AMGEN, INC., Appellant, v. INTERNATIONAL TRADE COMMISSION, Appellee, and Roche Holding Ltd., F. Hoffmann-La Roche Ltd., Roche Diagnostics GmbH, and Hoffman-La Roche Inc., Intervenors.
No. 2007-1014.
United States Court of Appeals, Federal Circuit.
April 30, 2009.
565 F.3d 846
Before NEWMAN, LOURIE, and LINN, Circuit Judges.
E. Imposition of
Finally, Beckles argues that the district court violated the Fifth and Sixth Amendments to the United States Constitution when it applied
The Supreme Court has rejected Beckles‘s argument. In Almendarez-Torres v. United States, 523 U.S. 224, 247 (1998), the Court held that the government need not prove beyond a reasonable doubt that a defendant had prior convictions or allege those prior convictions in the indictment in order to use those convictions to enhance a defendant‘s sentence. This Court has confirmed repeatedly that Almendarez-Torres is good law and that “a district court does not err by relying on prior convictions to enhance a defendant‘s sentence.” United States v. Shelton, 400 F.3d 1325, 1329 (11th Cir.2005); see United States v. Dowd, 451 F.3d 1244, 1253 (11th Cir.2006) (explaining that “we are bound by Almendarez-Torres until it is explicitly overruled by the Supreme Court“); Greer, 440 F.3d at 1273-76 (expressly rejecting the argument that a judge is forbidden by Booker and Apprendi from determining the factual nature of the prior conviction in vacating the district court‘s refusal to impose the
Accordingly, we AFFIRM the conviction and sentence in all respects.
AFFIRMED.
Linda A. Sasaki-Baxley, Day Casebeer
Christal A. Sheppard, Attorney, Office of the General Counsel, United States International Trade Commission, of Washington, DC, argued for appellee. With her on the brief were James M. Lyons, General Counsel, and Wayne W. Herrington, Assistant General Counsel.
Michael P. Dougherty, Morgan & Finnegan, LLP, of New York, NY, argued for intervenors. With him on the brief were Bartholomew Verdirame, Tony V. Pezzano, and John C. Vassil, of New York, NY; and Kent R. Stevens, of Washington, DC. Of counsel on the brief were Leora Ben-Ami, Patricia A. Carson, Thomas F. Fleming, Howard S. Suh, and Manvin Mayell, Kaye Scholer LLP, of New York, NY; and V. James Adduci II, Adduci, Mastriani & Schaumberg, LLP, of Washington, DC. Of counsel were Tom M. Schaumberg and Maureen F. Browne, of Washington, DC.
PER CURIAM.1
By complaint to the International Trade Commission under Section 337 of the Tariff Act of 1930 as amended,
Roche moved for summary determination of noninfringement as to all claims, on the ground that the imported EPO is exempt from infringement by operation of
We affirm the Commission‘s ruling that the safe harbor provided by
I
The Commission‘s statutory interpretations and rulings of law receive plenary review, applying the standards of the Administrative Procedure Act. See
A
Section 337 assigns to the Commission the authority and obligation to investigate and prohibit importation based on unfair competition derived from patent, trademark, and copyright infringement, including:
19 U.S.C. § 1337(a)(1) Subject to paragraph (2), the following are unlawful, and when found by the Commission to exist shall be dealt with, in addition to any other provision of law, as provided in this section:* * *
(B) The importation into the United States, the sale for importation, or the sale within the United States after importation by the owner, importer, or consignee, of articles that—
(i) infringe a valid and enforceable United States patent or a valid and enforceable United States copyright under title 17, United States Code; or
(ii) are made, produced, processed, or mined under, or by means of, a process covered by the claims of a valid and enforceable United States patent....
* * *
(b)(1) The Commission shall investigate any alleged violation of this section on complaint under oath or upon its initiative.... The Commission shall conclude any such investigation and make its determination under this section at the earliest practicable time....
The issues on this appeal center on the safe harbor statute for drug products, on application to the imported EPO of the following provisions of Title 35:
35 U.S.C. § 271(e)(1) It shall not be an act of infringement to make, use, offer to sell, or sell within the United States or import into the United States a patented invention ... solely for uses reasonably related to the development and submission of information under a Federal law which regulates the manufacture, use, or sale of drugs or veterinary biological products.* * *
§ 271(e)(3) In any action for patent infringement brought under this section, no injunctive or other relief may be granted which would prohibit the making, using, offering to sell, or selling within the United States or importing into the United States of a patented invention under paragraph (1).
The Commission held that the safe harbor statute applies to products produced offshore by a process patented in the United
35 U.S.C. § 271(g) Whoever without authority imports into the United States or offers to sell, sells, or uses within the United States a product which is made by a process patented in the United States shall be liable as an infringer, if the importation, offer to sell, sale, or use of the product occurs during the term of such process patent.... A product which is made by a patented process will, for purposes of this title, not be considered to be so made after—(1) it is materially changed by subsequent processes; or
(2) it becomes a trivial and nonessential component of another product.
Amgen states that the enactment of
The Commission rejected these arguments, and held that the safe harbor statute fully applies to process patent liability under the Tariff Act. In support the Commission cited Glaxo Inc. v. Novopharm Ltd., 110 F.3d 1562 (Fed.Cir.1997) and Bio-Technology General Corp. v. Genentech, Inc., 80 F.3d 1553 (Fed.Cir.1996). Novopharm related to determinations of infringement based on the filing of an ANDA for product produced offshore; and this court remarked that the “artificial” acts of infringement that are created by
In Kinik v. International Trade Commission, 362 F.3d 1359 (Fed.Cir.2004) this court explained that
The Commission did not accept Amgen‘s distinction, and ruled that the safe harbor statute insulates the Roche EPO from Section 337 exclusion not only as to infringement of Amgen‘s product patents but also as to Amgen‘s process patents. We conclude that the Commission‘s ruling is in consonance with congressional policy as set forth in enactment of
In enacting
Specifically, the Committee does not intend that it shall be an act of infringement to import a product which is made by a process patented in the United States “solely for uses reasonably related to the development and submission of information under a Federal law which regulates the manufacture, use, or sale of drugs.” See 271(e) (1) of title 35, United States Code. Congress previously decided that certain actions do not constitute patent infringements and this Act does not change that prior policy decision.
S.Rep. No. 100-83, 48 (1987). Implementing in other contexts this broadly stated congressional policy, in Merck KGaA v. Integra Lifesciences I, Ltd., 545 U.S. 193 (2005) the Court explained that Congress intended that the immunity of regulatory activity not be inhibited, stating that ”
B
Amgen argues that even on the Commission‘s interpretation of the safe harbor statute, at least some of the imported Roche EPO is not exempt because its actual use was not “reasonably related to the development and submission of information under [the FDCA],”
Amgen states that by the time this action was brought Roche had shifted its attention in the United States to infringement analysis experiments, market-seeding trials, and litigation-related activity. Amgen states that these activities are not shielded by the safe harbor, for they do not “contribute, relatively directly, to the generation of the kinds of information that are likely to be relevant to the processes by which the FDA would decide whether to approve the product in question,” a general definition of exempt activity endorsed by the Court in Merck as “consistent with, if less detailed than, the construction of
The Commission appears to have assumed that all otherwise infringing activities are exempt if conducted during the period before regulatory approval is granted. That assumption is incorrect, for the Court in Merck confirmed that “[e]ach of the accused activities must be evaluated separately to determine whether the exemption applies.” Id. at 200. The studies at issue in Merck were presented as scientific studies, and it is apparent that commercial and marketing studies are more clearly subject to separate evaluation for application of the exemption.
The ALJ denied most of Amgen‘s requests for discovery of Roche‘s post-BLA activities, with the exception of the experiments conducted by Dr. Veng-Pedersen, and perhaps some others—the briefs dispute what was disclosed in discovery. However, as to Dr. Veng-Pederson‘s work, Amgen asserts that these experiments were conducted for marketing purposes, with the objective of trying to distinguish Roche‘s EPO from that of Amgen. The evidence on this aspect was conflicting and required closer analysis than it received, in light of the distinctions drawn by the Court in Merck. For example, an email from Roche‘s Program Director for Oncology asked Dr. Veng-Pedersen to “explore the metabolism (uptake in the bone mar-
The ALJ held that all of the imported EPO, including that used after the application for federal approval was completed, is exempt. However, the Court in Merck set careful boundaries to the exemption, requiring separate review of all studies for which the exemption was claimed. Roche does not appear to dispute that some imported product was used to conduct Roche‘s marketing department‘s recommended studies for purposes of brand recognition and not for FDA approval, and the record does not discuss whether any of the post-BLA work was supplemental to the BLA and intended for submission to the FDA, thereby subject to exemption. See 21 C.F.R. § 601.12 (entitled “Changes to an approved application” and requiring an applicant to inform the FDA “about each change in the product, production process, quality controls, equipment, facilities, responsible personnel, or labeling established in the approved license application(s)“).
To the extent that the Commission held all importation and all uses exempt while FDA approval was pending, the safe harbor statute does not so provide. The factual questions of the purposes of the post-BLA and other challenged activities were improperly summarily decided adversely to Amgen. On remand the Commission shall consider the exempt status of each study for which question has reasonably been raised.
II
On appeal, the parties dispute whether, under
It is not necessary for us to resolve the parties’ dispute concerning “imminent importations” to decide this case. In this case, Amgen asserted that Roche imported EPO into the United States. See Amended Complaint of Amgen Inc. ¶ 7.1, In re Certain Prods. & Pharm. Compositions Containing Recombinant Human Erythropoietin, No. 337-TA-568 (Int‘l Trade Comm‘n Apr. 27, 2006) (“On information and belief, Roche is currently importing
There is no dispute that Roche has imported EPO. The parties’ main disputes are whether the safe harbor of
As is very common in situations where a tribunal‘s subject matter jurisdiction is based on the same statute which gives rise to the federal right, the jurisdictional requirements of section 1337 mesh with the factual requirements necessary to prevail on the merits. In such a situation, the Supreme Court has held that the tribunal should assume jurisdiction and treat (and dismiss on, if necessary) the merits of the case.
* * *
Amgen‘s complaint alleged that Chugai was importing rEPO and that the rEPO was made by a process covered by the ‘008 patent; thus, on its face the complaint came within the jurisdiction of the Commission. The fact that Amgen was later unable to sustain these allegations is not material to the issue of jurisdiction. We hold that the Commission should have assumed jurisdiction, and, if the facts indicate that Amgen cannot obtain relief under section 1337(a)(1)(B)(ii), the Commission should have dismissed on the merits.
Amgen Inc. v. Int‘l Trade Comm‘n, 902 F.2d 1532, 1536 (Fed.Cir.1990) (citing Bell v. Hood, 327 U.S. 678, 682 (1946) and Jackson Transit Auth. v. Local Div. 1285, Amalgamated Transit Union, 457 U.S. 15, 21 (1982)) (footnotes omitted).
In this case, the Commission had jurisdiction as a result of Amgen‘s allegation that Roche imported an article made by a process covered by the claims of a valid and enforceable United States patent. See
SUMMARY
Applying the safe harbor exemption of
AFFIRMED IN PART, REVERSED IN PART, AND REMANDED.
LINN, Circuit Judge, concurring-in-part and dissenting-in-part.
I am pleased to join Parts I.B and II of the majority opinion insofar as they relate to the asserted product claims, but I respectfully dissent from Part I.A, which holds that the safe harbor from infringement liability provided by
Specifically,
The language of
It appears that this difference in language is not accidental. Although Title 35 and section 337 are ordinarily coextensive, their scope has differed with respect to imported goods made by patented processes for almost seventy years. In 1940, Congress enacted § 1337a—the predecessor to today‘s
It is important to recognize that the former § 1337a was recodified into
In short, I see no basis for concluding that Congress did not intend what it said. I do not disagree with the majority‘s policy judgment that
Accordingly, I would reverse and remand to the Commission for consideration of the merits of Amgen‘s complaint with respect to the process claims, without regard to the use to which the imported EPO is put. I join the majority‘s disposition as to the product claims.
