101A
AMERICAN BAR ASSOCIATION
ADOPTED BY THE HOUSE OF DELEGATES
FEBRUARY 11, 2013
RESOLUTION
RESOLVED, That the American Bar Association supports the principle that laws of nature,
physical phenomena, and abstract ideas are not eligible for patenting as a process under 35 U.S.C
§ 101, even if they had been previously unknown or unrecognized;
FURTHER RESOLVED, That the American Bar Association supports the principle that a
process meets the requirements of Section 101 where—
(1) the claimed process as a whole, other than a mental process, is limited to a specific
application of a law of nature, natural phenomenon, or abstract idea; or
(2) the claimed process requires or involves a transformation of matter into a different state or
thing.
FURTHER RESOLVED, That the American Bar Association supports the principle that the
inquiry into subject matter eligibility for patenting under 35 U.S.C. § 101 is a separate and
distinct requirement for patent eligibility which should be resolved independently from the
conditions of patentability under Sections 102 and 103, and the requirements for obtaining a
valid patent under Section 112;
FURTHER RESOLVED, That the American Bar Association opposes application of a patent
eligibility test under Section 101 that imports into the patent eligibility analysis the criteria or
analysis for determining patentability addressed by Sections 102 and 103, as well as the criteria
required for obtaining a valid patent under Section 112.
101A
REPORT
The Section of Intellectual Property Law requests that the House of Delegates approve
this Resolution, which would support an Association amicus curiae brief in the U.S. Supreme
Court in the case of Association for Molecular Pathology v. Myriad Genetics, Inc., Case No.
12—398. On September 24, 2012, the petitioners filed a petition for a writ of certiorari with the
Supreme Court to review the decision of the U.S. Court of Appeals for the Federal Circuit (Ass’n
of Molecular Pathology v. U.S. Patent & Trademark Office, 689 F.3d 1303 (Fed. Cir. 2012)
(Myriad II)). On November 30, the Supreme Court granted the petition for certiorari.1 This
report cannot be considered by the House of Delegates at a time later than the 2013 Midyear
Meeting because the deadline for filing an amicus brief on the merits in the Supreme Court will
be reached before the next meeting of the House of Delegates.
Introduction and Background
The resolution deals with an issue of fundamental importance to the patent bar and the
public in general, namely, the interpretation of Section 101 of the patent statute (35 U.S.C.
§ 101). Section 101 defines the types of inventions and discoveries that are eligible for patent
protection.2 The Myriad case is currently under petition for a writ of certiorari by the
Association for Molecular Pathology et al.
The grant of certiorari was limited to Question 1. As stated in the petition, that question is “Are human genes
patentable?” The grant did not extend to Question 2, which challenged the decision of the Federal Circuit holding
patent-eligible Myriad’s Claim 20 relating to a process for screening potential cancer therapeutics. While the policy
proposed in Resolution 101A is directed in part to Claim 20, it is also germane to the issues presented in Question 1
that are now before the Court.
2
The issue of subject matter eligibility for patenting under section 101 has been previously addressed in policy
adopted by the House of Delegates.
1
At the 2011 Midyear Meeting, the House of Delegates approved Resolution 111, which was developed to provide
policy for ABA participation at an earlier stage of this Myriad litigation. That policy supports continued recognition
that laws of nature, abstract ideas, and physical phenomena are not eligible for patenting. The policy also supports
treating isolated DNA compounds no differently from other materials in determining patent eligibility, and opposes
per se disqualification of isolated DNA compounds that do not occur in nature in the isolated form. No ABA brief
was filed at that earlier stage, since the Supreme Court did not hear the appeal on the merits, but granted certiorari
and remanded the case to the Federal Circuit for reconsideration in view of its decision in Mayo Collab. Svcs. v.
Prometheus Labs., Inc., 132 S. Ct. 1289 (2012). Resolution 111 did provide policy for an ABA brief in the Federal
Circuit reconsideration, but since Resolution 111 did not address issues relating to the patent-eligibility of process
claims, the current Resolution is proposed so that the Association may express views on the eligibility of Claim 20
of the Myriad patent, or other similar process claims at issue in future litigation.
At its 2011 Annual Meeting, the House of Delegates approved Resolution 304B. Like Resolution 111 and the
current proposed resolution, Resolution 304B supports the continued exclusion of laws of nature, natural
phenomena, and abstract ideas from patent eligibility, and further supports patent eligibility of new applications of
such patent ineligible subject matter where the application manifests itself in a process, machine, manufacture, or
composition of matter, including a process other than a mental process for the treatment of a particular disease or
other medical condition. The decision of the Supreme Court in Mayo , the case that prompted the development of
the ABA policy in Resolution 304B, did not follow the recommendations in the ABA resolution. That decision is
further discussed in this report.
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In 2010, the district court granted summary judgment for the plaintiffs, inter alia, holding
one method claim from U.S. Patent No. 5,747,282 [hereinafter “Claim 20”] not patent eligible
under 35 U.S.C. § 101 on grounds that certain steps claimed a basic scientific principle and
other steps which were transformative were merely preparatory data gathering. Ass’n for
Molecular Pathology v. U.S. Pat. & Trademark Off., 702 F. Supp. 2d 181, 237 (S.D.N.Y. 2010).
In 2011, the Federal Circuit reversed the district court’s summary judgment, finding Claim 20
patent eligible under Section 101 because it contained a transformative step (“growing
transformed cells”). Ass’n for Molecular Pathology v. U.S. Pat. & Trademark Off., 653 F.3d
1329, 1357-58 (Fed. Cir. 2011) [hereinafter “Myriad I”]. Following its decision in Mayo
Collaborative Services v. Prometheus Laboratories, Inc., 132 S. Ct. 1289 (2012) [hereinafter
“Mayo”], the Supreme Court granted certiorari as requested by the Association for Molecular
Pathology et al., vacated Myriad I, and remanded to the Federal Circuit for reconsideration under
Mayo. 132 S. Ct. 1794 (2012). The Federal Circuit again held Claim 20 patent eligible because
it comprises a step of “growing host cells transformed with an altered BRCA1 gene”—”altering
a cell to include a foreign gene, resulting in a man-made, transformed cell with enhanced
function and utility.” Ass’n for Molecular Pathology v. U.S. Pat. & Trademark Off., 689 F.3d
1303, 1336 (Fed. Cir. 2012) (emphasis in original) [hereinafter “Myriad II”].
The ultimate question of patentability of the invention defined by Claim 20 is not before
the Court; the question before the Court relates specifically to patent eligibility of the claim. The
Federal Circuit concluded that Claim 20 “applies certain steps to transformed cells that . . . are a
product of man, not of nature.” Myriad II, 689 F.3d at 1336. The Section of Intellectual Property
recommends support of the Federal Circuit’s position that respondent’s claims include steps
directed to transformed, man-made subject matter and are therefore patent-eligible subject
matter.
The Section of Intellectual Property Law recommends that the Association support a
position that a claimed process is patent eligible under Section 101 where the claimed process as
a whole, other than a mental process, is limited to a specific application of a law of nature, a
natural phenomenon, or an abstract idea, or alternatively where the claimed process requires or
involves a transformation of matter.
At the 2009 Annual Meeting, the House of Delegates approved a resolution supporting application by the Supreme
Court of incremental development of jurisprudential doctrine for determining patent eligibility, opposing fixed and
specific requirements for such eligibility, and specifically opposing a requirement that a process be tied to a specific
machine or transform an article into a different state or thing to be patent eligible. The decision of the Supreme
Court in the case that prompted the development of the ABA policy was consistent with the policy adopted by the
HOD, in both result and rationale. Bilski v. Kappos, 130 S. Ct. 3218 (2010).
At the 2004 Annual Meeting, the House of Delegates approved a recommendation opposing limitations on the scope
of patentable subject matter beyond those set forth in 35 U.S.C. § 101, and specifically opposing statutory restriction
on the use of USPTO appropriated funds if that restriction has the effect of imposing additional subject matter
limitations on patent eligibility.
These four ABA policies are similar to the current recommendation in that all address the same broad issues of
patent eligibility.
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The Section further recommends that the determination of subject matter eligibility for
patenting under Section 101 should be resolved separately and independently from other
conditions and requirements for determining patentability under Sections 102, 103, as well as
criteria required for obtaining a valid patent under Section 112. Thus, the Section recommends
opposing a subject matter eligibility analysis which imports the requirements of any of Sections
102, 103, or 112 into the requirements for Section 101.
Claim 20 of the Myriad patent reads as follows:
20. A method for screening potential cancer therapeutics which comprises:
growing a transformed eukaryotic host cell containing an altered BRCA1 gene
causing cancer in the presence of a compound suspected of being a cancer
therapeutic,
growing said transformed eukaryotic host cell in the absence of said
compound,
determining the rate of growth of said host cell in the presence of said
compound and the rate of growth of said host cell in the absence of said
compound and
comparing the growth rate of said host cells, wherein a slower rate of growth
of said host cell in the presence of said compound is indicative of a cancer
therapeutic.
The method defined by this claim involves screening a compound to determine its
potential as a cancer therapeutic by growing host cells transformed with a man-made altered
breast cancer gene in the presence and absence of the compound and comparing the growth rate.
The petitioner argues that Claim 20 “patents the basic scientific process of observing the
naturally-occurring growth rate of a cell with a BRCA1 mutation” and does not specify any
inventive steps, tools, or compound. Pet. for Cert., p. 8. Thus, according to the petitioner, Claim
20 is similar to the claims which were held patent ineligible in Mayo, as both Claim 20 and the
claims in Mayo “involve[d] examining a . . . cell’s natural reaction to any potential drug.” Pet.
for Cert., p. 31. The petitioner contends that the Federal Circuit erred when it found that Claim
20 relates to measuring how the drug affects a transformed call as opposed to the patient’s body,
thereby distinguishing the two types of claims and finding Mayo irrelevant to Claim 20’s
eligibility. The petitioner argues that the distinction is incorrect because Claim 20 “does not
require that the cell be transformed by the patent holder.” Pet. for Cert., p. 32. Comparing a
compound’s effect on cell growth is conventional and thus not patent eligible.
The petition for certiorari filed in this case stated the questions presented by the appeal
as follows:
Many patients seek genetic testing to see if they have mutations in
their genes that are associated with a significantly increased risk of breast
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or ovarian cancer. Respondent Myriad Genetics obtained patents on two
human genes that correlate to this risk, known as BRCA1 and BRCA2.
These patents claim every naturally-occurring version of those genes,
including mutations, on the theory that Myriad invented something patent
eligible simply by removing (“isolating”) the genes from the body.
Petitioners are primarily medical professionals who regularly use routine,
conventional genetic testing methods to examine genes, but are prohibited
from examining the human genes that Myriad claims to own. This case
therefore presents the following question:
1.
Are human genes patentable?
2.
Did the court of appeals err in upholding a method claim by
Myriad that is irreconcilable with this Court’s ruling in Mayo
Collaborative Servs. v. Prometheus Labs., Inc., 132 S. Ct. 1289 (2012)?
3. Did the court of appeals err in adopting a new and inflexible rule,
contrary to normal standing rules and this Court’s decision in
MedImmune, Inc. v. Genentech, Inc., 549 U.S. 118 (2007), that petitioners
who have been indisputably deterred by Myriad’s “active enforcement” of
its patent rights nonetheless lack standing to challenge those patents absent
evidence that they have been personally threatened with an infringement
action?
The November 30 order of the Supreme Court granted certiorari only to Question 1. The
policy proposed in the first, third, and fourth paragraphs of this resolution is particularly
applicable to Question 1. Given the breadth of Question 1 and the interrelationship of
composition of matter claims and process or method claims in circumstances such as
those present in the Myriad litigation, the Supreme Court’s disposition of the case may
inform the patent-eligibility of such process claims generally and may also impact the
patent-eligibility of Claim 20.3 The policy proposed in this resolution would also be
applicable in any future litigation or legislative reform involving the same issues.
The petitioner’s primary argument is that, if valid, Claim 20 would preempt researchers from
using this technology to find cancer treatments, and therefore is contrary to Supreme Court
precedent.
The Federal Circuit interpreted Claim 20 to comprise a transformative step—growing
transformed cells. The Section of Intellectual Property Law believes that the claims define
patent eligible subject matter. Contrary to petitioner’s argument, the method defined by claim
20, as construed by the Federal Circuit, when considered as a whole, is not a law of nature, a
3
Resolution 111, adopted by the House of Delegates at the 2011 Midyear Meeting, provides authority for an ABA
amicus brief addressing the issues of patent-eligibility of the Myriad claims relating to DNA compounds, which are
patent-eligible under section 101 provisions relating to compositions of matter. As noted in footnote 1 of this report,
Resolution 111 addressed only composition of matter claims.
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natural phenomenon, or an abstract idea—subject matter which the Supreme Court has held are
the only limitations on the scope of patent eligible subject matter under Section 101. Bilski, 130
S. Ct. at 3225. Instead, Claim 20 requires a transformative step, which does not fall within any
of the three categories mentioned above as the only limitations on the scope of patent eligible
subject matter under Section 101. The Section recommends that the Association take no position
on whether Claim 20 complies with the other patentability criteria under the statute, namely
Sections 102, 103, and 112. Patent eligibility for such methods is important to incentivize
investment into the research and development.
The Court of Appeals Decisions
In its July 2011 decision, the Federal Circuit reversed the district court’s summary
judgment that Claim 20 was not patent eligible under Section 101. Myriad I, 653 F.3d at 135758. To determine patent eligibility, the Myriad court began with the machine-or-transformation
test set forth in its decision in In re Bilski, 545 F.3d 943 (Fed. Cir. 2008) (en banc), aff’d, Bilski
v. Kappos, 130 S. Ct. 3218 (2010).4 Under that test, “A claimed process is surely patent-eligible
under § 101 if: (1) it is tied to a particular machine or apparatus, or (2) it transforms a particular
article into a different state or thing.” Id. at 954. The Supreme Court later clarified that the
machine-or-transformation test is not the sole test for patent eligibility, but may be an important
and useful clue. Bilski, 130 S. Ct. at 3221.
According to Myriad I, the first step of Claim 20 was a transformative growing of cells, a
step which caused a physical manipulation of the cells. The second step, determining the growth
rate of the cells, was also transformative because it, too, required physical manipulation of the
cells. In that step, “determining” referred to an assay or physical test which measured the
quantity of cells. Furthermore, the transformative steps were not extra-solution activities or
merely data gathering steps, but instead, those steps were found to be central to the goal of the
process. The court also reviewed whether the claims fell into the prohibited categories,
determining that the claim was not “so ‘manifestly abstract’ as to claim only a scientific
principle, and not a patent-eligible process.” Prometheus, 628 F.3d at 1358 (citing Research
Corp. Techs., Inc. v. Microsoft Corp., 627 F.3d 859, 869 (Fed. Cir. 2010). Thus, the court held
that Claim 20 claimed patentable subject matter under Section 101.
Following the decision in Myriad I, the Association for Molecular Pathology et al. filed a
petition for certiorari with the Supreme Court.
In March 2012, while the Myriad I petition for certiorari was pending, the Supreme Court
issued its decision in Mayo. In that decision, the Supreme Court reiterated its earlier statement in
In re Bilski that the Federal Circuit’s “machine or transformation” test, while providing a
valuable clue in determining whether a patent claim is directed to patent-eligible subject matter,
The Mayo Court specifically noted prior cases in which it discussed transformations (“Transformation and
reduction of an article to a different state or thing is the clue to the patentability of a process claim that does not
include particular machines.” Mayo, 132 S. Ct. at 1302 (citing Gottschalk v. Benson, 409 U.S. 63 (1972); see also
Bilski, 130 S. Ct. at 3227; Diamond v. Diehr, 450 U.S. 175, 184 (1981); Parker v. Flook, 437 U.S. 584, 589 (1978);
Cochrane v. Deener, 94 U.S. 780, 788 (1877))).
4
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is not the sole test for Section 101 compliance. Mayo, 132 S. Ct. 1289, 1296 (citing In re Bilski,
130 S. Ct. 3218, 3221 (2010)).
The claims in Mayo dealt with a process for optimizing the therapeutic efficacy of a
method for treating an immune-mediated gastrointestinal disorder, such as Crohn’s disease. A
representative claim of the Prometheus patent reads as follows:
A method of optimizing therapeutic efficacy for treatment of an immunemediated gastrointestinal disorder, comprising:
(a) administering a drug providing 6-thioguanine to a subject having
said immune-mediated gastrointestinal disorder; and
(b) determining the level of 6-thioguanine in said subject having said
immune-mediated gastrointestinal disorder,
wherein the level of 6-thioguanine less than about 230 pmol per
8 x 108 red blood cells indicates a need to increase the amount of said
drug subsequently administered to said subject and
wherein the level of 6-thioguanine greater than about 400 pmol per
8 x 108 red blood cells indicates a need to decrease the amount of said
drug subsequently administered to said subject.
In general, the method defined by this claim involved the administration of a pro-drug,
such as a 6-mercaptopurine, to a patient suffering from immune-mediated gastrointestinal
disorders. According to the patent, the pro-drug is metabolized in the human body to certain
metabolites, such as 6-thioguanine. The patent indicated that patients treated with these types of
drugs sometimes experienced toxic side effects if the dosage were too high or lack of efficacy if
the dosage were too low. To solve that problem, the patent described a process that involved
administering the pro-drug, determining the level of the metabolite in the bloodstream and
comparing the metabolite blood levels to certain established minimum and maximum values,
such that the dosage could be optimized to ensure therapeutic efficacy with minimal side effects.
Similar to Myriad I, the Federal Circuit had held that the Mayo claims required
transformative steps—administering and determining. The Supreme Court disagreed. Finding
the claims patent ineligible, the Court explained:
First, the “administering” step simply refers to the relevant
audience, namely doctors who treat patients with certain diseases with
thiopurine drugs. That audience is a pre-existing audience; doctors used
thiopurine drugs to treat patients suffering from autoimmune disorders
long before anyone asserted these claims. In any event, the “prohibition
against patenting abstract ideas ‘cannot be circumvented by attempting to
limit the use of the formula to a particular technological environment.’”
Bilski, supra, at ___, 130 S. Ct. 3218, 3225 [2010] (quoting Diehr, 450
U.S., at 191-92, 101 S. Ct. 1048).
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Second, the “wherein” clauses simply tell a doctor about the
relevant natural laws, at most adding a suggestion that he should take
those laws into account when treating his patient. That is to say, these
clauses tell the relevant audience about the laws while trusting them to use
those laws appropriately where they are relevant to their decision making
(rather like Einstein telling linear accelerator operators about his basic law
and then trusting them to use it where relevant).
Third, the “determining” step tells the doctor to determine the level
of the relevant metabolites in the blood, through whatever process the
doctor or the laboratory wishes to use. As the patents state, methods for
determining metabolite levels were well known in the art. ‘623 patent, col.
9, ll. 12-65, 2 App. 11. Indeed, scientists routinely measured metabolites
as part of their investigations into the relationships between metabolite
levels and efficacy and toxicity of thiopurine compounds. ‘623 patent, col.
8, ll. 37-40, id., at 10. Thus, this step tells doctors to engage in well
understood, routine, conventional activity previously engaged in by
scientists who work in the field. Purely “conventional or obvious”
“[pre]solution activity” is normally not sufficient to transform an
unpatentable law of nature into a patent eligible application of such a law.
Flook, 437 U.S., at 590, 98 S. Ct. 2522; see also Bilski, 561 U. S., at ___,
130 S. Ct. 3218, 3225 (“[T]he prohibition against patenting abstract ideas
‘cannot be circumvented by’ . . . adding ‘insignificant post-solution
activity’” (quoting Diehr, supra, at 191-192, 101 S. Ct. 1048)).
***
[T]he claims inform a relevant audience about certain laws of nature; any
additional steps consist of well understood, routine, conventional activity
already engaged in by the scientific community; and those steps, when
viewed as a whole, add nothing significant beyond the sum of their parts
taken separately. For these reasons we believe that the steps are not
sufficient to transform unpatentable natural correlations into patentable
applications of those regularities.
Mayo, 132 S. Ct. at 1297-98 (parallel citations omitted).
Following its decision in Mayo, the Supreme Court granted certiorari in Myriad I, and
summarily vacated and remanded the decision, with instructions that the Federal Circuit
reconsider its decision in light of the Supreme Court’s decision in Mayo. On August 16, 2012,
the Federal Circuit issued its decision in Myriad II, again finding Claim 20 to be drawn to patent
eligible subject matter.
The Federal Circuit again found Claim 20 patent eligible under Section 101 because it
comprises a step of “growing host cells transformed with an altered BRCA1 gene”—”altering a
cell to include a foreign gene, resulting in a man-made, transformed cell with enhanced function
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and utility.” Myriad II, 689 F.3d at 1336. Comparing Claim 20 to Mayo, the Federal Circuit
stated:
The Court, in its evaluation of the Mayo method claims, found that the
additional steps of those claims were not sufficient to “transform” the nature
of the claims from mere expression of natural laws to patent-eligible subject
matter. By definition, however, performing operations, even known types of
steps, on, or to create, novel, i.e., transformed subject matter is the stuff of
which most process or method invention consists. All chemical processes, for
example, consist of hydrolyzing, hydrogenating, reacting, etc. In situations
where the objects or results of such steps are novel and nonobvious, they
should be patent-eligible. It is rare that a new reaction or method is invented;
much process activity is to make new compounds or products using
established processes. Thus, once one has determined that a claimed
composition of matter is patent-eligible subject matter, applying various
known types of procedures to it is not merely applying conventional steps to a
law of nature. The transformed, man-made nature of the underlying subject
matter in claim 20 makes the claim patent-eligible. The fact that the claim
also includes the steps of determining the cells’ growth rates and comparing
growth rates does not change the fact that the claim is based on a man-made,
non-naturally occurring transformed cell—patent-eligible subject matter.
Id. at 1336 (emphasis added).
Additionally, the Federal Circuit held that Claim 20 does not preempt all methods for
determining the therapeutic effect of a potential compound. Instead, it is specifically related to
certain host cells transformed with a certain gene. Thus, the court found Claim 20 to be patent
eligible subject matter under Section 101. Id. at 1337.
Inventions Should Not Be Denied Patent Eligibility Under Section 101 Where the Claimed
Process Is Limited to a Specific Application of a Law of Nature, Natural Phenomenon, or
Abstract Idea, or Where the Claimed Process Requires or Involves a Transformation of
Matter.
As the Supreme Court held in Bilski, a broad reading of Section 101 is mandated by both
the expansive text of the statute and Supreme Court precedent. The Supreme Court’s precedents
provide three specific exceptions to the broad patent-eligibility principles of Section 101: laws of
nature, natural phenomena, and abstract ideas. The Supreme Court has held that “these
exceptions have defined the reach of the statute as a matter of statutory stare decisis going back
150 years.” Bilski, 130 S. Ct. at 3225 (citation omitted).
A broad reading of Section 101 is also supported by the fact that “[t]he § 101 patenteligibility inquiry is only a threshold test.” Bilski, 130 S. Ct. at 3225; see also 35 U.S.C. § 101 (a
claim drawn to patent eligible subject matter is entitled to a patent only “subject to the conditions
and requirements of this title”). Thus, Section 101 is a coarse filter, with more rigorous
patentability analysis required by 35 U.S.C. §§ 102 (novelty) and 103 (non-obviousness), and
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conditions for a valid patent under § 112 (adequate written description and enablement support,
best mode disclosure and definiteness of claim language).
The petitioner challenges the claim at issue here by arguing that Claim 20, like the claims
held by the Supreme Court to be patent ineligible subject matter in Mayo, involves examining the
natural reaction of a patient’s cell to a potential drug, broadly preempting the use of the process
to screen any potential cancer therapeutic. The Federal Circuit rejected this argument and held
that Claim 20 applies certain process steps to transformed cells—cells which are man-made, not
natural—and does not preempt all use of the process. The inclusion of a transformation of
matter removes the claim from the three categories of excluded subject matter, passing the coarse
filter requirement for patent eligible subject matter under Section 101. Thus, as long as the
patent does not claim or preempt purely natural phenomena, methods or processes for screening
potential therapeutics should be patent eligible under Section 101.
The claim at issue, when considered as a whole, does not cover prohibited laws of nature,
natural phenomena, or abstract ideas. The first two steps of the claim require growing of host
cells transformed with a specific altered gene in the presence or absence of a potentially
therapeutic compound. This transformative “growing” step does not occur in nature because the
cell which is grown does not occur in nature; an altered cell is required by the claim It requires a
man-made object upon which to act. This step necessarily falls outside of the three exclusions
for patent eligible subject matter laid out by Supreme Court precedent, thereby meeting the
requirement for patent eligibility under Section 101. Whether the claim is overly broad under the
statute (and therefore invalid) is a patentability issue under Sections 102, 103 and 112, and not a
patent eligibility issue under Section 101.
The Analysis of Patent Eligible Subject Matter Under Section 101 Should Be a Separate
and Distinct Analysis from a Patentability Analysis Under 35 U.S.C. §§ 102 or 103 or the
Analysis of Conditions for Obtaining a Valid Patent Under Section 112.
In Mayo, the Supreme Court provided additional commentary relating to “further
arguments in support of Prometheus’ position” which did not contribute to the holding of the
case. 132 S. Ct. at 1302-05. However, this commentary and its relation to the patent eligibility
analysis in the case has led to much discourse among patent practitioners regarding the
conflation of Section 101 with other sections of the patent law, particularly Sections 102, 103,
and 112. In view of this, the process for analysis of patent eligible subject matter under Section
101 needs to be clarified.
Title 35 provides separate and distinct sections for determining the types of inventions
which are (a) patent eligible (§ 101); (b) novel—a condition for patentability (§ 102); (c) nonobvious subject matter—another condition for patentability (§ 103); and (d) required conditions
for obtaining a valid patent (§ 112). Each of these requirements is laid out separately and
distinctly in the patent law. No section cross-references another section by stating that
conditions for the cross-referenced section must also be met in order to meet the conditions of
that particular section. Instead, the requirements are described as individual, non-dependent
requirements, all of which must be met to obtain a valid patent.
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The distinction between these requirements has been noted in court precedent as well.
The § 101 patent-eligibility inquiry is only a threshold test. Even
if an invention qualifies as a process, machine, manufacture, or
composition of matter, in order to receive the Patent Act’s protection the
claimed invention must also satisfy “the conditions and requirements of
this title.” § 101. Those requirements include that the invention be novel,
see § 102, nonobvious, see § 103, and fully and particularly described, see
§ 112.
Bilski, 130 S. Ct. at 3225. This “threshold test” argument was submitted by the U.S.
Government as amicus curiae in Mayo, saying that “virtually any step beyond a statement of a
law of nature itself should transform an unpatentable law of nature into a potentially patentable
application sufficient to satisfy § 101’s demands.” Mayo, 132 S. Ct. at 1303. Once the
minimum requirements for patent eligibility have been met, the other conditions for obtaining a
valid patent required by Sections 102, 103 and 112 may be adequately used to determine
patentability and validity.
The Mayo court responded to the Government’s threshold test argument, saying:
We recognize that, in evaluating the significance of additional
steps, the § 101 patent eligibility inquiry and, say, the § 102 novelty
inquiry might sometimes overlap. But that need not always be so. And to
shift the patent eligibility inquiry entirely to these later sections risks
creating significantly greater legal uncertainty, while assuming that those
sections can do work that they are not equipped to do.
Id. at 1304. This dicta in Mayo has disrupted the settled precedent, which states:
It has been urged that novelty is an appropriate consideration under
§ 101. Presumably, this argument results from the language in § 101
referring to any “new and useful” process, machine, etc. Section 101,
however, is a general statement of the type of subject matter that is eligible
for patent protection “subject to the conditions and requirements of this
title.” Specific conditions for patentability follow and § 102 covers in
detail the conditions relating to novelty. The question therefore of
whether a particular invention is novel is “wholly apart from whether the
invention falls into a category of statutory subject matter.” In re Bergy,
596 F.2d 952, 961 (CC.P.A. 1979) (emphasis deleted). See also Nickola v.
Peterson, 580 F.2d 898 (6th Cir. 1978). The legislative history of the
1952 Patent Act is in accord with this reasoning. The Senate Report
stated:
Section 101 sets forth the subject matter that can be patented,
‘subject to the conditions and requirements of this title.’ The
conditions under which a patent may be obtained follow, and
Section 102 covers the conditions relating to novelty.”
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S. Rep. No. 1979, 82d Cong., 2d Sess., 5 (1952) (emphasis supplied).
It is later stated in the same Report: “Section 102, in general, may
be said to describe the statutory novelty required for patentability, and
includes, in effect, an amplification and definition of ‘new’ in section
101.” Id. at 6.
Finally, it is stated in the “Revision Notes”: “The corresponding
section of [the] existing statute is split into two sections, section 101
relating to the subject matter for which patents may be obtained, and
section 102 defining statutory novelty and stating other conditions for
patentability.” Id. at 17.
In this case, it may later be determined that the respondents’
process is not deserving of patent protection because it fails to satisfy the
statutory conditions of novelty under § 102 or nonobviousness under
§ 103. A rejection on either of these grounds does not affect the
determination that respondents’ claims recited subject matter which was
eligible for patent protection under § 101.
Diamond v. Diehr, 450 U.S. 175, 190-91 (1981). Based on Supreme Court precedent and
legislative history, clearly, the different sections of Title 35 are separate and distinct
requirements. Contrary to the dicta in Mayo, the analysis of patent eligibility for subject matter
of a claimed invention under Section 101 should not overlap with the analyses of patentability
under Sections 102 and 103 or the requirements for obtaining a valid patent under Section 112.
To conflate any one of these requirements with another would violate the principle of stare
decisis and frustrate the legislative intent of the Patent Act.
Because Sections 101, 102, 103, and 112 are separate and distinct inquiries which should
be resolved independently from one another, the Section of Intellectual Property recommends
opposing any formulation of a patent eligibility test under Section 101 that imports into the
patent eligibility analysis the criteria or analysis for determining patentability addressed by
Sections 102 and 103, as well as the criteria required for obtaining a valid patent under Section
112.
Conclusion
A process such as that in Claim 20 does not fall within the noted exclusions from patent
eligible subject matter. Contrary to the petitioner’s arguments, Claim 20 involves more than a
law of nature, natural phenomenon, or abstract idea; it requires a transformative step on a manmade host cell which has been transformed to include a specific altered gene. Nor does it
preempt all use of a law of, natural phenomenon, or abstract idea. This process is used to screen
potential drugs by growing man-made cells. A basic purpose of the patent system is to provide
an economic incentive to inventors and investors to discover and develop new methods and
products for the overall benefit of society. Denying patent eligibility to methods that involve a
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transformative step simply because the methods involve genes and cells—even man-made genes
and cells—would remove this incentive.
Respectfully submitted,
Joseph M. Potenza, Chair
Section of Intellectual Property Law
February 2013
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GENERAL INFORMATION FORM
Submitting Entity:
Section of Intellectual Property Law
Submitted by:
Joseph M. Potenza, Section Chair
1.
Summary of Resolution.
The resolution calls for the Association to adopt policy relating to determining the scope
of subject matter that is eligible for patenting under the Patent Act and judicial
interpretations of that Act. The resolution begins with recognition that laws of nature,
physical phenomena and abstract ideas are not eligible for patenting as a process, even if
they had been previously unknown or unrecognized. The resolution supports the
principle that a patent claim limited to a specific application of a law of nature or physical
phenomena meets the requirements of Section 101 and that a patent which requires or
involves a transformation of matter also meets the requirements of Section 101. Finally,
the resolution opposes application of a patent eligibility test under section 101 that
imports into the patent eligibility analysis the criteria for determining patentability under
Sections 102 or 103 or the conditions for obtaining a valid patent under Section 112.
2.
Approval by Submitting Entity.
The Section Council approved the resolution on November 9, 2012.
3.
Has This or a Similar Recommendation Been Submitted to the House of Delegates or
Board of Governors Previously?
The House of Delegates has previously adopted recommendations relating to subject
matter eligible for patenting.
a. At the 2011 Midyear Meeting, the House of Delegates approved Resolution 111,
which was developed to provide policy for ABA participation at an earlier stage of
this Myriad litigation. That policy supports continued recognition that laws of nature,
abstract ideas, and physical phenomena are not eligible for patenting. The policy also
supports treating isolated DNA compounds no differently from other materials in
determining patent eligibility, and opposes per se disqualification of isolated DNA
compounds that do not occur in nature in the isolated form.
b. At its 2011 Annual Meeting, the House of Delegates approved Resolution 304B. Like
Resolution 111 and the current proposed resolution, Resolution 304B supports the
continued exclusion of laws of nature, natural phenomena, and abstract ideas from
patent eligibility, and further supports continued inclusion of new applications of such
patent ineligible subject matter where the application manifests itself in a process,
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machine, manufacture, or composition of matter including a process other than a
mental process for the treatment of a particular disease or other medical condition.
c. At the 2009 Annual Meeting, the House of Delegates approved a resolution
supporting application by the Supreme Court of incremental development of doctrine
for determining patent eligibility, opposing fixed and specific requirements there for,
and specifically opposing a requirement that a process be tied to a specific machine or
transform an article into a different state or thing to be patent eligible.
d. At the 2004 Annual Meeting, the House of Delegates approved a recommendation
opposing limitations on the scope of patentable subject matter beyond those set forth
in 35 U.S.C. § 101, and specifically opposing statutory restriction on the use of
USPTO appropriated funds if that restriction has the effect of imposing additional
subject matter limitations on patent eligibility.
4.
What Existing Association Policies are Relevant to This Recommendation and How
Would They be Affected by its Adoption?
The policies referenced in paragraph 3 are similar to this recommendation in that they all
address the same broad issue of patent eligibility. The policy described in 3a is directly
relevant to the proposed policy and relates to the same patents, except that Resolution
111 relates to claims to compositions of matter, and the current proposal to process
claims. None of the policies in paragraph 3 would be affected by the adoption of the
current proposal.
5.
What Urgency Exists Which Requires Action at This Meeting of the House?
On September 24, 2012, a petition for a writ of certiorari to review a decision of the U.S.
Court of Appeals for the Federal Circuit in a case that addresses the issues that are the
subject of this proposed resolution was submitted to the U.S. Supreme Court. On
November 30, the Court granted the petition for certiorari, limited to Question 1 of the
petition, which challenges the patent-eligibility of human genes. The resolution would
support the filing of an ABA brief amicus curiae on that Question 1, as well as on the
related issue of patent-eligibility of process claims, including the process for screening
potential cancer therapeutics using altered genes that is at issue in this case. The ABA
filed a brief amicus curiae in this case at the Court of Appeals for the Federal Circuit;
however, the specific claim at issue in this report was not addressed in that brief. The
report cannot be considered by the House of Delegates at a time later than the 2013
Midyear Meeting in that the deadline for filing an amicus brief on the merits will be
reached before the next meeting of the House of Delegates.
6.
Status of Legislation. (If applicable.)
None.
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7.
Brief explanation regarding plans for implementation of the policy, if adopted by the
House of Delegates.
The policy would support the filing of an ABA amicus brief in a case currently pending
in the U.S. Supreme Court, or in another appropriate case presenting the issues addressed
in the policy.
8.
Cost to the Association (both direct and indirect costs).
Adoption of the recommendations would not result in additional direct or indirect costs to
the Association.
9.
Disclosure of Interest
There are no known conflicts of interest with regard to this recommendation.
10.
Referrals
This recommendation is being distributed to each of the Sections and Divisions and
Standing Committees of the Association.
11.
Contact Person (prior to meeting)
Donald R. Dunner
Section Delegate to the House of Delegates
Finnegan, Henderson, Farabow,
Garrett & Dunner LLP
901 New York Avenue, N.W.
Washington, DC 20001-4413
Ph: 202 408-4062
Fax: 202 408-4400
don.dunner@finnegan.com
cell: 202 251-1893
12 .
Contact Persons (who will present the report to the House)
Donald R. Dunner (See item 11 above)
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EXECUTIVE SUMMARY
1.
Summary of the Resolution
The resolution calls for the Association to adopt policy relating to determining the scope
of subject matter that is eligible for patenting under the Patent Act and judicial
interpretations of that Act. The resolution begins with recognition that laws of nature,
physical phenomena and abstract ideas are not eligible for patenting as a process, even if
they had been previously unknown or unrecognized. The resolution supports the principle
that a patent claim limited to a specific application of a law of nature or physical
phenomena meets the requirements of Section 101 and that a patent which requires or
involves a transformation of matter also meet the requirements of Section 101. Finally,
the resolution opposes formulation of a patent eligibility test which adds the criteria for
determining patentability under Sections 102 or 103 or the conditions for obtaining a
valid patent under Section 112 into the patent eligibility analysis.
2.
Summary of the Issue that the Resolution Addresses
On September 24, 2012, the Association for Molecular Pathology et al. filed a petition for
writ of certiorari with the Supreme Court to review a decision of the U.S. Court of
Appeals for the Federal Circuit that presents the issue that is addressed in the policy.
Ass’n for Molecular Pathology v. Myriad Genetics Inc., Case No. 12-398; decision below
Ass’n for Molecular Pathology v. U.S. Pat. & Trademark Off., 689 F.3d 1303 (Fed. Cir.
2012). On November 30, the Supreme Court granted a writ of certiorari. The issue
addressed in the Resolution is the eligibility for patenting of a process for screening
potential cancer therapeutic compounds. The Federal Circuit held the claim at issue to be
patent-eligible subject matter under § 101. The petitioner urges reversal of the decision,
on grounds that the claim seeks to patent and monopolize the natural biological
relationship of growing cells and does not require a transformative step. Petitioner asserts
that the claims are directed to laws of nature, which the Supreme Court has held to be
ineligible for patenting.
3.
Please Explain How the Proposed Policy Position Will Address the Issue
The policy would support the filing of an ABA brief amicus curiae addressing the issue
of subject matter patent eligibility generally, the overall means of analysis of patent
eligibility compared to the analysis of other conditions required for a valid patent, and
eligibility in the specific circumstances presented in this case. The policy would support a
brief taking the position that a claim is patent eligible where that claim requires or
involves a transformation of matter. The policy also supports a brief differentiating the
analysis of patent eligibility under Section 101 and other sections with conditions for
obtaining a valid patent including Sections 102, 103, and 112.
4.
Summary of Minority Views
None known at this time.
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