DocketNumber: 2017-2508
Judges: Newman, Lourie, Stoll
Filed Date: 2/6/2019
Status: Precedential
Modified Date: 10/19/2024
Lourie, Circuit Judge.
*746Athena Diagnostics, Inc., Oxford University Innovation Ltd., and the Max-Planck-Gesellschaft zur Forderung der Wissenschaften E.V. (collectively, "Athena") appeal from the order of the United States District Court for the District of Massachusetts holding that claims 6-9 of U.S. Patent 7,267,820 (the " '820 patent") are invalid under
I. BACKGROUND
Athena Diagnostics is the exclusive licensee of the '820 patent, covering methods for diagnosing neurological disorders by detecting antibodies to a protein called muscle-specific tyrosine kinase ("MuSK"). '820 patent Abstract. Athena also markets a test called FMUSK that functions by evaluating those antibodies. After Mayo Collaborative Services, LLC ("Mayo") developed two competing tests that allegedly practice each step of one or more claims of the '820 patent, Athena accused Mayo of infringing its patent. Mayo moved to dismiss under Rule 12(b)(6), arguing that the asserted claims of the '820 patent were invalid under
A.
Myasthenia gravis ("MG") is a neurological disorder where patients experience muscle weakness and symptoms including drooping eyelids, double vision, and slurred speech. '820 patent col. 1 ll. 13-23. It was previously discovered that MG is an autoimmune disease caused by a patient generating antibodies against her own acetylcholine receptors.
About 80% of patients with MG produce acetylcholine receptor autoantibodies.
Having discovered the association between MuSK autoantibodies and MG, the inventors of the '820 patent disclosed and claimed methods of diagnosing neurological disorders such as MG by detecting autoantibodies that bind to a MuSK epitope.
1. A method for diagnosing neurotransmission or developmental disorders related to [MuSK] in a mammal comprising the step of detecting in a bodily fluid of said mammal autoantibodies to an epitope of [MuSK].
7. A method according to claim 1, comprising
contacting MuSK or an epitope or antigenic determinant thereof having a suitable label thereon, with said bodily fluid,
immunoprecipitating any antibody/MuSK complex or antibody/MuSK epitope or antigenic determinant complex from said bodily fluid and
monitoring for said label on any of said antibody/MuSK complex or antibody/MuSK epitope or antigen determinant complex,
wherein the presence of said label is indicative of said mammal is suffering from said neurotransmission or developmental disorder related to [MuSK].
*748The specification of the '820 patent further explains what the steps of iodination and immunoprecipitation entail. First, MuSK is iodinated using radioactive 125I.
It is undisputed that iodination and immunoprecipitation were known techniques at the time of the invention. The '820 patent specification states that "[t]he actual steps of detecting autoantibodies in a sample of bodily fluids may be performed in accordance with immunological assay techniques known per se in the art," such as radioimmunoassays.
Claim 6 is additionally at issue in this appeal and depends from claim 3. While claim 6 also involves detecting MuSK autoantibodies by contacting a patient's bodily fluid with MuSK or an epitope thereof, the labelling occurs somewhat differently than in claims 7-9. Instead of labeling MuSK with a radioisotope, claim 3 recites that the secondary antibody is "tagged or labeled with a reporter molecule."
B.
The district court concentrated its analysis on claims 7-9. Athena did not present any arguments specific to claim 6. Applying the test for subject matter eligibility established by the Supreme Court in Mayo Collaborative Services v. Prometheus Laboratories, Inc. ,
The district court thus dismissed Athena's complaint for failure to state a claim. Athena appealed. We have jurisdiction under
*749II. DISCUSSION
We review the district court's dismissal for failure to state a claim under regional circuit law. BASCOM Glob. Internet Servs., Inc. v. AT&T Mobility LLC ,
Section 101 provides that "[w]hoever invents or discovers any new and useful process, machine, manufacture, or composition of matter, or any new and useful improvement thereof, may obtain a patent therefor, subject to the conditions and requirements of this title."
Under the law as set forth by the Supreme Court, § 101, while broad, "contains an important implicit exception. '[L]aws of nature, natural phenomena, and abstract ideas' are not patentable." Mayo ,
Laws of nature are not patentable, but applications of such laws may be patentable. A claim to otherwise statutory subject matter does not become ineligible by its use of a law of nature. See Diehr ,
To distinguish claims to patent-eligible applications of laws of nature from claims that impermissibly tie up such laws, we apply the two-part test set forth by the Supreme Court. First, we examine whether the claims are "directed to" a law of nature. Alice ,
We first address claims 7-9 and then turn to claim 6.
*750A.
Athena argues that claims 7-9 are not directed to a natural law at step one because they recite innovative, specific, and concrete steps that do not preempt a natural law. Rather, Athena contends that the claims are directed to a new laboratory technique that makes use of man-made molecules.
Mayo responds that the claims are directed to a natural law: the correlation between naturally-occurring MuSK autoantibodies and MuSK-related neurological diseases like MG. According to Mayo, the remaining steps apart from the natural law are concededly standard immunoassay techniques that still leave the claim directed to a natural law. Indeed, Mayo argues that the specificity and concreteness of the claimed steps are irrelevant to whether a claim is directed to a natural law. And, as in Mayo , Mayo contends that it makes no difference to eligibility that the claimed diagnostic method uses man-made materials.
We ultimately agree with Mayo that, under Mayo , the claims are directed to a natural law. As an initial matter, we must identify what the relevant natural law is. Here, it is the correlation between the presence of naturally-occurring MuSK autoantibodies in bodily fluid and MuSK-related neurological diseases like MG.
However, as Athena correctly observes, not every claim that involves a natural law is directed to a natural law. "[A]ll inventions at some level embody, use, reflect, rest upon, or apply laws of nature, natural phenomena, or abstract ideas." Mayo ,
The step one "directed to" inquiry focuses on the claim as a whole. E.g. , Elec. Power Grp., LLC v. Alstom S.A. ,
For example, in CellzDirect we considered claims that covered a method for producing a preparation of a type of liver cell (called hepatocytes) that involved multiple freeze-thaw cycles. 827 F.3d at 1046, 1048. Although the inventors discovered the cells' ability to survive multiple freeze-thaw cycles, a discovery that the district *751court understood to be a natural law, we concluded that the claims were not directed to that natural law. Id. at 1048-50. This was because the claims as a whole recited "a new and improved way of preserving hepatocyte cells for later use," "not simply an observation or detection of the ability of hepatocytes to survive multiple freeze-thaw cycles." Id. at 1048. The claimed advance harnessed a natural law to produce a technological improvement that was patent eligible. See id. at 1048-49 ; see also, e.g. , Enfish ,
In contrast, in Cleveland Clinic we reiterated that claims that merely recite observing naturally occurring biological correlations "with no meaningful non-routine steps in between" are directed to a natural law.
The claims at issue here involve both the discovery of a natural law and certain concrete steps to observe its operation. Claim 9, the most specific claim at issue, recites the following method to detect MuSK autoantibodies: (1) mixing MuSK or an epitope thereof having a 125I label with bodily fluid; (2) immunoprecipitating any resulting antibody/MuSK complex; and (3) monitoring for the label on the complex. '820 patent col. 12 l. 62-col. 13 l. 9. The claim then concludes in the wherein clause with a statement of the natural law, i.e. , the discovery that MuSK autoantibodies naturally present in a patient sample, detected with the 125I label bound to the MuSK/antibody complex, indicate that the patient is suffering from a MuSK-related neurological disorder.
As in Cleveland Clinic and Ariosa , we conclude that claims 7-9 are directed to a natural law because the claimed advance was only in the discovery of a natural law, and that the additional recited steps only apply conventional techniques to detect that natural law. The specification of the '820 patent highlights the discovery of the natural law, explaining that "[t]he present inventors surprisingly found that many of the 20% of MG patients [who] do not exhibit any autoantibodies to [the acetylcholine receptor], instead have ... antibodies directed against the extracellular [amino]-terminal domains of MuSK."
Athena argues that the claims at issue, like the claims in CellzDirect , are directed to an innovative laboratory technique, not *752a law of nature. However, Athena does not point to any innovation other than its discovery of the natural law. CellzDirect did not suggest that appending standard techniques to detect a natural law rendered claims not directed to a natural law; rather, we expressly distinguished the eligible claims in that case from ineligible claims that "amounted to nothing more than observing or identifying the ineligible concept itself." 827 F.3d at 1048. In that case, we concluded that the "end result" of the claims at issue was "not simply an observation or detection" of a natural law. Id. We cannot so conclude here, since the claims before us only involve detecting a natural law "with no meaningful non-routine steps." Cleveland Clinic ,
Athena also points to the specificity of the claimed concrete steps, contending that they preempt no natural law and therefore the claims cannot be directed to a natural law. Although we agree that claim 9 leaves open to the public other ways of interrogating the correlation between MuSK autoantibodies and MuSK-related disorders without practicing the claim's concrete steps, that does not disturb our conclusion at step one. Preemption is sufficient to render a claim ineligible under § 101, but it is not necessary. Flook , 409 U.S. at 71-72,
Finally, Athena argues that the claims at issue differ from prior diagnostic claims we have held ineligible under § 101 because they require labeling MuSK with a man-made substance. We disagree. As Mayo argues, the use of a man-made molecule is not decisive if it amounts to only a routine step in a conventional method for observing a natural law. For example, Mayo involved claims requiring administering a man-made molecule (a drug "providing" 6-thioguanine) to a patient.
We consider it important at this point to note the difference between the claims before us here, which recite a natural law and conventional means for detecting it, and applications of natural laws, which are patent-eligible. See Vanda Pharm. Inc. v. West-Ward Pharm. Int'l Ltd. ,
As we conclude that claims 7-9 are directed to a natural law, we turn to the second step of the Mayo / Alice test.
B.
At step two, "we consider the elements of each claim both individually and 'as an ordered combination' to determine whether the additional elements 'transform the nature of the claim' into a patent-eligible application." Alice ,
1.
Athena argues that the claims provide an inventive concept: an innovative sequence of steps involving man-made molecules. Prior to its discovery, Athena contends that there was no disclosed method to detect MuSK autoantibodies. In addition, Athena argues that the existence of factual disputes precluded dismissal under Rule 12(b)(6).
Mayo responds that the claims lack an inventive concept because the specification describes the steps for detecting MuSK autoantibodies as standard techniques in the art. Furthermore, Mayo argues that no factual issues precluded the district court's dismissal under Rule 12(b)(6).
We agree with Mayo that the steps of the claims not drawn to ineligible subject matter, whether viewed individually or as an ordered combination, only require standard techniques to be applied in a standard way. As previously discussed, the specification of the '820 patent plainly states that "[t]he actual steps of detecting autoantibodies in a sample of bodily fluids *754may be performed in accordance with immunological assay techniques known per se in the art," such as radioimmunoassays. '820 patent col. 3 ll. 33-37. Iodination and immunoprecipitation are likewise described as standard techniques.
Our decisions in CellzDirect and BASCOM are consistent with the principle that applying standard techniques in a standard way to observe a natural law does not provide an inventive concept. In CellzDirect , we considered a combination of claimed steps involving two freeze/thaw cycles. 827 F.3d at 1051. We held that this combination of steps was not conventional because the prior art methods only disclosed using one freeze/thaw cycle and, in fact, taught away from using multiple freeze/thaw cycles. Id. Similarly, in BASCOM we held that the ordered combination of claim limitations was not routine and conventional because they placed a filtering tool at a specific location that improved on prior art technology. 827 F.3d at 1350. The inventive concept was "found in the non-conventional and non-generic arrangement of known, conventional pieces." Id. In contrast, claims 7-9 of the '820 patent employ a conventional technique for detecting autoantibodies, a radioimmunoassay, which the specification acknowledges was "known per se in the art." '820 patent col. 3 ll. 33-37. The individual constituent steps of that technique, iodination and immunoprecipitation, are similarly described as standard. Id. col. 4 ll. 9-12. Thus, unlike the claimed limitations at issue in CellzDirect and BASCOM , the recited steps here were conventional both as an ordered combination and individually.
Athena also argues that the claimed steps were unconventional because they had not been applied to detect MuSK autoantibodies prior to Athena's discovery of the correlation between MuSK autoantibodies and MG. Even accepting that fact, we cannot hold that performing standard techniques in a standard way to observe a newly discovered natural law provides an inventive concept. This is because "[t]he inventive concept necessary at step two ... cannot be furnished by the unpatentable law of nature ... itself." Genetic Techs. Ltd. v. Merial L.L.C. ,
Similar to its step one argument, Athena further argues that the claims recite an inventive concept because they use a man-made molecule, i.e. , labeled MuSK. Athena analogizes its methods involving labeled MuSK to the composition claims involving cDNA held eligible in Association for Molecular Pathology v. Myriad Genetics, Inc. ,
2.
Athena also argues that the district court needed to conduct fact-finding before resolving the § 101 issue. But, unlike in Aatrix ,
In the First Circuit, under Rule 12(b)(6) a district court may generally "consider only facts and documents that are part of or incorporated into the complaint; if matters outside the pleadings are considered, the motion must be decided under the more stringent standards applicable to a Rule 56 motion for summary judgment." Trans-Spec Truck Serv., Inc. v. Caterpillar Inc. ,
District courts in the First Circuit have discretion whether to convert a motion to dismiss into a motion for summary judgment.
We conclude that the district court did not abuse its discretion in declining to consider Athena's expert declaration and convert the motion into one for summary judgment. The declaration does not "merge into the pleadings," as the complaint does not reference it or otherwise depend on it. Nor is the declaration an official public record, another type of document a court may consider with the pleadings. See Watterson v. Page ,
Athena does not expressly argue that the district court abused its discretion, but does contend, primarily citing non-binding authority, that the plaintiff may freely allege facts without support in responding to a motion to dismiss as long as those facts are consistent with the complaint, see Early v. Bankers Life & Casualty Co. ,
Even assuming this general principle applies in the First Circuit-an assumption that Athena meagerly supports-the district court did not need to consider the allegations in the expert declaration because they were not consistent with the complaint read in light of the '820 patent. These technical allegations include: (1) that detecting MuSK autoantibodies required the "creative step" of breaking up MuSK
*756into smaller fragments, J.A. 623, 625; (2) that identifying a specific site on MuSK to label would not have been routine because many factors contribute to whether a binding site for a label is adequate, J.A. 626-28; and (3) that immunoprecipitation is generally uncertain and not routine, J.A. 630. None of these details are recited in the claims of the '820 patent : no claim requires breaking MuSK into fragments as opposed to using the entire MuSK protein; no claim is limited to a particular MuSK binding site; and no claim recites any detail with respect to immunoprecipitation. Those omissions are consistent with the specification's description of iodination, immunoprecipitation, and the overall radioimmunoassay as standard techniques. Because Athena's expert declaration made allegations inconsistent with the '820 patent, the district court was not obliged to accept them as true. For these reasons, the district court did not err in dismissing Athena's complaint under Rule 12(b)(6).
C.
Claim 6 recites a method for detecting MuSK autoantibodies different from claims 7-9. While claims 7-9 recite a radioimmunoassay, claim 6 recites an ELISA method. Like radioimmunoassays, the specification describes ELISA as an "immunological assay technique[ ] known per se in the art." '820 patent col. 3 ll. 32-36. The main technical difference pertinent to this appeal between an ELISA and a radioimmunoassay is that in an ELISA, the secondary antibody rather than the antigen is labeled.
Athena argues that since the district court did not specifically analyze claim 6, which involves a different technology, and implicitly treated claims 7-9 as representative, we should remand at least with respect to claim 6. Mayo responds that the district court properly grouped claim 6 with claims 7-9 because Athena grouped them together, and that Athena waived any separate arguments regarding claim 6 by not specifically addressing that claim in its briefing.
During the district court proceedings, Athena represented that it would not assert claims 1-5 and 10-12, and Mayo then moved to dismiss Athena's complaint, specifically addressing claims 6-9. In its response, Athena did not make any particularized arguments regarding claim 6, and, in an earlier response, indicated that the same arguments pertaining to claims 7-9 were also applicable to claim 6. See J.A. 180 ("While the claim does not require radioactive MuSK or complexes, many other arguments relating to claims 7-9 apply to claim 6."). The district court did not address claim 6 in its order beyond listing it among the other claims. Decision ,
Given this history, we agree with Mayo that Athena waived its arguments specific to claim 6 by not making them before the district court. We apply regional circuit law to the issue of waiver, as it is not unique to patent law. Riverwood Int'l Corp. v. R.A. Jones & Co. ,
CONCLUSION
We have considered Athena's remaining arguments but find them unpersuasive. Because claims 6-9 of the '820 patent recite only a natural law together with conventional steps to detect that law, they are ineligible under § 101. For the foregoing reasons, we affirm the judgment of the district court.
AFFIRMED
An epitope, also known as an antigenic determinant, is a segment of a protein recognized by an antibody. See Bruce Alberts, Molecular Biology of the Cell 449-50 (6th ed. 2015). The specification of the '820 patent disclosed that autoantibodies in MG patients recognize a MuSK epitope located on the protein's extracellular amino-terminal domain. '820 patent col. 1 ll. 54-57.
ELISA stands for enzyme-linked immunosorbent assay. The technical details of this assay are not relevant to this appeal.
We note that the district court held that the "focus of the claims" was the binding of MuSK to MuSK antibodies in bodily fluid. Decision ,
The dissent states much that one can agree with from the standpoint of policy, and history, including that "the public interest is poorly served by adding disincentive to the development of new diagnostic methods." Dissent at 762. We would add further that, in our view, providing patent protection to novel and non-obvious diagnostic methods would promote the progress of science and useful arts. But, whether or not we as individual judges might agree or not that these claims only recite a natural law, cf. Berkheimer v. HP Inc. ,