03-1528
(Interference No. 104,832)
ALAN W. MARTILLA, and ARCHIE WOODWORTH,
Appellants,
v.
GEORGE WAKALOPULOS and EDUARDO R. URGILES,
Appellees.
Keith V. Rockey, Wallenstein,
Wagner & Rockey, Ltd., of
Douglas
E. Olson, Paul Hastings Janofsky & Walker,
LLP, of
Appealed
from:
Board of Patent Appeals and Interferences
03-1528
and ARCHIE WOODWORTH
Appellants,
v.
GEORGE WAKALOPULOS and EDUARDO R.
URGILES,
Appellees.
___________________________
DECIDED:
___________________________
Before BRYSON, Circuit Judge, PLAGER, Senior
Circuit Judge, and LINN, Circuit Judge.
LINN, Circuit Judge.
Arnold C. Bilstad, Bradley H. Buchanan, Alan W. Martilla,
and Archie Woodworth (collectively “Bilstad”) appeal
from: (1) a March 31, 2003 decision of
the United States Patent and Trademark Office Board of Patent Appeals and
Interferences (“Board”) and (2) a May 23, 2003 decision of the Board on
reconsideration awarding judgment in Interference No. 104,832 to George Wakalopulos and Eduardo R. Urgiles
(collectively “Wakalopulos”). Bilstad
v. Wakalopulos, Inter. No. 104,832, Paper 69 (Bd.
Pat. App. & Inter.
I. BACKGROUND
This interference
was declared on March 30, 2002 between an application of Bilstad,
Application Serial No. 09/294,964, filed April 20, 1999, and a patent of Wakalopulos, U.S. Patent No. 6,140,657 (“the ’657 patent”),
filed March 17, 1999 and issued October 31, 2000. The claimed subject matter relates to an
apparatus for sterilizing three-dimensional objects using ionizing radiation
without affecting the target objects in a deleterious manner.
Bilstad provoked the interference by copying claims 1, 5-8,
11, and 16-17 of the ’657 patent into Bilstad’s
pending application as claims 57-64, as well as adding a paraphrased version of
Wakalopulos’s claim 18 as claim 65. The Board declared the interference,
designating claim 1 of the ’657 patent as the only count and identifying Bilstad claims 57-65 as corresponding to the count. The count reads as follows, with the disputed
portion underlined:
A sterilization apparatus comprising,
an electron beam tube having a window permitting emergence of an electron beam from said tube into an ambient gaseous environment while preserving a vacuum environment in the tube, the electron beam having a trajectory within a plasma cloud defining a reactive volume stimulated by interaction of the electron beam with the ambient environment, with a beam energy less than 100 kV at the target, and
a moveable member manipulating objects in a plurality of directions within the reactive volume wherein the manipulated objects are sterilized.
In the “Notice Declaring Interference” issued by the Patent and Trademark Office, the Board included a standing order that required, among other things, “a conference call to the administrative patent judge” before the filing of any contested miscellaneous motion. Subsequently, the Administrative Patent Judge designated to handle the interference entered an order setting deadlines for the filing of preliminary motions as prescribed by 37 C.F.R. § 1.636(a). The order established a “preliminary motion period” for filing motions under 37 C.F.R. § 1.633 (“Rule 633”), paragraphs (a) through (h), and a “Rule 633(i) period” for filing motions under paragraphs (i) and (j) of Rule 633.
During the preliminary motion period, Wakalopulos filed Preliminary Motion 1 under Rule 633(a), which allows a movant to seek judgment based on an assertion that an opponent’s claim, designated to an interference count, is not patentable to that opponent. 37 C.F.R. § 1.633(a) (2003). Wakalopulos asserted, in its preliminary motion, that the involved claims of the Bilstad patent lacked adequate written description support under 35 U.S.C. § 112, ¶ 1 for the claim limitation “a moveable member manipulating objects in a plurality of directions within the reactive volume.” In addition to its opposition to Wakalopulos’s motion for judgment, Bilstad sought an extension of the Rule 633(i) period. Under Rule 633(i), an opponent to a motion filed under Rule 633(a) is permitted to file a preliminary motion under Rule 633(c) to add or amend claims to address the alleged unpatentability of the claims. 37 C.F.R. § 1.633(i) (2003). The Board denied Bilstad’s request for an extension of time, and Bilstad did not file a timely motion under Rule 633(i).
On
Bilstad sought reconsideration of the Board’s decision, arguing that: (1) the Board erred in construing “plurality” as a range; (2) Bilstad was prejudiced because the Board adopted a definition of “plurality” that neither party proffered; and (3) given the Board’s finding that Bilstad discloses a member capable of manipulating objects in a small number of directions, “the mere disclosure of movement in two or three directions would be adequate . . . support” for “plurality” under § 112, ¶ 1. At the same time, Bilstad filed a miscellaneous motion under 37 C.F.R. § 1.635[1] seeking leave to belatedly add to the Bilstad application claims designated as corresponding to the count. The motion essentially sought leave to file a Rule 633(i) motion after the deadline for filing such motions had passed. Along with the Rule 635 motion, Bilstad filed Motion 5 which sought to add to the count a number of claims not including the term “plurality.”
In its reconsideration decision
of
Bilstad timely appealed the Board’s Original Decision and Reconsideration Decision to this court. We have jurisdiction under 28 U.S.C. § 1295(a)(4)(A).
II. DISCUSSION
A. Standard of Review
Before the Board, the burden of
establishing by a preponderance of the evidence that Bilstad’s
application lacked sufficient disclosure under 35 U.S.C. § 112, ¶ 1
fell on Wakalopulos as movant. Kubota v. Shibuya, 999 F.2d 517, 519
n.2, 522 (Fed. Cir. 1993). As we
explained in Kubota, under the old interference rules, “a party copying
claims for the purpose of provoking an interference bore the burden of proving
by clear and convincing evidence that it had the ‘right to make’ the
claim.”
It seems to us that, while the burden initially may be on a party seeking to provoke an interference, or seeking to obtain entitlement to a priority date, once an interference has been declared and a party seeks to change the status of the parties by motion, the burden is then on the movant under the new rules, rather than on the party originally provoking the interference or obtaining entitlement.
Interpretation of an
interference count is a question of law, reviewed de novo. Credle v.
Bond, 25 F.3d 1566, 1571 (Fed. Cir. 1994).
Whether an application complies with the written description requirement
of 35 U.S.C. § 112, ¶ 1 is a question of fact, reviewed for
substantial evidence. Singh v. Brake,
317 F.3d 1334, 1343 (Fed. Cir. 2003); see also In re Gartside, 203 F.3d 1305, 1315 (Fed. Cir. 2000)
(adopting the substantial evidence standard of the Administrative Procedure Act
in reviewing factual findings of the Board).
Substantial evidence is merely “‘such relevant evidence as a reasonable
mind might accept as adequate to support a conclusion.’” In re Zurko,
258 F.3d 1379, 1384 (Fed. Cir. 2001) (quoting Consol. Edison Co. v. NLRB,
305
The Board’s decision, denying
leave for Bilstad to file a belated motion under 37
C.F.R. § 1.633(i), is reviewed for an abuse of
discretion. Rapoport
v. Dement, 254 F.3d 1053, 1058 (Fed. Cir. 2001). An abuse of discretion is found if the
decision: “(1) is clearly unreasonable,
arbitrary, or fanciful; (2) is based on an erroneous conclusion of law; (3)
rests on clearly erroneous fact finding; or (4) involves a record that contains
no evidence on which the Board could rationally base its decision.”
B. Section 112 Analysis
Bilstad argues that the Board committed two errors in concluding that Bilstad’s application provided insufficient written description to support the count, namely: (1) the Board erroneously construed the term “plurality” as used in the count, and (2) the Board erred in insisting that Bilstad’s application must describe every embodiment within the range construction given by the Board to the term “plurality.” We consider each of these arguments in turn.
1. Count Construction
Bilstad first argues that the Board’s decision must be reversed because its claim construction of the term “plurality” is erroneous. In particular, Bilstad argues that the Board’s combination of multiple dictionary definitions to arrive at a range is inconsistent with precedent.[2] Wakalopulos argues instead that the Board properly construed “plurality” because the written description of the ’657 patent does support a broad construction and the Board’s analysis is fully consistent with precedent.
Before the Board, Bilstad and Wakalopulos offered
competing definitions of the term “plurality.”
Wakalopulos argued that “plurality” means “a
large number; multitude,” whereas Bilstad argued that
“plurality” simply means “two or more items.”
The Board began by noting that the parties did not argue that
“plurality” had any special meaning in the art, nor did the parties argue that Bilstad’s specification provided a definition of
“plurality.” Original Decision,
slip op. at 23. The Board then consulted
a dictionary to ascertain the ordinary meaning of “plurality” and was
confronted with multiple definitions, including those proffered by the
parties.
As is apparent from the Webster’s definitions, the ordinary meaning of plurality encompasses both parties’ proposed meanings. Therefore, we do not accept either party’s proposed definitions because they are incomplete. Two may properly be referred to as a plurality and so may a large number. Thus, “plurality” connotes an indefinite numerical range. The range is bounded by two . . . and . . . infinit[y] . . . .
Original Decision, slip op. at 24.
We see no error in the Board’s
construction of “plurality.” When
confronted with competing arguments, the Board looked to a dictionary to
ascertain the ordinary meaning of “plurality.”
Here, the dictionary shows ordinary meanings of “plurality,”
including: “relating to or consisting of
or containing more than one,” “the state of being numerous,” and “a large
number or quantity.” Webster’s, at
1745. The Board then looked to the
written description for context in ascertaining the meaning of “plurality,”
determined that the dictionary definitions and both Bilstad’s
and Wakalopulos’s proffered definitions were
consistent with Bilstad’s disclosure, and construed
the term to encompass all of those meanings.
As we have stated, “[i]f more than one
dictionary definition is consistent with the use of the words in the intrinsic
record, the claim terms may be construed to encompass all consistent
meanings.” Brookhill-Wilk
1, LLC v. Intuitive Surgical, Inc., 334 F.3d 1294, 1300 (Fed. Cir. 2003)
(citing
With respect to the Bilstad disclosure, the Board found that Bilstad disclosed manipulation in a small number of
directions. Thus, the Bilstad disclosure is entirely consistent with the meaning
of “plurality” as “relating to or consisting of or containing more than
one.” With respect to “the state of
being numerous” and “a large number or quantity,” we see nothing in Bilstad’s disclosure that disclaims, disavows, or is
inconsistent with such definitions of plurality. See Brookhill-Wilk,
334 F.3d at 1300. Because all of the
definitions are consistent with the Bilstad
disclosure, the term “plurality” when construed in view of the Bilstad disclosure is entitled to the full extent of its
ordinary meaning.
Similarly, each of the ordinary meanings of “plurality” is consistent with the disclosure of the ’657 patent. First, nothing in the written description of the ’657 patent defines the term “plurality,” nor is there any disclaimer or disavowal of the ordinary meaning of the term “plurality.” See Teleflex, Inc. v. Ficosa N. Am. Corp., 299 F.3d 1313, 1327 (Fed. Cir. 2002). Second, although, as Bilstad argues, Wakalopulos uses the term “plurality” to describe a set of three items, this is simply one use of the term in a particular context. This single use alone does not limit the term. Third, the Wakalopulos written description, in Figure 3 and its accompanying text, illustrates an embodiment wherein a glove box arm is provided to allow a user to place his hand in and pick up and manipulate an object to be sterilized. This description is consistent with a construction of “plurality” that includes everything from “relating to more than one” to “a large number or quantity.” Thus, the Wakalopulos written description does not limit the ordinary meaning of “plurality.” We therefore conclude that “plurality” encompasses all of the relevant definitions; namely, relating to or consisting of or containing more than one, the state of being numerous, and a large number or quantity.
Bilstad,
however, argues that the Board improperly incorporated the several dictionary
definitions into a range from two to infinity.
While it is common to consider the full meaning of “plurality” as any
number greater than one, the Board’s definition does little more than
incorporate the several distinct definitions into a single one covering the
entire scope of “plurality.” In
combining the definitions into a single one, the Board did not change the scope
of the term or alter the ordinary meanings in any significant way. Thus, we affirm the Board’s construction of
the term “plurality.”
Bilstad’s other arguments regarding alleged claim construction errors made by the Board have been considered and are not deemed persuasive.
2. Written Description
Bilstad next argues that the Board erred in insisting that Bilstad’s application must describe every embodiment within the range of two to infinity to support the count, copied by Bilstad, under the Board’s construction of the term “plurality.”
The question requires
consideration of whether the Bilstad disclosure, as
filed, “reasonably conveys to a person skilled in the art that the inventor had
possession of the claimed subject matter at the time of the earlier filing
date.” Eiselstein
v. Frank, 52 F.3d 1035, 1039 (Fed. Cir. 1995).
With particular relevance to this case, several cases have considered
the issue of written description support for an added genus claim when only a
species is disclosed. In In re Smythe,
our predecessor court said, “We cannot agree with the broad
proposition . . . that in every case where the description
of the invention in the specification is narrower than that in the claim there
has been a failure to fulfill the description requirement in section 112.” 480 F.2d 1376, 1382 (CCPA 1973). Smythe involved
the question of whether a disclosure of air as a segmentizing
medium was sufficient written description to support the broader claim language
“inert fluid,” though the term “fluid” did not appear in the written description. The court concluded,
We believe that the use of an inert fluid
broadly in this invention would naturally occur to one skilled in the art
reading the description of the use of air or other gas as a segmentizing medium to separate the liquid samples. While fluid is a broader term, encompassing
liquids, as noted by the solicitor, the specification clearly conveys to one
skilled in the art that in this invention the characteristics of a fluid are
what make the segmentizing medium work in this
invention.
This is not a case where there is any
unpredictability such that appellants’ description of air or other inert gas
would not convey to one skilled in the art knowledge that appellants invented
an analysis system with a fluid segmentizing medium.
In Ralston Purina Co. v. Far-Mar-Co, Inc., 772 F.2d 1570,
1575-77 (Fed. Cir. 1985), this court affirmed a trial court’s finding that
several open-ended ranges were supported by a parent written description. In particular, this court affirmed the trial
court’s conclusion that the limitation “protein content of at least about that
of solvent extracted soybean meal” was supported by the written description
disclosing solvent extracted soybean meal with a protein content of about
50%.
Thus, this court has continued to apply the rule that disclosure of a
species may be sufficient written description support for a later claimed genus
including that species. As we explained
in Ethicon Endo-Surgery, Inc. v. United
States Surgical Corp.:
Claim 1 was properly rejected because it recited
an element not supported by Fox’s disclosure, i.e., a lockout “on the
stapler.” It does not follow, however,
that Fox’s disclosure could not support claims sufficiently broad to read on a
lockout off of the cartridge. If Fox did
not consider the precise location of the lockout to be an element of his invention,
he was free to draft claim 24 broadly (within the limits imposed by the prior
art) to exclude the lockout’s exact location as a limitation of the claimed
invention. Such a claim would not be
unsupported by the specification even though it would be literally infringed by
undisclosed embodiments.
93 F.3d 1572, 1582 n.7 (Fed. Cir. 1996) (citations omitted); see
also Lampi Corp. v. Am. Power Prods.,
Inc., 228 F.3d 1365, 1377-78 (Fed. Cir. 2000) (affirming the district
court’s finding that disclosure of only identical half-shells was sufficient
written description support for a claim encompassing both identical and
non-identical half-shells).
There are, however, exceptions to the general rule that disclosure of a
species provides sufficient written description support for a later filed claim
directed to the genus. For example, in
the recent case of In re Curtis, 354 F.3d 1347 (Fed. Cir. 2004), this
court affirmed the Board’s rejection of claims directed to dental floss for
failure to satisfy the written description requirement. The relevant parent application only
disclosed the use of microcrystalline wax as adhered to polytetrafluoroethylene
floss. However, the claims in the
continuation-in-part application were more broadly drawn to the genus of friction
enhancing coatings applied to polytetrafluoroethylene
floss. This court explained that the
evidence relied on by the Board in determining that the later claims were not
entitled to priority to the parent application indicated that at the time the
parent application was filed no one knew of any material other than
microcrystalline wax that would adhere to the polytetrafluoroethylene
floss.
The distinction in these cases is based upon what would be reasonably
conveyed to a person skilled in the art at the time of the original
disclosure. If the difference between
members of the group is such that the person skilled in the art would not
readily discern that other members of the genus would perform similarly to the
disclosed members, i.e., if the art is unpredictable, then disclosure of more
species is necessary to adequately show possession of the entire genus.
Another exception is presented in Tronzo v. Biomet,
Inc.,
156 F.3d 1154 (Fed. Cir. 1998). In Tronzo, this court held that substantial evidence
did not support the jury’s verdict that claims to a hip prosthesis of generic
shape were supported by a parent disclosing only a trapezoidal shape. We said, “Instead of suggesting that the ’589
patent [the parent] encompasses additional shapes, the specification
specifically distinguishes the prior art as inferior and touts the advantages
of the conical shape of the ’589 cup.
Such statements make clear that the ’589 patent discloses only conical
shaped cups and nothing broader.”
In analyzing the written description question in this case, the Board
made much of how the “written description must actually describe the
later-claimed invention, not just enable it or provide information to render it
obvious.” Original Decision, slip
op. at 25. However, the Board never
truly discussed the understandings of persons skilled in the art and whether Bilstad’s written description would reasonably convey to a
person skilled in the art that Bilstad had possession
of the claimed subject matter at the time of filing. Specifically, the Board made no findings on
the unpredictability in the art or on whether Bilstad’s
disclosure expressly disclaimed manipulation in a larger number of directions
than the “small number” that the Board found his disclosure taught. The Board relied heavily on Tronzo. Original
Decision, slip op. at 24-25.
However, the Board failed to recognize how Tronzo
fits within the spectrum of cases involving written description support for a
genus when only one or more species are disclosed. In the mechanical world—a fairly predictable
field—it is wholly conceivable that manipulation in a small number of
directions may convey to one skilled in the art that Bilstad
indeed described manipulation in a “plurality” of directions. See In re Curtis, 354 F.3d at
1354-55 (holding that an application would not have put persons skilled in the
art on notice of the broad scope claimed by the applicant, where there is
“‘unpredictability in performance of certain species or subcombinations
other than those specifically enumerated’” (quoting In re Smythe, 480 F.2d at 1383)). But the record contains no analysis of what
one skilled in the art would have understood from the Bilstad
disclosure or the degree of predictability of technical variations in this
field of art. The Board noted that Bilstad’s written description disclosed manipulating
objects in only a small number of directions and concluded that this was
insufficient to support the manipulation of objects in a range bounded by two
and infinity. Original Decision,
slip op. at 24. Under the circumstances
of this case, however, the Board erred in failing to consider the knowledge of
one skilled in the art and the level of predictability in the field.
Even though the appeal is properly before us, a resolution of the
question of whether Bilstad’s disclosure of
C. Denial of Bilstad’s § 1.635 Motion
Bilstad also argues that the Board erred in rejecting Bilstad’s motion under § 1.635 seeking permission to belatedly file its motion under 37 C.F.R. § 1.633(i). In particular, Bilstad argues that the Board “assured Bilstad that it would have every opportunity to file those motions” on denying Bilstad’s request for an extension of time, but then prejudiced Bilstad by refusing later to entertain Bilstad’s belated motion under § 1.633(i). Wakalopulos argues that the Board did not abuse its discretion in denying Bilstad’s motion because Bilstad’s motion under § 1.635 seeking leave to file the § 1.633(i) motion out of time did not comply with the Board’s standing order requiring a conference call with the Administrative Patent Judge prior to the filing of any miscellaneous motion and because the Board provided Bilstad no assurances that it would be permitted to file a Rule 633(i) motion out of time. We agree that Bilstad failed to comply with the Board’s standing order requiring a conference call with the Administrative Patent Judge prior to filing the miscellaneous motion under Rule 635. Bilstad argues that the call had already been made and that the Administrative Patent Judge had granted permission to file the motion, citing the portion of the Administrative Patent Judge’s order denying his original motion without prejudice. The Administrative Patent Judge, however, did not grant Bilstad permission to file the late motion. He simply denied Bilstad’s original motion without prejudice. Thus, Bilstad was starting over when filing the Rule 635 motion, and Bilstad had to comply with the Board’s standing order regarding motions under Rule 635. Because the Board did not abuse its discretion in rejecting Bilstad’s Rule 635 motion seeking permission to file a belated Rule 633(i) motion, we affirm that portion of the Board’s Reconsideration Decision.
III. CONCLUSION
Because the Board did not abuse its discretion in denying Bilstad’s motion to file a Rule 633(i) motion out of time, we affirm that portion of the Board’s decision. We also affirm the Board’s construction of “plurality.” However, because the Board failed to apply the appropriate standard in its analysis of whether Bilstad’s application included sufficient written description to support the count under 35 U.S.C. § 112, ¶ 1, we vacate the Board’s grant of Wakalopulos’s motion for judgment and remand to the Board for further proceedings consistent with this opinion.
AFFIRMED-IN-PART,
VACATED-IN-PART, AND REMANDED
IV. COSTS
No costs.
[1] 37 C.F.R. § 1.635 recites that “[a] party seeking entry of an order relating to any matter other than a matter which may be raised under § 1.633 . . . may file a motion requesting entry of the order.” 37 C.F.R. § 1.635 (2004).
[2] Bilstad also argues that the Board erred in construing the term “plurality” in view of Bilstad’s disclosure, instead of looking to the ’657 patent. Bilstad cites In re Spina, 975 F.2d 854 (Fed. Cir. 1992), for the proposition that a count is construed in view of the originating disclosure. Wakalopulos concedes that the Board erred in this respect. Because we conclude that the construction of the term “plurality” is the same in view of either disclosure, we need not reach this issue.