The test of in substance disclosed
57 A requirement for an extension of term is that the pharmaceutical substance per se must be both "in substance disclosed" in the complete specification and must in substance fall within the scope of the claims (s 70(2)(a) of the Act). It is said in the Explanatory Memorandum for the Patents Amendment Bill 1988 that introduced s 70(2)(a) of the Act that the criteria are to correspond closely to those employed in relation to 'allowability' of new or amended claims.
58 Lord Denning MR said in Ethyl Corporation's Patent [1972] RPC 169 at 195, as approved in RGC at 460 that 'the requirement of "fairly based" is virtually the same as the requirement that the amendment must be "in substance disclosed"'. Burchett J in RGC considered the meaning of 'allowability' of amendment by application of s 102(1) of the Act and found that the question is simply whether, in the words of that section, 'as a result of the amendment, the specification would claim matter not in substance disclosed in the specification as filed'. His Honour observed at 463-3 that the true limitation upon amendments imposed by the language of that section is that there be 'a real and reasonably clear disclosure'. Carr and Goldberg JJ at 468 accepted, without deciding, that analogy. It is the "real and reasonably clear disclosure" test is the test for fair basis (CCOM Pty Ltd v Jiejing Pty Ltd (1994) 51 FCR 260 ('CCOM'); Doric).
59 In ICI Chemicals & Polymers Ltd v Lubrizol Corp (1999) AIPC 91 91-521 at 40,017, Emmett J observed that the language of s 102(1) and s 40(3) was 'quite different' and concluded that the question of fair basis on matter described in the specification is not the same as the question of whether a specification, as amended, would claim matter not in substance disclosed in the specification as filed.
60 On appeal, the Full Court said at [118] that there is much authority for the proposition (referring to RGC and CCOM) that there is a close relationship between the test for fair basis and the question whether matter is "in substance disclosed" in a specification. The Full Court said: 'It is unnecessary to consider whether it is appropriate to go so far as to say that the two tests are "virtually the same"'. Their Honours continued: 'it will, we should think, be a rare case indeed where a claim which claims matter in substance disclosed in the specification as filed is not, equally, fairly based on the matter described in the specification (and vice versa)' (at [118]). In Merck at 421. Lockhart J seems to have taken a similar view.
61 It has now been clarified that the tests for fair basis for the purposes of s 40(3) (fair basis on the matter described in the specification) is the same test as for fair basis on matter disclosed: the requirement is of a "real and reasonably clear disclosure" such that the alleged invention as claimed is broadly, that is to say, in a general sense, described in the body of the specification (Doric at [69]). Abstract fairness plays no part in the analysis (Doric at [95]).
62 Questions of fair basis for the purposes of s 40(3) and disclosure for the purposes of s 70(2)(a) are concerned with the construction of the specification itself. On the other hand, disclosure for the purposes of novelty involves considerations of anticipation by prior art. Unlike anticipation and infringement, fair basis is not determined by looking for essential integers as if testing for infringement (CCOM at 280 and 281).
63 There is a difference in the extent of disclosure necessary to provide fair basis compared to that necessary to deprive a subsequent claim of novelty. That seems to have been accepted by the Deputy Commissioner.
64 In University of Georgia Research Foundation v Biochem Pharma Inc (2000) 51 IPR 222 ('University of Georgia'), Dr Barker as Delegate of the Commissioner of Patents discussed disclosure in the context of an originating patent containing claims to broad class of dioxolanyl nucleosides for treatment of humans infected with HIV and a subsequent application to a small group of compounds selected from that class.
65 Dr Barker considered questions of both fair basis and novelty. For fair basis, he applied the test of "real and reasonably clear disclosure". Noting, at 230, that there is no requirement for a description to exemplify every compound that is claimed, he considered the question whether what was described provided sufficient information to amount to a "real and reasonably clear disclosure" and said 'one way of looking at this would be to ask whether it is a reasonable extrapolation to go from the exemplified compounds to the compounds that are claimed'. He concluded in that case that, as the description referred to a compound of a structure similar to the compound under consideration, it was reasonable to extrapolate the method of synthesis and activity. He also held that disclosure of a general method of preparation without reason to believe that the method would not be effective was sufficient for fair basis. In University of Georgia, the evidence was sufficient to satisfy the fair basis tests raised by Dr Barker.
66 That does not mean, in my opinion and taking the principle of Roche into account, that there would be no fair basis in the absence of such satisfaction that the method would be effective. In the present case, however, the two factors identified by Dr Barker are established by the evidence. One of the exemplified compounds (example 3) differs from voriconazole only in the fluorine substituent in position 5 of the pyrimidinyl ring and, given the synthesis of example 3 Dr Stamford, as a skilled addressee, says that it would not be difficult to prepare a fluorine substituted derivative.
67 In University of Georgia,Dr Barker applied different considerations to the question of novelty. As he said at 233, 'when a citation has a disclosure in generic form (as is common in chemical patents), the question arises as to which compounds within the scope of the generic disclosure are taught to the reader' (emphasis added). He concluded that it is not enough to find that a specific compound is within the scope of the broadest disclosure of the citation: 'It is necessary to find that a reader would have understood that the specific compound was part of the technical information of the specification, and there must be an enabling disclosure of that compound'. In dealing with enabling disclosure at 237, Dr Barker observed that 'disclosure as a member of a class will not normally represent an enabling disclosure'for the purposes of anticipation unless it is 'immediately clear to the person skilled in the art how the compounds may be prepared'.
68 It is in the context of novelty that the need for a disclosure to be an enabling disclosure may become relevant.
69 In Imperial Chemical Industries Pty Ltd v Commissioner of Patents [2004] FCA 1658 ('Imperial Chemical Industries'), Crennan J considered at [64]-[68] whether an alleged anticipatory document containing a broad chemical claim encompassing many, even thousands of compounds discloses, sub silentio, a particular compound from the broad class referred to. Her Honour referred to University of Georgia at 233 and 237 and the distinction there made between 'paper disclosure' and 'enabling disclosure' as 'sound'. Her Honour was also of the view that it was in the context of novelty that the latter had relevance.
70 Implicit in the reasoning of Crennan J in Imperial Chemical Industries, is that disclosure of the broad class does disclose the members of that class. It may not be an enabling disclosure but still be a "real and reasonably clear disclosure".
71 It is not uncommon to claim a class of compounds by way of a generic formula and provision for substitutions within that formula, with exemplification of some of those compounds. The question is whether the disclosure of a class of compounds in the specification is an "in substance disclosure" of a non-exemplified compound within that class.
72 In TA Blanco White, Patents for Inventions, 4th ed., Stevens & Sons, London, 1974, the author states at 4-109, footnote 62:
'Prima facie, a general disclosure of a class is a disclosure of all members of the class, however obscure and whatever the consequences'.
73 Roche is authority for the proposition that where a large class of compounds is disclosed, claims to individual compounds forming part of that class are fairly based on the disclosure. Gibbs J held that the fact that the first basic application disclosed a class of chemical compounds, including those in the proposed claims was sufficient to provide fair basis (at 541). He rejected the submission that the compound per se should have been disclosed.
74 Further, absence of exemplification does not mean absence of fair basis (Roche at 541-542; Doric at 60. There is no requirement that each single compound be specifically claimed (Roche at 539, applying Societe Des Usines Chemiques Rhone-Poulenc v Commissioner of Patents (1959) 100 CLR 5). That is, there is a "real and reasonably clear disclosure" of that single compound by reason of its inclusion in the class.
75 There is, in my view, much to be said for the proposition that "in substance disclosure" imports a "real and reasonably clear disclosure". If there is a difference, to my mind the requirement for "in substance" disclosure is a lesser requirement than for a "real and reasonably clear disclosure" or description. Section 70(2)(a) does not require express disclosure. If it did, there would be no need for the words "in substance". It seems to me that the additional words cannot import a higher test than "real and reasonably clear disclosure".
76 However, it is not necessary for me to determine that question as in my view the evidence establishes a real and reasonably clear disclosure of voriconazole in the parent patent. Therefore "in substance" disclosure is also satisfied. I do not accept that s 70(2)(a) imports a higher test of disclosure. I note the observation in AMP Incorporated v Commissioner of Patents (1974) AOJP 3224 at 3227 regarding "in substance disclosure":
'it is not necessary before an amendment is allowed to find that the amended claim would actually fall within the scope of one or all of the other claims. It need only fall in substance within that scope.' (emphasis added)
77 In the present case, the claim is to the generic formula which, with the claimed substitutions, includes the formula for voriconazole. There is no dispute that voriconazole is, thereby, in substance within the scope of the claims.
78 In the context of the requirement to disclose a pharmaceutical substance per se, the disclosure of the class of compounds is an "in substance disclosure" of each member of the class.
79 The Deputy Commissioner proceeded on the basis that, if voriconazole were in substance disclosed in the complete specification of the patent, then an amendment could be made under s 102(1) of the Act to claim voriconazole specifically. Section 102(1) looks to whether, as the result of an amendment, the specification would claim matter not in substance disclosed in the specification as filed. This would mean that the claim to voriconazole in the selection patent would be anticipated. That, to my mind, is irrelevant to the question to be determined.
80 Voriconazole is included within the substitutions provided for in Formula I. In my view, this is a "real and reasonably clear disclosure" and an "in substance disclosure" of each of the substituted compounds so described.
81 Mr Catterns submits that, if an inventive step is required to select a compound then it has not bee disclosed. By analogy with s 102(1), he submitted that voriconazole was not "in substance disclosed" and that any amendment of the parent patent to claim the compound would not be permitted.
82 That submission has two problems. The first is that it imports into the question of disclosure in the specification considerations of inventive step. Secondly, in the present case, the evidence by way of the selection patent is not that there was an inventive step to determine the structure of voriconazole or to identify the compound per se but that there was an inventive step in determining a sub-class, of which it is a member, which has higher levels of anti-fungal activity. That evidence is irrelevant to an allowable amendment to claim the compound per se in the parent patent.
83 Mr Catterns concedes that voriconazole, as were all of the substituted compounds, was disclosed 'in a formulaic sense'. He accepts that the patentee is not limited in possible claims to those compounds specifically exemplified. His response is that the evidence of the selection patent supports an absence of "in substance disclosure" of voriconazole. For reasons I have given, I reject that submission.
84 Dr Stamford, as the skilled reader, could clearly identify voriconazole amongst the structures included in Formula I of the parent patent. It follows that the patentee could have claimed voriconazole and that such a claim would have been fairly based. So much seems to have been accepted by the Deputy Commissioner. It was that fact that he found inconsistent with the grant of the selection patent.
85 The Deputy Commissioner's reasoning was based on his consideration of the selection patent. For reasons I have given it is my view that the Deputy Commissioner erred in considering the selection patent. It was accepted by Mr Catterns that the selection patent formed an essential part of the reasoning, and, if it could not be relied upon, there would be no evidence to rebut Professor Stamford's evidence and the extension of term must be granted.
86 Accordingly, I set aside the decision of the Deputy Commissioner in this matter effective from 4 June 2004.
87 It has been agreed by the parties that, if the applicant is successful, the matter should be remitted to the Commissioner of Patents as I have no power to grant the extension sought. The matter is, therefore, remitted to the Commissioner of Patents for determination according to law.
I certify that the preceding eighty-seven (87) numbered paragraphs are a true copy of the Reasons for Judgment herein of the Honourable Justice Bennett J.