Ex Parte Marquez et alDownload PDFPatent Trial and Appeal BoardMar 27, 201712880113 (P.T.A.B. Mar. 27, 2017) Copy Citation United States Patent and Trademark Office UNITED STATES DEPARTMENT OF COMMERCE United States Patent and Trademark Office Address: COMMISSIONER FOR PATENTS P.O.Box 1450 Alexandria, Virginia 22313-1450 www.uspto.gov APPLICATION NO. FILING DATE FIRST NAMED INVENTOR ATTORNEY DOCKET NO. CONFIRMATION NO. 12/880,113 09/12/2010 Manuel Marquez marquez!13 8511 24221 7590 03/29/2017 LOUIS VENTRE, JR 2483 OAKTON HILLS DRIVE OAKTON, VA 22124-1530 EXAMINER WILSON, MICHAEL C ART UNIT PAPER NUMBER 1632 NOTIFICATION DATE DELIVERY MODE 03/29/2017 ELECTRONIC Please find below and/or attached an Office communication concerning this application or proceeding. The time period for reply, if any, is set in the attached communication. Notice of the Office communication was sent electronically on above-indicated "Notification Date" to the following e-mail address(es): lventre @ lventre. com ventre, louis @ verizon. net PTOL-90A (Rev. 04/07) UNITED STATES PATENT AND TRADEMARK OFFICE BEFORE THE PATENT TRIAL AND APPEAL BOARD Ex parte MANUEL MARQUEZ and SAMANTHA M. MARQUEZ1 Appeal 2015-007406 Application 12/880,113 Technology Center 1600 Before JEFFREY N. FREDMAN, TAWEN CHANG, and RYAN H. FLAX, Administrative Patent Judges. CHANG, Administrative Patent Judge. DECISION ON APPEAL This is an appeal under 35 U.S.C. § 134(a) involving claims to a method of making an artificial micro-gland, which have been rejected as non-enabled. We have jurisdiction under 35 U.S.C. § 6(b). We AFFIRM. STATEMENT OF THE CASE The Specification describes an “artificial micro-gland hav[ing] a shell or membrane of living cells surrounding a core or reservoir.” (Spec. 13.) According to the Specification, 1 Appellants identify the Real Party in Interest as the inventors, Manuel Marquez and Samantha Marquez. (Appeal Br. 3.) Appeal 2015-007406 Application 12/880,113 [a] method needs to be found to enable the fabrication of artificial micro-glands with distinct regions of differing living cells. This will add potentially diverse applications to healing and organ growth where adjacent symbiotic cells can provide favorable contributions to healing or cell growth. The anisotropic micro-gland can provide a means to control the application of chemicals, cells or biological units. This could take the form of highly specific drug delivery system, specific metabolite production by the shell, and/or preservation in the reservoir, which is also referred to as the core, and selective drug or cell delivery to a particular location within the body. {Id. at 126.) Further according to the Specification, an anisotropic micro gland can be made by suspending a template between two adjoining liquids in laminar flow in a microchannel, where “[different cells within the template or within the fluid flows are . . . encouraged by taxis to form membranes in distinct regions of the interfaces of the template with the adjoining liquids.” {Id. at 127.) Claims 1—17 are on appeal. Claim 1 is illustrative and reproduced below: 1. A method of making an artificial micro-gland, the artificial micro gland comprising a continuous membrane of two or more types of living cells, the continuous membrane defining an enclosed volume, the enclosed volume comprising a reservoir serving as a bioreactor, the method comprising the steps of: forming a carrier fluid in a microchannel in a laminar flow, the carrier fluid comprising: a first fluid-flow; a second fluid-flow adjoining the first fluid-flow at an interface; and, wherein, there is a distinct difference between the first fluid-flow and the second fluid-flow, said distinct difference causing the first fluid-flow to attract first 2 Appeal 2015-007406 Application 12/880,113 type living cells and causing the second fluid-flow to attract second-type living cells; introducing a droplet of fluid into the microchannel in a manner such that the droplet of fluid straddles the interface between the first fluid-flow and the second fluid flow, and, the droplet of fluid comprising first-type living cells and second-type living cells; retaining the droplet of fluid in the carrier fluid until: a first-partial membrane is formed by first-type living cells on a portion of surface of the droplet of fluid in contact with the first fluid-flow; and, a second-partial membrane is formed by second-type living cells on a portion of surface of the droplet of fluid in contact with the second fluid-flow such that the second-partial membrane joins with the first partial membrane to form an artificial micro-gland in the carrier fluid, the artificial micro-gland comprising a continuous membrane surrounding the droplet of fluid; and, removing the artificial micro-gland from the carrier fluid. (Appeal Br. 35—36 (Listing of Claims).) The Examiner rejects claims 1—17 under 35 U.S.C. § 112(a) or 35 U.S.C. § 112 (pre-AlA), first paragraph, as failing to comply with the enablement requirement. (Ans. 3.) DISCUSSION Issue The Examiner finds that “[t]he specification lacks sufficient guidance to make an artificial gland that exhibits a patentable use.” (Ans. 5.) In particular, the Examiner finds that “it is clear the specification discloses the methods claimed to be for the production of an anisotropic artificial gland [], and the gland is to be used as an in vivo or in situ drug delivery system or as 3 Appeal 2015-007406 Application 12/880,113 a treatment for tissue or organ repair.” (Id.) The Examiner further finds that “[a] gland is an organ or a tissue that produces and secretes proteins, enzymes or hormones in order to establish and maintain homeostasis,” where “[t]he gland secretes the proteins either constitutively or regulated by a signal from outside [of] the gland.” (Id. at 12.) Based on the above, the Examiner finds that the claims are not enabled because “the structure [recited in the claims] is not a gland in the meaning of the art” and “lacks an enabled use as a drug delivery vehicle” or “for organ or tissue regeneration.” (Id. at 14.) More specifically, the Examiner finds that the Specification teaches artificial glands with bacterial or yeast cells surrounding the core, which the Examiner finds to lack patentable use in light of the disease-causing nature of the bacterial and yeast cells. (Id. at 7—8.) The Examiner finds that the Specification “does not offer any guidance for producing an artificial micro gland that reduces the effects of the host’s immune response so that the micro-gland has an enabled use.” (Id. at 11; see also generally id. at 8—11.) Likewise, the Examiner finds that “[i]t is not evident that the implanted gland would receive sufficient oxygen and nutrient supplies so that [the living cells composing the artificial micro-gland] would survive.” (Id. at 11—12.) The Examiner further finds that the structure made according to the claimed methods are not enabled for use as an artificial gland or a pharmaceutical delivery device, because the structure “lacks the mechanism for either constitutive release or regulated release” of proteins, enzymes, or hormones. (Id. at 13; see also generally id. at 12—14.) Finally, the Examiner finds that the Specification does not enable an artificial gland where the claimed “reservoir” is a gas, because the Specification “provides no 4 Appeal 2015-007406 Application 12/880,113 guidance as to the type of gas that would solubilize proteins, enzymes or hormones.” {Id. at 14.) Appellants contend that the rejection is based on an unduly narrow definition of the term “artificial micro-gland,” (Appeal Br. 31—33), and the false premise that in vivo applications are the only use for the invention (id. at 24—26, 30-31). Appellants further argue that, while certain embodiments of the invention (e.g., those using pathogenic cells) may cause injury in vivo, the invention also encompasses embodiments using, e.g., a person’s own cells, which would not be pathogenic. (Id.) Finally, Appellants contend that the Cheng Declaration2 and various news articles support the utility and operability of the claimed invention. {Id. at 26—27.) Appellants do not separately argue the claims, and we therefore limit our analysis to claim 1. The issue with respect to this rejection is whether the evidence of record supports the Examiner’s conclusion that claim 1 is invalid for failing to comply with the enablement requirement. Findings of Fact 1. The Specification states: The artificial micro-gland has a shell or membrane of living cells surrounding a core or reservoir. The term “living cells” is intended to broadly encompass biological units and cells .... The more significant applications of the invention are currently expected to employ living cells comprising fungi, algae, bacteria and mammalian cells like fibroblasts and stem cells. The living cells may be one type or a multiple of types of cells. 2 Declaration of Zhengdong Cheng under 37 C.F.R. § 1.132 (Oct. 25, 2012) (“Cheng Decl.”). The Cheng Declaration is not paginated. Therefore, all reference to page numbers in the Cheng Declaration refer to page numbers as if the Cheng Declaration was numbered consecutively beginning with the first page. 5 Appeal 2015-007406 Application 12/880,113 The reservoir is a micro-volume bio-reactor that supports a biologically active environment. For example, it may host a medicinal component or biological activity creating helpful substances for promoting healing, vaccination, or food active ingredients. The micro-gland has potential application as a means for drug and/or cell delivery within human or other animal. (Spec. 113—4.) 2. The Specification states that the artificial micro-gland made by the claimed method add potentially diverse applications to healing and organ growth where adjacent symbiotic cells can provide favorable contributions to healing or cell growth. The anisotropic micro gland can provide a means to control the application of chemicals, cells or biological units. This could take the form of highly specific drug delivery system, specific metabolite production by the shell, and/or preservation in the reservoir, which is also referred to as the core, and selective drug or cell delivery to a particular location within the body. (Id. at 126; see also id. at 128.) The Specification states that the claimed method “has direct implications on the development of molecular and synthetic biology toolsets for redesigning or de novo engineering of biological signaling networks.” (Id. at 129.) 3. The Specification states that “[t]he invention has application to the biomedical and biotechnological industries.” (Id. at 1105.) The Specification also states that “the artificial gland is useful for biological tissue and organ repair and replacement and stem cell engineering and biotechnology applications.” (Id. at 12.) 4. The Specification states that 6 Appeal 2015-007406 Application 12/880,113 [t]he present invention takes the process of using [] laminar flow within a microchannel a step further, using taxis, wherein living cells direct their movements to the surface of a droplet, bubble, gel, or combination thereof (herein called a template) straddling the intersection of the two adjoining liquids in the laminar flow. The term “fluid,” as used herein, can be a liquid or a gas. However, most embodiments will use liquid laminar flows and aqueous droplets of monodisperse living cell suspensions in a solvent. {Id. at 112; see also id. at H 44, 94, 103.) The Specification further states, however, that the reservoir of the artificial micro-glands may contain “a solid, liquid, gas or nothing at all.” {Id. at 125.) 5. Further according to the Specification, [t]he method disclosed herein for making an artificial micro glands employs taxis to stimulate living cell self-assembly into a continuous membrane, also referred to as a shell, surrounding a template. Once surrounded, the template becomes the reservoir of an artificial micro-gland. Taxis is a form of tropism, which involves [] stimulating the motility or migration of a cell or organism towards or away from a location by a physical condition or distinct difference between where the living cells are situated and an adjoining location. This may be referred to herein as an agent, an agent of taxis, or an agent of attraction. {Id. at 11 6-7.) 6. The Specification states that “[o]ne or more agents influencing the movement of the living cells to the boundary with the template may be used.” {Id. at 113.) The Specification states that such agents may be “another living cell that has a symbiotic relationship with the living cells”; “pH; temperature; responsiveness to light; electrical charge; responsiveness to a magnetic field; . . . responsiveness to an electric field; or ... a chemo- 7 Appeal 2015-007406 Application 12/880,113 attractant...” (Id. at H 13—16; see also id. at H 51, 65, 70, 76, 79, 86, 89.) The Specification further states that [tjaxis may also take the form of. . . Gravitropism (or geotropism), movement or growth in response to gravity; Heliotropism, movement or growth in response to sunlight; Phototropism, movement or growth in response to lights or colors of light; Thermotropism, movement or growth in response to temperature; Thigmotropism, movement or growth in response to touch or contact; and, Host tropism or cell tropism, the host range of pathogens. (Id. at 116.) The Specification further states that examples of “agents promoting taxis for a type of living cells” include “oxygen; carbon dioxide; nitrogen oxide; sugar; phosphates, nitrates, sulphates, and potassium salts; cyclic adenosine monophosphate (cAMP); inositon phospholipid (mPIP3); actin; histamine; serotonin (5HT); plaletet [sic] acting factors (PAF); arachidonic acid metabolites; diacykglyseril (IP3); leukotine B4; lipoxins; prostaglandins; cytotaxin; f-met-leu-phe tripeptide; cytokines; kinins,cytotaxins; anaphylatoxin peptide (C5a); aspartic acid (ASP); serine (SER); and, a chemo-attractant.” (Id. at H 52, 65, 76, 86.) 7. The Specification states that the “living cells” used in its invention are preferably either prokaryotic cells or eukaryotic cells. (Id. at 1153,64,75, 85,93.) 8. The Specification describes six embodiments of the invention, but does not provide any working examples. (Id. at 119.) Principles of Law Section 112 requires that the patent specification enable those skilled in the art to make and use the full scope of the claimed invention without undue experimentation .... [S]ee also In re 8 Appeal 2015-007406 Application 12/880,113 Goodman, 11 F.3d 1046, 1050 (Fed. Cir. 1993) (“[T]he specification must teach those of skill in the art how to make and how to use the invention as broadly as it is claimed.”) Invitrogen Corp. v. Clontech Labs. Inc., 429 F.3d 1052, 1070—71 (Fed. Cir. 2005) (citation and internal quotation marks omitted). Factors to be considered in determining whether a disclosure would require undue experimentation . . . include (1) the quantity of experimentation necessary, (2) the amount of direction or guidance presented, (3) the presence or absence of working examples, (4) the nature of the invention, (5) the state of the prior art, (6) the relative skill of those in the art, (7) the predictability or unpredictability of the art, and (8) the breadth of the claims. In re Wands, 858 F.2d 731, 737 (Fed. Cir. 1988). “[T]he enablement requirement of § 112 incorporates the utility requirement of § 101.” In re Fisher, 421 F.3d 1365, 1378 (Fed. Cir. 2005). Courts “have required a claimed invention to have a specific and substantial utility to satisfy § 101.” Id. at 1371. [A]n application must show that an invention is useful to the public as disclosed in its current form, not that it may prove useful at some future date after further research. Simply put, to satisfy the “substantial” utility requirement, an asserted use must show that th[e] claimed invention has a significant and presently available benefit to the public. Id. To satisfy the ‘specific’ utility requirement, an application must disclose a use which is not so vague as to be meaningless. . . . Thus, in addition to providing a ‘substantial’ utility, an asserted use must also show that th[e] claimed invention can be used to provide a well-defined and particular benefit to the public. 9 Appeal 2015-007406 Application 12/880,113 Id. “Nebulous” expressions such as “biological activity” or “biological properties,” and “obscure” expressions such as “useful for technical and pharmaceutical purposes” do not suffice to provide specific utility. Id. “Enablement, or utility, is determined as of the application filing date.” In re Brana, 51 F.3d 1560, 1567 n.19 (Fed. Cir. 1995). “It is an applicant’s obligation to supply enabling disclosure without reliance on what others may publish after he has filed an application on what is supposed to be a completed invention. If he cannot supply enabling information, he is not yet in a position to file.” In re Glass, 492 F.2d 1228, 1232 (CCPA 1974). Analysis We agree with the Examiner that the Specification has not enabled a use for the method of claim 1. In particular, Appellants’ broad statements regarding potential use of the artificial micro-gland made by the claimed method (FF1—FF3) do not describe the “specific and substantial” utility needed to satisfy the enablement requirement. Generic statements that the artificial gland is useful for “drug and/or cell delivery within human or other animal,” “healing and organ growth,” “development of molecular and synthetic biology toolsets for redesigning or de novo engineering of biological signaling networks,” or “biomedical and biotechnological industries” are too vague to provide specific utility. In re Fisher, 421 F.3d at 1371. Similarly, these statements do not provide substantial utility because they suggest that the artificial gland “may prove useful at some future date after further research,” but do not show that it is “useful to the public as disclosed in its current form.” Id. The Specification states, for example, that “[t]he micro-gland has potential application as a means for drug and/or cell 10 Appeal 2015-007406 Application 12/880,113 delivery within human or other animal” (FF1 (emphasis added)), and add “potentially diverse applications to healing and organ growth where adjacent symbiotic cells can provide favorable contributions to healing or cell growth” (FF2 (emphasis added).) In this respect, we also note that, while working examples are not necessary to satisfy enablement, they are desirable in complex technologies, and the Specification provides no such examples of using the artificial gland manufactured by the claimed method. In re Strahilevitz, 668 F.2d 1229, 1232 (CCPA 1982) (working examples desirable, but not necessary); In re Fisher, 421 F.3d at 1377 (finding lack of specific and substantial utility because “[applicant’s] laundry list of uses, like the terms ‘biological activity’ or ‘biological properties’ alleged in Kirk, are nebulous, especially in the absence of any data demonstrating that the claimed [inventions] were actually put to the alleged uses”). Appellants contend that the rejection is based on an unduly narrow definition of the term “artificial micro-gland,” (Appeal Br. 31—33; Reply Br. 30-34), and the false premise that in vivo applications, such as in vivo or in situ drug delivery, are the only use for the invention (Appeal Br. 24—26, 30- 31; Reply Br. 34—37). Appellants contend that, in part as a result, the Examiner’s arguments arbitrarily required enablement of limitations not in the claims, such as protecting the living cells making up the artificial gland, providing a predictable rate of release of materials from the artificial gland, and/or reducing the effects of the host’s immune response. (Reply Br. 29— 30, 33.) Appellants contend that the claimed invention can have other uses, “such as for research activities or in vitro applications.” (Appeal Br. 25, 27— 30; Reply Br. 34-37.) 11 Appeal 2015-007406 Application 12/880,113 We are not persuaded. Assuming Appellants’ construction of “artificial micro-gland” to be correct, the Specification nevertheless has not disclosed a specific and substantial utility for such a structure. In particular, while we agree that an enabled use of the recited artificial gland need not be an in vivo use, generic statements that the claimed invention is useful for “research activities or in vitro applications” such as “stem cell engineering and biotechnology applications” or “applications to healing and organ growth” do not disclose a specific and substantial use necessary for enablement: Generalized description of the invention’s potential uses is too vague to constitute specific use, and the lack of information regarding how the artificial gland may be used in research activities or the enumerated in vitro applications indicates that the Specification has at most suggested that the artificial micro-gland “may prove useful at some future date after further research,” which does not suffice to show substantial use. In re Fisher, 421 F.3d at 1371.3 3 Appellants also argue that U.S. Patent Application No. 12/726,158 (“’158 Application”), which is parent to the instant application, provides additional information regarding uses of the artificial gland made by the claimed methods, such as “improv[ing] the potential for in vitro organ growth by eliminating the need for scaffolds” and “application to three-dimensional (3- D) in vitro cell cultures, in which cells are grown in environments that more closely mimic native tissue architecture and function.” (Appeal Br. 28—29.) We find the disclosure of the ’158 Application similarly lacking, however, because it at best suggests that the artificial gland of the invention “may prove useful at some future date after further research” rather than showing that it has a significant and presently available benefit to the public. In re Fisher, 421 F.3d at 1371. The ’158 Application states, for instance, that “[t]he computer-aided inkjet printing of viable independent micro-glands units holds potential for creating living tissue analogs, and may eventually lead to the construction of engineered human organs.” (’158 Application 1169 (emphasis added).) Like the instant Specification, the ’158 12 Appeal 2015-007406 Application 12/880,113 Appellants further argue that, while certain embodiments of the invention (e.g., those using pathogenic cells) may cause injury in vivo, the invention also encompasses embodiments using, e.g., a person’s own cells, which would not be pathogenic. (Appeal Br. 25; see also Reply Br. 26—27, 28,37.) We are not persuaded. As an initial matter, even for embodiments that are not pathogenic, the Specification has not enabled a specific and substantial use in vivo for the reasons discussed above. Furthermore, enablement must be commensurate with the full scope of the claim, and claim 1 encompasses a wide variety of cells, including prokaryotic cells.* * * 4 (FF7.) Finally, Appellants contend that the Cheng Declaration and various news articles support the utility and operability of the claimed invention. (Appeal Br. 26—27.) With respect to the Cheng Declaration, we note first that expert opinions on ultimate legal issues, such as statements in the Cheng Declaration that “the methods of making the artificial gland [is] fully descriptive and readily followed without the necessity for experimentation,” that “peer[] reviewed scientific reports on the manufacture and use of the Application provides no working example of using the artificial gland. In addition, these uses in vivo were identified by the Examiner as non-enabled (see, e.g., Ans. 7). 4 In the Reply Brief, Appellants also argue that an artificial gland comprising pathogens may nevertheless be useful because “a scientist might want to study pathogens involved, or perhaps investigate a delivery mechanism to cause disease to control pests.” (Reply Br. 26.) Appellants further argue that they “state[] up front in the application that the technology has uses in ‘biotechnology applications.’” (Id. at 26—27 (citation omitted).) As discussed above, however, such nebulous discussion of potential use does not satisfy the requirement of specific and substantial use. In re Fisher, 421 F.3d 1371. 13 Appeal 2015-007406 Application 12/880,113 artificial gland [support] the operability, functionality and usefulness of the claimed artificial gland,” and that “the claimed artificial gland [is] a unique innovation that is described in sufficient detail to be operable and to enable it to be made and used without undue experimentation” (Cheng Decl. 2, 4), are not entitled to weight absent supporting evidence. In re Reuter, 670 F.2d 1015, 1023 (CCPA 1981). Indeed, it is unclear whether the statements in the Cheng Declaration refer to the instant patent application at all, as Dr. Cheng refers to paragraph 277 of the patent application, which does not exist in the instant Specification. (Cheng Decl. 2.) Finally, all but one of the references cited by Dr. Cheng as supporting the “operability, functionality and usefulness of the claimed artificial gland” are dated after the date of the patent application, and there is no evidence that they represent the state of the art at the time the patent application was filed.5 (Cheng Decl. 3.) Appellants also cite to news articles6 they contend show “[o]ne of the inventors of the artificial micro-gland [] receiving] acclaim in the field for 5 The only cited reference that predates the date of the application, Aug. 21, 2010, is a presentation at NANOSPAIN 2010. Manuel Marquez et al., A New Paradigm for Cell Architecture: Celloidosomes®, NANOSPAIN 2010 (March 23, 2010) (“NANOSPAIN Presentation”), available at http://www.nanospainconf.org/2010/Posters/Nano Spain2010_Marquez.pdf. If anything, the presentation supports the conclusion that the claimed artificial gland does not have a specific and substantial use at the time of the application, as it “focus[es] on showing the potential of [the] emerging and enabling technology.” {Id. (emphasis added).) 6 Jacquellena Carrero, INNOVATOR: Samantha Marquez, pioneering teen scientist (2013), available at http://nbclatino.com/2013/10/08/innovators- samantha-marquez/ (last visited Mar. 6, 2017); CNN, Repairing organs with clusters of cells (2014), available at http://edition.cnn.com/videos/intemational/2014/07/17/spc-vital-signs- medical-discoveries-b.cnn (last visited Mar. 6, 2017). 14 Appeal 2015-007406 Application 12/880,113 her invention.” (Appeal Br. 27.) These news articles allege a broad range of potential uses for “celloidosomes,” which Appellants contend to be the artificial micro-gland recited in the claims. None of them, however, suggests that the Specification enables such uses because none of them suggests that the celloidosome is useful for such applications in its current form, without further research. In their Reply Brief, Appellants argue for the first time that twelve publications cited in their Information Disclosure Statement “delve into the testing of, and explain the importance, usefulness and applications for, the invention and similar products.” (Reply Br. 24—25.) One of the only two publications Appellants specifically mention, however, is the NANOSPAIN Presentation already discussed in the context of our discussion of the Cheng Declaration. Appellants also argue that Rastogi,7 which “discusses prior art fabrication of similar special particles using other techniques,” shows that the artificial gland of the claims is useful because it further lists “many [other] references discussing fabrication of similar particles.” {Id. at 27.) Appellants’ argument is not persuasive: Appellants do not point to any particular use of Rastogi’s particles that is also enabled for the claimed artificial gland. Likewise, given the lack of any analysis by Appellants as to the remaining publications, we are not persuaded by Appellants’ attorney argument that the publications provide adequate guidance regarding the use of the artificial gland recited in the claim. {Id. at 25—26.) 7 Vinayak Rastogi et al., Communication, Anisotropic Particle Synthesis Inside Droplet Templates on Superhydrophobic Surfaces, 31 Macromolecular Rapid Communications 190 (2010). 15 Appeal 2015-007406 Application 12/880,113 Accordingly, we affirm the Examiner’s rejection of claim 1 under 35 U.S.C. § 112(a) or 35 U.S.C. § 112 (pre-AIA), first paragraph, as failing to comply with the enablement requirement. Claims 2—17, which are not separately argued, fall with claim 1. TIME PERIOD FOR RESPONSE No time period for taking any subsequent action in connection with this appeal may be extended under 37 C.F.R. § 1.136(a). AFFIRMED 16 Copy with citationCopy as parenthetical citation