William Maxwell et al.Download PDFPatent Trials and Appeals BoardJul 13, 20212021002474 (P.T.A.B. Jul. 13, 2021) Copy Citation UNITED STATES PATENT AND TRADEMARK OFFICE 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 APPLICATION NO. FILING DATE FIRST NAMED INVENTOR ATTORNEY DOCKET NO. CONFIRMATION NO. 11/668,148 01/29/2007 William Maxwell Chisholm Maxwell XY-20 (US-02) 3341 88484 7590 07/13/2021 CR MILES P.C. 405 Mason Court, Suite 119 Fort Collins, CO 80524 EXAMINER MCNEIL, STEPHANIE A N ART UNIT PAPER NUMBER 1653 NOTIFICATION DATE DELIVERY MODE 07/13/2021 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): crmiles@crmiles.com patents@stgen.com PTOL-90A (Rev. 04/07) UNITED STATES PATENT AND TRADEMARK OFFICE __________ BEFORE THE PATENT TRIAL AND APPEAL BOARD __________ Ex parte WILLIAM MAXWELL CHISHOLM MAXWELL, FIONA KATE HOLLINSHEAD, JUSTINE KELLIE O’BRIEN, and GARETH EVANS __________ Appeal 2021-002474 Application 11/668,148 Technology Center 1600 __________ Before ERIC B. GRIMES, JEFFREY N. FREDMAN, and TAWEN CHANG, Administrative Patent Judges. FREDMAN, Administrative Patent Judge. DECISION ON APPEAL This is an appeal1 under 35 U.S.C. § 134 involving claims to a method of processing sperm cells. The Examiner rejected the claims as failing to comply with the enablement requirement and as obvious. We have jurisdiction under 35 U.S.C. § 6(b). We reverse. 1 We use the word “Appellant” to refer to “applicant” as defined in 37 C.F.R. § 1.42. Appellant identifies the Real Party in Interest as XY, LLC (see Appeal Br. 4). We have considered the Specification of January 29, 2007 (“Spec.”); Final Office Action of May 8, 2020 (“Final Act.”); Appeal Brief of Nov. 3, 2020 (“Appeal Br.”); and Examiner’s Answer of Dec. 18, 2020 (“Ans.”). Appeal 2021-002474 Application 11/668,148 2 Statement of the Case Background Although the various devices and methods of sperm cell processing, generally, and the collection, handling, separation, storage, transportation, usage, fertilization, and insemination of sperm cells have been improved over the past several years, significant problems remain with respect to maintaining sperm quality, such as viability, motility, functionality, and preservation and stimulation relative to such techniques, especially with regard to artificial insemination (in vivo) and in vitro fertilization (IVF) procedures. (Spec. 1:26–31). It has “been traditionally understood that processing steps such as preservation, specifically cryopreservation, and sorting might be too damaging to the sperm cells” (id. at 3:12–14). The Specification states that results from traditional sperm cell processing procedures may teach “away from subsequent processing steps such as sorting and cryopreservation, or processing steps incorporating multiple cryopreservation steps” (id. at 3:21– 23). The Claims Claims 1, 4, 10–15, 30, 31, 34, 35, 38–40, 42, 44, and 46–56 are on appeal. Claim 1 is an independent claim, is representative and reads as follows: 1. A method of processing sperm cells, comprising: obtaining once-cryopreserved sperm cells of a nonhuman mammal; thawing said once-cryopreserved sperm cells; sorting said once-cryopreserved sperm cells subsequent to thawing to yield an X-chromosome bearing sperm cell population or a Y-chromosome chromosome bearing sperm cell population; and Appeal 2021-002474 Application 11/668,148 3 cryopreserving said X-chromosome bearing sperm cell population or said Y-chromosome bearing sperm cell population to yield twice-cryopreserved sorted sperm cell populations effective upon thawing of fertilizing an egg which develops into a blastocyst of said nonhuman mammal. The Rejections A. The Examiner rejected claims 1, 4, 10–15, 30, 31, 34, 35, 38–40, 42, 44, and 46–55 under 35 U.S.C. § 112, first paragraph, scope of enablement (Final Act. 2–6). B. The Examiner rejected claims 1, 4, 10–15, 30, 31, 34, 35, 38–40, 42, 47, and 50–53 under 35 U.S.C. § 103(a) as obvious over Schenk2 and Colas3 (Final Act. 10–12). C. The Examiner rejected claims 44 and 46 under 35 U.S.C. § 103(a) as obvious over Schenk, Colas, and Prieto4 (Final Act. 12–13). D. The Examiner rejected claims 48, 49, 54, and 55 under 35 U.S.C. § 103(a) as obvious over Schenk, Colas, and Dalimata5 (Final Act. 13–14). E. The Examiner rejected claim 56 under 35 U.S.C. § 103(a) as obvious over Schenk, Colas, Dalimata, and Valcárcel6 (Final Act. 14–15). 2 Schenk et al., Cryopreservation of Flow-Sorted Bovine Spermatozoa, 52 Theriogenology 1375–91 (1999). 3 Colas, G., US 3,973,003, issued Aug. 3, 1976. 4 Prieto et al., US 6,204,431 B1, issued Mar. 20, 2001. 5 Dalimata et al., Cryopreservation of Rabbit Spermatozoa Using Acetamide in Combination with Trehalose and Methyl Cellulose, 48 Theriogenology 831–41 (1997). 6 Valcárcel et al., Comparison between Sephadex G-10 and Percoll for Preparation of Normospermic, Asthenospermic and Frozen/Thawed Ram Semen, 41 Anim. Reprod. Sci. 215–24 (1996). Appeal 2021-002474 Application 11/668,148 4 A. 35 U.S.C. § 112, first paragraph, scope of enablement The Examiner finds that the full scope of claim 1 is not enabled by the Specification, which only enables a “method of processing sperm cells that results in sperm capable of yielding blastocysts wherein the method employs a particular set of cryopreservatives and a particular freezing and thawing process, i.e. one that uses a particular density gradient with other specific conditions as is the case with claim 56” (Final Act. 2–3). The Examiner finds the Specification “does not reasonably provide enablement for any method in which sperm are frozen and thawed twice using any other freezing and thawing protocol, thereby yielding sperm capable of yielding any number of blastocysts” (id. at 3). Appellant contends the term “cryopreserved” does not imply that sperm can be frozen by any means. Rather, the specification and the common definition of cryopreserved is “to maintain the viability of cells by storing them at very low temperatures.” The known art recognized that . . . standard modes of “cryopreservation” preserve[] the viability of sperm cells. (Appeal Br. 38). Appellant contends the “specification coupled with what was well known in the art at the time of the invention describes alternatives to the method of Hollinshead and alternative freezing conditions known in the art” (id. at 41). Appellant concludes “a person of ordinary skill in the art (which Examiner concedes is high) could practice the full breadth of the invention of Claim 1 without undue experimentation” (id. at 47). The issue with respect to this rejection is: Does a preponderance of the evidence of record support the Examiner’s conclusion that the Specification does not enable the full scope of the claimed invention? Appeal 2021-002474 Application 11/668,148 5 Findings of Fact Breadth of Claims 1. The Examiner finds: Claim 1 is broadly drawn to a method comprising obtaining sperm that have been cryopreserved by any means; thawing them in any way; sorting them according to their containing an X- or Y-chromosome; and re-cryopreserving them by any means. Claim 1 requires that once the sperm cells are thawed in some unspecified manner, they are effective of developing a blastocyst[] after they fertilize an egg. (Final Act. 3). Presence of Working Examples 2. The Specification teaches, in one example, that “[f]rozen semen from 2 rams . . . was used throughout. Post-thaw sperm treatments comprised (i) unsorted (Control); (ii) sorted (Frozen-Sort) and (iii) sorted then re-frozen (Frozen-Sort-Frozen). X and Y sperm were separated using a high-speed sorter” (Spec. 16:14–17). The Specification teaches that “[b]lastocyst development rate was higher for oocytes fertilized with Froz- Sort-Froz than with Control sperm. These results demonstrate that frozen- thawed ram sperm can be sex-sorted for either immediate or future use in an IVF system after re-cryopreservation” (Spec. 17:7–10). 3. The Specification does not provide the specific conditions for cryopreservation used for either the first or second freezing or thawing event in the example (see Spec. 16:4 to 17:21). 4. The Specification’s remaining examples do not use twice- cryopreserved sperm as required by claim 1 (see Spec. 14:1 to 15:10 and 17:22 to 19:15). Appeal 2021-002474 Application 11/668,148 6 Amount of Direction or Guidance Presented 5. The Specification teaches , as to sorting sperm, a processing technique, 200μl of thawed spermatozoa was placed onto a 2ml separation gradient (90%:45%) of Puresperm™, a human preparation, and a Tris based diluent. The gradient preparations were then centrifuged at 1000g for 15 minutes. The post-Puresperm™ pellet was removed, slowly diluted 1:4 with warm Tris based diluent and centrifuged at 650g for 3 minutes. The supernatant was removed and the sperm stained, incubated and sorted. (Spec. 14:4–9). 6. The Specification generally teaches “[s]perm samples are cryopreserved, such as by freezing, using various preservation techniques, such as freezing in a Hepes-buffered crydiluent. Sperm cells may be provided as pellets or straws and may be thawed using various thawing techniques” (Spec. 11:16–18). Relative skill in the art 7. The Examiner and Appellant appear to agree that the skill in the art is high (see Final Act. 9). State of the Prior Art and Unpredictability of the Art 8. Seidel7 teaches: “Spermatozoa that have been cryopreserved and thawed do not tolerate the sexing process well, particularly if they are to be re-frozen. Since sperm sorting is a slow process relative to the needs for most applications, keeping spermatozoa healthy between semen collection and sorting is important” (Seidel 736, col. 1). 7 Seidel et al., Current Status of Sexing Mammalian Spermatozoa, 124 Reprod. 733–43 (2002). Appeal 2021-002474 Application 11/668,148 7 9. Seidel teaches “stallion spermatozoa are sexed routinely after storage in appropriate diluents at 5–15ºC for 18 h, resulting in excellent fertility if spermatozoa are not cryopreserved after sorting” (Seidel 736, col. 1). 10. Underwood8 teaches: It has long been believed impossible to double-freeze sperm while maintaining fertilizing ability, particularly with the added stresses of sex-sorting. This was disproved by the birth of lambs following embryo transfer (ET) of in vitro produced embryos derived from sex-sorted, double frozen ram sperm (Hollinshead et al. 2004a) .[9] Following this was the birth of lambs after low dose artificial insemination (AI) of sex-sorted, double frozen ram sperm. (Underwood 460, col. 2.) 11. Hollinshead teaches “Semen was diluted 1:4 (semen:diluent, v/v) using a zwitterion-buffered diluent containing 13.5% egg yolk and 6% glycerol (ZWIT) . . . and frozen and thawed using the pellet method described by Evans & Maxwell (1987)” (Hollinshead 558, col. 1). 12. Hollinshead teaches after sorting, “[s]orted spermatozoa (FS) were centrifuged at 700 g for 6 min at room temperature (21ºC). Each 50 µl pellet was slowly re-suspended 1:4 (sperm pellet:diluent, v/v) with either ZWIT diluent and re-frozen (FSF treatment)” (Hollinshead 559, col. 1). 8 Underwood et al., Development of Procedures for Sex-Sorting Frozen- Thawed Bovine Spermatozoa, 44 Reprod. Dom. Anim. 460–66 (2009). 9 Hollinshead et al., Birth of Lambs of a Pre-Determined Sex after In Vitro Production of Embryos Using Frozen–thawed Sex-Sorted and Re-Frozen- Thawed Ram Spermatozoa, 127 Reprod. 557–68 (2004). Appeal 2021-002474 Application 11/668,148 8 13. Hollinshead teaches this study has demonstrated that frozen-thawed samples can be sex-sorted at high purities and then re-cryopreserved and successfully used in an IVF system to produce viable embryos. Assisted reproductive techniques (sperm and embryo preservation, IVF, ET [embryo transfer]) were successfully combined with sperm-sexing technology, resulting in the production of offspring. This significant development will help overcome limitations imposed by distance of the sperm sorter from the site of semen collection and ET in both livestock and wildlife species. (Hollinshead 567, col. 1.) 14. The Schenk Declaration10 states it is my opinion that Underwood correctly characterizes the general wisdom of those of ordinary skill in the art of assisted reproduction using sex selected sperm at the time of the invention of Claim 1 and that at the time of the invention it was “believed impossible to double-freeze sperm while maintaining fertilizing ability, particularly with the added stresses of sex-sorting”. (Schenk Decl. ¶ 14.) 15. The Schenk Declaration states a person of ordinary skill in the art at the time of the invention would be led away from cryopreserving sorted once cryopreserved sperm cells to produce sorted twice cryopreserved sperm cells because it was well understood at the time of the invention that cryopreservation and sorting each substantially reduced the fertility of sperm cells and because the general wisdom was that it would be impossible to double- freeze sperm while maintaining fertilizing ability, particularly with the added stresses of sex-sorting. (Schenk Decl. ¶ 15.) 10 Declaration of John L. Schenk, dated Feb. 2, 2015. Appeal 2021-002474 Application 11/668,148 9 Principles of Law When rejecting a claim under the enablement requirement of section 112, the PTO bears an initial burden of setting forth a reasonable explanation as to why it believes that the scope of protection provided by that claim is not adequately enabled by the description of the invention provided in the specification of the application. In re Wright, 999 F.2d 1557, 1561–62 (Fed. Cir. 1993). Factors to be considered in determining whether a disclosure would require undue experimentation . . . include (1) the quantity of experimentation necessary, (2) the amount of direction or guidance presented, (3) the presence or absence of working examples, (4) the nature of the invention, (5) the state of the prior art, (6) the relative skill of those in the art, (7) the predictability or unpredictability of the art, and (8) the breadth of the claims. In re Wands, 858 F.2d 731, 737 (Fed. Cir. 1988). Analysis In addressing the Wands factors, we find that the balance of factors does not support the Examiner’s position. The scope of enablement issue centers on the question of whether different methods of freezing and thawing cells would operate in the method of first cryopreserving sperm, then thawing and sorting the sperm, then cryopreserving again, followed by functional fertilization using the sorted and twice cryopreserved sperm. There are working examples (FF 2–4) as well as guidance in the Specification (FF 5–6) in a highly skilled art (FF 7). As to the freezing and thawing in particular, the Specification teaches that “[s]perm samples are cryopreserved, such as by freezing, using various preservation techniques, such as freezing in a Hepes-buffered crydiluent. Sperm cells may be Appeal 2021-002474 Application 11/668,148 10 provided as pellets or straws and may be thawed using various thawing techniques” (FF 6). Thus, the Specification contemplates the efficacy of other prior art known cryopreservation and thawing techniques (FF 6). While the Examiner did provide post-filing date evidence in Underwood that the invention was unpredictable prior to the inventive disclosure of Hollinshead (which paper was co-authored by the current inventors) (FF 10) as well as some discussion in Seidel that re-frozen sperm would not “tolerate the sexing process” (FF 8, 9), Hollinshead itself showed working examples using frozen, sorted and re-frozen sperm (FF 11–13). Hollinshead also shows prior art freezing and thawing methods were known such as that of Evans & Maxwell (FF 11). “Where an applicant asserts that a specification contains enablement commensurate in scope with the protection sought by the claims, but the examiner is of the opinion that the disclosure is nonenabling, he has the burden of substantiating his doubts concerning enablement with reasons or evidence.” In re Budnick, 537 F.2d 535, 537 (CCPA 1976). In this case, the weight of the evidence does not show that the claimed method will only, or even best, operate using the cryopreservation, thawing, or sorting method recited in the Specification and detailed in Hollinshead. In the absence of evidence that other cryopreservation, thawing, or sorting methods would either be non-functional or would be unpredictable in the process of claim 1 or similar processes, we are not persuaded that the rejection meets the burden necessary to show the claims are not commensurate in scope with Specification. “It is not necessary that every permutation within a generally operable invention be effective in order for an inventor to obtain a generic Appeal 2021-002474 Application 11/668,148 11 claim, provided that the effect is sufficiently demonstrated to characterize a generic invention.” Capon v. Eshhar, 418 F.3d 1349, 1359 (Fed. Cir. 2005). Conclusion of Law A preponderance of the evidence of record does not support the Examiner’s conclusion that the Specification does not enable the full scope of the claimed invention. B. 35 U.S.C. § 103(a) over Schenk and Colas The Examiner finds Schenk teaches “a method for sorting and cryopreserving bull sperm” but does not “specifically teach sorting sperm that have previously been cryopreserved and thawed” (Final Act. 10–11). The Examiner finds Colas teaches “a method for preserving ram semen in liquid nitrogen vapor (Example 1) and further teaches that sperm samples so preserved can be thawed and used for insemination” (id. at 11). The Examiner finds an “artisan would have been motivated to sort the unfrozen sperm of Colas using the method of Schenk for the expected benefit of increasing the probability that the offspring due to a particular insemination procedure will have a specific gender” (id.). Appellant contends “Schenk does not teach or suggest sorting sperm that have previously been cryopreserved and thawed, nor does any other prior art reference applied by Examiner individually or in combination with Schenk teach sorting sperm that have previously been cryopreserved and thawed” (Appeal Br. 26; emphasis omitted). Appellant contends “it is unambiguously clear that Examiner is drawing on hindsight knowledge of the claimed invention where the prior art does not contain or suggest that Appeal 2021-002474 Application 11/668,148 12 knowledge, and is using the Applicant’s disclosure as a template for its own reconstruction” (id. at 25). The issue with respect to this rejection is: Does a preponderance of the evidence of record support the Examiner’s conclusion that Schenk and Colas render obvious a second cryopreservation step after a first cryopreserved and thawed sperm cell sample was sorted? Findings of Fact 16. Schenk teaches, as to the obtaining step, that “semen was collected from bulls on a routine collection schedule” (Schenk 1376). 17. Schenk teaches, as to the sorting step, that: Stained sperm were maintained at 22 ± 1 °C during sorting. A two-line argon laser operating at 351 and 364 nm and 150 mW was used to excite the Hoechst 33342 dye. The flow cytometer/cell sorter used was an SX MoFlo® operating at 50 psi. A TRIS-based sheath fluid was used, consisting of TRIS (hydroxymethyl) aminomethane (tris; 197.0 mM), citric acid monohydrate (55.4 mM) and fructose (47.5 mM). (Schenk 1376, footnotes omitted). 18. Schenk teaches “spermatozoa pass through the flow cytometer under standard operating conditions with the exception that all droplets containing viable sperm are collected into a single tube instead of two tubes containing X- and Y-bearing populations” (Schenk 1377). 19. Schenk teaches, as to a cryopreservation step, that: Following incubation at 22°C for 1 to 3 h to simulate actual sorting batches, sperm were cooled to 5°C over 70 min, then the contents of the 2 tubes were pooled and transferred to a refrigerated, swinging-bucket centrifuge at 5°C and centrifuged at 850 x g for 20 min. . . . Sperm within individual bulls were pooled and diluted immediately with an equal volume of TRIS- B fraction (20% egg yolk-TRIS containing 12% [v/v] glycerol), Appeal 2021-002474 Application 11/668,148 13 which was added as 2 equal volumes at 15-min intervals. Final concentration was 20 x 106 sperm/ml, and 6% glycerol (v/v). Extended sperm then were packaged into .25-ml polyvinylchloride straws to be frozen by routine procedures on racks in static liquid nitrogen vapor. (Schenk 1377). 20. Schenk teaches, as to effective fertilization, “[p]rocedures developed to date result in reasonable pregnancy rates for sorted, frozen sperm artificially inseminated into heifers” (Schenk 1389). 21. Colas teaches, as to the obtaining step, that “1.5 ml of ram semen from a ram of the ‘Ile de France’ breed was collected” (Colas 5:16– 17). 22. Colas teaches, as to the cryopreservation step, that “the diluted semen was conditioned in straws of 0.45 ml useful volume and freezing was performed under the usual conditions in liquid nitrogen vapor” (Colas 5:29– 32). 23. Colas teaches, as to effective fertilization, that: “Ewes of the ‘Ile de France’ breed were artificially inseminated . . . with semen preserved by freezing . . . . A lambing rate of 60% was obtained” (Colas 5:50–58). Principles of Law A prima facie case for obviousness “requires a suggestion of all limitations in a claim,” CFMT, Inc. v. Yieldup Int’l Corp., 349 F.3d 1333, 1342 (Fed. Cir. 2003) and “a reason that would have prompted a person of ordinary skill in the relevant field to combine the elements in the way the claimed new invention does.” KSR Int’l Co. v. Teleflex Inc., 550 U.S. 398, 418 (2007). Appeal 2021-002474 Application 11/668,148 14 Analysis We agree with Appellant that neither Schenk nor Colas provide any reason for using two separate cryopreservation steps separated by an intermediate sorting of thawed semen for either an X-chromosome bearing sperm cell population or a Y-chromosome chromosome bearing sperm cell population as required by claim 1. In particular, the issue here is not whether, if the two cryopreservation steps and intermediate sorting step were performed, they would succeed, but rather whether the ordinary artisan would have performed these steps in the first place. We note that the evidence cited in the scope of enablement rejection would reasonably discourage the artisan from freezing before sorting and then refreezing because at the time of filing the art stated “[i]t has long been believed impossible to double-freeze sperm while maintaining fertilizing ability, particularly with the added stresses of sex-sorting” (FF 10). Indeed, Seidel suggests that even cryopreserving after sorting will not function (FF 9). We are therefore not persuaded by the Examiner’s scientific reasoning that the advantages identified by the Specification such as time flexibility would have necessarily been in the mind of the ordinary artisan when considering the combination of Schenk and Colas. And while it would have been obvious, despite Seidel’s teaching, to sort unfrozen sperm such as that of Colas prior to a first freezing step because Schenk actually performs that method (see Final Act. 12; FF 16–20), that does not provide a reason to sort sperm that have previously been frozen and then freeze again as required by claim 1. This rejection relies on hindsight. “We must still be careful not to allow hindsight reconstruction of references to reach the claimed invention Appeal 2021-002474 Application 11/668,148 15 without any explanation as to how or why the references would be combined to produce the claimed invention.” Innogenetics, N.V. v. Abbott Labs., 512 F.3d 1363, 1374 n.3 (Fed. Cir. 2008). Conclusion of Law A preponderance of the evidence of record does not support the Examiner’s conclusion that Schenk and Colas render obvious a second cryopreservation step after a first cryopreserved and thawed sperm cell sample was sorted. C.–E. 35 U.S.C. § 103(a) Having reversed the obviousness rejection of claim 1 over Schenk and Colas for the reasons given above, we also find that the further combinations do not provide reasons or motivation for a second cryopreservation step. We therefore reverse these rejections for the same reasons as given above. DECISION SUMMARY In summary: Claim(s) Rejected 35 U.S.C. § Reference(s)/Basis Affirmed Reversed 1, 4, 10– 15, 30, 31, 34, 35, 38–40, 42, 44, 46–55 112 Enablement 1, 4, 10– 15, 30, 31, 34, 35, 38– 40, 42, 44, 46–55 1, 4, 10– 15, 30, 31, 34, 35, 103(a) Schenk, Colas 1, 4, 10– 15, 30, 31, 34, 35, 38– Appeal 2021-002474 Application 11/668,148 16 Claim(s) Rejected 35 U.S.C. § Reference(s)/Basis Affirmed Reversed 38–40, 42, 47, 50–53 40, 42, 47, 50–53 44, 46 103(a) Schenk, Colas, Prieto 44, 46 48, 49, 54, 55 103(a) Schenk, Colas, Dalimata 48, 49, 54, 55 56 103(a) Schenk, Colas, Dalimata, Valcárcel 56 Overall Outcome 1, 4, 10– 15, 30, 31, 34, 35, 38– 40, 42, 44, 46–56 REVERSED Copy with citationCopy as parenthetical citation