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Kirin-Amgen Inc & Ors v Hoechst Marion Roussel Ltd & Ors

United Kingdom House of Lords
Oct 21, 2004
Smart Summary (Beta)

Factual and Procedural Background

Company A, a pharmaceutical firm, owns European Patent EP 148605B2, which teaches how to produce the hormone erythropoietin (“EPO”) using recombinant DNA technology. Company B, a competitor, developed an alternative method—referred to as “gene activation”—to manufacture the same protein (“GA-EPO”) and planned to import it into the United Kingdom. Company A sued for infringement; Company B counter-claimed for declarations of non-infringement and for revocation of the patent.

In the High Court, Judge Neuberger held that claim 19 of the patent was invalid for insufficiency, but that claim 26 was valid and infringed. The Court of Appeal reversed in part, upholding the validity of both claims but finding no infringement. Both parties appealed to the House of Lords: Company A contended that the Court of Appeal construed the claims too narrowly, while Company B challenged the findings on validity (anticipation and sufficiency). The present opinion resolves those cross-appeals.

Legal Issues Presented

  1. How should the scope of protection conferred by the patent claims be determined under Article 69 EPC, the Protocol on its interpretation, and the Patents Act 1977?
  2. Whether the product GA-EPO infringes claims 19 or 26 when manufactured via gene activation rather than by inserting an exogenous EPO-coding sequence.
  3. Whether claim 26 lacks novelty (anticipation) because the resulting EPO is chemically identical to naturally occurring urinary EPO.
  4. Whether claim 19 is insufficient because the patent fails to enable the skilled person to determine infringement using the “higher molecular weight by SDS-PAGE” criterion.
  5. Whether the specification is sufficient in respect of breadth (all recombinant technologies), cell varieties, and EPO analogues.

Arguments of the Parties

Company A’s Arguments

  • The term “host cell” in claim 1 encompasses cells containing an endogenous EPO gene so long as some exogenous DNA (e.g., regulatory sequences) is present; therefore GA-EPO falls within claims 19 and 26.
  • Claims should be construed purposively to cover future recombinant technologies unknown at the priority date, including gene activation.
  • Claim 26 is novel because expression in a eukaryotic host using the patented DNA sequence inevitably produces an EPO glycosylation pattern distinct from urinary EPO.
  • Claim 19 is sufficiently clear: any skilled person can apply the SDS-PAGE test against a sample of urinary EPO.

Company B’s Arguments

  • “Host cell” in claim 1 refers only to cells into which an exogenous EPO-coding DNA sequence has been introduced; GA-EPO is expressed from an endogenous gene and therefore lies outside the claims.
  • Article 69 EPC bars extension of protection beyond the claims; purposive construction does not justify including undisclosed technologies.
  • Claim 26 lacks novelty because recombinant EPO and urinary EPO can be chemically indistinguishable; defining a product by its manufacturing process does not confer novelty.
  • Claim 19 is insufficient: variability among urinary EPO preparations makes the molecular-weight comparison unworkable; the patent gives no guidance on which reference sample to use.
  • The patent fails to enable expression in non-CHO cells, fails to enable all recombinant technologies, and fails to teach how to identify functional analogues.

Table of Precedents Cited

PrecedentRule or Principle Cited ForApplication by the Court
Biogen Inc v Medeva plc [1997] RPC 1Enablement and speed of scientific developmentIllustrated rapid advances in recombinant technology and informed sufficiency analysis
Catnic Components Ltd v Hill & Smith Ltd [1982] RPC 183Purposive claim construction; rejection of literalismAdopted as the correct approach under Article 69 and the Protocol
British United Shoe Machinery Co Ltd v A. Fussell & Sons Ltd (1908) 25 RPC 631Distinction between disclosure and claim scopeHistorical background to importance of claims
Electric & Musical Industries Ltd v Lissen Ltd (1938) 56 RPC 23Function of claims to delimit monopolyCited when explaining need for certainty to third parties
Prenn v Simmonds [1971] 1 WLR 1381Contextual contract interpretationPart of move away from strict literalism
Reardon Smith Line Ltd v Hansen-Tangen [1976] 1 WLR 989Context and purpose in constructionSupported purposive approach
The Antaios [1985] AC 191Words to be given sensible meaning in contextCited analogously for patent claims
Mannai Investment Co Ltd v Eagle Star Life Assurance Co Ltd [1997] AC 749Objective meaning to reasonable addresseeApplied to skilled reader of patent
Investors Compensation Scheme Ltd v West Bromwich BS [1998] 1 WLR 896Re-statement of contextual interpretation principlesUsed to explain purposive construction
Clark v Adie (1877) 2 App Cas 315“Pith and marrow” doctrineHistorical backdrop to equivalents discussion
C Van Der Lely NV v Bamfords Ltd [1963] RPC 61Limits of pith and marrowHighlighted vagueness of pre-EPC equivalents
Graver Tank & Mfg Co v Linde Air Products Co 339 US 605 (1950)U.S. doctrine of equivalentsContrasted with European approach post-Article 69
Royal Typewriter Co v Remington Rand Inc 168 F.2d 691Purpose of U.S. equivalents doctrineUsed in comparing American and European law
Warner-Jenkinson Co v Hilton Davis Chemical Co 520 US 17 (1997)Concerns about expansive equivalentsSupport for rejecting post-claim enlargement
Festo Corp v Shoketsu Kinzoku KK 234 F.3d 558, Supreme Court (2002)Prosecution history estoppel in U.S.Illustrated practical problems of U.S. approach
Improver Corp v Remington Consumer Products Ltd [1990] FSR 181“Protocol questions” for equivalentsDiscussed limits of that framework in high-tech cases
Southco Inc v Dzus Fastener Europe Ltd [1992] RPC 299Alignment of Catnic with ProtocolReferenced in accepting purposive construction
PLG Research Ltd v Ardon International Ltd [1995] RPC 287Critique of Catnic/protocol comparisonCited when analysing Protocol interpretation
Assidoman Multipack Ltd v The Mead Corporation [1995] RPC 321Explanation that Catnic accords with ProtocolApproved by House of Lords
Rockwater Ltd v Technip France SA [2004] EWCA Civ 381Guidance on purposive constructionCited to clarify there is no presumption of broadness
Wheatley v Drillsafe Ltd [2001] RPC 133“Protocol questions” terminologyIllustrated their limited utility
American Home Products Corp v Novartis Pharmaceuticals UK Ltd [2001] RPC 159Application of protocol to derivatives/analoguesCited when discussing sufficiency and analogues
Batteriekastenschnur [1989] GRUR 903German shift to claims as decisive basisEvidence of European convergence
Ciba-Geigy/Oté Optics (1995) NJ 39Dutch acknowledgement of claim centralitySame convergence point
Kunstoffrohrteil [2002] GRUR 511 & Schneidemesser 1 [2003] ENPR 12 309German “quintet” on approximation/equivalentsShow similarity to Catnic approach
Bayer/Plant Growth Regulating Agent [1990] EPOR 257EPO statement that claims play “central role”Used to underline Article 69 framework
Merrell Dow Pharmaceuticals Inc v H.N. Norton & Co Ltd [1996] RPC 76Need for UK law to mirror EPC standardsSupported aligning novelty analysis with EPO
Genentech Inc’s Patent [1989] RPC 147 & Genentech [1987] RPC 553Discovery versus invention; sufficiencyRelied on when assessing if DNA sequence itself could be the invention
International Flavors & Fragrances Inc [1984] OJ EPO 309EPO stance on product-by-process claimsGuided ruling that claim 26 lacked novelty
Genetics Institute Inc v Kirin-Amgen Inc (No 3) (Aus 1998)Enablement of cDNA expressionReferenced in breadth-of-claim discussion
Kirin Amgen c.s./Boehringer Mannheim c.s. (Neth 2000)Enablement across forms of exogenous DNACited during sufficiency analysis
Regina (Quintavalle) v Secretary of State for Health [2003] 2 AC 687Updating statutory terms to new technologyAnalogy for construing claims to cover later tech
Genentech I/Polypeptide Expression T 292/85 [1989] OJ EPO 275“Principle capable of general application”Explained when broad claims may be enabled
British Thomson-Houston Co Ltd v Corona Lamp Works Ltd (1922) 39 RPC 49Skilled person “seeking success”Discussed in molecular-weight sufficiency issue
Amgen Inc v Chugai Pharmaceutical Co Ltd 18 USPQ2d 1016 (1991)Invalidity of broad analogues claimsNoted when evaluating analogue sufficiency

Court's Reasoning and Analysis

Claim Construction and Infringement. The House endorsed purposive construction under Article 69 EPC. The skilled reader would interpret “host cell” in claim 1 to mean a cell into which an exogenous EPO-coding sequence has been inserted. Because Company B’s gene-activation method employs an endogenous gene, GA-EPO is not the product of “expression of an exogenous DNA sequence” (claim 19) nor the product of expression “in a host cell of a DNA sequence according to claim 1” (claim 26). Consequently, neither claim is infringed.

Use of the “Protocol Questions.” The Court explained that the Improver questions are merely aids; they cannot override the central statutory test. In highly technical contexts they may add little and can distract from the real inquiry: what the skilled person would understand the patentee to mean.

Novelty (Claim 26). The Court rejected the earlier finding that recombinant EPO is necessarily different from urinary EPO. On the High Court’s factual findings, there is no inherent chemical distinction. Relying on EPO case-law (International Flavors) and Article 64(2) EPC, the Lords held that defining a known product solely by reference to its method of manufacture does not confer novelty. Claim 26 was therefore anticipated and invalid.

Sufficiency (Claim 19). Claim 19 relies on a higher molecular weight “by SDS-PAGE” relative to “erythropoietin isolated from urinary sources.” Evidence showed significant variability in urinary EPO preparations; the patent gave no guidance on which reference sample to use. Because a skilled person could not ascertain, without undue effort, whether a given product fell inside or outside the claim, the disclosure was insufficient under section 72(1)(c) Patents Act 1977.

Other Sufficiency Grounds. The Court dismissed objections based on cell-variety and breadth, holding that those points did not arise once infringement failed; it acknowledged, however, that had the claims been construed broadly enough to cover all recombinant technologies, the breadth objection “may well have been a good one.” The analogue-sufficiency issue was left open because the relevant claims were already invalid.

Holding and Implications

Holding: the House of Lords dismissed Company A’s appeal, allowed Company B’s cross-appeal, and ordered that European Patent EP 148605B2 be REVOKED on grounds that (a) claim 19 is insufficient and (b) claim 26 lacks novelty; no infringement was established.

Implications: The judgment re-affirms that (1) claim construction in the United Kingdom is governed by purposive interpretation anchored in the claim language; (2) Article 69 EPC forecloses any doctrine that extends protection beyond the claims; (3) product-by-process claims will fail for lack of novelty where the product is not demonstrably different from prior art; and (4) insufficient clarity in a pivotal test renders a claim invalid. The decision aligns UK practice with EPO standards and signals to patentees that broad, technologically open-ended claims must be fully enabled and clearly delimited.