Wednesday 26 November 2014

A look at the requirements for granting a patent and an analysis of which one is usually the least problematic.

By Ian Derrick Mutange



Section 2 Uganda’s Industrial Properties Act defines a Patent as the title granted to protect an invention.A patent gives the owner a monopoly in a particular territory, enabling them to exploit the invention exclusively for a period of up to 20 years.

David Bainbridge and Claire Howell In their book Intellectual Property Law, state that Although the inventor benefits from the patent in that he can work, sell or license it, society also benefits because not only is innovation encouraged but the invention will eventually fall into the public domain.

It should be noted that the grant of a monopoly is premised on the satisfaction of 3 requirements. Section 9 of the Industrial Properties Act, states that an invention is patentable if it is new, involves an inventive step, and is industrially applicable. From the said provision, the extractable requirements are novelty, inventive step and industrial application.

Before discussing the abovementioned requirements showing the most and least problematic to overcome in an application for a Patent, I shall address my mind to the question of what amounts to an invention. In the words of Lord Hoffman “logically one should first decide whether the claimed invention can properly be described as an invention at all. Only if this question receives an affirmative answer would it be necessary to go on to consider whether the invention satisfies the prescribed conditions for being ‘patentable’."  

Section 2 of the same Act also further states that an invention means a new and useful art whether producing a physical effect or not, process, machine, manufacture or composition of matter which is not obvious, or a new and useful improvement of it which is not obvious, capable of being used or applied in trade or industry; and includes an alleged invention;

In Biogen V Medeva Plc (1997) RPC1 cited in Bainbridge, Lord Hoffman usefully described the different forms of inventions. He stated that an invention is the addition of an idea to an already existing stock of knowledge. Sometimes, it is the idea of using established techniques to do something, which no one had previously thought of doing. In that case, the inventive step will be doing the new thing. 

Sometimes, it is finding a way of doing something, which people had wanted to do but could not think how. The inventive idea would be the way of achieving the goal. In yet other cases, many people may have a general idea of how they might achieve a goal but not know how to solve a particular problem, which stands in their way. If someone devises a way of solving the problem, his inventive step will be that solution but not the goal itself or the general method of achieving it.

From the above as per Bainbridge, an invention could be a product (goal), a process (method of achieving the goal) or a solution to a problem. I now turn to discuss the requirements of Patentability showing the most and least problematic to overcome in an application for a Patent.

Novelty: Section 10(1) of the Industrial Properties Act, states that an invention is new if it is not anticipated by prior art or where a person who is highly skilled in the relevant area could not derive the invention from a combination of prior disclosed art.

Section 10(2) of the same Act states that for purposes of this Act, prior art consists of everything made available to the public anywhere in the world by means of written disclosure including drawings, published patent applications, and other illustrations or by oral disclosure, use, exhibition or other non-written means, where the disclosure occurred before the date of filing of the application or, if priority is claimed, before the priority date validly claimed in respect of the application.

From the above provisions, it is clear that for one to claim a Patent in respect of an invention, it should not have been disclosed anywhere in the world. Disclosure to a person(s) in confidence does not defeat novelty as stated in Visx Inc V Nidek Co Ltd (1997) FSR 495.  Further more, Bainbridge at Pg. 419 states that, while disclosure even to a single person without any express or implied terms as to confidence is sufficient to defeat novelty. It is immaterial whether the person kept the said disclosure a secret as court noted in MMI Research Ltd V Cellxion Ltd (2009) EWHC 418.

One vital element under Novelty is the aspect of Anticipation. In the case of Synthon V SmithKline Beecham Plc (2006) RPC 323, it was stated that anticipation entails an enabling disclosure; such that a skilled person in the field can be able to work the invention. Lord Hoffman went on to confirm that despite the fact that enablement and disclosure are correlated in as regards anticipation, the two principles have separate rules that govern them.

In respect of disclosure, Lord Hoffman was of the view that prior art must disclose subject matter which if performed would necessarily result into an infringement on the Patent. In the Synthon case (above) it should be noted that patent infringement does not require awareness of the infringement. Lord Hoffman further stressed that prior disclosure should be construed as understood by the skilled person at the date of disclosure not at the date of subsequent patent.

In light of the issue of enablement, it should be looked at from the perspective of an ordinary skilled person not a world champion as per Jacob J in the Synthon case above. Once the disclosure has been made, the question whether an invention can be enabled is to be looked at as viewing whether the skilled person in the field can work the invention by carrying out trial and error experiments. The skilled person need not possess inventive faculties and need not be aware of the fact that he is working the said invention as stated in the Merrell case (above).

From the above therefore, it can be deduced that novelty applies quite strictly and is practically the most difficult to overcome. This is premised on the following:-

(a)            Under Novelty, the invention in question must not form part of the prior art. Prior art constitutes anything disclosed anywhere in the world (Section 10(2) of the Industrial Properties Act 2014. This provision implores Patentees to be diligent and ensure that their inventions do not form part of prior art in order to satisfy Novelty. This in practise is hard to overcome because one is compelled to conduct for lack of a better word a ‘world search’ to satisfy Novelty.

(b)           Section 10 further requires one to have an invention that is new i.e. absolute novelty. In Low Developed Countries like Uganda, this is a hard measure to overcome on the basis that “there is nothing new under the sun.” Therefore the idea of satisfying the fact that the invention does not form part of prior art is a complex one and is hard to overcome.

(c)            In respect of the issue of enablement, a skilled person in the field in question is bound to conduct trial and error experiments for purposes of working or enabling the invention (Synthon case). It is my opinion that the conduction of the said trial and error experiments is in practise, a problematic one owing to the fact that a lot of finances may be involved and the said process is rather speculative since its premised on trial and error.

Inventive Step; Section 11 also states that an invention shall be considered as involving an inventive step if, having regard to the prior art relevant to the application claiming the inventions, it would not have been obvious to a person skilled in the art to which the invention relates on the date of the filing of the application or, if priority is claimed on the date validly claimed in respect of the invention.

The key issue under the requirement of inventive step is the concept of obviousness. This has no special meaning assigned to it and the plain dictionary meaning is invoked as court noted in General Tire & Rubber Co Ltd V Firestone Tyre & Anor (1972) RPC 437. The question of whether an invention is obvious is one of fact and depends on the circumstances of the case in question in Lux Traffic V Pike (1993) RPC 107 ChD. The term ‘obvious’ relates to that which does not go beyond the normal progress of technology but merely follows plainly or logically from the prior art, i.e. something that does not involve the exercise of any skill or ability beyond that to be expected of the person skilled in the art. The key point to note under obviousness is that where an invention is not obvious to a skilled person and an inventive person, it must involve an inventive step as noted in Intalite int’l V Cellular Ceilings Ltd No.2 (1987) ROC 537.

Obviousness is judged by looking at the invention as a whole and considering the state of art at the relevant time. Where the claimed invention is compared in its entirety with the previous state of the art, a mosaic approach as stated in Technograph Printed Circuits Ltd V Mills & Rockley (Electronics) (1972) RPC 346 is applied to assessing inventive step, that is, it is examined whether it would be obvious to the person skilled in the art to combine various elements of pre-existing technique in order to arrive at the result for which the patent is claimed.

Another paramount consideration under the requirement of Inventive step is the skilled person in the field in question. In Technograph Printed Circuits Ltd V Mills & Rockley(Electronics) Pill J had this to say about a skilled person.. a skilled technician who is well acquainted with workshop technique and who has carefully read the relevant literature. He is supposed to have an unlimited capacity to assimilate the contents of . . . scores of specifications but to be incapable of a scintilla of invention. When dealing with obviousness, unlike novelty, it is permissible to make a ‘mosaic’ out of the relevant documents, but it must be a mosaic which can be put together by an unimaginative man with no inventive capacity.

Thus the skilled person in question need not possess inventive faculties and need not be a world champion (synthon case above). He should rather be well informed in light of the field in which the invention applies. When considering the requirement of inventive step, the test laid out by the court in Windsurfing V tabur Marine (1985) RPC 59 is a paramount consideration and failure to apply the same was in one case seen as a ground for appeal. The said test is;
1.      Identify the inventive concept embodied in the patent in suit.190
2.      The court then assumes the mantle of the normally skilled but     unimaginative addressee in the art at the priority date, imputing to him what was, at that date, common general knowledge in the art in question.
3.      Identify what, if any, differences exist between the matter cited as being ‘known and used’ and the alleged invention.
4.      The court then asks itself the question whether, viewed without any knowledge of the alleged invention, those differences constitute steps which would have been obvious to the skilled man or whether they require any degree of invention.

In PLG Research Ltd V Ardon Int’l Ltd (1995) RPC 287 Millet J stated that the value of the [the Windsurfing] analysis is not that it alters the critical question; it remains the question posed by the Act. But it enables the fact-finding tribunal to approach the question in a structured way. In essence, the said test was formulated as a structural approach to be used while determining the question of whether or not an inventive step exists.
                              
The said test was subject to amendment in Pozzoli SPA V BDMO SA (2007) FSR 872 Jacob J stated the test as follows:-
1.     (a)Identify the notional ‘person skilled in the art’;

(b) Identify the relevant common general knowledge of that person;

2.     Identify the inventive concept of the claim in question or, if that cannot    readily     be done, construe it;
3.     Identify what, if any, differences exist between the matter cited as forming part of the ‘state of the art’ and the inventive concept of the claim or the claim as construed;
4.     Viewed without any knowledge of the alleged invention as claimed, do those differences constitute steps, which would have been obvious to the person skilled in the art, or do they require a degree of invention?

From the above therefore, it can be seen that requirement of inventive step requires one to show that upon having regard to the prior art, their invention is not obvious to a person skilled in the art. The requirement for inventive step proves to be a difficult one to overcome as shown:-


The test requires that the skilled person in the art need be versed with all the relevant common knowledge
in relation to the field in question. This in my opinion is a hard position to overcome in practise. It may be hard to get a skilled person with a vast knowledge in relation to the art in question as required by the law. Although at the same time it is not an impossibility.

 The person skilled in the art ought to have read all the relevant literature in respect of the invention in question (Technographic case above). This in practise is problematic to overcome, as it requires a lot of time and resources for one to actually internalize all the relevant literature pertinent to the invention in question.

Industrial Applicability: Section 12 of the Act, states that an invention shall be considered industrially applicable if, according to its nature, it can be made or used in any kind of industry, including agriculture, medicine, fishery and other services. In effect, an invention lacking a practical application is unlikely to be patentable. If it has one, then it will probably pass the industrial applicability test.

In Eli Lilly & Co v Human Genome Sciences Inc (2008) EWHC 1903, Kichen J stated that:
It includes all manufacturing, extracting and processing activities of enterprises that are carried out continuously, independently and for commercial gain. . However, it need not necessarily be conducted for profit. . And a product which is shown to be useful to cure a rare or orphan disease may be considered capable of industrial application even if it is not intended for use in any trade at all. Conversely, the requirement will not be satisfied if what is described is merely an interesting research result that might yield a yet to be identified industrial application.

The requirement of industrial applicability seems to be the least problematic to overcome because what need be showed is that the invention in question has a use. There are no hard and fast rules in relation to the requirement of industrial applicability as opposed to novelty and inventive step.

In conclusion, it is clear from the above that the most problematic requirement to overcome in practise is Novelty and the least problematic is industrial applicability. However it is vital to note that all the requirements are of paramount importance in an application for a Patent and all of them need be satisfied to their requisite practical degrees for a Patent to be granted.  









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