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Use of Incorporation By Reference in Patents: A Shortcut Tool and Possible Consequences

By Kevin W. King and Kar Yee Tse
February 27, 2007

In drafting a U.S. patent application, the patent applicant may refer to a prior publication to aid in describing the background or some other facet of his or her invention. The applicant may incorporate this prior public information expressly into the specification of his or her application, or as a shortcut may incorporate this information by explicit reference. This seemingly innocuous shortcut may be a useful tool for the patent applicant or patentee; however, patent infringement litigants ' whether plaintiff or defendant ' should be keenly aware not to overlook subject matter that has been incorporated by reference either in the patent at issue or in relevant prior art when validity of the patent is challenged.

Incorporation By Reference to Blame for Finding of No Infringement

In a 2006 case, a patentee trying to enforce his patent found out the hard way how a problem could arise from subject matter incorporated by reference in its patent. In Cook Biotech Inc. v. ACell Inc., the patentee, Cook Biotech, asserted infringement against ACell of a patent claiming a 'composition comprising urinary bladder submucosa delaminated from … at least the luminal portion of the tunica mucosa of a segment of a urinary bladder.' 460 F.3d 1365 (Fed. Cir. 2006). The appellate court, the Court of Appeals for the Federal Circuit, overturned the district court's finding of patent infringement. In reviewing Cook Biotech's patent, the appellate court looked to the specification of the patent and found it incorporated by reference a previous patent that defined the luminal portion of the tunica mucosa as including the lamina epithelialis mucosa, its lamina propria and the basement membrane sandwiched between. With this interpretation of the claim limitation, ACell's product was found to be non-infringing because rather than being 'delaminated from ' the luminal portion of the tunica,' it retained part of the luminal portion of the tunica, namely, the basement membrane and the lamina propria. To its detriment, Cook Biotech failed to appreciate the principle, affirmed by the appellate court, that by incorporating material by reference, the material may be effectively considered part of the host document as if it were explicitly stated therein. Advanced Display Sys., Inc. v. Kent State Univ., 212 F.3d 1272 (Fed. Cir. 2000).

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