales terminals); Vas-Cath
(double lumen catheters). The statute is
the same for all types of inventions, although it may be applied differently,
based on the technology and what is known by one of ordinary skill in the art
at the time an invention was made.
Indeed, Rochester’s claimed invention at issue in the present case is
not biotechnological. Although the
inventors apparently contemplated that the tools of biotechnology would be used
to determine whether a given drug is a COX-2 inhibitor insofar as the
specification of the ’850 patent describes how to make cell lines that express
one or the other of COX-1 and COX-2, that method is claimed in another
patent. The claims of this patent are
all directed to pharmaceutical methods for selectively inhibiting a natural
process in the human body. That is not
what one commonly refers to as biotechnology.
It has been noted that genes can
be described by their informational function, not just by structure or physical
or chemical properties, and that a lesser written description may be adequate
than is required for other types of inventions.
Maybe so. Technology progresses,
and what one skilled in the art would read from a particular disclosure may
change. The PTO has now provided
guidelines that help to guide applicants in preparing their patent
applications.
It is obviously correct that
genes convey information (e.g., to make other nucleic acids or to encode
particular proteins). That fact does not
serve to deny the existence of a written description requirement in the
law. It only goes to whether, under the
facts of a particular case, the written description requirement has been
met. A fact-finder may have to decide
whether claiming a material solely by its information-conveying character
results in a "single means claim" purporting to claim everything that
works, a dubious fulfillment of the requirement to "distinctly claim the
subject matter" of the invention.
35 U.S.C. § 112. In any event, it
is fact-intensive. But, once again,
these matters go to whether the written description requirement has been met,
not whether it exists.
As
for the proposition that an original claim is part of the written description,
that is clear. See In re
Gardner, 475 F.2d 1389, 1391 (CCPA 1973).
However, the issue may still remain in a given case, especially with
regard to generic claims, whether an original claim conveys that one has
possession of and thus has invented species sufficient to constitute the
genus. Thus, the fact that a statement
of an invention is in an original claim does not necessarily end all inquiry as
to the satisfaction of the written description requirement. See Enzo,
323 F.3d at 968-69 (“[R]egardless whether the claim
appears in the original specification and is thus supported by the
specification as of the filing date, § 112, ¶ 1 is not necessarily met. . .
. If a purported description of an
invention does not meet the requirements of the statute, the fact that it
appears as an original claim or in the specification does not save it. A claim does not become more descriptive by
its repetition, or its longevity.”).
In
sum, I concur in the decision of the court not to rehear this case en banc. Our precedent is clear and consistent and
necessitates no revision of written description law.
United States Court of Appeals for the Federal Circuit
03-1304
UNIVERSITY OF ROCHESTER,
Plaintiff-Appellant,
v.
G.D. SEARLE & CO., INC., MONSANTO COMPANY, PHARMACIA
CORPORATION,
and PFIZER INC.,
Defendants-Appellees.
RADER, Circuit
Judge, dissenting from the court’s decision not to hear the case en banc,
with whom Circuit Judges GAJARSA and LINN, join.
By a narrow margin,[2] this
court has declined to take this case en banc. Thus, this court avoids the opportunity to
clarify and correct its confusing jurisprudence on the new written description
invalidity doctrine.
In 1997, this court for the first
time applied the written description language of 35 U.S.C. § 112, ¶ 1
as a general disclosure requirement in place of enablement,
rather than in its traditional role as a doctrine to prevent applicants from
adding new inventions to an older disclosure.
Regents of the Univ. of Cal. v. Eli Lilly & Co., 119 F.3d
1559 (Fed. Cir. 1997). In simple terms,
contrary to logic and the statute itself, Eli Lilly requires one part of
the specification (the written description) to provide “adequate support” for
another part of the specification (the claims).[3] Neither Eli Lilly nor this case
has explained either the legal basis for this
new validity requirement or the standard for “adequate support.” Because this
new judge-made doctrine has created enormous confusion which this court
declines to resolve, I respectfully dissent.
Confusion in This New Validity
Doctrine
A recent case illustrates well
the confusion engendered by this new doctrine.
In Enzo Biochem,
Inc. v. Gen Probe, Inc., 323 F.3d 956 (Fed. Cir. 2002), this court
struggled over the scope of the written description invalidity doctrine first
created in 1997. Eli Lilly, 119
F.3d at 1559. In its original Enzo opinion, 285 F.3d 1013 (Fed. Cir. 2002), this
court invalidated claims to polypeptides that detect the gonorrhea
bacteria. The inventor of these DNA
probes specifically disclosed them and deposited three polypeptides at the
American Type Culture Collection. Even
for claims limited in scope to the deposited material, this court invalidated
the patent for insufficient disclosure of the invention. Id. at 1022 (concluding that “a
deposit is not a substitute for a written description of the claimed invention”
(quotation omitted)). This decision
correctly applied the 1997 Eli Lilly doctrine which requires a
nucleotide-by-nucleotide recitation of the structure of a biotechnological
invention. Eli Lilly, 119 F.3d at
1567. Accordingly, the mere deposit of
material did not satisfy that reading of 35 U.S.C. § 112, ¶ 1. Enzo, 285
F.3d at 1022.
That Enzo opinion caused an
immediate firestorm. See, e.g.,
Brief of Amicus Curiae United States at 1, Enzo Biochem, Inc. v.
Gen Probe, Inc., 323 F.3d 956 (Fed. Cir. 2002). Within a few months, this court vacated its
original opinion and reversed the result.
See Enzo Biochem,
Inc. v. Gen Probe, Inc., 323 F.3d 956 (Fed. Cir. 2002). This flip-flop shows the problem. The Director of the Intellectual Property
program at the George Washington University Law School stated it concisely:
“[S]ince the first panel opinion faithfully followed Eli
Lilly, and the result is obviously wrong, the Eli Lilly description
doctrine is itself misguided.” Martin J.
Adelman, If Eli Lilly Is Good Law, Didn’t the
Withdrawn Panel Opinion in Enzo Biochem
Have It Right?, at 2 (2003) (unpublished paper prepared for the 11th Annual
Conference on International Intellectual Property Law and Policy at Fordham University, April 24-25, 2003).
Following issuance, withdrawal,
and reissuance of Enzo,
this court engaged in lengthy debate over the new disclosure validity
doctrine. Enzo
Biochem, 323 F.3d at 971-75 (Lourie,
J., concurring in decision to not hear the case en banc); id. at
975 (Newman, J., concurring); id. at 975-76 (Dyk,
J., concurring); id. at 976-87 (Rader, J., dissenting)[4]; id.
at 987-89 (Linn, J., dissenting). That
debate continued in this court’s subsequent cases. See, e.g., Moba
B.V. v. Diamond Automation, Inc., 325 F.3d 1306, 1323 (Fed. Cir. 2003)
(Rader, J., concurring) (explaining that juries face the “cumbersome task” of
deciding that “the patent’s disclosure can enable a skilled artisan to make and
practice the entire invention, but still not inform that same artisan that the
inventor was in possession of the invention”).
Indeed a brief survey of the
literature on this topic, an astounding amount in a few short years, shows 31
articles criticizing the Eli Lilly doctrine, 7 articles defending the
doctrine, and 16 neutrally commenting on the state of this evolving case law.[5] In its brief requesting en banc
reconsideration in Enzo Biochem,
the United States issued a call for clarity, which this court has yet to
address:
Although this Court has addressed the “written description” requirement of section 112 on a number of occasions, its decisions have not taken a clear and uniform position regarding the purpose and meaning of the requirement. . . . A review of the plain text of section 112, and the case law of this Court, reveals at least three different possible tests for an adequate “written description.” . . . En banc consideration of the written description provision is appropriate so that the court can provide inventors, the public, and the USPTO with an authoritative interpretation of the provision.
Brief of Amicus Curiae United States at 4-5, 9.
In sum, by any measure, the Eli Lilly doctrine has engendered confusion. After all, Eli Lilly created a new validity doctrine under 35 U.S.C. § 112, ¶ 1 separate from enablement and yet described it as “analogous to enablement.” 119 F.3d at 1569. Unfortunately, this court has passed up another opportunity to resolve the confusion.
Supreme Court’s Role in the Eli Lilly Doctrine
In an effort to supply some coherent basis for its new validity doctrine, this court in Rochester refers to an 1822 Supreme Court case that discusses the written description language of the Patent Act. Univ. of Rochester v. G.D. Searle & Co., Inc., 358 F.3d 916, 924 (Fed. Cir. 2004). An examination of Rochester’s references to the Supreme Court in their proper historical context impeaches, rather than supports, the modern written description validity doctrine.
In 1793, the Patent Act, 1 Stat.
318, required an inventor to describe the scope of the invention in the body of
the specification; the Act did not require any claims. Instead the Act required the inventor to
provide “a written description of his invention, and of the manner of using, or
process of compounding the same, in such full, clear, and exact terms, as to
distinguish the same from all other things before known, and to enable any
person skilled in the art or science . . . to make, compound, and use the same.
. . .” In re Barker, 559 F.2d
588, 592 (CCPA 1977) (ellipses in original).
Without citing this statutory language, Rochester recounts the
Supreme Court’s explanation that this provision contained two
requirements:
The specification, then, has two objects: one is to make known the manner of constructing the machine (if the invention is of a machine) so as to enable artizans to make and use it, and thus to give the public the full benefit of the discovery after the expiration of the patent. . . . The other object of the specification is, to put the public in possession of what the party claims as his own invention, so as to ascertain if he claim anything that is in common use, or is already known, and to guard against prejudice or injury from the use of an invention which the party may otherwise innocently suppose not to be patented.
Evans v. Eaton, 20 U.S. 356, 433-34 (1822). For obvious reasons, Rochester
undertakes no further explanation of the Supreme Court’s language. In simple terms, the Supreme Court could not
have meant that the written description portion of the specification must provide
adequate support for the claims as this court’s law presently requires. Patents did not even contain claims in
1822.
In fact, even the Supreme Court’s
allusion to “two objects,” the reason for the Rochester cite, takes on a
different meaning under careful legal analysis.
The Supreme Court clearly linked its “other object” of the specification
disclosure to the portion of the statute requiring the inventor “to distinguish
the same from all things before known.” Evans,
20 U.S. at 430. Significantly, that
language no longer appears in 35 U.S.C. § 112. Later in 1870, the Patent Act first
articulated the requirement that applicants define their exclusive right in a
distinctly drafted claim. Act of July 8,
1870, Ch. 230, 16 Stat. 198. Only one
logical conclusion flows from this history.
When the Patent Act assigned the notice function to claims rather than
the written description, enablement became the sole
35 U.S.C. § 112, ¶ 1 standard for adequate disclosure of an
invention.[6] See Enzo
Biochem, 323 F.3d at 977. This observation about the meaning of 35
U.S.C. § 112, ¶ 1 has been axiomatic patent law for decades. In a decision of the Court of Customs and
Patent Appeals that is binding on this court, Judge Rich interpreted 35 U.S.C.
§ 112, ¶ 1 to have only two requirements – not enablement
and the Eli Lilly written description doctrine, but enablement
and best mode! In re Gay, 309
F.2d 769, 772 (CCPA 1962). In sum, the Eli
Lilly written description doctrine has no basis in this court’s legal
precedent. Thus, Rochester cannot
explain the missing 1793 statutory language, the advent of the claim
requirement that replaced the 1822 description doctrine, the inapplicability of
the Evans quote to a new 1997 invalidity doctrine, or the apparent
conflict with binding CCPA interpretations of 35 U.S.C. § 112, ¶ 1.
The Rochester reference to
the 1822 Supreme Court language does, however, reveal some insights into the
reasons that the Eli Lilly doctrine engenders confusion. As the 1822 Supreme Court reference explains,
the original statute required a written description to warn “an innocent
purchaser or other person using a machine, of his infringement.” Evans, 20 U.S. at 434. In other words, the statute incorporated a
written description requirement to define the scope of the invention for
infringement and for distinguishing the invention from prior art. Eli Lilly and its progeny convert that
original infringement doctrine into a new challenge to validity. Suddenly, all the difficulty and imprecision
of defining an invention in legal language, see Festo
Corp. v. Shoketsu Kinzoku Kogyo Kabushiki Co.,
535 U.S. 722, 731 (2002), becomes a validity doctrine.
In sum, a careful legal analysis
of the language and history of 35 U.S.C. § 112, ¶ 1 shows that the Eli
Lilly doctrine has no basis in the written description language of the
original Patent Act. Moreover, as this
court’s binding CCPA precedent shows, the statutory language of 35 U.S.C.
§ 112, ¶ 1 has not changed in any way that justifies “discovery” of a
vast new validity doctrine over two hundred years after the 1793 Act. To the contrary, the changes in the statutory
language of § 112, ¶ 1 since 1793 impeach the reasoning of Rochester
and Eli Lilly.
Rochester also refers to the Supreme
Court’s listing of patent requirements in Festo. Rochester, 358 F.3d at 921 (quoting Festo, 535 U.S. at 736). In the first place, the Festo
listing is just that, a passing reference to some of the requirements of the
Patent Act. The passing reference, for
instance, does not even mention some binding requirements, e.g., subject matter
eligibility and claim definiteness. In
fact, in another post-Eli Lilly listing of Patent Act requirements, the
Supreme Court acknowledged only enablement as the
disclosure quid pro quo of the statute:
“In addition [to novelty, utility, and nonobviousness],
to obtain a utility patent, a breeder must describe the plant with sufficient
specificity to enable others to ‘make and use’ the invention after the patent
term expires.” J.E.M. Ag Supply, Inc.
v. Pioneer Hi-Bred Int’l, Inc., 534 U.S. 124, 142 (2001). A careful analysis of the Supreme Court’s
passing recitations of patent requirements does not support the Eli Lilly
doctrine.
Rochester’s invocation of the Festo listing of a “disclosure” requirement,
however, betrays a telling incompleteness in its reasoning. The Supreme Court is entirely correct to
acknowledge the requirement of full “disclosure” at the time of invention
that prevents updating the patent document with later inventions. Beginning in 1967, this court and its
predecessor applied the written description language to achieve this vital
purpose of the Patent Act – tying disclosure to the time of invention. In re Ruschig,
379 F.2d 990 (CCPA 1967); Vas-Cath Inc. v. Mahurkar, 935 F. 2d 1555 (Fed. Cir. 1991). In the words of Judge Rich, the first judge
to use the description requirement to police priority, “The function of the
description requirement 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.” In re Wertheim, 541 F.2d 257, 262 (CCPA 1976) (emphasis
added). In fact, every application of
the written description doctrine before Eli Lilly in 1997 applied the
written description doctrine for this important purpose and only for this
important purpose. Enzo,
323 F. 3d at 984-87 (listing every written description case in the CCPA and
Federal Circuit). Thus, the Festo listing does not endorse the Eli Lilly
innovation, but properly invokes the necessity of tying disclosure to the time
of invention. In its attempt to support
the 1997 doctrine, however, Rochester invokes Vas-Cath
and other Federal Circuit decisions without noting the proper context of those
decisions.
In sum, the Supreme Court offers
no comfort to the Eli Lilly doctrine.
Rather, in proper historical and legal context, the Supreme Court’s
allusions to the description requirement impeach both Rochester and Eli
Lilly.[7]
Rochester refers to a situation where a
patent can enable an invention that is not described by the specification. In the words of the opinion, “[s]uch can occur when enablement of
a closely related invention A that is both described and enabled would
similarly enable an invention B if B were described.” Rochester, 358 F.3d at 921 (emphasis
original). This hypothetical seems to
suggest that the 1997 doctrinal creation closes a major gap in patent law. To the contrary, this court only created the Eli
Lilly requirement in 1997; the patent system had succeeded quite well for
over two hundred years without it.
Moreover no other patent system in the world has the Eli Lilly
requirement to this day. The world’s
patent systems work quite well without it.
The
hypothetical actually facilitates a policy analysis that explains the reasons
that the new 1997 requirement is both superfluous and dangerous. In the first place, the hypothetical rarely,
if ever, happens. No actual case
presents the hypothetical. In both Eli
Lilly and Rochester, for instance, the invention A (rat insulin in Eli
Lilly; an assay for Cox 1 and 2 in Rochester) was enabled and
described, but the invention B (human insulin in Eli Lilly; a Cox 2
inhibitor in Rochester) was not enabled.
In understandable terms, the
hypothetical says that an inventor invents the radio, but his invention solves
a problem that enables those of ordinary skill in the art to know how to make
and use both a radio and a TV. His
patent disclosure only describes a radio but he claims broadly an “electrical
receiver.” Thus, his claims seem to
encompass the TV which his specification does not describe but would enable if
it were described. In that context, the
reason the hypothetical does not occur becomes obvious. If everyone of ordinary skill in the
art knows from the disclosure how to make and use the TV, the exceptionally
talented inventor will also. To avoid
any risk of losing the TV invention, the inventor will fully disclose it and
claim it, probably in a separate application.
For this very practical reason, no case has ever presented the
hypothetical. Inventors know when they
have made an invention and realize that they must properly disclose it or risk
losing it entirely.
Carrying
the genuinely “hypothetical” hypothetical forward, however, what happens if the
radio inventor for some unfathomable reason does not grasp that he has enabled
a TV and later asserts the radio patent against a TV maker? In simple terms, a court would properly interpret
the claim as limited to the radio. The
TV maker would not infringe a claim that covers only the radio. On the other hand, the Eli Lilly
doctrine would instead invalidate the radio patent. Is that the best result? After all, the inventor did invent the
radio. Should he lose everything because
he did not disclose the TV?
The facts
of Eli Lilly itself illustrate the real problems in this area of patent
interpretation and enforcement. In
simple terms, the inventor in that case invented and disclosed rat insulin but
not human insulin. In fact, at the dawn
of the biotechnological age in 1977, the inventor could not make human
insulin. Biotechnology was in its
infancy; it would have taken months, if not years, of experimentation to make
human insulin. Nonetheless the inventor
claimed the rat insulin invention broadly and later asserted it against human
insulin. In this setting, U.S. patent
law (and world patent law in general) has two complementary ways to prevent any
injustice – enablement and traditional (not Eli
Lilly) written description (enforcing the actual time of invention). If the inventor has not enabled human insulin
in the specification, the inventor has not enabled the full scope of the
claim. By the way, as noted earlier, if
the rat insulin inventor had invented human insulin as well, he surely would
have disclosed it. In other words, a
lack of disclosure is a dead give-away for enablement
problems. Alternatively, or likely in
conjunction, the traditional written description requirement as applied by this
court and its predecessor beginning in 1967 will prohibit any addition of new
matter to the patent document to “update” the claims to cover human
insulin. See, e.g., Chiron
Corp. v. Genentech, Inc., 363 F.3d 1247 (Fed.
Cir. 2004).
In sum, our
patent law (and the world’s patent law) has worked well for 200 years because
the law already possesses ample remedies for the Rochester hypothetical,
which, as a practical matter, never occurs.
Neither Eli Lilly nor Rochester explains the legal policy
that supports the new doctrine.
The Practical Problems
By its terms, the Eli Lilly doctrine stated: “An adequate
written description of a DNA . . . ‘requires a precise definition, such as by
structure, formula, chemical name, or physical properties.’” 119 F.3d at 1566 (quoting Fiers
v. Revel, 984 F.2d 1164, 1171 (Fed. Cir. 1993)). In sum, Eli Lilly asserts a new
free-standing validity requirement. Based on the absence of a
nucleotide-by-nucleotide recitation in the specification of the human insulin cDNA, the court determined that the applicant had not
adequately described the invention.
Thus, the failure to actually sequence the nucleotides prevents an
applicant from claiming a new and useful polypeptide.
This new 1997 rule changes the established rules of claiming and
disclosing inventions. Many
biotechnological inventions predate Eli Lilly. Before the 1997 change, no inventor could
have foreseen that the Federal Circuit would make a new disclosure rule. Without any way to redraft issued patents to
accommodate the new rule, many patents in the field of biotechnology face
serious and unavoidable validity challenges simply because the patent drafter
may not have included the lengthy nucleotide sequences. After all, the sequences are often routinely
available (albeit at some cost) to those of ordinary skill in this art.
The Eli Lilly doctrine also seems to impose some illogical
requirements on patent drafters today.
Must a software patent disclose every potential coding variation that
performs a claimed function? Must a
biotechnological invention list every amino acid variation for a particular
protein or protein function – a task conceivably as impractical as the software
disclosure requirement? Must a
university or small biotech company expend scarce resources to produce every potential
nucleotide sequence that exhibits their inventive functions? Perhaps more important for overall patent
policy, must inventors spend their valuable time and resources fleshing out all
the obvious variants of their last invention instead of pursuing their next
significant advance in the useful arts?
Again Eli Lilly and Rochester appear to have given little
thought to these unintended consequences.
This court, however, is not even the only judicial institution
that must deal with the unintended consequences of the 1997 doctrine. Under this new disclosure test, every case
where the written description does not specifically disclose some feature of
the claimed invention will give rise to a validity challenge. Thus, trial courts will have to empanel juries
to inquire whether one of skill in the art would have known that the inventor
“possessed” the full invention. In a
sense, the Eli Lilly doctrine converts this court’s confusing case law
about the role of the specification in defining the invention into a validity
question. Thus, trial courts as well
must struggle to discern the standard for sufficient disclosure of an
invention.
Rochester emphasizes that this
new disclosure doctrine is different from enablement. Rochester, 358 F.3d at 921. Thus, a trial court, as in this case, must
first ask its jury whether the specification provides sufficient information to
enable one of ordinary skill in the art to make and use the invention. Then the trial court
must ask the jury again to look at the same specification for information that
an inventor of extraordinary skill “possessed” the invention. Under this court’s law, a patent disclosure
could apparently enable one of ordinary skill to make and practice the entire
invention, but still not inform that same artisan that the inventor was in
possession of the invention. Moreover,
the trial court must give separate instructions and entertain separate
witnesses on these inseparable patent rules to ensure adequate disclosure. Viewed in the practical terms of trial
procedure and jury understanding, this 1997 doctrine unnecessarily complicates
and prolongs patent enforcement. In sum,
Rochester does not resolve any of the confusion or provide a sound legal
basis for the Eli Lilly doctrine.
For these reasons, this court should have reviewed this case en banc.
Appendix
Defending Eli Lilly Written Description
Criticizing Eli Lilly Written Description
|
Citation |
Quotation |
|
Stephen J. Burdick,
Note: Moba v. Diamond Automation,
Inc.: Questioning the Separate Written Description Requirement, 19
Berkeley Tech. L.J. 133, 151 (2004) |
Moba illustrates the problems associated
with the separate written description requirement. The judge-made doctrine
does not contribute any additional value to the other patentability
requirements. Its effects are redundant with the enablement
and new matter requirements of patent law. Additionally, the written
description requirement creates confusion and discourages patenting and
innovation. The Federal Circuit should dispose of the separate written
description requirement entirely. |
|
Martin J. Adelman, 3-2 Patent Law Perspectives § 2.9 (2004) |
[T]he original
panel opinion in Enzo Biochem
is correct if we assume that Eli Lilly is sound law, since Eli
Lilly holds that the failure to actually detail the sequence of
nucleotides of a polypeptide prevents an applicant from claiming it. Obviously
merely depositing a polypeptide does not disclose its sequence without a
sequencing operation. Thus a disclosure that effectively puts the polypeptide
in possession of the public by virtue of providing a set of directions for
obtaining it should not be treated differently than an inventor who puts the
polypeptide in a depository without sequencing it. Since this is a result
that is difficult do defend, it proves that the Eli Lilly doctrine is
itself misguided. It is thus time to formally overrule it along with In re
Deuel another case that holds that the act of
sequencing is the key to patentability. |
|
Harold C. Wegner, The
Disclosure Requirements of the 1952 Patent Act: Looking Back and a New
Statute for the Next Fifty Years, 37 Akron L. Rev. 243, 244 (2004) |
The
first problem here is the judicial activism from several panel opinions that
created a "written description" requirement apart from the original
"new matter" proscription. |
|
Jennifer L. Davis, Comment:
The Test of Primary Cloning: A New Approach to the Written Description
Requirement in Biotechnological Patents, 20 Santa Clara Computer &
High Tech. L.J. 469, 487-88 (2004) |
The court has not
issued clear and consistent standards. In fact, the court itself appears
confused over the proper standards by which to judge the adequacy of a
written description as reflected by the recent decision in Enzo I followed by a reversal upon
rehearing in Enzo II. . . . |
|
Martin J. Adelman, If Eli Lilly Is Good Law, Didn’t the
Withdrawn Panel Opinion in Enzo Biochem
Have It Right?, at 2 (2003) (unpublished paper prepared for the 11th Annual
Conference on International Intellectual Property Law and Policy at Fordham University, April 24-25, 2003). |
[S]ince the first panel opinion [in Enzo]
faithfully followed Eli Lilly, and the result reached is obviously
wrong, the Eli Lilly description doctrine is itself misguided. |
|
Duane M. Linstrom, Spontaneous Mutation: A
Sudden Change in the Evolution of the Written Description Requirement as It
Applies to Genetic Patents, 40 San Diego L. Rev. 947, 970 (2003) |
In sum, the latest Enzo decision has shifted the direction of the
development of the written description requirement for DNA patents, but it
has also left us with even more uncertainty in the law than before the
ruling. |
|
Jennifer Gordon,
Ph.D., Preparing and Prosecuting a Patent That Holds Up in Litigation,
766 PLI/Pat 873, 907-08 (2003) |
Until
the dissenters can persuade the Court to review the Lilly written description rule en banc, the Federal Circuit can continue
to apply the Lilly standard to invalidate any patent, regardless of
whether priority is an issue, where the written description does not show
possession of the invention at the time of filing. |
|
Rachel Krevans and Cathleen Ellis, Preparing for Biotech
Patent Litigation, 760 PLI/Pat 529, 555-56 (2003) |
The
Federal Circuit doctrine that makes enablement a
separate requirement from the written description requirement contradicts the
plain language of the statute. |
|
John C. Stolpa, Case Comment: Toward Aligning the Law with
Biology? The Federal Circuit's About Face in Enzo Biochem, Inc. v. Gen-Probe, Inc., 4 Minn. Intell. Prop. Rev. 339, 366 (2003) |
The Federal Circuit
should take the next available opportunity to overrule the Eli Lilly
decision through an en banc hearing and return enablement
as the sole substantive disclosure requirement of 35 U.S.C. 112, paragraph 1. The heightened
written description standard applied to biotechnology inventions after Eli
Lilly ignores fundamental biological principles and focuses too much
attention on the structure of a DNA or protein. In addition, the standard is
inflexible to technological changes and requires constant updating that leads
to uncertainty over patent validity. Finally, the heightened requirement
fails to meet the constitutional purpose behind the patent laws by
discouraging full disclosure of biological inventions. Simply returning to
the enablement disclosure standard that was in
effect prior to Eli Lilly would solve the bulk of these problems. |
|
Laurence H. Pretty,
Patent Litigation § 1:3.3, Defenses Against Patent Validity, 1-44 (2003) |
The term
"written description" appears grammatically as the subject for the
verb "enable" in the enablement section
of 35 U.S.C. § 112. However, the written-description requirement has been
judicially construed to have a separate and additional purpose. |
|
Stephen R. Albainy-Jenei and Karlyn A. Schnapp, Early-Stage Companies Face New Challenges
Rochester Case Limited the Patentability Of
Reach-Through Claims, 12/8/03 Nat'l L.J. S3, col. 1, S3, col. 1+ (2003) |
While
Rochester is on appeal to the U.S. Court of Appeals for the Federal
Circuit, it is likely that such reach-through claims will remain severely
restricted, possibly hurting the value of intellectual property for many early-
stage biotechnology companies. *
* * In
addition, the overall cost in legal fees for drafting and prosecuting more
carefully crafted, fully detailed biotechnology applications will only
increase for complex inventions. |
|
Dan L. Burk and Mark A. Lemley, Policy Levers in Patent Law, 89 Va. L. Rev. 1575,
1652-54 (2003) |
In biotechnology, however, the
doctrine has been applied as a sort of "super-enablement" requirement, forcing biotech
patentees to list particular gene sequences in order to obtain a patent
covering those sequences. |
|
Warren D. Woessner, “Do-Over!” - The Federal Circuit Takes a
Second Look at Enzo v. Gen-Probe, 85
J. Pat. & Trademark Off. Soc'y 275, 285
(2003) |
It is time for the
court to deliver Lilly and Enzo
(I) to the doctrinal scrap heap where holdings like Durden
and Druey ended up, and let the evolution of
biotechnology patent law continue in a productive direction. |
|
Robert L. Harmon, Must
a Patent Describe an Accused Infringement?, 85 J. Pat. & Trademark
Off. Soc'y 153, 154 (2003) |
In the meantime,
however, we are confronted with a welter of confused and confusing precedent
that not only defies restatement, but renders analysis and synthesis
distinctly unmanageable. The only approach the author has found to making
some sense of the situation is to ask what the motivation of the Federal
Circuit is in its efforts to restrict this once well-recognized tenet of
patent law. |
|
Sven J.R. Bostyn, Written Description After Enzo
Biochem: Can the Real Requirement Step Forward
Please?, 85 J. Pat. & Trademark Off. Soc'y
131, 151 (2003) |
The third way is to
limit the application of the written description requirement to cases where
priority issues are involved, and limiting it to these issues, leaving the
bulk of the disclosure evaluation to the enablement
requirement, the key feature of the quid pro quo of the patent system. In the
author's view, that ought to be the optimal solution, leading to a coherent
and stable patent system, both for patent applicants and for patent offices
and courts. In this light, it would have been a good opportunity to hear the Enzo case en banc. |
|
David Kelly, Comment:
The Federal Circuit Transforms the Written Description Requirement
into a Biotech-Specific Hurdle to Obtaining Patent Protection for
Biotechnology Patents, 13 Alb. L.J. Sci.
& Tech. 249, 270 (2002) |
The Federal
Circuit's decision in Lilly, however, has fashioned the description
requirement into a barrier to scientific progress in the field of
biotechnology. This heightened standard, applied exclusively to biotechnology
patents, will likely have an adverse effect on the progress of
biotechnological innovations. Rather than
awarding patent protection to the discoverers of new and useful genes, Lilly
rewards those who first sequence the gene accurately. The result will be
patent protection to those who can sequence DNA the fastest, not to those who
invested their life's work locating the gene. |
|
Eli A. Loots, The 2001 USPTO Written Guidelines and Gene Claims,
17 Berkeley Tech. L.J. 117, 134 (2002) |
Some conflict
between patent prosecution and patent litigation is inevitable. However, the
current conflict has been recognized as a widening gulf between the norms of
the scientific community and those of the legal system. |
|
Limin Zheng, Purdue
Pharma L.P. v. Faulding
Inc., 17 Berkeley Tech. L.J. 95, 103 (2002) |
The court's
continuing use of an inconsistent and often overly-stringent written
description requirement leaves inventors, especially those in the
pharmaceutical industry, with little incentive to disclose, and is likely to
discourage inventors from seeking patent protection. |
|
Jeffie A. Kopczynski,
Note: A New Era for 112? Exploring Recent Developments in the
Written Description Requirement as Applied to Biotechnology Inventions,
16 Harv. J. Law & Tech. 229, 230 (2002) |
Recent Federal Circuit
patent cases have held biotechnology inventions to a higher written
description standard than inventions in other areas, such as the mechanical
arts. ... This perception of unpredictability has caused the Federal Circuit
to apply a heightened written description requirement to biotechnology
patents. This paper argues that the written description requirement for
patents should not be applied differently to inventions in different
disciplines. |
|
Shraddha A. Upadhyaya,
The Postmodern Written Description Requirement: An
Analysis of the Application of the Heightened Written Description Requirement
to Original Claims, 4 Minn. Intell. Prop.
Rev. 65, 120-21 (2002) |
The postmodern
trilogy unjustifiably departs from precedent in order to meet the increasing
intellectual difficulties of biotechnology patents. The sophisticated
obviousness function simply will not bar biotechnology patents, but a simple
written description requirement will. This anomaly is troublesome. The
written description requirement cannot and should not serve any function
other than to guarantee that subsequently filed claims are entitled to the
benefit of the original application. |
|
Sheila R. Arriola, Biotechnology Patents After Festo: Rethinking The Heightened Enablement
and Written Description Requirements, 11 Fed. Circuit B.J. 919, 951
(2002) |
The problem created by the Federal
Circuit could be remedied by overruling the prior biotechnology enablement and written description case law that
heightened these requirements on the basis of the state of technology at the
time of those decisions. The USPTO could then relax the enablement
and written description requirements with respect to proteins and their
analogs. Not only would this shift the determination of patent scope from
judges back to the USPTO's biotechnology examiners,
but it would force patentees to protect their inventions proactively through
continuations and CIPs, rather than reactively
through the doctrine of equivalents. On balance, the long-term costs of this
proposed approach are far less than those that Festo
and the heightened enablement and written
description requirements will have on patent protection, and ultimately, on
the biotechnology industry as we know it. |
|
Robert A. Hodges, Note:
Black Box Biotech Inventions: When a “Mere Wish Or Plan” Should Be
Considered an Adequate Description of the Invention, 17 Ga. St. U.L.
Rev. 831, 860 (2001) |
The Federal
Circuit's imposition of a heightened standard for the written description of
DNA inventions in Eli Lilly increases the gap between the written
description requirement for biotech inventions and the realities of how such
inventions are produced. |
|
Alison E. Cantor, Using
the Written Description and Enablement Requirements
to Limit Biotechnology Patents, 14 Harv. J. Law
& Tech. 267, 313 (2000) |
If courts are
strengthening the written description and enablement
requirements in order to limit biotechnology patents, this fact raises
concerns about creating special standards for particular areas of technology.
If it is the courts that impose these standards, pioneering scientists in a
new field will be unable to determine, when applying for patents, to what
standard their patents will eventually be held when they are litigated. |
|
Mark D. Janis, On Courts Herding Cats: Contending with the "Written
Description" Requirement (and Other Unruly Patent Disclosure Doctrines),
2 Wash. U. J.L. & Pol'y 55, 107 (2000) |
As a first step,
the Federal Circuit might simply admit that the written description
requirement is redundant of enablement. This would
at least allow for a more forthright exploration of the question whether
redundancy in patent disclosure requirement remains tolerable. The Federal
Circuit could reach the conclusion, perhaps, that the written description
requirement simply provides a fail-safe mechanism that judges (or examiners)
may use in their discretion in hard cases. |
|
Salima Merani, Hyatt
v. Boone, 14 Berkeley Tech. L.J. 137, 146 (1999) |
Admittedly, the
Federal Circuit has used different expressions in describing a sufficient
written description. Judge Newman, however, "[did] not view
these various expressions as setting divergent standards for compliance with
[section] 112." She emphasized that, in all cases, the purpose of the
written description requirement was to ensure that the inventor had
possession of the claimed invention at the time of the application filing
date. Analysis of historical and policy rationale of section 112 supports
Judge Newman's view of the written description requirement. |
|
Zhibin Ren, Note:
Confusing Reasoning, Right Result: The Written Description Requirement
and Regents of the University Of California v. Eli Lilly & Company,
1999 Wis. L. Rev. 1297, 1324 (1999) |
In Lilly,
the Federal Circuit deviated from the well-established traditional written
description standard and adopted an ad hoc approach to conduct a written
description analysis for DNA claims. This approach allows the court to use
whatever is handy to justify the result it wants to reach. |
|
Arti K. Rai, Intellectual
Property Rights in Biotechnology: Addressing New Technology, 34 Wake Forest
L. Rev. 827, 835 (1999) |
In
essence, the Lilly court used the written description requirement as a
type of elevated enablement requirement. An ordinary enablement
challenge to the University of California’s claim was not raised (and, if
raised, probably would have failed) because it would have been relatively
easy for a person of ordinary skill in the art to use the rat insulin cDNA that Lilly had already sequenced to “fish out” the
human cDNA from a cDNA
library. |
|
Janice M. Mueller, The Evolving Application of the Written Description
Requirement to Biotechnological Inventions, 13 Berkeley Tech. L.J.
615, 615-16 (1998) |
The Lilly
decision may profoundly limit the scope of protection available for new gene
inventions;. . . Lilly aptly illustrates the increased widening of the
gulf between the norms of the business and scientific communities and the
U.S. patent system, as users of the latter come to understand that the patent
system no longer reflects the realities of scientific contribution. |
|
Michael Delmas Plimier, Genentech, Inc. v. Novo Nordisk &
University of California v. Eli Lilly and Co., 13 Berkeley Tech. L.J.
149, 161 (1998) |
The written
description requirement only allows very narrow patents, so narrow and easily
dodged as to be almost worthless. |
|
Harris A. Pitlick, The Mutation on the Description Requirement
Gene, 80 J. Pat. & Trademark Off. Soc'y 209, 209-10 (1998) |
The
recent decision in Regents of the University of California v. Eli Lilly
and Co., on top of Fiers
v. Revel, decided only a few years before, are such
extreme departures from conventional description requirement jurisprudence
that the need for new thinking about the issue is now even more manifest. One
problem may be nomenclature. As demonstrated later in the text, the term
"description requirement" is a misnomer. |
|
Kevin S. Rhoades, The
Section 112 “Description Requirement” – A Misbegotten Provision Confirmed,
74 J. Pat. & Trademark Soc’y 869, 869-70 (1992) |
[T]here
is in fact no justification for carving out a separate “description”
requirement from the “enablement” requirement in
Section 112, first paragraph, that the specification contain an enabling
disclosure of how to make and use the invention. In brief, the language and history of the
statute support no such separate requirement, which fulfills no function or
purpose not already served by the traditional enabling disclosure standard. |
Neutrally Commenting on Eli Lilly Written Description
03-1304
UNIVERSITY OF
ROCHESTER,
Plaintiff-Appellant,
v.
G.D. SEARLE &
CO., INC., MONSANTO COMPANY,
PHARMACIA
CORPORATION, and PFIZER INC.,
Defendants-Appellees.
LINN, Circuit
Judge, with whom RADER and GAJARSA, Circuit Judges, join, dissenting
from the court’s decision not to hear the case en banc.
The panel opinion in this case
perpetuates the confusion our precedent in Lilly and Enzo
has engendered in establishing “written description” as a separate requirement
of 35 U.S.C. § 112, paragraph 1, on which a patent may be held invalid. That precedent should be overturned. Accordingly, I respectfully dissent from the
court’s decision not to hear this case en banc.
Section 112 of Title 35 of the
United States Code requires a written description of the invention, but the
measure of the sufficiency of that written description in meeting the
conditions of patentability in paragraph 1 of that
statute depends solely on whether it enables any person skilled in the art to
which the invention pertains to make and use the claimed invention and sets
forth the best mode of carrying out the invention. The question presented by 35 U.S.C.
§ 112, paragraph 1, is not, “Does the written description disclose what
the invention is?” The question is,
“Does the written description describe the invention recited in the claims—themselves
part of the specification—in terms that are sufficient to enable one of skill
in the art to make and use the claimed invention and practice the best mode
contemplated by the inventor?” That is
the mandate of the statute and is all our precedent demanded prior to Regents
of the University of California v. Eli Lilly & Co., 119 F.3d 1559 (Fed.
Cir. 1997).
Reading into paragraph 1 of section 112 an independent written description requirement, divorced from enablement, sets up an inevitable clash between the claims and the written description as the focus of the scope of coverage. This is ill-advised. Surely there is no principle more firmly established in patent law than the primacy of the claims in establishing the bounds of the right to exclude. See, e.g., Aro Mfg. Co. v. Convertible Top Replacement Co., 365 U.S. 336, 339 (1961) (“[T]he claims made in the patent are the sole measure of the grant.”); McClain v. Ortmayer, 141 U.S. 419, 424 (1891) (“‘The rights of the plaintiff depend upon the claim in his patent, according to its proper construction.’” (quoting Masury v. Anderson, 16 F. Cas. 1087, 1088 (C.C.S.D.N.Y. 1873))); White v. Dunbar, 119 U.S. 47, 52 (1886) (“The claim is a statutory requirement, prescribed for the very purpose of making the patentee define precisely what his invention is; and it is unjust to the public, as well as an evasion of the law, to construe it in a manner different from the plain import of its terms.”); Burns v. Meyer, 100 U.S. 671, 672 (1879) (“[T]he terms of the claim in letters-patent . . . define[] what the office, after a full examination of previous inventions and the state of the art, determines the applicant is entitled to.”); Merrill v. Yeomans, 94 U.S. 568, 570 (1876) (“This distinct and formal claim is, therefore, of primary importance, in the effort to ascertain precisely what it is that is patented.”); Johnson & Johnston Assocs. Inc. v. R.E. Serv. Co., 285 F.3d 1046, 1052 (Fed. Cir. 2002) (en banc) (“Consistent with its scope definition and notice functions, the claim requirement presupposes that a patent applicant defines his invention in the claims, not in the specification. After all, the claims, not the specification, provide the measure of the patentee’s right to exclude.”); SRI Int’l v. Matsushita Elec. Corp. of Am., 775 F.2d 1107, 1121 n.14 (Fed. Cir. 1985) (“Specifications teach. Claims claim.”). The statute itself makes clear that Congress intended the claims to define the scope of coverage. 35 U.S.C. § 112, ¶ 2 (2000) (“The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the applicant regards as his invention.”).
The primary role of the written description is to support the claims, assuring that persons skilled in the art can make and use the claimed invention. Id. ¶ 1 (“The specification shall contain a written 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 use the same.”); see also Kennecott Corp. v. Kyocera Int’l, Inc., 835 F.2d 1419, 1421 (Fed. Cir. 1987) (“The purpose of the [written] description requirement . . . is to state what is needed to fulfil the enablement criteria.”); cf. In re Barker, 559 F.2d 588, 594 (CCPA 1977) (Markey, C.J., dissenting) (“The attempt to create historical and current statutory support for a ‘separate description’ requirement, which was solely a judicial (and unnecessary) response to chemical cases in which appellants were arguing that those skilled in the art ‘might’ make and use a claimed invention, is mistaken.”).
Construing section 112 to contain a separate written description requirement beyond enablement and best mode creates confusion as to where the public and the courts should look to determine the scope of the patentee’s right to exclude. Under the panel’s analysis, a court looks to the written description to determine the parameters of the patentee’s invention—under guidelines yet to be articulated—and then determines if the claims, as properly construed, exceed those parameters. See Univ. of Rochester v. G.D. Searle & Co., 358 F.3d 916, 922-23 (Fed. Cir. 2004) (“While it is true that this court and its predecessor have repeatedly held that claimed subject matter ‘need not be described in haec verba’ in the specification to satisfy the written description requirement, it is also true that the requirement must still be met in some way so as to ‘describe the claimed invention so that one skilled in the art can recognize what is claimed.’” (citations omitted)). There is simply no reason to interpret section 112 to require applicants for patent to set forth the metes and bounds of the claimed invention in two separate places in the application. That is the exclusive function of the claims.
The burden of Lilly and Enzo has fallen on the biotech industry
disproportionately, but, as this decision makes clear, the new-found written
description requirement will affect all fields of emerging technology. Univ. of Rochester, 358 F.3d at 925
(rejecting a limitation of the Lilly written description doctrine to
genetic inventions on the ground that “the statute applies to all types of
inventions”). When patent attorneys set
out to write patent applications, they do so for an educated audience—those
skilled in the art—and attempt to describe the invention in a way that enables
those of ordinary skill to make and use the invention as claimed. Before the decision in Lilly, the
practicing bar had accepted and found workable the notion elucidated in our
precedent that § 112 requires a written description sufficient to enable one of
ordinary skill in the art to make and use the claimed invention—i.e., enablement. Lilly
changed the landscape and set in motion the debate the panel opinion in this
case perpetuates.
As I commented in my dissent from the court’s decision not to hear the Enzo case en banc, “Some have praised Lilly for maintaining the integrity of patent disclosures and for curbing patent filings for inventions that have not yet been made but are just nascent ideas. Others have been sharply critical of Lilly.” Enzo Biochem, Inc. v. Gen-Probe Inc., 323 F.3d 956, 989 (Fed. Cir. 2002) (Linn, J., dissenting). That debate continues to leave uncertain how inventions are protected, how the United States Patent and Trademark Office discharges its responsibilities, and how business is conducted in emerging fields of law. These uncertainties will remain unless resolved by this court en banc or by the Supreme Court. The issue is important, is ripe for consideration, and deserves to be clarified, one way or the other. For these reasons, I respectfully dissent from the court’s refusal to consider this case en banc.
03-1304
UNIVERSITY OF
ROCHESTER,
Plaintiff-Appellant,
v.
G.D. SEARLE & CO., INC., MONSANTO COMPANY,
PHARMACIA CORPORATION, and PFIZER INC.,
Defendants-Appellees.
DYK, Circuit Judge, concurring in the court’s
decision not to hear the case en banc.
In
my view the question of whether 35 U.S.C. § 112 contains a written description
requirement (separate from the enablement
requirement) does not merit en banc review. For the reasons set forth in the panel
opinion and in Judge Lourie’s opinion concurring in
the denial of en banc review, I think it is clear that the
statute contains such a requirement – applicable both in the context of
priority and validity disputes. In this
particular case the failure to satisfy that requirement was not even a close
case. The appellant simply did not
invent, much less describe, what was claimed.
My vote to
deny en banc review, however, should not be taken as an
endorsement of our existing written description jurisprudence. In my view we have yet to articulate
satisfactory standards that can be applied to all technologies. Future panel opinions may provide the
necessary clarity. If not, there may be
a time when en banc consideration of the proper written
description standards will be appropriate.
But this is neither the right time, nor the right case, in which to
consider those difficult questions.
[1] The Regents of the University of California, et al. filed an amici curiae brief.
[2] Circuit Judges Newman, Rader, Bryson, Gajarsa, and Linn voted in favor of en banc reconsideration. Chief Judge Mayer and Circuit Judges Michel, Lourie, Clevenger, Schall, Dyk, and Prost voted against en banc reconsideration.
[3] This new validity requirement conflicts with binding precedent because the CCPA made clear that original claims are part of the original disclosure of an invention and thus have no “description” problems. In re Koller, 613 F.2d 819, 823 (CCPA 1980) (“[O]riginal claims constitute their own description.”); In re Smith, 481 F.2d 910, 914 (CCPA 1973) (“Where the claim is an original claim, the underlying concept of insuring disclosure as of the filing date is satisfied, and the description requirement has likewise been held to be satisfied.”); In re Gardner, 475 F.2d 1389, 1391 (CCPA 1973) (“Claim 2, which apparently was an original claim, in itself constituted a description in the original disclosure . . . . Nothing more is necessary for compliance with the description requirement.”)
[4] This opinion will not repeat the points made earlier about the legal sufficiency of the Eli Lilly doctrine. Some of those points include: First, the statutory language and legal precedents make enablement the only substantive test (other than best mode) in the first paragraph of § 112. Enzo Biochem, 323 F.3d at 977. Second, this court’s predecessor first separated written description from enablement in 1967, but only to police priority. Id. Third, this court and its predecessor consistently limited the written description requirement to priority cases, expressly equating the proscription on new matter with written description. Id. at 977-79. Lastly, the vague and ill-defined written description requirement threatens to supplant the well-established enablement requirement, which disproportionately affects biotech inventions. Id. at 981-83.
[5] An appendix to this opinion summarizes this academic commentary.
[6] Indeed the United States notes that the current statute requires “a written 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 [the invention].” 35 U.S.C. § 112, ¶ 1 (emphasis added). As the United States noted, “A straightforward reading of the text of section 112 suggests that the test for an adequate written description is whether it provides enough written information for others to make and use the invention.” Brief of Amicus Curiae United States at 5, Enzo Biochem, Inc. v. Gen Probe, Inc., 323 F.3d 956 (Fed. Cir. 2002).
[7] Moreover, the pre-1967 CCPA cases mentioned in Rochester also shed little light on the modern written description requirement. For instance, Jepson does not evince support for Eli Lilly. Rather, Jepson, which does not expressly mention written description at all, decided an interference – a priority dispute – between an application with an earlier filing date and an issued patent with a later filing date. The CCPA held that because the earlier application did not support the claims that were copied from the later patent, the patent was entitled to priority. Jepson v. Coleman, 314 F.2d 533 (CCPA 1963). Thus, Jepson, if at all relevant to written description, was a priority case in the traditional mode of written description jurisprudence. The CCPA decided the Moore case on obviousness grounds; the description commentary in that case is dicta. In re Moore, 155 F.2d 379, 381 (CCPA 1946) (noting that the claims were “properly rejected on the prior art”). The CCPA decided the Sus case under paragraph 2 of § 112, not paragraph 1. In re Sus, 306 F.2d 494, 496 (CCPA 1962). The reason Sus and Moore do not appear on the “written description” landscape is because subsequent case law made it clear that, outside the priority context, the substantive test for compliance with the first paragraph of § 112 is enablement. In re Borkowski, 422 F.2d 904, 909 (CCPA 1970). Indeed, Rochester seems to do a disservice to the CCPA’s own acknowledgement that Judge Rich inaugurated the written description requirement to police priority in 1967. In re Rasmussen, 650 F.2d 1212, 1214 (CCPA 1981).