2026年6月16日 星期二

用途發明中用語“EFFECTIVE AMOUNT”的明確性議題 - Ex parte Skuballa (BPAI 1989)

前言:
MPEP 2173
2173.05(c) Numerical Ranges and Amounts Limitations
...

III. “EFFECTIVE AMOUNT”

The common phrase “an effective amount” may or may not be indefinite. The proper test is whether or not one skilled in the art could determine specific values for the amount based on the disclosure. See In reMattison, 509 F.2d 563, 184 USPQ 484 (CCPA 1975). The phrase “an effective amount . . . for growth stimulation” was held to be definite where the amount was not critical and those skilled in the art would be able to determine from the written disclosure, including the examples, what an effective amount is. In reHalleck, 422 F.2d 911, 164 USPQ 647 (CCPA 1970). The phrase “an effective amount” has been held to be indefinite when the claim fails to state the function which is to be achieved and more than one effect can be implied from the specification or the relevant art. In reFredericksen, 213 F.2d 547, 102 USPQ 35 (CCPA 1954). The more recent cases have tended to accept a limitation such as “an effective amount” as being definite when read in light of the supporting disclosure and in the absence of any prior art which would give rise to uncertainty about the scope of the claim. In Ex parteSkuballa, 12 USPQ2d 1570 (Bd. Pat. App. & Inter. 1989), the Board held that a pharmaceutical composition claim which recited an “effective amount of a compound of claim 1” without stating the function to be achieved was definite, particularly when read in light of the supporting disclosure which provided guidelines as to the intended utilities and how the uses could be effected.

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"effective amount"用語常見化學、醫藥類、製程配方等發明中,例如:

US8598227

US7816383

US7772209


Ex parte Skuballa (Bd. Pat. App. & Inter. 1989)
專利申請號:06/623869(June 25, 1984, Serial No. 623,869
訴願號:Appeal No. 86-1591
訴願決定:June 2, 1989
系爭專利:US4894391

案件源起系爭專利申請案經USPTO審查後,除了本次提起訴願的claims 18-21以外,其他Claims 1-17為核准專利範圍。

Claims 18-21被駁回理由就是不符35 U.S.C. 112(a)(b)規定,因為其中用語造成相關領域技術人員無法理解而據以實施,或是專利範圍並未明確指出發明標的。總而言之,就是其中用語

系爭專利'391關於「新型前列環素衍生物、其製備方法及其作為藥物的用途(Novel prostacyclin derivatives, process for the preparation thereof, and use thereof as medicinal agents)」,Claim 1如下,描述的是「5-cyanoprostacyclin」化學式,屬於前列環素(Prostacyclin)的結構類似物,爭議在Claim 18界定的藥品成分、Claim 20界定「抑制胃酸分泌」施藥有效劑量,以及Claim 21界定達成用藥效果的方法,都是依附Claim 1的專利範圍,用語"effective amount of a compound of claim 1"導致不明確問題。

Claims 18-21:

Claim 1:

可實施性:
USPTO審查意見駁回claims 18-21的理由是當中並未明確記載藥品用途,但是BPAI認為因為這幾項都是依附核准專利範圍Claim 1的附屬項,專利範圍應涵蓋Claim 1範圍,並且認為"成分"專利範圍並不需要列出預期用途("the recitation of an intended use is not required in the present composition claims"),特別地解讀專利範圍應參考說明書內容。因此,BPAI判定系爭專利的說明書足以指引本領域技術人員如何根據已獲准的Claim 1記載的化合物成分等內容實現claims 18-21發明

明確性:
USPTO審查委員還認為claims 18, 20, 21中用語「"an effective amount"」不明確,因為並未說明如何使用所述成分的"量/amount"達成功能(function which is to be achieved by the amount of active ingredient present)。

此意見同樣被BPAI駁回,認為如claims 20, 21等「用途發明」通過施藥"5-cyanoprostacyclin"給病患達成功效,專利範圍看來都是醫藥目的的發明,也都是醫藥用途,並非不明確。

針對其中用語"an effective amount(有效劑量)",經參照專利說明書揭露內容,判定符合明確性,也就是說明書提供足夠的指引讓相關領域技術人員可以知道其用途以及如何使用。(這裡補充有些實驗有時是必要的)

最後,BPAI同意專利申請人訴願意見,雖Claim 21列舉多種用途,可能有不明確問題,但認為相關領域技術人員仍是可以針對所列舉的用途提出有效劑量和給藥方案。

因此,認為以上爭議專利範圍為明確。

BPAI判決:系爭專利涉及醫藥成分的申請專利範圍記載的"effective amount"(有效劑量)為明確,雖沒有記載相關功能,但基於說明書記載其用途的指引,可以知悉其效果。

my two cents:
我想,本案BPAI給予系爭專利申請人極大的favor,也就是提供如MPEP 2173對於明確性的要求更為寬容的底線。

當申請專利範圍使用了可能會導致"不明確"的用語,或是解讀上沒有得出"邊界"的用語,應參照說明書給的線索,才能確定專利範圍是否明確。如此,當申請專利範圍想要寫可能產生疑慮的用語,要確保說明書有足夠的支持。


Ron

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