HITKANSUT LLC, a Michigan corporation, & Acceledyne Technologies, Ltd., LLC, a Michigan corporation, Plaintiffs, v. UNITED STATES, Defendant.
No. 12-303C
United States Court of Federal Claims.
December 12, 2014
119 Fed. Cl. 258
LETTOW, Judge.
Conclusion
For the reasons set forth above, Defendant‘s Motion to Dismiss under Rule 12(b)(1) is DENIED, but its Motion to Dismiss under Rule 12(b)(6) is GRANTED. Accordingly, the Clerk of Court is directed to dismiss the complaint.
IT IS SO ORDERED.
Gary L. Hausken, Assistant Director, Commercial Litigation Branch, Civil Division, United States Department of Justice, Washington, D.C., for defendant. With him on the briefs were Stuart F. Delery, Assistant Attorney General, Civil Division, and John Fargo, Director, Commercial Litigation Branch, Civil Division, United States Department of Justice, Washington, D.C. Of counsel was Benjamin S. Richards, Attorney, Commercial Litigation Branch, Civil Division, United States Department of Justice, Washington, D.C.
Patent case; U.S. Patent No. 7,175,722 entitled “Methods and Apparatus for Stress Relief Using Multiple Energy Sources;” enablement challenge;
OPINION AND ORDER1
LETTOW, Judge.
This patent case concerns a thermomagnetic processing method employed in research conducted by the government acting through Oak Ridge National Laboratory (“Oak Ridge” or “the government“) and by private entities through contractual Cooperative Research and Development Agreements (“CRADAs“) with the government. Plaintiffs Hitkansut LLC and Acceledyne Technologies, Ltd. LLC (collectively, “Hitkansut“) allege that the United States, through Oak Ridge, infringed upon Claims 1, 2, 6, 7, 8, 11, and 14 of its patent, United States Patent No. 7,175,722 (“the ‘722 patent“), entitled
BACKGROUND
Hitkansut claims that its principal, Ms. Donna Walker, invented “a method of achieving a desired physical property in a structure . . . through the concurrent application of two different energies . . . [where t]he first energy may be thermal energy (i.e. heat) and the second energy may be mechanical vibration, sonic, laser, microwave, or magnetic energy.” Pls.’ Mot. to Compel & for Entry of a Protective Order at 1-2, ECF No. 11. Ms. Walker filed a provisional patent application for this material-processing method on August 16, 2002 and was granted a patent on February 13, 2007. Hitkansut avers that Oak Ridge and its contractual partners are using the method and therefore infringing the process outlined in the claims of the ‘722 patent. See Compl. ¶¶ 22, 45 & Ex. A.2
The ‘722 patent consists of fourteen claims, seven of which are the subject of this action. In May 2013, this court held a claim-construction hearing, and it issued its constructions of the pertinent claim terms on July 31, 2013. See Hitkansut II, 114 Fed.Cl. 410. In September 2013, the government filed its first motion for summary judgment, asserting the invalidity of the ‘722 patent because its claims sought to patent nonstatutory subject matter under
On August 11, 2014, the government filed its second motion for summary judgment, alleging that the disclosed method of determining time and operational settings from a Larson-Miller relationship was inoperable due to the presence of several significant errors in the specification and claims and that Claims 1, 2, 6, and 11 were not enabled by the disclosure in the patent under
Of the four remaining asserted claims, Claim 1 is an independent claim, on which Claims 2 and 6 depend. Claim 11 is a separate independent claim upon which no other claim depends.
STANDARDS FOR DECISION
Under
The specification shall contain a written description of the invention, and of the manner and process of making and using it, in such full, clear, concise, and exact terms as to enable any person skilled in the art to which it pertains, or with which it is most nearly connected, to make and use the same, and shall set forth the best mode contemplated by the inventor of carrying out his invention.
Enablement poses a question of law based on underlying findings of fact. Alcon Research Ltd. v. Barr Labs., Inc., 745 F.3d 1180, 1188 (Fed.Cir.2014); In re Vaeck, 947 F.2d 488, 495 (Fed.Cir.1991). The enabling disclosure must appear in the specification of the patent at the time of filing. MagSil Corp. v. Hitachi Global Storage Technologies, Inc., 687 F.3d 1377, 1382 (Fed.Cir.2012). A challenger to a patent‘s validity based on a lack of enablement has the burden of proving by clear and convincing evidence that a person of ordinary skill in the art would not be able to practice the full scope of the claimed invention without “undue experimentation.” Alcon, 745 F.3d at 1188 (citing In re Wands, 858 F.2d 731, 736-37 (Fed.Cir.1988)); Johns Hopkins Univ. v. CellPro, Inc., 152 F.3d 1342, 1360 (Fed.Cir.1998); see also In re Wright, 999 F.2d 1557, 1561 (Fed.Cir.1993). Whether the required experimentation is “undue” is “not a single, simple factual determination, but rather is a conclusion reached by weighing many factual considerations.” Wands, 858 F.2d at 737. For a given case, the determination of what constitutes undue experimentation requires the application of a standard of reasonableness, with “due regard for the nature of the invention and the state of the art.” Id. (citing Ansul Co. v. Uniroyal, Inc., 448 F.2d 872, 878-79 (2d Cir.1971)). In Wands, the court of appeals set forth relevant factors that may be weighed in determining whether the amount of experimentation required is undue or sufficiently routine such that an ordinarily skilled artisan would reasonably be expected to complete it. Alcon, 745 F.3d at 1188 (citing Wands, 858 F.2d at 737).4 Those factors include:
- the quantity of experimentation necessary,
- the amount of direction or guidance presented,
- the presence or absence of working examples,
- the nature of the invention,
- the state of the prior art,
- the relative skill of those in the art,
- the predictability or unpredictability of the art, and
- the breadth of the claims.
In the patent system, enablement serves the dual purpose of “ensuring adequate disclosure of the claimed invention and of preventing claims broader than the disclosed invention.” MagSil, 687 F.3d at 1381 (citing AK Steel Corp. v. Sollac & Ugine, 344 F.3d 1234, 1244 (Fed.Cir.2003)). To ensure adequate public knowledge, the scope of the enablement must be greater than or equal to
ANALYSIS
A. Errors in the ‘722 Patent
The government claims that the ‘722 patent fails the enablement requirement in part because Claims 1, 2, 6, and 11 contain substantial errors, the identification and correction of which would require undue experimentation by a person of ordinary skill in the art. Def.‘s Mot. at 9-15. Hitkansut concedes that the ‘722 patent contains errors, but insists that they ultimately are insignificant because persons of ordinary skill in the art, based on their education and experience, would be able to correct them and operate the protected process. Pls.’ Opp‘n at 10. In support of their position, Hitkansut offers the declarations of Dr. Robert H. Wagoner5 and the inventor, Ms. Walker, experts whom they claim qualify as persons of ordinary skill in the art. Id. at 9.6
In PPG Indus., Inc. v. Guardian Indus. Corp., 75 F.3d 1558 (Fed.Cir.1996), the Federal Circuit addressed the issue of errors in a patent as they relate to the statutory enablement requirement. In that case, the court held that the inventor‘s use of flawed testing equipment, which led to the belief that glass with a composition equal to that of the competitor‘s glass would not satisfy the patent‘s ultraviolet transmission limitation, did not prevent the patent from satisfying the enablement requirement. Id. at 1564. The court noted that undue experimentation “is a matter of degree,” and relied on the district court‘s finding that PPG‘s calculation error was “harmless, inconsequential, and easily detectable by anyone who was skilled in the art of processing solar controlled glass.” Id. The court concluded that despite the errors, the patent taught those skilled in the art how to make and use the full scope of the claimed invention. Id.
Instead, the government in its motion cited heavily to a deposition of Ms. Walker, the inventor of the process set forth in the ‘722 patent. However, as the government itself conceded, “the inventor‘s memory is irrelevant to answering a simple question about the primary exemplary embodiment described in [the ‘722] patent.” Def.‘s Mot. at 10-11. The court therefore declines to give weight to the deposition testimony of Ms. Walker in its assessment of whether the ‘722 patent meets the enablement requirement. See generally Solomon v. Kimberly-Clark Corp., 216 F.3d 1372 (Fed.Cir.2000) (holding that inventor testimony obtained in the context of litigation should not be used to invalidate issued claims under the second paragraph of
The government also notes that the patent includes an incorrect value of the Larson-Miller constant “C” for aluminum. Def.‘s Mot. at 9-10. The patent instructs use of a value for C of 10 instead of 20, the accepted standard constant for aluminum in the Larson-Miller equation. Pls.’ Opp‘n at 14; Wagoner Decl. at 6 n.1. However, far from inhibiting the use of the claimed process, the error is typographical and would easily be understood and corrected by those of skill in the art who would have familiarity with commonly accepted values applicable to the Larson-Miller relationship. See Wagoner Decl. at 5-7.9 Use of the incorrect constant is even less significant than the errors that were present and found to be insignificant in PPG, which involved the application of flawed testing equipment that resulted in incorrect conclusions about ultraviolet transmissions. See PPG, 75 F.3d 1558.
Finally, the government asserts that the ‘722 patent is characterized by incorrect and an inconsistent use of units for time and temperature, and the improper use of a natural logarithm rather than a base-10 logarithm in its application of the Larson-Miller relationship. Def.‘s Mot. at 12-14, 27. Specifically, the government notes that the ‘722 patent does not instruct a person practicing the claimed method to use degrees Rankine for temperature “T” or to calculate time “t” in hours. The result of these errors is the incorrect calculation of the “final” combined Larson-Miller parameter Pf, allegedly rendering the claimed process inoperable. Id. at 14.10 While the government is correct that the patent contains unit errors, the court finds that any errors or omissions in the patent‘s specification with regard to units or the applicable type of logarithm are insignificant because of the patent‘s incorporation of the Larson-Miller relationship. The relationship first identified by Larson and Miller is considered fundamental and “taught in basic undergraduate engineering courses in metallurgy and material engineering.” Pls.’ Opp‘n at 13; see also Wagoner Decl. at 5. Even in their original article outlining the relationship, Larson and Miller instructed that for a given stress, the time is related to
In sum, while the ‘722 patent does contain representational errors and flaws in nomenclature, these errors are ultimately not significant because of the patent‘s incorporation of the Larson-Miller relationship, which is well understood and fundamental in the field of materials processing. A person of ordinary skill in the art would be able to correct the value of “C” for aluminum from 10 to 20, adjust the units of temperature “T” to degrees Rankine and the units of time “t” to hours, and apply a base-10 logarithm instead of a natural logarithm to the Larson Miller calculation. Wagoner Decl. at 5.12 Because no undue experimentation would be necessary, the errors do not prevent the patent from enabling the protected process.
B. Enablement13
The government argues that apart from the errors in the ‘722 patent, all eight Wands factors “strongly support the conclusion that undue experimentation would be required to practice [C]laims 1, 2, 6, and 11.” Def.‘s Mot. at 16. The government first addresses the eighth Wands factor: the breadth of the claims. Specifically, the government contends that the breadth of Claims 1, 2, 6, and 11 exceeds the patent‘s accompanying disclosure, requiring a person practicing the process to engage in undue experimentation to practice its full scope. Id. at 16-17. First, the government notes that the term “structure” in Claim 1 is overbroad, citing the court‘s claim-construction ruling that “structure” means “a physical object that has been constructed or manufactured and to which the claimed invention is applied.” Id. (quoting Hitkansut II, 114 Fed.Cl. at 416). The government contends that the ‘722 patent‘s disclosure only describes how to use the method with crystalline solids. Id. at 17. Similarly, the government argues that the
In raising its objection of a lack of enablement based on overbreadth of the patent claims, the government improperly relies on the deposition of the inventor, Ms. Walker, in identifying the proper boundaries that delineate the “full scope” of the ‘722 patent. See, e.g., Def.‘s Mot. at 17 (“[W]hile the inventor claims that the process works on carbon structures, her testimony reveals that she did not discover as much until a couple of years ago“) (internal citation omitted); id. at 18 (“[A]ccording to the inventor‘s understanding, any energy source could satisfy the oscillatory energy ‘limitation’ of [C]laim 1“). Nonetheless, it is not the inventor‘s opinion, but rather the patent as understood by one of ordinary skill in the relevant art, that controls.
The government avers that “the invention embraces methods of changing any physical property of a structure without regard to the material the structure is made out of, or the particular manner by which energy is applied to effect that change.” However, the government‘s assertion overstates the scope of the invention because the Larson-Miller relationship provides context for the ‘722 patent. Def.‘s Mot. at 35.15 That context inherently limits the types of materials to which the process can be applied and any potential physical properties affected by the process.16 That is the reason “structure” as used in the claims is construed to mean “a physical object that has been constructed or manufactured and to which the claimed invention is applied.” Hitkansut II, 114 Fed.Cl. at 416 (emphasis added). The claimed invention uniformly and consistently invokes the Larson-Miller relationship and thus a structure covered by the claims would necessarily have to be susceptible to being affected by operations conducted pursuant to the relationship. Other structures, i.e., those not so affected, would be outside the coverage of the claims.
The government also argues that the first three Wands factors each support its position that the protected process is not enabled by the disclosure. Def.‘s Mot. at 23-29. The government asserts that the specification of the ‘722 patent fails to disclose, inter alia, (1) the types of energy that may be used in the process; (2) the suitability of a given energy type for each material; (3) the settings governing non-thermal energies used with the method; (4) the proper tuning process; and (5) a method for altering the Larson-Miller relationship to account for two energy processes that do not depend on temperature “T.” Additionally, the government argues that the single detailed example in the specification of how to use the claimed method provides inadequate guidance to those of ordinary skill in the art to apply the protected process. Id. at 27-29.
As the government acknowledges, “a specification need not disclose what is well-known in the art,” Def.‘s Mot. at 32 (quoting Ariad Pharm., 598 F.3d at 1359 (Newman, additional views) (“Indeed, pioneering inventions can receive broad patents, when shown to have broad scope.“).
Finally, the government argues that the ‘722 patent is not enabled based on the state of the prior art. According to the government, because the concurrent application of heat and vibration to relieve stress was well known prior to the inventor‘s application for the ‘722 patent, “whatever novelty exists in the ‘722 [p]atent inures from the method it describes for calculating time and temperature values according to a L[arson]-M[iller] relationship.” Def.‘s Mot. at 29.17 The government‘s depiction of the prior art as it existed at the time of Ms. Walker‘s application is not persuasive insofar as enablement is concerned. While other patents in existence at the time of the ‘722 patent‘s filing combined heat and vibration to alter residual stress, the ‘722 process was the first to use Larson-Miller relationships to select times and temperatures in concurrently applying two energy sources to accelerate or enhance physical changes in certain materials. That is the novelty of Ms. Walker‘s invention. See Pls.’ Opp‘n at 24.
In sum, the court finds that the government has failed to demonstrate that Claims 1, 2, 6, and 11 are not enabled by the disclosure of the ‘722 patent.
C. The Validity of Claim 2
The government also avers that Claim 2 of the ‘722 patent is invalid under
Although slightly different language appears in Claim 1, Claim 2 essentially restates a process already addressed in Claim 1. Claim 2 reads:
The method of claim 1, further comprising:
determining a first Larson Miller parameter according to the first Larson Miller relationship, the first Larson Miller parameter corresponding to the desired physical property value;
determining a second Larson Miller parameter according to the second Larson Miller relationship, the second Larson Miller parameter corresponding to the desired physical property value;
selecting a first one of the temperature setting and the time value;
selecting a second one of the temperature setting and the time value according to the first and second Larson Miller parameters, according to the first Larson Miller relationship, and according to the first one of the temperature setting and the time value.
‘722 Patent, col. 20, lines 17-32.
Each of the limitations listed in Claim 2 are addressed in the independent claim. For example, Claim 1 similarly requires selection of a temperature setting or time value “according to a first order rate relationship for the first energy process, according to a first order rate relationship for a second energy process, and according to a desired physical property value” and limits such first order rate relationships to Larson-Miller relationships. ‘722 Patent, col. 19, lines 48-51. In addition, instructions regarding the determination of the first and second Larson-Miller parameters are outlined in the patent‘s specification. Id., col. 13, line 50 to col. 16, line 31. Rather than specifying a further limitation beyond those incorporated in Claim 1, Claim 2 recites limitations already required by that claim. Accordingly, the court finds that Claim 2 is invalid under
CONCLUSION
For the reasons stated, defendant‘s motion for summary judgment of invalidity with respect to Claims 1, 6, and 11 is DENIED. Defendant‘s motion for summary judgment of invalidity with respect to Claim 2 is GRANTED.
It is so ORDERED.
Charles F. Lettow
Judge
Notes
[A] claim in dependent form shall contain a reference to a claim previously set forth and then specify a further limitation of the subject matter claimed. A claim in dependent form shall be construed to incorporate by reference all the limitations of the claim to which it refers.
