Warner-Jenkinson Co. v. Hilton Davis Chemical Co.

520 U.S. 17, 117 S. Ct. 1040, 137 L. Ed. 2d 146, 10 Fla. L. Weekly Fed. S 321, 97 Fulton County D. Rep. 759, 97 FCDR 759, 65 U.S.L.W. 4162, 41 U.S.P.Q. 2d (BNA) 1865, 97 Cal. Daily Op. Serv. 1540, 97 Daily Journal DAR 2249, 1997 U.S. LEXIS 1476
CourtSupreme Court of the United States
DecidedMarch 3, 1997
Docket95-728
StatusPublished
Cited by1,422 cases

This text of 520 U.S. 17 (Warner-Jenkinson Co. v. Hilton Davis Chemical Co.) is published on Counsel Stack Legal Research, covering Supreme Court of the United States primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Warner-Jenkinson Co. v. Hilton Davis Chemical Co., 520 U.S. 17, 117 S. Ct. 1040, 137 L. Ed. 2d 146, 10 Fla. L. Weekly Fed. S 321, 97 Fulton County D. Rep. 759, 97 FCDR 759, 65 U.S.L.W. 4162, 41 U.S.P.Q. 2d (BNA) 1865, 97 Cal. Daily Op. Serv. 1540, 97 Daily Journal DAR 2249, 1997 U.S. LEXIS 1476 (1997).

Opinions

[21]*21Justice Thomas

• Nearly 50 years ago, this Court in Graver Tank & Mfg. Co. v. Linde Air Products Co., 339 U. S. 605 (1950), set out the modern contours of what is known in patent law as the “doctrine of equivalents.” Under this doctrine, a product or process that does not literally infringe upon the express terms of a patent claim may nonetheless be found to infringe if there is “equivalence” between the elements of the accused product or process and the claimed elements of the patented invention. Id., at 609. Petitioner, which was found to have infringed upon respondent’s patent under the doctrine of equivalents, invites us to speak the death of that doctrine. We decline that invitation. The significant disagreement within the Court of Appeals for the Federal Circuit concerning the application of Graver Tank suggests, however, that the doctrine is not free from confusion. We therefore will endeavor to clarify the proper scope of the doctrine.

h — 1

The essential facts of this case are few. Petitioner Warner-Jenkinson Co. and respondent Hilton Davis Chemical Co. manufacture dyes. Impurities in those dyes must be removed. Hilton Davis holds United States Patent No. 4,560,746 (’746 patent), which discloses an improved purification process involving “ultrafiltration.” The ’746 process filters impure dye through a porous membrane at certain [22]*22pressures and pH levels,1 resulting in a high purity dye product.

The ’746 patent issued in 1985. As relevant to this case, the patent claims as its invention an improvement in the ul-trafiltration process as follows:

“In a process for the purification of a dye . . . the improvement which comprises: subjecting an aqueous solution ... to ultrafiltration through a membrane having a nominal pore diameter of 5-15 Angstroms under a hydrostatic pressure of approximately 200 to 400 p.si.g., at a pH from approximately 6.0 to 9.0, to thereby cause separation of said impurities from said dye .. . .” App. 36-37 (emphasis added).

The inventors added the phrase “at a pH from approximately 6.0 to 9.0” during patent prosecution. At a minimum, this phrase was added to distinguish a previous patent (the “Booth” patent) that disclosed an ultrafiltration process operating at a pH above 9.0. The parties disagree as to why the low-end pH limit of 6.0 was included as part of the claim.2

[23]*23In 1986, Warner-Jenkinson developed an ultrafiltration process that operated with membrane pore diameters assumed to be 5-15 Angstroms, at pressures of 200 to nearly 500 p. s. i. g., and at a pH of 5.0. Warner-Jenkinson did not learn of the ’746 patent until after it had begun commercial use of its ultrafiltration process. Hilton Davis eventually learned of Warner-Jenkinson’s use of ultrafiltration and, in 1991, sued Warner-Jenkinson for patent infringement.

As trial approached, Hilton Davis conceded that there was no literal infringement, and relied solely on the doctrine of equivalents. Over Warner-Jenkinson’s objection that the doctrine of equivalents was an equitable doctrine to be applied by the court, the issue of equivalence was included among those sent to the jury. The jury found that the ’746 patent was not invalid and that Warner-Jenkinson infringed upon the patent under the doctrine of equivalents. The jury also found, however, that Warner-Jenkinson had not intentionally infringed, and therefore awarded only 20% of the damages sought by Hilton Davis. The District Court denied Warner-Jenkinson’s post-trial motions, and entered a permanent injunction prohibiting Warner-Jenkinson from practicing ultrafiltration below 500 p. s. i. g. and below 9.01 pH. A fractured en banc Court of Appeals for the Federal Circuit affirmed. 62 F. 3d 1512 (1995).

The majority below held that the doctrine of equivalents continues to exist and that its touchstone is whether substantial differences exist between the accused process and the patented process. Id., at 1521-1522. The court also held that the question of equivalence is for the jury to decide and that the jury in this case had substantial evidence from which it could conclude that the Warner-Jenkinson process was not substantially different from the ultrafiltration process disclosed in the ’746 patent. Id., at 1525.

There were three separate dissents, commanding a total of 5 of 12 judges. Four of the five dissenting judges viewed the doctrine of equivalents as allowing an improper expan[24]*24sion of claim scope, contrary to this Court’s numerous holdings that it is the claim that defines the invention and gives notice to the public of the limits of the patent monopoly. Id., at 1537-1538 (opinion of Plager, J.). The fifth dissenter, the late Judge Nies, was able to reconcile the prohibition against enlarging the scope of claims and the doctrine of equivalents by applying the doctrine to each element of a claim, rather than to the accused product or process “overall.” Id., at 1574. As she explained it: “The ‘scope’ is not enlarged if courts do not go beyond the substitution of equivalent elements.” Ibid. All of the dissenters, however, would have found that a much narrowed doctrine of equivalents may be applied in whole or in part by the court. Id., at 1540-1542 (opinion of Plager, J.); id., at 1579 (opinion of Nies, J.).

We granted certiorari, 516 U. S. 1145 (1996), and now reverse and remand.

II

In Graver Tank we considered the application of the doctrine of equivalents to an accused chemical composition for use in welding that differed from the patented welding material by the substitution of one chemical element. 339 U. S., at 610. The’ substituted element did not fall within the literal terms of the patent claim, but the Court nonetheless found that the “question which thus emerges is whether the substitution [of one element for the other] ... is a change of such substance as to make the doctrine of equivalents inapplicable; or conversely, whether under the circumstances the change was so insubstantial that the trial court’s invocation of the doctrine of equivalents was justified.” Ibid. The Court also described some of the considerations that go into applying the doctrine of equivalents:

“What constitutes equivalency must be determined against the context of the patent, the prior art, and the particular circumstances of the case. Equivalence, in the patent law, is not the prisoner of a formula and is [25]*25not an absolute to be considered in a vacuum. It does not require complete identity for every purpose and in every respect. In determining equivalents, things equal to the same thing may not be equal to each other and, by the same token, things for most purposes different may sometimes be equivalents. Consideration must be given to the purpose for which an ingredient is used in a patent, the qualities it has when combined with the other ingredients, and the function which it is intended to perform. An important factor is whether persons reasonably skilled in the art would have known of the interchangeability of an ingredient not contained in the patent with one that was.” Id., at 609.

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520 U.S. 17, 117 S. Ct. 1040, 137 L. Ed. 2d 146, 10 Fla. L. Weekly Fed. S 321, 97 Fulton County D. Rep. 759, 97 FCDR 759, 65 U.S.L.W. 4162, 41 U.S.P.Q. 2d (BNA) 1865, 97 Cal. Daily Op. Serv. 1540, 97 Daily Journal DAR 2249, 1997 U.S. LEXIS 1476, Counsel Stack Legal Research, https://law.counselstack.com/opinion/warner-jenkinson-co-v-hilton-davis-chemical-co-scotus-1997.