Tech Governance

Overcoming Obviousness Rejections: Arguing Changes to Fundamental Principle of Operation

Background of the Case

  • Case: University of Maryland v. Presens (Federal Circuit, non-precedential).

  • Issue: Whether claims of U.S. Patent No. 6,673,532 were obvious.

  • Context: Inter partes reexamination (IPR) affirmed by the PTAB.

  • The Federal Circuit upheld the rejection of the patent claims as obvious.


The ’532 Patent

  • Directed to an optical method for monitoring cell culture parameters.

  • Claim 1 (representative claim) includes:

    • A cultivation vessel with a single continuous volume.

    • At least two optical chemical sensors inside the vessel.

    • Sensors excited by light sources.

    • Detection and analysis of emissions/absorption to measure parameters.


Prior Art References

Bambot

  • Described optical methods for measuring:

    • Glucose

    • pH

    • Oxygen

    • Carbon dioxide

  • Included similar components:

    • Sensors

    • Excitation sources

    • Detectors

Weigl

  • Described a triple sensor device for measuring:

    • pH

    • Oxygen

    • Carbon dioxide

  • Sensors were located outside the cultivation vessel.

  • Each sensor had a dedicated excitation source and detector.


Examiner’s Obviousness Rejection

  • Combined Bambot and Weigl.

  • Concluded that the claimed invention would have been obvious at the time of invention.

  • Found that together the references disclosed all elements of the claim.


Patent Owner’s Argument

  • Argued that combining the references:

    • Would change Weigl’s “fundamental principle of operation.”

  • Relied on In re Ratti (1959), a case often cited to support this type of argument.

  • Claimed that moving Weigl’s sensors inside the vessel would fundamentally alter its operation.


Federal Circuit’s Decision

  • Affirmed the PTAB’s obviousness ruling.

  • Held that:

    • The patent owner misapplied Ratti.

    • Weigl was relied upon for what it measured (parameters), not sensor placement.

  • Emphasized:

    • A person of ordinary skill is “not an automaton.”

    • References need not be physically combined exactly as disclosed.

    • If the combined teachings disclose all claim elements, obviousness may be found.


Key Lessons for Patent Practice

  • The “changes the principle of operation” argument is difficult to win.

  • Courts may:

    • Focus on what the references teach conceptually.

    • Not limit analysis to literal structural combinations.

  • Practitioners must:

    • Carefully analyze how each reference is being applied.

    • Ensure the argument aligns precisely with how the examiner relies on the references.

  • Overuse or misapplication of the “principle of operation” argument can weaken an obviousness defense.


Practical Takeaway

  • Successfully overcoming obviousness requires:

    • A precise understanding of the examiner’s rationale.

    • Careful framing of combination arguments.

  • Simply asserting that a combination changes a reference’s principle of operation is often insufficient without strong technical support.


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