• ACIThe American Conference Institute (ACI) will be holding its 17th Annual Paragraph IV Disputes Conference on April 26-27, 2022, at the Intercontinental Hotel in New York City.  The conference starts each day at 8:00 am and ends at 6:00 pm on April 26th and 5:30 pm on April 27th.  Two workshops are offered on April 25th, starting at 9:30 am and 1:30 pm.

    The conference will open with an introduction by Co-Chairs Stephanie Donahue from Sanofi-Aventis and Lars Taavola from Mallinckrodt Pharmaceuticals.  This will be followed by an opening panel featuring Andre Iancu, former Director of the USPTO and partner at Irell & Mandela LLP, Jay R. Deshmukr from Kasowitz Benson Torres, and Nicholas Groombridge from Paul, Weiss, Rifkin Wharton & Garrison LLP.  There will also be a keynote from Beckey Egeland from the Federal Trade Commission.

    ACI faculty will give presentations on:

    • Holistic Litigation Strategies for Strengthening or Defeating a Written Description Invalidity Defense, featuring a discussion of Biogen Int'l GmbH v. Mylan Pharmaceuticals
    • The Future of Inducement Claims in the Hatch-Waxman Context: Reconciling the Demarcation Between Describing and Infringing Use and Encouraging That Use in a Label
    • The Costs and the Consequences of Determining Venue Post-Valeant v. Mylan: Coordinating Multiple ANDA Suits through MDLs
    • Brand and Generic Perspectives on the Latest FDA Initiatives Impacting Pharmaceutical Patents
    • Restrictions on Reverse-Payment Settlements: Non-Monetary Settlements and Expert Testimony on the Merits
    • A Parallel Proceedings Think Tank: Winning Strategies for Navigating the District Court and Inter Partes Review (IPR)
    • Restrictions on Reverse-Payment Settlements: Non-Monetary Settlements and Expert Testimony on the Merits
    • The Ethical Practice of Paragraph IV Litigation: New Developments Impacting Professional Responsibility in the Hatch-Waxman Arena

    Breakout sessions will discuss several aspects on the Business and Practice of Paragraph IV Disputes involving cross-border business considerations, advanced pleadings drafting, the economics of Paragraph IV challenges, the use of expert witnesses in parallel proceedings, monitoring legal spending and budgets, seeking damages and value calculations assessments, communicating value and coordination between corporate and outside counsel, and a risk-benefit analysis of joint defense groups.

    Conferees will hear from judges from each of the relevant tribunals.  The Honorable Kathleen M. O’Malley from the Federal Circuit will be interviewed by the Honorable Mary Pat Thynge, Chief Magistrate Judge of the U.S. District Court of Delaware.  There will be a View from the Bench, featuring the Honorable Julien Xavier Neals of the U.S. District Court of New Jersey and the Honorable Mitchell S. Goldberg of the U.S. District Court of Pennsylvania, moderated by Rachel L. Pernic Waldron from Rakoczy Molino Mazzochi Siwik LLP and Gregory A. Morris from Honigman LLP.  The Honorable Jacqueline Write Bonilla, Deputy Chief Administrative Patent Judge at the PTAB will discuss Practice, Policy, and Procedure in the World of Pharmaceutical Patent Validity Changes.  A cocktail reception will follow the Judges' remarks on April 26th.

    The workshops offered on April 25th are Workshop A, Comparative Analysis of Drug Patent Linkage Systems in China and the United States, and Workshop B, Diversity, Equity, and Inclusion: Implementing Change and Expanding Innovation.  Workshop A will be presented by Jiazhong (Jason) Luo of Duane Morris LLP and Ningling Wang of Finnegan, Henderson, Farabow, Garrett & Dunner LLP.  Workshop B will be presented by Mira A. Mulvaney of Eli Lilly & Co. and Serena Farquharson-Torres of Bristol Myers Squibb.  The workshops are available as in-person events only.

    An agenda for the conference and additional information regarding the workshops can be found here.  A complete brochure for this conference, including an agenda, detailed descriptions of conference sessions, list of speakers, and registration form can be obtained here.

    The registration fee for the in-person conference is $2,395 (paid registration by April 26th), with a special in-house counsel rate of $1,895.  The livestream virtual conference fees are $2,095,and $1,595 for in-house counsel.  Workshop A is an additional $600 and Workshop B is an additional $400.  Patent Docs readers are entitled to a 10% discount off of registration using discount code D10-896-896EX03.  Those interested in registering for the conference can do so here, by e-mailing customerservice@americanconference.com, or by calling 1-888-224-2480.

    Patent Docs is a media partner of ACI's 17th Annual Paragraph IV Disputes Conference.

  • By Donald Zuhn

    Russia FlagIn a Resolution issued on March 6, 2022, the Russian Federation introduced an amendment to the methodology for determining the amount of compensation to be paid to certain patent holders for the use of an invention, utility model, or industrial design without the patent owner's consent.  In particular, for patent holders who are "associated with foreign states" that commit "unfriendly actions" in relation to Russian legal persons and individuals, the amount of compensation to be awarded to the patent holder for the unauthorized use an invention, utility model, or industrial design shall be "0 percent of the actual proceeds" derived from the production and sale of goods or performance of work and provision of services related to the use of the invention, utility model, or industrial design.  The Resolution, which took effect as of the date of its publication, specifies that patent holders will be considered to be associated with foreign states for the purposes of the Resolution when the patent holders have citizenship of such states or their place of registration, primary business activities, or primary profit-making activities are located in such states.

    A list of states that Russia has deemed to have committed "unfriendly actions" in relation to Russian legal persons and individuals is set forth in an Order that was issued by the Russian Federation on March 5, 2022.  In particular, the Order indicates that the following foreign states and territories committed unfriendly actions:

    Australia
    Albania
    Andorra
    Great Britain — including the island of Jersey and the territories of Anguilla, British Virgin Islands, and Gibraltar
    Member States of the European Union
    Iceland
    Canada
    Liechtenstein
    Micronesia
    Monaco
    New Zealand
    Norway
    The Republic of Korea
    San Marino
    North Macedonia
    Singapore
    United States of America
    Taiwan (China)
    Ukraine
    Montenegro
    Switzerland
    Japan

    A machine translation of the Resolution can be found here, and a machine translation of the Order can be found here.

    Hat tip to fellow MBHB partner Aaron Gin for alerting us to the Resolution and Order and for obtaining machine translations of the documents, and to the Baker McKenzie Sanctions & Export Controls Update blog for reporting on the Resolution and Order (see Denis Khabarov, Margarita Divina, and Maxim Kalinin, "Russia adopts zero compensation to patent owners from unfriendly countries," Sanctions & Export Controls Update, March 10, 2022).

  • By Donald Zuhn –-

    Over the last week, the Ukrainian Institute of Intellectual Property (Ukrpatent) has been posting letters of support that it has received from other European patent offices.  Among the offices from which Ukrpatent has received such letters are the European Patent Office (EPO), the Patent Office of the Republic of Poland, the Industrial Property Office of the Slovak Republic, the Austrian Patent Office, and the Finnish Patent and Registration Office (PRH).

    Lithuania IP OfficeToday, Ukrpatent posted a letter of support that it received from the State Patent Bureau of the Republic of Lithuania.  In the letter, Acting Director Lina Mickiene begins by "express[ing] complete solidarity with you on behalf of me and my colleagues in the Lithuanian patent office," and declaring that "[w]e are shocked and appalled by the unjustified and illegal military aggression against your nation, your institutions, and people that is carried out by Russian Federation."  The Acting Director offers the State Patent Bureau's "sincere[] hope that these unjustified military actions by Russia, grossly violating not only international law but the principles of humanity itself, that are unimaginable in our times, will be stopped as soon as possible."  The letter also notes that the State Patent Bureau will make "all efforts to take any actions that are possible in the realm of our activities including those to avoid the loss of IP rights by the Ukrainian applicants and right holders," including an offer from State Patent Bureau employees to "contribute to any help they are able to provide in this situation."  The letter concludes by stating that the "Lithuanian office firmly stands with you in these unprecedented times, and our hearts go to your colleagues and all the Ukrainian nation," closing with the message: "Слава Україні!" (Glory to Ukraine!).

    EUIPOUkrpatent also posted a letter of support that it received from the European Union Intellectual Property Office (EUIPO), which is the EU agency responsible for registration of European Union trade marks (EUTM) and registered Community designs (RCD).  In the letter, Executive Director Christian Archambeau notes that "[t]he EUIPO stands with the Ukrainian people in this heart-breaking situation and supports them in their heroic efforts in fighting for democracy, their freedom and sovereignty."  In order to help safeguard Ukrainians' right to protect their IP, Executive Director Archambeau indicated that the EUIPO would grant Ukrainian applicants with a one-month extension of time, as of February 24, and will "review the need for further extensions and additional measures as we move forward."  The EUIPO also announced that it would "discontinue any international collaboration held in the framework of the Memorandum of Understanding signed on July 2017 with the Federal Service for Intellectual Property of the Ministry of Economic Development of the Russian Federation (Rospatent)," and "suspend any international collaboration held in the framework of the Memorandum of Understanding signed on March 2019 with Eurasian Patent Organization (EAPO), intergovernmental oragnisation with the participation of Russia and the Republic of Belarus."  Executive Director Archambeau closes the letter by reiterating that "the EUIPO stands with Ukrainian people and, like millions of our fellow Europeans, the desire of our staff community to do something tangible, is strong."  One tangible action taken by EUIPO staff has been to collect donations to be sent to the United Nations High Commissioner for Refugees (UNHCR) and the United Nations Children's Fund (UNICEF), which are "currently on the ground and working hard to provide help to refugees."

    The EUIPO also issued a separate statement in which it outlined the measures (discussed in its letter of support to Ukrpatent) which the EUIPO adopted "in response to the unprovoked and unjustified military aggression carried out by the Russian Federation against Ukraine, as well as to the disinformation and information manipulation actions by the Russian Federation and its associated outlets against the EU and its member states."  The EUIPO statement closed by declaring that:

    [T]he EUIPO joins the European Union in condemning, in the strongest possible terms, the Russian Federation's unprovoked and unjustified military aggression against Ukraine, and in demanding that Russia immediately ceases its military actions, unconditionally withdraws all forces and military equipment from the entire territory of Ukraine and fully respects Ukraine's territorial integrity, sovereignty and independence within its internationally recognised borders.

    For additional information regarding this and other related topics, please see:

    • "USPTO Terminates PPH with Rospatent and Terminates Engagement with NCIP," March 10, 2022
    • " Life Sciences Business Leaders Call for Immediate and Complete Economic Disengagement from Russia," March 9, 2022
    • "PRH Joins Other Patent Offices in Expressing Support for Ukraine," March 9, 2022
    • "USPTO Terminates Engagement with Rospatent and EAPO," March 7, 2022
    • "Ukrpatent Continues Normal Operations Despite Russian Aggression," March 6, 2022

  • By Donald Zuhn –-

    USPTO SealLast week, the U.S. Patent and Trademark Office announced that it was terminating engagement with officials from the Russian Federal Service for Intellectual Property (Rospatent) and Eurasian Patent Organization (EAPO), per guidance issued by the U.S. Department of State (see "USPTO Terminates Engagement with Rospatent and EAPO").

    In an email alert distributed to stakeholders earlier today, the USPTO announced that it will no longer grant requests to participate in the Global Patent Prosecution Highway (GPPH) at the USPTO when such requests are based on work performed by Rospatent as an Office of Earlier Examination under the GPPH.  The change is set to take effect on Friday, March 11, 2022.  Moreover, the USPTO noted that in pending cases in which it has already granted special status under the GPPH to applications based on work performed by Rospatent, the USPTO will remove that status and return those applications to the regular processing and examination queue.  Thus, those applications will no longer be treated as GPPH applications at the USPTO.  In its alert, the USPTO indicated that it had advised the Japan Patent Office (JPO), which serves as the Secretariat for the GPPH, of its decision.

    The USPTO also issued a news brief today in which the Office announced that it has now terminated engagement with officials from the national intellectual property office of Belarus (i.e., the National Center of Intellectual Property (NCIP)).  The news brief also addressed the termination of the GPPH with Rospatent.

  • By Donald Zuhn –-

    LS LetterIn an open letter posted on February 26, six life sciences business leaders called on other members of their industry "to cease all business involvement in Russia."  The authors of the open letter included Meg Alexander, Chief Corporate Affairs Officer, Ovid Therapeutics; Paul Hastings, President and CEO, Nkarta Therapeutics; Peter Kolchinsky, Managing Partner, RA Capital Management, LP; Jeremy Levin, Chairman and CEO, Ovid Therapeutics; Ted Love, President and CEO, Global Blood Therapeutics; and John Maraganore, Founding CEO, Alnylam Pharmaceuticals.

    The authors of the letter encouraged "employees at all levels of all industries in all countries" to add their names to letter, and urged them to share the letter with their colleagues, noting that "[e]ven if the executives who lead your company have not signed this pledge yet, your signature signals your support of them to do so."  As of 11:00 am ET today, the letter had collected 860 signatories (a full list of the signatories can be found here).

    The authors begin their letter by stating that they "are appalled by the unprovoked war started by Russia against its neighbor Ukraine," adding that "[t]his barbaric act will lead to substantial loss of life, trauma to millions of people, and the dislocation of civil society in a nation that has repeatedly expressed its peaceful intentions."  The authors conclude that "this is a criminal act deliberately committed by Russia," which will have ramifications that "touch the entire globe."

    Declaring that they "reject the actions ordered by President Putin and the failure of those who enable and embolden him," including "the captains of Russia's industries" who support him and stand by him, the authors urge those Russian business leaders "to collectively steer Russia towards peace."  However, noting that "[w]e must take action to make clear our abhorrence of Russia's actions," and arguing that "[i]mmediate and complete economic disengagement is required," they "call on all members of our industry, and others, to cease all business involvement in Russia" (including "other countries and their elites should they join Russia in its invasion of Ukraine").  In particular, the authors pledge to:

    • Cease investment in Russian companies and new investment within the borders of Russia
    • Reject investment from Russian funds
    • Halt collaboration or service agreements with Russian companies
    • Except for food and medicines, halt trade in goods with Russian companies

    The authors note that the above actions would be reversed "upon the restoration of peace and democracy in a sovereign Ukraine."

    The authors also ask their colleagues "in all the industries in the United States, including software, social media, IT, agriculture, legal and financial services, medical devices, medical instruments, and minerals, to take the same steps and withhold assistance to oligarchs who enable this war."

    The authors conclude their letter by commending "the brave Russians opposing their government at home" and expressing admiration for their courage, and declaring that:

    We stand with our colleagues, friends, and families in Ukraine bravely fighting the invading army.  We support you, and you are not alone.

  • By Donald Zuhn –-

    Last week, the Ukrainian Institute of Intellectual Property (Ukrpatent) began posting letters of support that it had received from other European patent offices.  Among the offices from which Ukrpatent has received such letters are the European Patent Office (EPO), the Patent Office of the Republic of Poland, the Industrial Property Office of the Slovak Republic, and the Austrian Patent Office (see "Ukrpatent Continues Normal Operations Despite Russian Aggression").

    PRH (Finnish Patent Office)Earlier today, Ukrpatent posted a message of solidarity it received from the Finnish Patent and Registration Office (PRH).  In the letter, PRH Director General Antti Riivari expresses PRH's "strong solidarity with the Ukrainian people and particularly with our colleagues and their families in the Ukrainian Patent and Trademark Office," and indicates that PRH "stand[s] together with the international community in support of Ukraine and its people."  The Director General declares that:

    During the past two weeks, we have witnessed in disbelief Ukraine and its people being subject to military aggression causing loss of life and suffering.  In addition to the humanitarian tragedy, we feel that the vision of an open Europe that fosters economic and social progress through collaboration, sharing of information, and knowledge has been shaken to the core.  The prospect of creating a safer, more peaceful environment both now and for future generations has been severely damaged.  We sincerely hope that peace is restored immediately.

  • USPTO SealBy Donald Zuhn –-

    On Friday, the U.S. Patent and Trademark Office issued a statement in which the Office indicated that it "has terminated engagement with officials from Russia's agency in charge of intellectual property, the Federal Service for Intellectual Property (commonly known as Rospatent), and with the Eurasian Patent Organization [EAPO]."  The Office noted that the termination of engagement with Rospatent and EAPO was in keeping with guidance issued by the U.S. Department of State.  The Office's statement concluded that "[l]ike so many, we are deeply saddened by the events unfolding in Ukraine.  We hope for the restoration of peace and human dignity."

  • By Kevin E. Noonan

    USPTO SealInventorship determinations have been called, in some of their incarnations, "one of the muddiest concepts in the muddy metaphysics of patent law."  Mueller Brass Co. v. Reading Indus., 352 F. Supp. 1357, 1372 (E.D. Pa. 1972), aff'd, 487 F.3d 1395 (3d Cir. 1983); see In re VerHoef, 888 F.3d 1362, 1365 (Fed. Cir. 2018) (quoting Mueller Brass Co., 352 F. Supp. at 1372).  Whatever complications may arise in "simple" inventorship determinations are amplified in interferences.  These determinations are further burdened by over a century of case law, both in the U.S. Patent and Trademark Office and the courts, which can be charitably characterized as arcane.  And these considerations are evident in the decision last week giving priority to CRISPR technology in eukaryotic cells to inventors at The Broad Institute, Harvard University, and MIT (collectively, "Broad") over inventors at the University of California, Berkeley, the University of Vienna, and one of the inventors herself, Emmanuelle Charpentier (collectively, "CVC"); see "PTAB Grants Priority for Eukaryotic CRISPR to Broad in Interference No. 106,115").

    The basis for Board's decision was that CVC failed to provide sufficient, persuasive evidence of an earlier reduction to practice or conception, as they are legally defined, of each and every element of Count 1 before Broad's evidence of actual reduction to practice.  The Board cited its legal grounds for this determination:  "priority of invention goes to the first party to reduce an invention to practice unless the other party can show that it was the first to conceive of the invention and that it exercised reasonable diligence in later reducing that invention to practice," citing Cooper v. Goldfarb, 154 F.3d 1321, 1327 (Fed. Cir. 1998).  Further, the Board opined "[a]n actual reduction to practice requires proving that the inventors constructed an embodiment of the count, meeting all its limitations, and that they determined the invention would work for its intended purpose," citing Cooper, 154 F.3d at 1327.

    In applying these rubrics to the facts adduced by the parties, the Board cited with particularity testimony and contemporaneous statements regarding an August 9, 2012 zebrafish experiment performed by collaborator Florian Raible, Ph.D., to wit:  "In his supporting testimony, Dr. Raible's indicates that one of the 30 embryos he injected with one concentration of the test solution showed the characteristic eyeless morphological phenotype expected for the homozygous rx3/chokh/chk mutant fish.  (See Raible Decl., Ex. 4294, ¶¶ 54– 18 55.)"  Specifically quoted in the Board's opinion was this excerpt from in Dr. Raible's declaration:

    [Dr. Raible testified that he] prepared [an animal with the homozygous rx3/chokh/chk phenotype] on August 8, 2012, on behalf of the CVC inventors by injecting into the animal a preformed complex of the Cas9 protein and two single-guide RNAs that included crRNA and tracrRNA sequences where the crRNA sequence targeted the rx3/chokh/chk locus.  This fish indicated to me that there was successful site-specific DNA cleavage in a zygote injected with the inventors' CRISPR-Cas9 system.  The inventor's CRISPR-Cas9 system thus worked as predicted in zebrafish using previously known methods for delivery and analysis.

    Unfortunately for CVC, the Board found that "CVC does not direct us to contemporaneous evidence showing that Dr. Raible considered the results of the 9 August 2012 experiment to have been successful."  In addition to this absence of evidence (which would not otherwise be evidence of absence), the opinion quotes what it considered to be contrary contemporaneous evidence, including an e-mail from Dr. Chylinski (Dr. Raible's collaborator) to Inventor Charpentier, which states:

    Potentially good news about fish.  We tested the NLS-tagged Cas9 that we just got from Martin as the normal protein was not giving anything conclusive.  It looks like GFP expression in medaka is much lower in the embryo although there are still problems with toxicity and so on, so it will require some more optimization from their site.  Anyway, there is a hint it might work but we shouldn't be overexcited now [italics added].

    This e-mail was sufficient for the Board to conclude that "by itself, neither Dr. Chylinski's e-mail of 9 August, nor Dr. Charpentier's response demonstrates that either recognized and appreciated Dr. Raible's August 2012 experiment was an actual reduction to practice of an embodiment of Count 1" (emphasis added).

    Further quoting Dr. Chylinski's testimony, the opinion contains this excerpt:

    We believed that these effects were the result of our sgRNA CRISPR-Cas9 system's activity in the fish, though we had not confirmed an effect on the targeted regions by sequencing.  Ex. 4916.  While my fish experiment result summary noted that the effects of possible incomplete GFP loss in the medaka might be the result of "heterozygotes" or "unspecific" effects, the zebrafish eyeless phenotype indicated that we had successfully used our sgRNA CRISPR-Cas9 system to target and cleave target DNA within the zebrafish.  Ex. 4916.  The reference to repeating experiments indicated that a journal publication would require multiple experiments and a second molecular detection assay [emphasis added].

    But, to the contrary in the Board's view, is a contemporaneous slide presentation which states:

    Fish experiment results

    • Pretty high toxicity observed (death or misdevelopment)

    • Small amount of putative mutants (1 in 30-50) seen in some of the experiments

    • "Less green" embryos for Medaka [a zebrafish relative], no eyes or misdeveloped eyes for Zebrafish – might be heterozygotes, might be unspecific

    • Mutants tested for the mutations in the gene by PCR amplification of the targeted regions (repair of dsDNA breaks is usually connected with trimming of the DNA) – no effect visible

    • Experiments are still being repeated [emphasis added]

    The Board concluded that "[w]e agree with Broad and find that, contrary to CVC's argument, Exhibit 4916 does not indicate an acknowledgement of positive results by Dr. Chylinski."  And contemporaneous statements by Dr. Charpentier that she was "convinced" the zebrafish experiments would work are not supported by any reference to any actual zebrafish experiments, the Board stated.  The Board's conclusions are summarized in the opinion thusly:

    In general, we find that CVC over-emphasizes isolated words by its inventors to argue that they recognized and appreciated Dr. Raible's results.  We are further persuaded that CVC over-interprets the inventors' recognition and appreciation of Dr. Raible's results because neither Dr. Doudna nor Dr. Jinek remembers learning of them at the time . . . .  We note, too, that no zebrafish experiments were included in CVC's provisional applications filed 19 October 2012 and  28 January 2013 . . . .  The lack of communication by Drs. Chylinski and Charpentier regarding Dr. Raible's 9 August 2012 zebrafish experiment and lack of reference to it later indicates to us that the CVC inventors did not consider it to be a success or a reduction to practice of Count 1 because Dr. Raible did not communicate any success to them.

    Additional evidence persuasive to the Board that Dr. Raible did not appreciate that the experiments were a success was that no scientific research paper was forthcoming; Dr. Raible testified that:

    While I was happy to have helped the inventors validate their sgRNA CRSIRPCas9 system in zebrafish, I did not believe that merely showing successful cleavage in a eukaryote using only routine techniques, with no special parameters to introduce a nuclease into eukaryotic cells, would be a publication-worthy discovery.  That was a trivial and expected result.  I felt that to justify expending additional resources on these experiments, I needed results suggesting that the efficiency of CRISPR-Cas9 in vivo could compete with ZFNs and TALENs.  I believed that other labs with more resources would likely generate such data before I would be able to, for instance by being able to perform massive parallel sequencing on targeted gene loci, bypassing the need to rely on the presence of length variants identified by PCR.

    Which would be fine as it goes, but the Board was able to contrast this testimony with Dr. Raible's contemporary statements (before the experiments had been performed) to the contrary (in their view):

    Given the massive interest in simple methods for genome editing, we would expect that the establishment of a CRISPR/CAS-based genome editing system in any fish system would be of broad interest, and therefore a short article in a high-impact journal would not be unlikely as a result (provided the results match the expectations based on the in vivo data).

    The Board concluded that this contrast indicated that Dr. Raible's 2012 behavior was more consistent with abandoning the zebrafish CRISPR project because he did not think it had worked rather than, as he maintains today, being consistent with an appreciation of success.  And for the Board, while CVC provided evidence that Dr. Raible's results had been communicated to Drs. Chylinski and Charpentier, there was no evidence that this information had been communicated to the other two CVC inventors, Dr. Doudna or Dr. Jinek.

    The Board eschewed reliance on a "battle of the zebrafish experts" because "'there is no conception or reduction to practice where there has been no recognition or appreciation of the existence of' new subject matter," citing Silvestri v. Grant, 496 F.2d 18 593, 597 (CCPA 1973), and "what matters is appreciation of the results by the inventors" (italics in opinion).  Accord, Invitrogen Corp. v. Clontech Lab'ys, Inc., 429 F.3d 1052, 1065 (Fed. Cir. 2005).

    Turning to CVC's arguments regarding contemporaneous reduction to practice by other research groups (including Broad), the Board rejected them because all evidence regarding reducing eukaryotic CRISPR to practice by CVC had dates — "31 October 2012, 1 November 2012, 5 November 2012, and 18 November 2012" — later than the 5 October 2012 date when Broad submitted its manuscript to Science (that the Board relied upon as evidence of actual reduction to practice).

    With regard to any question of diligence, the Board recognized that CVC could have prevailed if it showed conception prior to Broad and reduction to practice with the "exercise of reasonable diligence."  Importantly, the opinion reminds that "[an] inventor need not know that the invention will work for conception to be complete because determining it works is part of reduction to practice," citing Burroughs Wellcome Co. v. Barr Lab., Inc., 40 F.3d 1223, 1228 (Fed. Cir. 1994).  The standard the Board applied for incomplete conception is taken from Alpert v. Slatin, 305 F.2d 891, 894 (CCPA 1962) ("where results at each step do not follow as anticipated, but are achieved empirically by what amounts to trial and error" there has not been a complete conception), and Burroughs Wellcome ("Conception is complete only when the idea is so clearly defined in the inventor's mind that only ordinary skill would be necessary to reduce the invention to practice, without extensive research or experimentation" and "a conception may not be complete 'if the subsequent course of experimentation, especially experimental failures, reveals uncertainty that so undermines the specificity of the inventor's idea that it is not yet a definite and permanent reflection of the complete invention as it will be used in practice.")  The issue, according to the Board, is whether there is "factual uncertainty" about whether the inventor had a complete conception, rather than uncertainty in a field of endeavor.  The Board cites Hitzeman v. Rutter, 243 F.3d 1345, 1357 (Fed. Cir. 2001), for the analogous factual predicate that there, "statements made by the inventor during prosecution and subsequent publications . . . revealed he had not conceived of the complete subject matter of the count and considered it not to have been reasonably expected by one of ordinary skill in the art."  The Board supported its finding of the requisite degree of uncertainty to indicate incomplete conception by CVC inventor Doudna's statements in an e-mail exchange with Inventor Jinek:

    I'm very excited about the Csn-1/Cas9-based genome targeting ideas we discussed yesterday, this will be fabulous if it works [emphasis added].

    [I]t would be good to demonstrate that the single-RNA guide works to direct DNA cleavage by Csn1/Cas9 in vitro ASAP, . . . and then proceed with the experiments necessary to show that this strategy will actually work in mammalian cells [emphasis added].

    CVC argues that conception was "definite and permanent" on March 1, 2012, because "it did not change between conception and subsequent reduction to practice" and that  this "blueprint" was expected to work using conventional methods.  (The opinion reproduces pages from Jinek's laboratory notebook memorializing the plans for these experiments; pp. 29-31 of the opinion).  But according to the Board:

    The IDF [Invention Disclosure Form] demonstrates that the CVC inventors planned to use their sgRNA CRISPR-Cas9 system in eukaryotic cells but does not provide many details of how the inventors envisioned such a system would be operable.  Instead, the IDF and Dr. Jinek's testimony indicates that as of 1 March 2012 the inventors assumed that what was known about other genome editing systems such as TALENs and zinc fingers would be applicable to a CRISPR-Cas9 system.

    Specifically, CVC set out evidence of experimental designs targeting genes in human cells and that they had produced sgRNAs for the purpose by May 28, 2012 and a plan to inject zebrafish embryos by June 28, 2012.  Broad asserted purported evidence of failures, including an e-mail from August 16, 2012 of "unfortunate results" in failure to achieve CRISPR cleavage of CTLA gene in human cells and a response from Dr. Doudna of "Shucks!  I guess it would have been too easy of it worked the first time . . . I'll think on this and get back to you – my quick take is maybe try again with improved Cas9 expression?"  Also asserted by Broad was an e-mail from September 14, 2012 entitled "no good news" that said, "[u]nfortunately no cleavage for any RNA chimeras despite using the codon-optimized Cas9 constructs this time."  This e-mail also contained what the Board characterized as "generalized suggestions about repeating the experiment with increased amount of plasmid" and included the quotation:

    Since there are so many variables in these experiments I think we have to try to move forward in a stepwise fashion as much as possible.

    As for RNA localization I think we're hoping that the Cas9 protein binds the RNA such that the RNP is transported into the nucleus I wonder if having a too-efficient NLS on Cas9 is actually counterproductive if it means that Cas9 is transported before it has a chance to find and bind the guide RNA . . . .  Thoughts?

    A colloquy of further e-mails beginning on October 11, 2012 between Dr. Doudna and Inventor Jinek regarding the CTLA cleavage experiments (after the date Broad submitted its paper) are also reproduced in the opinion:

    Hi Alex and Aaron – thanks for sending your results although it's disappointing not to see Cas9-mediated cleavage in these experiments.  Aaron I'm wondering if you think there is anything different about the way you did the experiment back in August when it appeared that there was some cleavage with the CLTA6 guide?  Or could that result have been due to a contamination, say with the ZFN sample -?  And it will be interesting to see the result from the RNA transfection experiment.  Is it worth trying the transfections again with the codon-optimized Cas9?  As we have discussed I still think the problem may be with the assembly and localization of the Cas9 RNP – either due to degradation of the guide RNA failure to assemble with Cas9 or failure of the RNP nuclear localization.  I will think on this on my way back to SF tonight and we can meet soon to discuss [emphasis added].

    And on the same day in an e-mail from Dr. Jinek to Dr. Doudna:

    Re mammalian cells – Based on the latest set of results, I suspect we have a problem with our RNA design.  Either we are not targeting the right piece of DNA (due to chromatin structure etc.), or the problem lies with the RNA design per se.  Given that the ZFN has no problems cleaving the same region (+/- 30 bp), the former is probably the lesser concern at this point.  On the other hand, there could be a number or reasons for the latter including:
        -RNA is not made at sufficient levels
        -RNA is expressed strongly but turns over too fast to associate with Cas9 possibly due to degradation by exonucleases
        -RNA is stable but does not associate with Cas9 at the right place and at the right time.
    For the next set of experiments I think we should switch to CMV vectors cloning today and explore alternatives to our first-generation RNA design – e.g. modify the hairpin length introduce extensions at the 5' and 3' termini.  Or possibly block potential degradation from either end by introducing hairpins etc. [emphasis added].

    To which Dr. Doudna responded:

    As for Cas9 in mammalian cells I completely agree with your analysis and suspect that one or more aspects of the RNA expression/stability/Cas9 assembly/localization are problematic.

    It would be great to test some alternate designs of the guide RNA in vitro – perhaps this is something Alex could do using target plasmids you already have available?  Maybe we could also try this in cell extracts?  We can discuss further tomorrow – 10 am OK? [emphasis added]

    Followed by a further response by Dr. Jinek:

    I agree that we should explore various alternate RNA designs for targeting in cells.  As for the in vitro experiments – I thought that this was what Steve Lin was going to do.  Maybe it would be good to bring him on board for this as well at this stage.  Then things could be parallelized and Alex could focus more on the mammalian cell work.  When Enbo gets back he could then help out with IPs and Northerns because we will need to check whether the RNAs are associating with Cas9 in vivo.  Anyway, let's talk tomorrow [emphasis added].

    Broad argued, and the Board agreed, that these e-mails indicated that "instead of having a definite and permanent idea of an embodiment of Count 1, the CVC inventors were engaged in 'guesswork' and 'returned to the drawing board'" and that "the CVC inventors had to redesign their components and strategy beyond what would have been routine techniques for one of ordinary skill in the art and did not have a definite and permanent idea of the invention by 1 March 2012."  The Board rejected CVC's contentions that Broad had fabricated an "illusion of doubt" in the CVC inventors based on the language and content of inter alia the cited testimony and contemporary documentary evidence, and also noted the apparent disparities between their testimony in this interference and confidence that CRISPR cleavage would be achieved in eukaryotic cells merely by the exercise of conventional methods and the difficulties encountered in attempting to reduce eukaryotic CRISPR to practice:

    We find the facts related to the CVC's inventors' asserted conception on 1 March 2012 and the further evidence of 11 April 2012, 28 May 2012, and 28 June 2012 to be different from the facts of inventorship presented in Burroughs.  In that case, the confirmatory testing was "brief" and followed the "normal course of clinical trials."  Burroughs, 40 F.3d at 1230.  In contrast, CVC argues its inventors had the materials for an actual reduction to practice in human cells on 28 May 2012, but allegedly completed it, after diligent work, on 31 October 2012 – over five months later – after encountering many problems and trying many times.  Contrary to CVC's  argument, we find that the CVC inventors engaged in a "prolonged period of extensive research, experiment, and modification" following the alleged conception on 1 March 2012.  Burroughs, 40 F.3d at 1230.  The evidence shows that, at best, the CVC inventors encountered one unrecognized positive result and several failures with zebrafish embryos and several months of failed experiments and doubt with human cells.  Given that the scientists performing these experiments were of at least ordinary skill, we are persuaded that the communications surrounding these experiments reflect "uncertainty that so undermines the specificity of the inventor's idea that it [was] not yet a definite and permanent reflection of the complete invention as it [would] be used in practice."  Id. at 1229.  [citations to the record omitted]

    The Board rejected CVC's argument that, in the end they were correct that the invention conceived on March 1, 2012 was reduced to practice using "only routine materials and techniques," because "we look to what the CVC inventors understood as evidence of their conception, not what others might have understood later" (applying cases involving nunc pro tunc invention which may not be completely relevant in this situation).  And by focusing on the limitation in Count 1 that CRISPR cleavage must be achieved to satisfy the requirements of the Count the Board included the requirement for conception that CVC's inventors "must have had a definite and permanent idea of an operative invention, that is of a system they knew would produce the effects on genes in a eukaryotic cell recited in Count 1."  (It will be appreciated that this standard comes very close to the "simultaneous conception and reduction to practice" requirement Broad earlier argued was the proper basis for determining priority.)

    Turning to Broad's evidence for priority, while the opinion sets forth evidence Broad proffered for its activities from 2011 through the fall 2012, it was the manuscript Broad submitted to Science (for which favorable reviews supported the Board's decision) on October 5, 2012 that established Broad's date of actual reduction to practice.  As set forth above, because this date was earlier than CVC's activities that the Board might have considered to be an actual reduction to practice the Board required no other evidence to grant priority to Broad.

    The opinion also addressed (and rejected) CVC's argument that Broad derived its (successful) sgRNA eukaryotic CRISPR embodiments from CVC via communications from Dr. Marraffini.  In doing so, the Board applied the rubrics of derivation, which required CVC to "establish prior conception of the claimed subject matter and communication of the conception to the adverse claimant," citing Price v. Symsek, 988 F.2d 1187, 1190 (Fed. Cir. 1993) (which standard immediately doomed CVC's argument in view of the Board's determination that their March 1, 2012 conception was incomplete).  The Board makes abundantly clear that CVC must fail based on their priority determination, saying "[t]hus, to prove derivation, CVC must first establish that its inventors conceived of the claimed subject matter before the Broad inventors."  But "CVC does not direct us to evidence that overcomes our determination, discussed above" [of the Board purported evidence of] "multiple experimental failures" and did not address them in its Opposition asserting derivation.  To CVC's attempt to establish conception based on Broad's rapid achievement of actual reduction to practice close on Dr. Marraffini's disclosure of CVC's sgRNA embodiment, the Board states that "[r]egardless of any success by the Broad inventors, the preponderance of the evidence presented by the parties demonstrates that the CVC inventors' experimental failures reveal uncertainty undermining a definite and permanent idea of an sgRNA CRISPR-Cas9 system that edits or cleaves DNA in a eukaryotic cell" and accuses CVC of "attempt[ing] to shift our focus to the activities of other, competing inventors, rather than on the activities of its own inventors," which attempt was unavailing.  Broad's activities, whatever they were, "do not inure to CVC" according to the Board because to do so would require CVC to have "submitted" something to Broad for testing, citing Genentech, Inc. v. Chiro Corp., 220 F.3d 1345, 1353 (Fed. Cir. 2000) (which citation appears inapposite under the scenario underlying CVC's allegations).  And the Board concludes that "there must have been [technical] differences" between Broad's activities to reduce eukaryotic CRISPR to practice and CVC's, based on CVC's failures prior to Broad's success on October 5, 2012 (emphasis added).  These technical features, which are not recited in the Count, were necessary according to the opinion in order to satisfy the Count limitation for "a functional fused or covalently linked RNA CRISPR-Cas9 system in eukaryotic cells that alters the expression of at least one gene product, cleaves or edits a target DNA molecule, or modulates transcription of a one gene encoded by the target DNA molecule (emphasis in opinion).  And the same "failures" relied upon by the Board in negating CVC's conception on the priority issue doomed CVC's arguments on derivation, because the Board similarly was "not persuaded that the CVC inventors could have divulged the complete subject matter of Count 1 to the Broad inventors."

    The Board also denied CVC's Motion No. 3 that Broad's involved patents and applications are invalid under 35 U.S.C. § 102(f).  The Board's basis for this decision was that "[a] determination of inventorship requires two steps performed as a claim-by-claim analysis:  first a construction of each asserted claim to determine the subject matter encompassed and then a comparison of the alleged contributions of each asserted co-inventor with the subject matter of the properly construed claim to determine whether the correct inventors were named, citing Trovan, Ltd. v. Sokymat SA, Irori, 6 299 F.3d 1292, 1302 (Fed. Cir. 2002).  On this basis the Board held CVC's evidence was insufficient to support its argument.  This evidence, appreciated by the Board to be limited to a declaration by Broad's former patent counsel submitted in a European Patent Office Opposition, "does not provide an analysis of individual claims and does not list or discuss Broad's currently involved patents or applications."  The disparities alleged by CVC arose solely in a comparison between the testimony in the declaration to the EPO and CVC's list of individuals that it contends "should have been named" as inventors.  CVC's argument that these patents and involved applications all "originate from a common source" (i.e., the same original provisional application) was ("completely") unpersuasive before the Board because "[c]laiming benefit to the same provisional application says nothing about what is claimed in later applications . . . [w]ithout an actual analysis of Broad's involved claims and the alleged contributions of each asserted co-inventor."  The opinion sets forth several instances of uncertainty or lack of specificity in the declaration regarding inventive contributions of various individuals, which motivated the Board to "decline to adopt the CVC attorney's assumptions" as to misjoinder of inventorship.  Because CVC bore the burden of proving improper inventorship under 37 C.F.R. § 41.208(b), the Board denied the Motion.

    Except for dismissing motions to exclude evidence from both parties, the remaining decision contained in the opinion was that the Board exercised its discretion not to consider CVC's assertion of inequitable conduct.  The Board's grounds were that CVC's allegations in this regard "are not directly related to the issue of priority for the subject matter of the current count" and that it was within the sound exercise of the Board's discretion to refuse to consider CVC's motion.

    While the Board's citation to the record provides sufficient evidence to satisfy the substantial evidence standard for review before the Federal Circuit, the implication of the outcome produces a certain level of disquiet.  If in fact the use of the sgRNA embodiment was the basis for successful practice of CRISPR in eukaryotic cells (despite Broad's evidence for successful dual molecule CRISPR embodiments that were not considered in this interference because the Count was limited to single-molecule versions thereof), then the apparent basis for the Board's decision is that Broad's inventors were more technically proficient than CVC's at achieving successful reduction to practice more quickly.  Under circumstances where both inventors reduced eukaryotic CRISPR to practice within 4-5 months of the Marraffini disclosure (and less than 8 months from CVC's asserted March 1, 2012 conception date, a timeframe CVC's counsel Dr. Ellison characterized at the Oral Hearing as "lightening quick") no issue of diligence arose.  The Board speculated that certain differences between Broad's experimental setup and CVC's (e.g., using a U6 promoter or Broad's sgRNA species having an oligonucleotide linker length 2 nucleotides longer than CVC's) were responsible, with the only apparent basis for its speculation the logical fallacy of post hoc ergo propter hoc ("there must have been [technical] differences" to explain why Broad achieved actual reduction to practice before CVC).  But none of these putative differences are required to satisfy the Count.

    Whether CVC can mount a legal challenge to the Board's reasoning supporting what it can be anticipated to be an assertion of fundamental injustice in the Board's decision will likely be dispositive of the question of who controls eukaryotic CRISPR technology.  And while the opinion states that "[t]here is no dispute in this proceeding over the patentability of those claims [that are not limited to cell type] or that the CVC inventors were the first to invent a CRISPR-Cas9 system with a single guide RNA to cleave DNA in a generic environment," this may provide cold comfort to CVC if, as can be anticipated, CVC will not be able to assert those patents against Broad's (or others') licensees over the practice of eukaryotic embodiments of CRISPR in view of the Board's priority determination in this Interference.

  • By Donald Zuhn –-

    Ukrainian PTO (Ukrpatent)On Tuesday, the Ukrainian Institute of Intellectual Property (Ukrpatent) issued a statement declaring "that during this extremely difficult time for the country, during the military aggression of the Russian Federation against Ukraine, which became the reason for the imposition of martial law . . . the State Enterprise 'Ukrainian Institute of Intellectual Property' (Ukrpatent) continues to operate on a full-time basis providing all the necessary functions and continuous operation of the state system of legal protection of intellectual property."  The statement by Ukrpatent Director General Andrew Kudin noted that Ukrpatent's continued operations were due in large part to its employees, which the Director General indicated have been "mak[ing] significant efforts for securing the stability in operation of the enterprise."  The Ukrpatent announcement concluded by stating:

    We condemn the aggression of the Russian Federation against our country and as the Armed Forces of Ukraine defend the independence, sovereignty and territorial integrity of our country, Ukrpatent, for its part, does everything to protect the country in the field of intellectual property being a competitive institution for the world.

    We are grateful to the World Intellectual Property Organization, European Patent Office, EU Intellectual Property Office, all the patent offices of the world as well as people who are not indifferent and express support for our country, in particular, for Ukrpatent, confirming the high level of trust and partnership with the state enterprise and its staff.

    We believe in a bright, free and peaceful future of our Ukraine.

    We support the Armed Forces of Ukraine and are grateful to everyone who has stood up for the defense of our Motherland!

    The announcement also indicated that further reports regarding "[t]he peculiarities of the work in this period" could be found on the Ukrpatent website and on its Facebook page.

    In the days following its announcement of continued operations, Ukrpatent posted letters of support that it received from other patent offices.

    EPOOn Wednesday, a letter of support from the European Patent Office (EPO) was posted, in which the EPO stated that "[i]n these gravest of times, the thoughts of everyone at the European Patent Office are with all those affected by the ongoing military action in Ukraine," and noted that "[a]s a visible sign of our grief and solidarity, all flags have been taken down from outside the EPO's buildings at all sites since last Friday midday."  The EPO also noted that its association for social activities — the Amicale — would be organizing aid efforts to help those affected, EPO staff would be given the opportunity to provide voluntary contributions to aid organizations, and the EPO itself would be providing a direct contribution so that its collective efforts have the greatest possible positive impact.  The EPO closed its letter by stating:

    As an institution, we are also discussing the impact of the present crisis on our co-operation activities in the region.  An immediate decision has been taken to freeze our co-operation activities with the national patent offices of the Federation of Russia and of Belarus, as well as to put on hold our co-operation activities with the Eurasian Patent Organisation.  Looking ahead, we will assess and debate other possible measures and consequences with our 38 Member States, extension states and observers in preparation of the next Administrative Council meeting on 22 March.

    In the days and weeks ahead, every effort must be put into promoting open and genuine dialogue as the right path to restoring lasting peace in Europe.

    Polish Patent OfficeOn Thursday, a letter of support from the Patent Office of the Republic of Poland was posted, in which Polish Patent Office President Edyta Demby-Siwek wrote:

    In these dark hours, as the horrific events in Ukraine are unfolding and the Ukrainian nation is faced with unprovoked acts of aggression by the Russian regime, on behalf of the Patent Office of the Republic of Poland, I would like to express our wholehearted support to Ukraine and solidarity with the Ukrainian people.

    It is our strong belief that when confronted with propaganda attacks and false narratives undermining Ukraine's right to self-determination, the democratic values and the sense of freedom our countries cherish should become the mainstay of moral order for all of us.  There must be no doubt that the threat to Ukraine's freedom is a direct threat to peace and security order across the entire Europe, with consequences reverberating throughout the world.  Hence, the immediate and unified response of all democratic countries standing firm by the Ukrainian people and institutions has not only a moral dimension but — with stepped-up diplomatic action and material support — it is also a practical one.

    President Demby-Siwek also noted that the Polish Patent Office was "taking steps to organize financial humanitarian aid for the fraternal Ukrainian Office and provide direct contributions by donating everyday essentials and medication."  President Demby-Siwek closed her letter by stating that:

    [W]e reiterate our solidarity with all those affected by the conflict in Ukraine and our thoughts are with the entire Ukrainian people and country.  This utterly damnable military action committed by Russia must not break the spirit of freedom, which is so close to the Ukrainian and Polish people's hearts.  I would like to assure you that our solidarity comes from the genuine sentiment and connection we feel with the Ukrainian men and women, who repeatedly throughout their history demonstrated bravery and love of freedom.  Protecting these values is our most important duty today.

    Slovak Republic Patent OfficeUkrpatent also posted a letter of support from the Industrial Property Office of the Slovak Republic on Thursday, in which President Matúš Medvec wrote:

    Let me express our solidarity with Ukrainians.  We strongly and resolutely condemn an unprovoked attack on your country.

    We stand with you.

    Austrian Patent OfficeFinally, on Friday, Ukrpatent posted a letter of support from the Austrian Patent Office, in which President Mariana Karepova stated that:

    On behalf of the Austrian Patent Office, I would like to express our deepest consternation for the unfathomable sorrow and injustice that has been done to your country and people.  We strongly condemn this unprovoked aggression and stand in solidarity with the brave people of Ukraine.

    President Karepova noted that "we are witnessing war within our common European continent — a one-sided violation so grave and monumental in nature, it is almost impossible to match it with words," adding that "[t]he Austrian Patent Office and all its employees hope that this madness will end soon."  She concluded the letter by stating that the Austrian Patent Office, working together with the Austrian Ministry for Climate Action, Innovation and Technology, was launching an initiative to gather funds and goods for humanitarian assistance to Ukraine and her refugees, and declaring that "[w]e stand in solidarity with you and all your colleagues."

  • CalendarMarch 7, 2022 – "US-PCT: Best Practices and Common Mistakes at the USPTO" (IPWatchdog) – 11:00 am (EST)

    March 8, 2022 – "The International IP Landscape 2022" (IPWatchdog) – 8:45 am (EST)