Ex Parte VOLZDownload PDFPatent Trial and Appeal BoardNov 5, 201813168032 (P.T.A.B. Nov. 5, 2018) Copy Citation UNITED STA TES p A TENT AND TRADEMARK OFFICE APPLICATION NO. FILING DATE 13/168,032 06/24/2011 20995 7590 11/07/2018 KNOBBE MARTENS OLSON & BEAR LLP 2040 MAIN STREET FOURTEENTH FLOOR IRVINE, CA 92614 FIRST NAMED INVENTOR KIM VOLZ UNITED STATES DEPARTMENT OF COMMERCE United States Patent and Trademark Office Address: COMMISSIONER FOR PATENTS P.O. Box 1450 Alexandria, Virginia 22313-1450 www .uspto.gov ATTORNEY DOCKET NO. CONFIRMATION NO. EKOS.243A 9261 EXAMINER CWERN, JONATHAN ART UNIT PAPER NUMBER 3793 NOTIFICATION DATE DELIVERY MODE 11/07/2018 ELECTRONIC Please find below and/or attached an Office communication concerning this application or proceeding. The time period for reply, if any, is set in the attached communication. Notice of the Office communication was sent electronically on above-indicated "Notification Date" to the following e-mail address(es): j ayna.cartee@knobbe.com efiling@knobbe.com PTOL-90A (Rev. 04/07) UNITED STATES PATENT AND TRADEMARK OFFICE BEFORE THE PATENT TRIAL AND APPEAL BOARD Ex parte KIM VOLZ Appeal2017-009203 Application 13/168,032 Technology Center 3700 Before ERIC B. GRIMES, RICHARD M. LEBOVITZ, and JEFFREY N. FREDMAN, Administrative Patent Judges. FREDMAN, Administrative Patent Judge. DECISION ON APPEAL This is an appeal 1,2 under 35 U.S.C. § 134 involving claims to an ultrasound catheter system. The Examiner rejected the claims as obvious. We have jurisdiction under 35 U.S.C. § 6(b). We affirm. Statement of the Case Background "[U]ltrasonic energy is delivered to the treatment site to enhance the effect and/or delivery of [a] therapeutic compound" (Spec. ,r 2). The 1 Appellant identifies the Real Party in Interest as EKOS CORPORATION (see App. Br. 3). 2 We have considered and herein refer to the Specification of June 24, 2011 ("Spec."); Final Office Action of Oct. 12, 2016 ("Final Act."); Appeal Brief of Feb. 9, 2017 ("App. Br."); and Examiner's Answer of Mar. 30, 2017 ("Ans."). Appeal2017-009203 Application 13/168,032 Specification teaches "[ w ]hile such ultrasound catheter[] systems have been proven to be successful, there is a general need to improve the effectiveness and speed of such systems" (Spec. ,r 4). The Claims Claims 1-8 are on appeal. Independent claim 1 is representative and reads as follows: 1. An ultrasound catheter system comprising: a catheter having at least one ultrasonic element; and a control system configured to provide an oscillating electrical signal pattern that drives the at least one ultrasonic element to generate ultrasonic energy, the oscillating electrical signal pattern having only one of a rise or a fall rate greater than a sinusoidal waveform of the same amplitude and fundamental frequency as the oscillating electrical signal pattern. The Issue The Examiner rejected claims 1-8 under 35 U.S.C. § I03(a) as obvious over Wilson, 3 Fujimoto, 4 Mattiuzzi, 5 Schleuniger, 6 Shields, Jr., 7 Tepper, 8 Tsaliovich, 9 Tuszynski, 10 and Umemura 11 (Final Act. 2-5). 3 Wilson, US 2004/0199228 Al, published Oct. 7, 2004. 4 Fujimoto et al., US 5,694,936, issued Dec. 9, 1997. 5 Mattiuzzi et al., US 2010/0280505 Al, published Nov. 4, 2010. 6 Schleuniger et al., US 2004/0171970 Al, published Sept. 2, 2004. 7 Shields, Jr., US 2007/0249969 Al, published Oct. 25, 2007. 8 Tepper et al., US 5,524,624, issued June 11, 1996. 9 Tsaliovich, US 6,544,259 B 1, issued Apr. 8, 2003. 10 Tuszynski et al., US 2005/0249667 Al, published Nov. 10, 2005. 11 Umemura et al., US 5,523,058, issued June 4, 1996. 2 Appeal2017-009203 Application 13/168,032 The issue with respect to this rejection is: (i) Does the evidence of record support the Examiner's conclusion that the prior art suggests a control system configured to provide an "oscillating electrical signal pattern having only one of a rise or a fall rate greater than a sinusoidal waveform" as required by claim 1? (ii) If so, has Appellant presented evidence of secondary considerations that, when weighed with the evidence of obviousness, is sufficient to support a conclusion of non-obviousness? Findings of Fact 1. The Specification teaches "[i]n some embodiments, the leading edge of the electrical drive has a decreased rise rate compared to a sinusoidal wave, and the trailing edge of the electrical drive has an increased fall rate compared to that of a sinusoidal wave. A sawtooth waveform is this type of drive signal" (Spec. ,r 119). 2. Claim 4, which depends from claim 1, states "the oscillating electrical signal pattern comprises a sawtooth waveform" (App. Br. 14). 3. Wilson teaches "ultrasonic catheters configured to deliver ultrasonic energy and a therapeutic compound to a treatment site" (Wilson 4. Wilson teaches the ultrasonic catheter 10 generally comprises a multi- component, elongate flexible tubular body 12 ... [that] includes a flexible energy delivery section 18 . .. A backend hub 33 is attached ... comprising a proximal access port 31 ... The proximal access port 31 can be connected to control circuitry 100 via cable 45. 3 Appeal2017-009203 Application 13/168,032 (Wilson ,r 54). Wilson teaches: "In certain embodiments, a cooling fluid is introduced ... the flow rate of the cooling fluid and the power to the ultrasound assembly 42 can be adjusted to maintain the temperature of the inner core energy delivery section 41 within a desired range" (Wilson ,r 84). 5. Wilson teaches "ultrasonic energy can be emitted in waveforms having various shapes, such as sinusoidal waves, triangle waves, square waves, or other wave forms" (Wilson ,r 67). 6. Fujimoto teaches "an ultrasonic treatment apparatus comprising: an ultrasonic source for generating an ultrasonic treatment wave; and driving means for driving the ultrasonic source" (Fujimoto 2:34-- 37). 7. Figure 4B of Fujimoto is reproduced below: •t; to+ t12l tj t => fO ~ fo- f12 48 --TIME FIG. Fujimoto teaches that changes in Figure "4B may be used as a change in frequency along the time axis ... the driving signal changes in the form of a saw-tooth wave" (Fujimoto 7:52-57). 8. Mattiuzzi teaches a "mechanical pressure wave generated by a source of acoustic waves particularly ultrasound ones. In this case low frequency ultrasound waves and with triangular or sawtooth pulse arrangement are advantageous" (Mattiuzzi ,r 31 ). 9. Schleuniger teaches "replaceable emitting head 1 of a hand-held device for emission of ultrasonic therapeutic signals" (Schleuniger ,r 18). 4 Appeal2017-009203 Application 13/168,032 10. Schleuniger teaches the "ultrasonic power emitted is advantageously modulated. The modulation may be saw-tooth, square-wave or sinusoidal" (Schleuniger ,r 47). 11. Shields, Jr. teaches "an ultrasound therapy device for delivering ultrasonic treatment to a biological entity. The ultrasound therapy device includes a waveform generator, one or more transducers, one or more sensors, and a controller" (Shields, Jr. ,r 11 ). 12. Shields, Jr. teaches "the waveform generator 26 may generate a first signal having varying characteristics including, for example ... single- sine waveforms, multi-sine waveforms, frequency-swept sine waveforms, step waveforms, pulse waveforms, square waveforms, triangular waveforms, saw-tooth waveforms" (Shields, Jr. ,r 53). 13. Tepper teaches "an apparatus ... for both stimulating and imaging with ultrasound a tissue at a selected site within a patient" (Tepper 3:46-47). 14. Tepper teaches "[s]ignal generator 52 includes an oscillator 62 for generating, in response to controller 58, a desired waveform. Oscillator 62 can produce the waveform to have a desired waveshape, such as a sine wave, square wave, sawtooth wave" (Tepper 6:65 to 7:2). 15. Tsaliovich teaches: A source of sonic waves can be additionally provided to advantageously contribute to the effectiveness of the device. The sonic source can be designed as a separate audio oscillator with a range, for example, from about 5 kHz to about 15 kHz, or combined with the oscillator of ultrasound waves. In the latter case, a traditional waveform generator (square-wave, sawtooth, triangle, etc.) can be conveniently used that is capable of producing a signal. 5 Appeal2017-009203 Application 13/168,032 (Tsaliovich 4:50-57). 16. Tuszynski teaches a "process for synergistically combining sonic energy and other forms of energy, or other therapeutic agents, in the treatment of cells in living organisms" (Tuszynski ,r 8). 1 7. Tuszynski teaches One skilled in the art can determine the proper cycle of the ultrasound, proper intensity of the ultrasound, and time to be applied in each specific case based on experiments using an animal as a model. ... In addition, one skilled in the art can determine the excitation source frequency of the mechanical vibrational energy source .... the shape of the frequency can be of different types. For example, the frequency can be in the form of a square pulse, ramp, sawtooth, sine, triangle, or complex. (Tuszynski ,r,r 746-747). 18. Umemura teaches "an ultrasonic therapeutic apparatus suitable for medical treatment of malignant tumors and medical treatment of thrombi and calculi, an ultrasonic diagnostic apparatus" (Umemura 1:8-11). 19. U memura teaches: a drive circuit operated as usual with a drive waveform in the form of a sine wave or a rectangular wave having good symmetry is unsuitable for generating ultrasonic waves of frequencies of even multiples from the piezoelectric vibrator element because the drive waveform does not contain frequencies of even multiples of the fundamental frequency and therefore it is necessary to contrive a drive circuit which is operated with a drive waveform in the form of a waveform containing intended frequency components .... A second expedient concerning the drive circuit is that in place of a rectangular wave, a sawtooth wave or a stepped 6 Appeal2017-009203 Application 13/168,032 wave simulating the sawtooth wave is used as the drive waveform. (U memura 14: 3-18). 20. Umemura teaches the case where a sawtooth wave or a stepped wave simulating the sawtooth wave is used as the drive waveform will be described. Since it is well known that the sawtooth wave has frequency components of even multiples of the fundamental frequency, the stepped wave simulating the sawtooth wave will be described herein. (Umemura 15 :20-25). Principles of Law "The combination of familiar elements according to known methods is likely to be obvious when it does no more than yield predictable results." KSR Int 'l Co. v. Teleflex Inc., 550 U.S. 398, 416 (2007). "If a person of ordinary skill can implement a predictable variation, § 103 likely bars its patentability." Id. at 417. "A person of ordinary skill is also a person of ordinary creativity, not an automaton." Id. at 421. Analysis We adopt the Examiner's findings of fact and reasoning regarding the scope and content of the prior art (Final Act. 2-5; FF 1-20) and agree that the claims are rendered obvious by the prior art. We address Appellant's arguments below. Prima facie obviousness Appellant contends "a sawtooth waveform would not have been an obvious design choice to one of ordinary skill in the art" (App. Br. 6). Appellant specifically contends that 7 Appeal2017-009203 Application 13/168,032 (Id.). To produce a non-symmetrical sawtooth waveform would require an input of energy at both odd AND even harmonics. This would generally reduce the efficiency of the transducers and would potentially require added complexity in the drive system. Therefore, the use of a non-symmetrical sawtooth waveform would not be viewed as an obvious design goal by one of ordinary skill in the art. We find this argument unpersuasive because Wilson broadly teaches that "ultrasonic energy can be emitted in waveforms having various shapes" (FF 5) and each of the other eight cited references teaches the use of sawtooth waveforms for ultrasonic treatment (FF 7, 8, 10, 12, 14, 15, 17, 19, 20). Moreover, Tuszynski specifically teaches that "one skilled in the art can determine the excitation source frequency of the mechanical vibrational energy source .... For example, the frequency can be in the form of a ... sawtooth" (FF 17). Tuszynski evidences that the ordinary artisan can select known equivalent frequencies for ultrasound including sawtooth waves, along with choosing other parameters including intensity, cycle and application time (FF 17). Umemura evidences that the ordinary artisan knew how to generate sawtooth waves (FF 20). To the extent that sawtooth waves would require adjustments relative to sinusoidal waves due to complexity or efficiency requirements does not diminish the obviousness of using a waveform recognized by eight references as suitable for ultrasonic treatment (FF 7, 8, 10, 12, 14, 15, 17, 19, 20). Thus, the overwhelming weight of evidence supports the Examiner's position that "Wilson recognizes that it would be acceptable to modify the invention in such a fashion with different waveforms already. The changes to the system would be within the level of one of ordinary skill in the art to account for" (Ans. 3). 8 Appeal2017-009203 Application 13/168,032 Appellant contends "the reduction of efficiency of an ultrasound transducer would result in the generation of undesirable heat within the body that can damage internal tissue. Wilson discloses that the generation of heat in the body from the ultrasound elements is undesirable" (App. Br. 7). Appellant contends, "[i]ndeed, Wilson discloses at paragraphs [0084] and [0129] that the catheter has a cooling systems to maintain the temperature of the catheter within a desired range" (id.). We find this argument unpersuasive for several reasons. First, the Genstler Declaration 12 does not state that undesirable heat would be formed using a sawtooth wave or that reduced efficiency would necessarily result in increased heat (see Genstler Deel. ,r 6). Thus, the idea that reduced efficiency would result in increased heat is solely attorney argument without evidentiary support. See In re Pearson, 494 F.2d 1399, 1405 (CCPA 1974) ("Attorney's argument in a brief cannot take the place of evidence."). Second, we agree with the Examiner that: It is clear from Wilson that the problem relating to excess heat caused by ultrasound transducers was known in the art, and that a solution is provided for this problem in the form of the cooling system. Any additional heat generated by the use of a sawtooth waveform would thus be accounted for by the cooling system of Wilson. (Ans. 4). Third, Wilson expressly recognizes that cooling is optimizable, teaching "the flow rate of the cooling fluid and the power to the ultrasound assembly 42 can be adjusted to maintain the temperature of the inner core energy delivery section 41 within a desired range" (FF 4). Therefore, to the 12 Declaration of Curtis Genstler, dated Sept. 15, 2015. 9 Appeal2017-009203 Application 13/168,032 extent that sawtooth waveforms resulted in heating, Wilson teaches how to control temperature (FF 4). Appellant contends [a]s there is no indication in Wilson, or any of the other references cited by the Final Office Action, that there would be a benefit to using a waveform "wherein one of the rise or fall rate is greater than the corresponding rate in a sinusoidal waveform of the same amplitude and fundamental frequency," Applicant respectfully submits that one of ordinary skill in the art would not be motivated to use a sawtooth waveform. (App. Br. 7). We are not persuaded. In KSR, the Supreme Court rejected the rigid application of the teaching, suggestion, and motivation test by the Federal Circuit, stating that The principles underlying [earlier] cases are instructive when the question is whether a patent claiming the combination of elements of prior art is obvious. When a work is available in one field of endeavor, design incentives and other market forces can prompt variations of it, either in the same field or a different one. If a person of ordinary skill can implement a predictable variation, § 103 likely bars its patentability. KSR, 550 U.S. at 417. We agree with the Examiner that the ordinary artisan, informed by Wilson that different shape waveforms could be utilized (FF 5), would have selected predictable variations which include sawtooth waveforms that were known to be equivalent to sinusoidal waves as evidenced by the cited prior art. Specifically, Fujimoto teaches "a saw-tooth wave" (FF 7); Mattiuzzi teaches "ultrasound waves ... with triangular or sawtooth pulse arrangement are advantageous" (FF 8); Schleuniger teaches the "ultrasonic power emitted is advantageously modulated. The modulation 10 Appeal2017-009203 Application 13/168,032 may be saw-tooth, square-wave or sinusoidal" (FF 1 O); Shields, Jr. teaches "square waveforms, triangular waveforms, saw-tooth waveforms" (FF 12); Tepper teaches "the waveform to have a desired waveshape, such as a sine wave, square wave, sawtooth wave" (FF 14); Tsaliovich teaches "a traditional waveform generator (square-wave, sawtooth, triangle, etc.) can be conveniently used" (FF 15); Tuszynski teaches "the frequency can be in the form of a square pulse, ramp, sawtooth, sine, triangle, or complex" (FF 1 7); and Umemura suggests a sawtooth wave (FF 19). Thus, the evidence demonstrates that a sawtooth wave was a predictable variation of the various waveforms disclosed by Wilson (FF 7). Secondary considerations Appellant contends the "present application discloses [an] unexpected result in paragraphs [0141] to [0146]. ... A Neurowave (sine wave) and a 'sawtooth' wave ... were both tested for efficacy" (App. Br. 8). Appellant argues that the Specification provided data which looked at the bioefficiency of ultrasound protocols on enzyme mediated thrombolysis and quantified it in terms of the lysis enhancement factor ("LEF"). Id. (Id.). Appellant contends The sine wave showed a 25.81 LEF% at 1.0 Vpp and a 26.10 LEF% at 2.5 Vpp. By contrast, the "sawtooth" wave showed a 44.27 LEF% at 1.0 Vpp and a 38.25 LEF% at 2.5 Vpp. Compared to the sine wave, the "sawtooth" wave showed a 170% increase in LEF% at 1.0 Vpp and a 150% increase in LEF% at 2.5 Vpp. We have considered the asserted evidence but find it unpersuasive of unexpected results. The "LEF%" with the 150% and 170% increases does 11 Appeal2017-009203 Application 13/168,032 not directly compare the results of the neurowave and sawtooth wave (see Spec. ,r 146), but rather compares both to a drug control, thereby using math to amplify apparent differences based on the raw data of L%[lytic agent only]/LUS% [Lytic agent with ultrasound protocol]. Id. ,r 144. Indeed, the error ranges of the L%/LUS% data in Table 4 overlap between the sinusoidal Neurowave values of 12.68±0.62 and the Sawtooth values of 13.90±0.98 with both of the methods providing overlapping values in the range between 12.92-13.3 (see Spec. ,r 146, Table 4). Appellant did not provide an analysis to show that these values are significantly different from each other. While the raw data in Table 3, the other table relied upon for unexpected results, does not show overlap between the raw L%/LUS% data for the Neurowave and Sawtooth protocols, the upper value of the Neurowave of 11.99±0.72 is 12.71 and the lower value of the Sawtooth of 13.75±0.8 is 12.95 (see Spec. ,r 146, Table 3). The percent difference between the raw data values for Table 3 is 100% - (11.99/13.75 *100) or about a 13% difference. The percent difference between the raw data values for Table 4 is 100% - (12.68/13.90 *100) or about a 9% difference (see Spec. ,r 146, Tables 3 and 4). Appellant provides no statistical analysis showing that these differences in results were statistically significant. Thus, without performing mathematical manipulations that enhance the apparent differences between the data values, the raw data shows small percentage differences between the sawtooth and sinusoidal waveforms. This data is not persuasive of unexpected results because, absent statistical analysis, the evidence does not persuasively demonstrate that the differences between the protocols is a difference in kind necessary to show an 12 Appeal2017-009203 Application 13/168,032 unexpected result. The Federal Circuit found that a "32-43% increase in stress-rupture life ... does not represent a 'difference in kind' that is required to show unexpected results." In re Harris, 409 F.3d 1339, 1344 (Fed. Cir. 2005). The differences between the Neurowave and Sawtooth protocols here are significantly less than the 32% value that was insufficient in Harris. Analogous Art Appellant contends the "Final Office Action cites a number of references that have, as their goal, heat generation. For the reasons stated above, one of ordinary skill in the art would not be motivated to combine Wilson with references that are configured to generate heat" (App. Br. 9). Appellant contends (Id.). In contrast, as noted above, in Wilson the device is configured to enhance the therapeutic effects of a therapeutic compound while maintaining the device within a desired temperature range. Accordingly, there is no motivation to use a wave form as taught by Fujimoto or Mattiuzzi that is used to generate heat within the device disclosed by Wilson. We find this argument unpersuasive because Appellant mischaracterizes Wilson's device which is designed and "configured to deliver ultrasonic energy" (FF 3). Any energy delivery, "emitted in waveforms having various shapes" (FF 5), necessarily generates some amount of heat (see Ans. 4; "the use of an ultrasound transducer will necessarily generate a certain amount of heat"). Appellant provides no evidence that the use of a sawtooth wave form generates more or less heat than the sinusoidal, triangle, square or "other wave forms" expressly 13 Appeal2017-009203 Application 13/168,032 disclosed by Wilson (FF 5), or that the amount of heat energy delivered by whichever waveform is chosen would not be optimizable as desired by the ordinary artisan. Appellant specifically contends that "[ w ]ith regard to the remaining references, they are nonanalogous art and are therefore not prior art that is available for use in an obviousness rejection under 35 U.S.C. § 103" (App. Br. 9). Appellant contends that the devices of Schleuniger, Tsaliovich, Umemura, Shields, Jr., Tepper, and Tuszynski are nonanalogous because their devices are "entirely unrelated to the same field of endeavor as the present application - an ultrasound catheter configured to deliver a therapeutic compound to the treatment site so as to treat vascular occlusions" (App. Br. 10-11). Appellant also contends that these references are "not reasonably pertinent to the problem faced by the inventor of the present application - to enhance the delivery of a therapeutic compound to a treatment site" (App. Br. 10-11). We are not persuaded. "Prior art is analogous if it is from the same field of endeavor or if it is reasonably pertinent to the particular problem the inventor is trying to solve." Circuit Check Inc. v. QXQ Inc., 795 F.3d 1331, 1335 (Fed. Cir. 2015). Here, Schleuniger, Tsaliovich, Umemura, Shields, Jr., Tepper, and Tuszynski all teach ultrasound devices for treatment of patients by applying ultrasound energy to patients (FF 6-20). This comports with the teaching in the Specification that the "present invention relates generally to ultrasound systems" (Spec. ,r 1 ). Therefore, the cited references are all in the same field of endeavor as Wilson and the Specification, ultrasound therapy systems. 14 Appeal2017-009203 Application 13/168,032 In addition, the references relied upon by the Examiner are reasonably pertinent to the problem of "provid[ing] a large pressure gradient (with respect to time and/ or distance) at the leading and/ or trailing edge of each ultrasound wave" (Spec. ,r 116; cf claim 1 ). That is, each of the cited references discusses design of devices to generate desired waveforms, including sawtooth waveforms (FF 7, 8, 10, 12, 14, 15, 17, 19, 20). For example, Mattiuzzi teaches that sawtooth waveforms are advantageous in generating mechanical pressure, teaching a "mechanical pressure wave generated by a source of acoustic waves particularly ultrasound ones. In this case low frequency ultrasound waves and with triangular or sawtooth pulse arrangement are advantageous" in the context of treating biological tissue (FF 8). Tepper teaches designing a device to produce desired waveforms, specifically, teaching that"[ o ]scillator 62 can produce the waveform to have a desired waveshape, such as a sine wave, square wave, sawtooth wave" for stimulating tissue growth (FF 14). Thus, contrary to Appellant's position, the cited prior art discusses generation of sawtooth waveforms for ultrasound treatment of patients and are therefore pertinent to the desire of the Specification to generate such waveforms (FF 1 ). We also agree with the Examiner's findings that: All of the references are directed to driving an ultrasound transducer with a specific waveform, as in Wilson .... the principles of driving the ultrasound transducer remain the same regardless of the location of the transducer, or indeed the desired use of the transducer. Indeed, appellant's own specification also discloses in [0175] of the published specification: "Although many embodiments have been described in the context of an intravascular catheter it should be appreciated that the non- linear application of one or more power parameters and 15 Appeal2017-009203 Application 13/168,032 ultrasound pulse shaping can also be applied to nonintravascular catheters or devices and/ or non catheter applications." (Ans. 7-8). Conclusion of Law (i) The evidence of record supports the Examiner's conclusion that the prior art suggests a control system configured to provide an "oscillating electrical signal pattern having only one of a rise or a fall rate greater than a sinusoidal waveform" as required by claim 1. (ii) Appellant has not presented evidence of secondary considerations, that when weighed with the evidence of obviousness, is sufficient to support a conclusion of non-obviousness. SUMMARY In summary, we affirm the rejection of claims 1-8 under 35 U.S.C. § 103(a) as obvious over Wilson, Fujimoto, Mattiuzzi, Schleuniger, Shields, Jr., Tepper, Tsaliovich, Tuszynski, and Umemura. No time period for taking any subsequent action in connection with this appeal may be extended under 37 C.F.R. § 1.136(a). AFFIRMED 16 Copy with citationCopy as parenthetical citation