Patenting of Life Forms IPR

Embed Size (px)

DESCRIPTION

HOw to patent life forms

Citation preview

Patenting of Life forms

Patenting of Life Forms: Evolution and Development

Project: Intellectual Property Rights

Submitted to:

Ms. Tulika Shree

Submitted by: Neeraj EkkaRoll No. 784th year, VIIth Semester

HIDAYATULLAH NATIONAL LAW UNIVERSITY

ACKNOWLEDGEMENTIt gives me the greatest of pleasure to thank Ms. Tulika Shree for her invaluable help and guidance without which it would not have been possible to make the project.Her insight into the topic and continuous motivation has been a source of great inspiration for me.I would also like to thank my parents and my friends who supported me throughout the making of my project and helped me as and when they could.Neeraj EkkaSem. - VII

CONTENTSIntroduction3Creation of New Life Question3Patenting Life Forms: US Perspective4Diamond v. Chakrabarty Case5Further Development of Life Form Patents6The Indian Perspective7The Future of Patenting Life Forms12Bibliography15

Introduction

The patenting of life forms is a relatively new phenomenon, but its incidence has grown at a tremendous rate in recent years, especially since the establishment of the Trade Related Intellectual Property Rights (TRIPS) Agreement of the World Trade Organization (WTO) in 1995. Most countries had prohibited patenting of biological resources, but the TRIPS treaty makes it mandatory for WTO member states to allow patenting of at least certain life forms (microorganisms) and certain living processes (microbiological processes). It also mandates the intellectual property protection of plant varieties either by patents or an effective sui generis system. The floodgates having been opened to patenting of biological resources has led to serious consequences. Many critics of patenting of life forms have argued that it is inappropriate to use the patent system to reward scientific work in the field of biological resources and processes, as living organisms are qualitatively different from non-living materials.[footnoteRef:1] [1: Richard T. Hull, Ph.D., The Creation and Patenting of New Life Forms: A New Assault on Academic Freedom?, Given as a University Honors Lecture Governors Quadrangle, SUNY at Buffalo March 20, 1988]

Creation of New Life Question

There is a conceptual issue involved in the phrase, creation of new life forms, and the conceptual issue lies in how and where to draw a line between creation of a new life form and modification or manipulation of an old one. As Dismukes has put it, to call intervention in the normal processes by which strains of bacteria exchange genetic information Human handiwork wildly exaggerates human power and displays the same hubris and ignorance of biology that have had such devastating impact on the ecology of our planet.[footnoteRef:2] Such arrogance perhaps leads to the notion that our understanding of the fundamental mechanisms of life is approaching completeness and that we are in a position to create nature after our own desires. [2: Ibid]

The conceptual link between creation of new life forms and an exclusive patent right is through those forms being the result of someones own efforts. But of course the new life forms that are being produced by means of the technology of recombinant DNA differ from manufactured objects; even if we grant that a new bacterium is the product of some persons or laboratorys effort, its subsequent generations of offspring are not the products of human effort, but of natural bacterial reproduction. My Datsun, despite all my efforts to coax and coddle it, will never produce another Datsun. The capacity of self-reproduction is a hallmark of the distinction between living and nonliving; the notion of patenting a life form threatens to muddle our capacity to keep clear on such elements of thought. L.B. Cebik has objected that, in granting the patentability of new forms of life, the Supreme Court is not undermining the concept of life. It holds that it is merely necessary to determine whether an entity, living or inanimate, qualifies as an invention by determining whether there has been sufficient manipulation, directly or indirectly (e.g., via machinery or designed chemical processes), by human beings to qualify the resultant entity as human made. But of course such a judgment will be valuational and philosophical. Short of putting together from non-organic elements a cluster of functioning genes and a cell body to house them, such research will always borrow from the natural technology of living systems, always be working within the natural confines of organisms not of human invention. Any judgment that a modified organism is human made has got to involve a deliberate turn away from the facts of nature.[footnoteRef:3] [3: Shelley A. Rowland & James W. Piper, Patents and Biotechnology: Issues Around the Patenting of Life Forms]

Patenting Life Forms: US Perspective

What is patentable in the United States according to statute dates back to the patent law of 1793, which declared, in language written by Thomas Jefferson, that patents could be obtained for "any new and useful art, machine, manufacture, or composition of matter, or any new or useful improvement thereof." Jefferson's phrasing remained -- and remains -- at the core of the U.S. patent code, except for the eighteenth-century word "art," which was replaced in a 1952 Congressional overhaul of patent law by the word "process."[footnoteRef:4] [4: Ibid]

The code said nothing about patenting life, but a key precedent discouraging it was established in 1889, when, in a landmark ruling, the U.S. Commissioner of Patents rejected an application for a patent to cover a fiber identified in the needles of a pine tree. He noted that ascertaining the composition of the trees in the forest was "not a patentable invention, recognized by statute, any more than to find a new gem or jewel in the earth would entitle the discoverer to patent all gems which should be subsequently found." The commissioner added that it would be "unreasonable and impossible" to allow patents upon the trees of the forest and the plants of the earth. The commissioners ruling formed the basis for what came to be known as the "product-of -nature" doctrine -- that while processes devised to extract what is found in nature can be patented, objects discovered there cannot. They are not inventions, nor can they as a class be made anyones exclusive property.[footnoteRef:5] [5: Ameen Jauhar and Swati Narnaulia, Patenting Life the American, European and Indian Way Journal of Intellectual Property Rights Vol 15, January 2010, pp 55-65]

There was no other extension of patent law to vital entities for forty years, but in 1970 Congress established a system -- through the Plant Variety Protection Act (PVPA) for granting intellectual property rights in sexually reproducing plants. The protection was weaker than what patents provided; it was nevertheless a step forward for plant breeders. More important, during that period it became possible to identify living organisms with a high degree of specificity through such markers as blood types and, in the 1970s, their DNA.The landmark breakthrough in the field of patenting life forms was through the case of Diamond vs. Chakraborthy. Ananda Chakrabarty, a biochemist at the General Electric Company, having genetically modified the bacterium to consume oil slicks, filed for a patent on the living, altered bacterium. In 1987, the United States Commissioner of Patents announced that "the Patent and Trademark Office now considers non-naturally occurring nonhuman multi cellular living organisms, including animals, to be patentable subject matter. The Commissioner was simply following the Supreme Court's lead. In allowing the patenting of a genetically altered oil-eating bacterium seven years earlier, the Court claimed Congress intended patentable subject matter to "include anything under the sun that is made by man.[footnoteRef:6] [6: Ibid]

Diamond v. Chakrabarty Case[footnoteRef:7] [7: 35 U.S.C. 101]

Patents on living organisms were not expressly excluded from the purview of patentable matter, such a paradigm gained endorsement from the US Supreme Court in the epoch marking decision in Diamond v Chakrabarty. In this case, the US Supreme Court held in a majority decision of 5:4, that Congress, while drafting the enactment in question (i.e. The US Patent Act) intended to include anything made by man under the sun. In reaching its decision, the Supreme Court provided the requisite legal protection to living organisms as long as they fulfilled patentability criteria under 35 U.S.C. 101. In Chakrabarty, the appellant (a microbiologist) challenged the USPTOs decision refusing to grant a patent on his mutated bacterium from the genus Pseudomonas containing therein at least two stable energy-generating plasmids. This human-engineered organism could help breakdown oil particles and control oil spills; a novel attribute on which the appellant based his arguments for the formation of a process for generating organism and for some unique characteristics of the bacterium per se. The USPTO conceded that extraordinary characteristics exhibited made the organism non natural and hence could not be ousted as a product of nature. The USPTO though agreeing to the plea of the applicant that such organism was not naturally occurring in nature and could not be barred patent rights as a product of nature. The sole ground for dismissing the patent application was that the subject matter concerned was a living organism. The Supreme Court of the United States, while examining these different arguments, agreed that an engineered organism constituted a novel invention and was not a product of nature. It also stated that the Congress could have plausibly foreseen the rapid expansion of science and technology and stated that the patent umbrella can be expanded to any and every thing that man had made under the sun. The Supreme Court agreed that a challenge posed on two previous legislations which regulated certain forms of plants from being patented should not prevent the appellant from successfully patenting his novel organism. The Supreme Court, while expanding the functional framework of 101, held that if a product were novel and portrayed characteristics which were hitherto unknown to mankind, it would suffice the clauses requirement.[footnoteRef:8] [8: LOUISM. GUENIN, Patents, Ethics, Human Life forms, available at http://guenin.med.harvard.edu/Documents/Ethics%20of%20Patents%20on%20Human%20Life%20Forms.pdf]

Further Development of Life Form Patents

"Utility patents" for plants came next, and by the end of the decade Harvard University received the first patent on animal life. Its patent was for a mouse genetically altered to be susceptible to breast cancer. As the project's major sponsor, Du Pont possesses commercial rights and the chemical company is selling the patented research specimen for fifty dollars apiece. The Patent and Trademark Office has recently issued three additional patents on types of animals, all for mice to be used in biomedical research. Although human organisms have not been patented, human material routinely is patented. One particularly controversial example is the University of California at Los Angeles's patent of a cell line produced from a spleen removed from a Leukemia patient named John Moore. Although the commercial potential of the pharmaceuticals that this cell line can produce is several billion dollars, the California Supreme Court has ruled that Moore has no ownership interests in these cells after they have been removed from his body. Post this landmark judgment the Supreme Court has, in a series of decisions, averted from the age old doctrine and declared that life form constitutes patentable matter until the time it is significantly altered via human intervention.[footnoteRef:9] [9: M. Chakrabarty, Patenting Life Forms: Yesterday, Today, and Tomorrow.]

The Indian Perspective

The Indian Patents Act, 1970 governs patent protection in India. It has been gradually amended over 1999-2005 to suit Indias international obligations under TRIPS. The TRIPS seeks to remove perceived barriers to free-trade by establishing minimum IPR standards across the world. It directs member countries to provide for product patents to all technologies and on microorganisms. It also makes non-compliance with the statutes of the WTO liable to prosecution and severe punitive action including sanctions or fines. In spite of safeguards and other flexibilities provided in the form of preferential treatment to the developing and least developed countries, scope of patentability as outlined under TRIPS is considered far too wide by most developing members. They argue that overly strong IPR with extended scope and duration of protection are proving to be detrimental to the very object and purpose of TRIPS Agreement. India has always maintained that patent rights should be exercised coherently with the objectives of mutual advantage of patent-holders and users of patented medicines, in a manner conducive to social and economic welfare and to the balance of rights and obligations.'[footnoteRef:10] [10: Ibid]

When India became a party to the WTO in 1995, in spite of strong civil society opposition, TRIPS was an indispensable part of the deal. The then national policy makers hoped that the overall gains made from greater links with the global trading community would more than upset any possible dangers of accepting a stricter IP regime. Having contested to fully utilize its ten year transition period India has introduced three major amendments to the Patents Act, 1970. The first among these was the 1999 amendment which introduced exclusive marketing rights (EMRs) and established mailbox applications for patents for pharmaceuticals and agrochemicals from 1 January 1995.The next amendment came in 2002 which allowed for patents on microorganisms.[footnoteRef:11] [11: Patenting of Higher life forms and related issues, Report to the Government of Canada Biotechnology Ministerial Coordinating Committee]

Even prior to this amendment, the judiciary had interpreted the patent regime under the unamended Patent Act to cover a patent on a living organism much to the displeasure of the Indian Patent Office. The Honble High Court of Calcutta, in the matter of Dimminaco A G v. Controller of Patent Designs & Ors[footnoteRef:12], was approached by a Swiss company which had been refused a process patent for preparation of a live vaccine for Bursitis. The Patent Office had denied to grant a patent on the grounds that the so-called invention, containing a living organism, was not patentable as under 2(1) (j). The Patent Office contended that the process of making a vaccine with a living organism is neither a process resulting in an article, substance, nor is it manner of manufacture. It had claimed that since the vaccine involved processing of certain micro orgasm it was only a natural process. Even though there was no express or implied bar in the Indian Patent Act 1970, patents were traditionally granted only to non-living inventions that fulfilled the patentability criteria. The appellant contended that there had been a violation of rule of law as preference was given to discretionary administrative policy over the statutory definition of what an invention entailed, which did not bar the barring of a patent on the process of manufacturing a vaccine, containing a live virus.[footnoteRef:13] [12: 2002 IPLR 255 Cal. H.C.] [13: Daniel J. Kevles, A history of patenting life in the United States with comparative attention to Europe and Canada, 2002]

The Court observed that the term manufacture had not been defined in the Act and consulted a variety of dictionary meanings to conclude that the process for manufacturing such a vaccine is new process and such new process was patentable under S.5 read with S.2(I)(i) of the Patent Act. The Honble Court relied on the vendibility test to determine the question of patentability of a process. It concluded that since the claim process for patent leads to a vendible product, it is certainly a substance after going through the process of manufacture. [footnoteRef:14] [14: Ibid]

This decision of the Calcutta High Court is also seen as concurrent with the position in US and most EU countries which allow patentability of biotech inventions. Subsequent to the decision, the Act has been amended by the Patents Amendment Act 2002. The amendment has changed the definition of invention. The earlier requirements under Section 2(j) which added to the primary requirement of newness and usefulness like those of an invention being art, product or process, method or manner of manufacture; machine, apparatus or other article; substance produced by manufacture, including any useful improvements on the said has been omitted. The definition has been simplified and the only requirements of patentability now are that a product of process must be new, non-obvious and useful. The relevance of the decision subsequently, though debatable does highlight the relative unwillingness of the judiciary to refuse the patent merely on ethical grounds. However in the new scheme of things it is uncertain whether addition of S.3 (j), which excludes from patentability essentially biological processes for production of plants and animals, or plants and animals in whole or in part other than microorganisms, would derail the benefits for future applicant, if the subject of patent application was adjudged to not be a microorganism by the virtue of being a non-microscopic organism.It is therefore necessary to have a clear working definition for microorganism either as a legislative explanatory amendment or judicial pronouncement. A review of the draft manual of patent, practice and procedure by the national working group on patent laws also reveals that there is a need to define the term microorganism. The deletion of 5 of the Act, pursuant to the 2005 amendment, which provided for only process patents on chemical processes, including biochemical, biotechnological and microbiological processes as well as substances intended for or capable of being used as food or medicine, it appears, if the Honble High Courts intention is read right, that the doors have been opened for patenting products with living microorganisms with both legislative as well as judicial sanction. The 2005 amendment substituted new S.3(d) for the existing section which limited the scope of patentability by excluding the mere discovery of a new form of a known substance which does not result in the enhancement of the known efficacy of that substance.[footnoteRef:15] [15: Ned Hettinger, Patenting Life: Biotechnology, Intellectual Property, and Environmental Ethics, Boston College Environmental Affairs Law Review, Volume 22 Issue 2 Article 4]

More recently, the constitutional validity of S.3 (d) was subsequently unsuccessfully challenged by global pharmaceutical giant, Novartis in the Honble High Court of Madras. The overall expansion of patentability criteria has resulted in an increased number of patent applications and, consequently, an increase in the number of patents granted in the field of biotechnology. An assessment of the annual reports of the Indian patent office (2007 Annual Report) reveals that from 2000-01, where four applications were submitted and no patents were granted, the number of applications has been steadily increasing. In 2003-04, 23 patent applications had been filed, though no patents were granted. During 2004-2005, there was a Phenomenal increase in the number of applications biotechnology patents were granted in that year alone. . TRIPS leaves it to member countries to determine appropriate method of implementing its provisions and define certain key provisions that determine the scope of patentability. Carlos Correa argues that there is no obligation under the TRIPS Agreement to adopt an expansive concept of invention, as is currently done by many developed countries. In particular, nothing in the Agreement obliges Members to consider that substances existing in nature, biological or not, are patentable, even if isolated and claimed in purified form.[footnoteRef:16] [16: Martin Khor, IPRs and Biodiversity: Stop the Theft of Indigenous Knowledge, www.twnside.org.sg/title/jb6.htm]

It is interesting to note that in Novartis AG, in Ritushka Negi and Anr v Adarsh Pharma and Anr[footnoteRef:17], one of the contentions raised was how 3(d) was contradictory to Article 27 of TRIPS, which obligates WTO member states to provide patent protection to all fields of technology without discrimination, and therefore violates the obligations under the TRIPS Agreement. But the court sought jurisdiction issue and did not deal with the matter. The Honble Courts suggestion to approach the WTO dispute settlement mechanism was also not followed. But the Court did reaffirm the provisions constitutional validity with Article 14. [17: 2004(3)CTC95]

Further stipulation under Article 8 accords adequate discretion to TRIPS signatories to deny patents in observing and up keeping interests in ordre` public and morality. And India has forever stressed, in a stance complimented by Paragraph 4 of the Doha Declaration, that any interpretation of the provisions of the agreement should be consistent with Article 8. Another safeguard in place is the presence of a global depository of genetic data as mandated under Budapest Treaty and the Convention for Bio-Diversity. Microbial Type Culture Collection and Gene Bank (MTCC) at the Institute of Microbial Technology (IMTECH), Chandigarh ensures that all micro-biological data is deposited, and the region of its availability disclosed and kept open to research and other such uses after the publication of patent application.[footnoteRef:18] [18: Supra note 17]

The depositories under the human genome process perform a similar function, for once some information is disclosed or made public it is no longer new and cannot be patented. To assess whether after the 2005 amendment India had indeed become TRIPS compliant and if the measures taken to ensure TRIPS compliance were in national interest the Mashelkar Committee was set up in April 2005. One of the issues the Committee dealt with was whether it would be consistent with TRIPS to exclude microorganisms from patenting. The Mashelkar committee submitted a report in December 2006 which it later withdrew citing technical inaccuracy and plagiarism as reasons.[footnoteRef:19] [19: Dr Johanna Gibson, Patenting Lives, Patenting Alternatives Commercializing Agricultural Biotechnologies in the Developing World, Queen Mary Intellectual Property Research Institute]

The revised version of the report restates to a large extent the Committees previous findings, which had been criticized for not taking into account public health goals. The committee concluded that it shall be in violation of TRIPS to exclude microorganisms completely from patentability and that microorganisms involving human intervention and utility are patentable subject matter under the TRIPS Agreement, provided they meet the prescribed patentability criteria. The Committee has also been criticized for not having taken a policy perspective on the issue. It furthers patents on bio-tech inventions on three grounds. The first one being increased prospects of FDI and contract R&D by attracting foreign collaboration to the ever growing and increasingly profitable bio-tech industry in a bio-diverse country like India. India would have an advantage in attracting FDI and other such projected benefits only so long as other nations do not provide similar relaxations. It is relevant to note that most countries with advanced bio-tech fields like, USA, Republic of Korea, Japan, China and European Countries already provide far wider patent protection on living matter than India. The second reason cited by the committee was concern over biological matter of Indian origin being patented by foreign players. This is a faulty argument as well. India is already a signatory to the Convention on Bio-diversity (CBD), according to Article 15 of the CBD when a material is taken from a country prior informed consent and material transfer agreements are required to be initiated to acknowledge the country of origin. It must be Indias prerogative to uphold the CBD to prevent bio-piracy instead of looking for alternatives which require India to adopt a system least suited to its needs. The committee finally seeks to justify its suggestions by citing obligations under TRIPS. It refuses to realize that there are flexibilities available within TRIPS like non-definition of three criteria of patentability (novelty, non-obviousness, usefulness) which make it possible for India to define restrictively the scope of patentable subject matter.[footnoteRef:20] [20: Ibid]

The Future of Patenting Life Forms

Biotechnology is an old technology. The use of living organisms to make bread, wine, and cheese is a longstanding human practice. People have "genetically-engineered" plants and animals, including humans, by selective breeding for desirable characteristics for thousands of years.The new biotechnologies promise a lot; in some cases they have already delivered. Medical benefits of biotechnology include the development of new drugs and enhanced production of old drugs that combat cancer, A.I.D.S., dwarfism, diabetes, hepatitis, and even aging. Genetically-altered pigs produce human hemoglobin that might be used to develop a human blood substitute. Genetically-altered mice produce an extractable protein in their milk that dissolves blood clots. Both creatures exemplify a trend toward turning animals into living drug factories. The new biotechnologies also make it easier to identify genetically-caused diseases and permit the replacement of defective genes. Ultimately, such technology will allow us to choose our children's genetic makeup. In agriculture, bio-technicians have altered plants and animals for improved nutritional value.[footnoteRef:21] [21: Biotechnological inventions: patenting of genes and life forms, and the impact of patenting on upstream science, John Sulston, WIPO]

Bio-technicians have produced potatoes with more starch and pigs with an increased protein-to-fat ratio. Researchers are also attempting to produce larger, faster growing, and more productive agricultural animals that require less feed. Bio-technicians are already altering plants to withstand pests and disease, and they hope to be able to produce plants that fix their own nitrogen and resist drought and cold. The first genetically-altered whole food-product has recently appeared on supermarket shelves in the form of a tomato that spoils less quickly than unaltered tomatoes.[footnoteRef:22] [22: Ibid]

These developments raise hopes for an increase in the world's food supply and a decrease in the use of chemicals in agriculture. Genetically-altered microbes that eat toxic wastes and degrade synthetic compounds may be useful in waste treatment. Genetic technologies can help preserve endangered species. Biotechnology even provides economic incentives for preservation, as it makes possible commercial uses of genetic material that previously lacked economic value. Biotechnologies could lessen human dependence on other forms of sentient life by providing genetically altered, insentient life-forms as substitutes. There are notable differences between contemporary biotechnologies and both past human practice and what nature does by itself. Recent techniques for genetic manipulation are much faster and far more precise than is traditional, whole-organism crossbreeding. Modern bio-technicians can produce organisms that possess specific desirable characteristics, while traditional, whole-organism cross breeders produce organisms with a variety of new traits, many of which are undesirable and difficult to breed out. While selective breeding necessarily takes place within a species or closely-related species, the new biotechnologies permit the combination of genetic material from significantly different species.[footnoteRef:23] [23: Danish Board of Technology (2005), Recommendations for a Patent System of the Future, available athttp://www.tekno.dk/subpage.php3?article=1132&toppic=kategori11&language=uk&category=11]

The technology of animal and human reproduction, as well as the techniques of genetic manipulation, is progressing so rapidly it creates situations that transcend our legal structure and directly affect our social and moral fabrics. It is high time the legislature takes a serious look at where the science is going, where it needs to go to make a positive contribution, and perhaps define the boundaries of our venture into the unknown biological mysteries of nature. Of course, no mandate will ever cover all future scientific directions or orient human ingenuity, and the judiciary will play increasing roles in resolving conflicts involving human genetic reproduction, genetically manipulated plants and foods, and environmental restoration. There is thus a great need to continue dialogues between the judiciary, the legal community, the legislature, the interested public, and the scientific community to provide guidance in scientific developments that may have major impacts on society. In any case, with regard to the institutional framework, TRIPS still leaves potential scope for introducing flexibilities considering the indigenous conditions prevalent in the Indian IP regime. Sensitivity towards interests of public by heeding adequately to the numerous ethical and public health issues raised is vital. However, any exhibition of unfound paranoia must be diametrically denounced and abstained from; so as to promote scientific knowledge and temperament, as is also a constitutional (fundamental) duty to which every citizen is bound.

Bibliography

Richard T. Hull, Ph.D., The Creation and Patenting of New Life Forms: A New Assault on Academic Freedom?, Given as a University Honors Lecture Governors Quadrangle, SUNY at Buffalo March 20, 1988 Shelley A. Rowland & James W. Piper, Patents and Biotechnology: Issues Around the Patenting of Life Forms Ameen Jauhar and Swati Narnaulia, Patenting Life the American, European and Indian Way Journal of Intellectual Property Rights Vol 15, January 2010, pp 55-65 LOUISM. GUENIN, Patents, Ethics, Human Life forms, http://guenin.med.harvard.edu/Documents/Ethics%20of%20Patents%20on%20Human%20Life%20Forms.pdf M. Chakrabarty, Patenting Life Forms: Yesterday, Today, and Tomorrow. Patenting of Higher life forms and related issues, Report to the Government of Canada Biotechnology Ministerial Coordinating Committee Daniel J. Kevles, A history of patenting life in the United States with comparative attention to Europe and Canada, 2002 Ned Hettinger, Patenting Life: Biotechnology, Intellectual Property, and Environmental Ethics, Boston College Environmental Affairs Law Review, Volume 22 Issue 2 Article 4 Martin Khor, IPRs and Biodiversity: Stop the Theft of Indigenous Knowledge, www.twnside.org.sg/title/jb6.htm Dr Johanna Gibson, Patenting Lives, Patenting Alternatives Commercializing Agricultural Biotechnologies in the Developing World, Queen Mary Intellectual Property Research Institute