Markem-Imaje Corp v. Zipher Ltd. CV-07-06-PB 8/09/12
UNITED STATES DISTRICT COURT FOR THE DISTRICT OF NEW HAMPSHIRE
Markem-Imaje Corporation
v. Civil No. 07-cv-00006-PB Opinion No. 2012 DNH 136 Zipher Ltd. & Videojet Technologies, Inc.
MEMORANDUM AND ORDER
Markem-Imaje Corporation ("Markem"), a manufacturer of
thermal transfer printers, seeks a declaratory judgment that a
series of patents held by Zipher Ltd. and Videojet Technologies,
Inc. (collectively "Zipher") are invalid, unenforceable, and
have not been infringed by Markem or its customers. For the
reasons detailed below, I determine that the broad functional
claim language in Zipher's patents fails to satisfy the
definiteness requirement of 35 U.S.C. 112, 5 2. On that basis,
I grant Markem's motion for summary judgment, and declare the
challenged patent claims invalid. I. BACKGROUND
A. Overview1
This dispute involves the tape drive systems used in
industrial thermal transfer printers. Product manufacturers use
these printers to rapidly print unique information onto
individual labels or packaging material. For example, a potato
chip manufacturer might use a thermal transfer printer to stamp
expiration dates onto a roll of flat potato chip packages before
separating the roll into individual bags and filling the bags
with potato chips.
The act of thermal transfer printing consists of pressing a
print head against an inked tape that contacts the printing
medium (the potato chip bag) and using the print head to
selectively heat the tape, thereby transferring the desired ink
pattern to the printing medium (e.g., "BEST IF USED BY
08.29.2012"). The basic principle is similar to that of a
typewriter or dot matrix printer, except that the print head
1 The descriptions of thermal transfer printers, prior art, and the patents are drawn from my prior orders in this litigation. See Markem-Imaje Corp. v. Zipher Ltd., No. 10-cv-112-PB, 2011 WL 5837087 (D.N.H. Nov. 21, 2011); Markem-Imaje Corp. v. Zipher Ltd., No. 07-CV-06-PB, 2008 WL 4116666 (D.N.H. Aug. 28, 2008) (Doc. N o . 92) .
2 uses heat rather than the force of the impact to transfer the
ink from the ribbon to the printing medium.
The printer may be required to operate in intermittent mode
or continuous mode, depending on how the production line is set
up in a particular factory. In intermittent mode, the printing
medium is advanced into position and remains stationary during
the printing process. In continuous mode, the printing medium
advances through the printer at a constant rate throughout the
printing process; as the printing medium moves forward, the
printing head moves with it. Once the current sheet has been
printed, the printing head then rapidly returns to its home
position and the printing ribbon briefly rewinds so that the
printing head is lined up with the boundary between the used and
unused sections of ribbon.
As with any industrial application, reliability is
extremely important in a thermal transfer printer. Some of the
failures that can interrupt the operation of such a printer
include excessive tape tension (which can cause the tape to
break, forcing the operator to halt the production line to
respool the tape), insufficient tape tension (which can
interfere with the printer's ability to position the tape 3 properly), wastage of unused tape (which forces the operator to
replace the tape spools more frequently), and mechanical
failures caused by wear and tear on the tape drive system.
Accordingly, tape drives must be designed to maintain tape
tension within an acceptable range.
For two reasons, simply rotating each spool the same number
of degrees for each printing cycle will not produce consistent
tape tension. First, even in perfect conditions, rotating a
given spool by a given number of degrees will result in a
different length of ribbon advance depending on the diameter of
ribbon on the spool. For example, a one-degree rotation of a
spool 100 mm in diameter will result in about 0.9 mm of ribbon
advance, whereas a one-degree rotation of a spool 50 mm in
diameter will result in only about 0.4 mm of ribbon advance.
Thus, the rotation of each spool must be adjusted according to
the amount of ribbon remaining on the spool. Second, real-world
conditions can interfere with the ideal mathematical
relationship between spool diameter, spool rotation, and ribbon
advance. For example, ribbon may stretch unevenly over time,
causing unpredicted slack to develop. Additionally, if the
ribbon breaks, operators may take actions (such as taping two 4 sections of ribbon together or tying off the ribbon) that make
it even more difficult to measure how much ribbon remains on
each spool.
B. Prior Art
The most common form of prior art relies upon a single
motor to drive the take-up spool (the spool onto which used
ribbon is taken up), with tension control provided by some form
of "slipping clutch" arrangement on the supply spool (the spool
from which fresh ribbon is drawn). As the take-up motor pulls
more ribbon from the supply spool, the slipping clutch provides
a resistive force that maintains an appropriate level of tension
in the ribbon. The slipping clutch becomes less reliable,
however, as it wears out over time. Additionally, a slipping
clutch system's reliance on friction for tension control limits
the acceleration, deceleration, and maximum speed capability of
the ribbon transport system.
Other prior art uses two motors, with one motor driving the
ribbon in a tape-transport direction and the other functioning
solely for tension control, not ribbon advance. For example,
U.S. Patent No. 5,366,303 (filed May 11, 1993) ("Barrus")
discloses a printer that employs a take-up motor and a supply 5 motor. Barrus, however, is a "pull-drag" device in that only
the take-up motor provides rotational torque in the direction of
ribbon transport; the supply motor merely provides a variable
drag on the other motor.
C. The Patents
At issue in this case are U.S. Patent No. 7,150,572 ("the
'572 Patent") and four patents that are continuations of the
'572 Patent: U.S. Patent Nos. 7,682,094 ("the '094 Patent"),
7,722,268 ("the '268 Patent"), 7,748,917 ("the '917 Patent"),
and 7,753,605 ("the '605 Patent"). Although the claims of the
continuation patents differ from the '572 Patent, each patent's
specification is necessarily the same as the one filed with the
'572 Patent. The patents disclose a tape drive intended for use
in a thermal transfer printer.
The tape drive described in the common specification
consists of two spools of tape, each mounted on a spool support.
The exemplary embodiment energizes both motors to drive the
spools in a tape transport direction, drives the spools to add
or subtract appropriate lengths of ribbon for tension control
purposes, uses the operation of the motors to measure tape
tension without making physical contact with the tape, and 6 switches easily between continuous and intermittent operation.
For purposes of the analysis that follows, claim 1 of the
'572 Patent is representative. It is directed to "[a] tape
drive comprising" the following four elements:
[1] two motors, at least one of which is a stepper motor;
[2] two tape spool supports on which spools of tape are mounted, each spool being driveable by a respective one of said motors;
[3] a controller adapted to control energization of said two motors such that tape is transported in at least one direction between spools of tape mounted on the spool supports;
[4] wherein the controller energizes both said motors to drive the spools in a tape transport direction, and said controller calculates a length of tape to be added to or subtracted from tape extending between said spools in order to maintain tension in said tape between predetermined limit values and controls said motors to drive the spools to add or subtract the calculated length of tape to or from the tape extending between said spools.
'512 Patent, Doc. No. 151-4 at 35 (emphases added). The dispute
in this case centers on the active verb clauses in the fourth
element that describe the functional capabilities of the
controller. Zipher concedes that such language constitutes
7 "functional c l a i m i n g . A l t h o u g h I focus on the fourth element
of claim 1 of the '572 Patent, each of the challenged claims in
the five patents contains similar functional language describing
a controller's capabilities.
D. Prior Litigation
In a series of prior orders, I construed the terms "drive"
and "spools" as they were used in the '572 patent. See Markem
Corp. v. Zipher, Ltd., No. 07-CV-06-PB, 2009 WL 2855011 (D.N.H.
Sept. 1, 2009) (Doc. No. 117); Markem-Imaje Corp. v. Zipher
Ltd., No. 07-CV-06-PB, 2008 WL 4116666 (D.N.H. Aug. 28, 2008)
(Doc. No. 92). I construed "drive" to mean "rotates" and
"spools" to mean "more than one spool." Based on these rulings,
I held that Markem's printer did not literally infringe the '572
Patent. On appeal, the Federal Circuit vacated my rulings and
held that " 'drive' is properly construed to mean the application
of torque to the spools, whether the torque causes rotation or
resists it." Markem-Imaje Corp. v. Zipher Ltd., 657 F.3d 1293,
1301 (Fed. Cir. 2011).
~ In an argument that I do not reach, Markem alternatively contends that the active verb clauses constitute method-step language, rendering the claims invalid under IPXL Holdings, LLC v. Amazon.com, Inc., 430 F.3d 1377 (Fed. Cir. 2005), as impermissible method/apparatus hybrid claims. After my rulings, Zipher obtained the four continuation
patents enumerated above. In a separately filed action that was
consolidated with the instant action in December 2011,3 Iagreed
with Zipher that various claims in the continuation patents that
used the terms "controller" or "monitor" should not be construed
as "means-plus-function claims" under 35 U.S.C. § 112, 5 6.
Markem-Imaje Corp. v. Zipher Ltd., No. 10-cv-112-PB, 2011 WL
5837087 (D.N.H. Nov. 21, 2011). I also resolved disagreements
about the construction of three claim terms. I held that the
phrase "correction amount of tape to be added to or subtracted
from tape extending between the tape spools" requires neither a
calculated amount of tape nor a linear length of tape, and that
the correction amount is designed to restore tension to an
acceptable level but need not necessarily do so; that
"controlling the operation of said two motors" means
"controlling the motors to rotate or hold their respective spool
of tape against rotation"; and that the phrase "parameter
indicative of", as used in "parameter indicative of tension" and
"parameter indicative of the [spool] diameter," includes both
3 To date, I have also consolidated with this action, for pretrial purposes only. Videojet Tech. Ltd. v. Markem-Imaje Corp., No. 12-CV-34-PB. 9 direct and indirect methods of monitoring tension or diameter.
On March 30, 2012, Markem moved for summary judgment,
contending that Zipher's patents are invalid on the grounds of
indefiniteness. Zipher responded in an objection filed on May
31. To assist in my consideration of the issues at hand, I
conducted an oral argument on July 30, at which time I allowed
each party to clarify their respective positions.
II. STANDARD OF REVIEW
A summary judgment motion should be granted when the record
reveals "no genuine dispute as to any material fact and that the
movant is entitled to judgment as a matter of law." Fed. R.
Civ. P . 56(a); see Anderson v. Liberty Lobby, Inc., 477 U.S.
242, 248 (1986). Where a party argues that a patent claim is
invalid for indefiniteness, the issue ordinarily is amenable to
resolution on summary judgment because "claim indefiniteness is
a legal conclusion that is drawn from the court's performance of
its duty as the construer of patent claims." Datamize, LLC v.
Plumtree Software, Inc., 417 F.3d 1342, 1347 (Fed. Cir. 2005)
(quoting Personalized Media Commc'ns, LLC v. Int'l Trade Comm'n,
161 F .3d 696, 705 (Fed. Cir. 1998)) 10 The definiteness requirement arises out of paragraph 2 of
35 U.S.C. § 112, which commands that the specification of a
patent conclude by "particularly pointing out and distinctly
claiming the subject matter which the applicant regards as his
invention." This requirement is satisfied only by claims that
"clearly distinguish what is claimed from what went before in
the art and clearly circumscribe what is foreclosed from future
enterprise." United Carbon Co. v. Binney & Smith Co., 317 U.S.
228, 236 (1942). Because a patent's claims delineate the bounds
of the invention, a claim is invalid for indefiniteness if "it
does not reasonably apprise those skilled in the art of its
scope." IPXL Holdings, LLC v. Amazon.com, Inc., 430 F.3d 1377,
1383-84 (Fed. Cir. 2005).
Each of a patent's claims enjoys a presumption of validity,
and clear and convincing evidence must be shown to invalidate a
patent. 35 U.S.C. § 282; Microsoft Corp. v. 141 Ltd. P'ship,
131 S. C t . 2238, 2242 (2011). Where claim construction is
necessary to resolve an indefiniteness challenge, general
principles of claim construction apply, and claims should not be
found indefinite unless "reasonable efforts at claim
construction prove futile." Datamize, 417 F.3d at 1347-48. 11 Il l . ANALYSIS
In its motion for summary judgment, Markem argues that the
claims are indefinite because they use impermissibly functional
language at the point of novelty. Although I reject Markem's
categorical approach to functional claiming, I conclude that in
the specific factual circumstances of this case, the functional
language at issue renders the claims indefinite because one of
ordinary skill in the art would not apprehend what additional
structure is implied by the functional language.
A. Categorical Indefiniteness Argument Based on Halliburton
Markem first contends that the patent claims asserted by
Zipher are invalid for indefiniteness because, in contravention
to the Supreme Court's 1946 decision in Halliburton Oil Well
Cementing Co. v. Walker, they use "conveniently functional
language at the exact point of novelty." 329 U.S. 1, 8 (1946).
Under Markem's per se approach, Halliburton establishes a two-
part test, where a claim is automatically invalid if it (1) uses
functional language (i.e., language that defines a structure "by
what it does rather than by what it is," In re Swinehart, 439
F.2d 210, 212 (C.C.P.A. 1971)), (2) to distinguish the claimed 12 invention from the prior art. Zipher's central response is that
Halliburton is no longer good law, having been overturned by
Congress's passage of the 1952 Patent Act. I agree with Zipher
insofar as the categorical prohibition suggested by Markem is
not borne out by recent case law. I disagree, however, that
this ends the inquiry. Because functional claiming may violate
generally applicable patent law standards, its usage must be
closely scrutinized. Zipher's patents do not withstand that
scrutiny. I begin my analysis with a discussion of the genesis
of Halliburton and its remaining vitality.
Eight years prior to Halliburton, in a case where it
invalidated a patent claim disclosing a lamp filament, the
Supreme Court stated that functional claiming can render a
patent claim invalid "when the inventor is painstaking when he
recites what has already been seen, and then uses conveniently
functional language at the exact point of novelty." General
Electric Co. ("GE") v. Wabash Appliance Corp., 304 U.S. 364,
371 (1938). Elaborating on the potential vice of functional
claiming, the Court in GE explained that although " [a] limited
use of terms of effect or result, which accurately define the
essential qualities of a product to one skilled in the art, may 13 in some instances be permissible and even desirable, [] a
characteristic essential to novelty may not be distinguished
from the old art solely by its tendency to remedy the problems
in the art met by the patent." I d . at 371-72.
Adverting to the GE decision and its derogation of the use
of "conveniently functional language at the exact point of
novelty," the Court in Halliburton invalidated a patent claim on
the basis that it was a combination of old ingredients whose
novel aspect was described in purely functional terms. 329 U.S.
at 8-9. In the Court's view, the claim impermissibly described
the "most crucial element" of the apparatus -- in whole, a
structure for measuring oil well depth -- "in terms of what it
will do rather than in terms of its own physical characteristics
or its arrangement in the new combination apparatus." I d . at 9.
The Court explained that the danger of using functional language
to distinguish a claimed invention from the prior art inhered in
an inventor's ability to use ambiguous language to claim more
than what he had actually invented:
[T]here may be many other devices beyond our present information or indeed our imagination which will perform that function and yet fit these claims. . . . Had [the inventor] accurately described the machine he claims to have invented, he would have had no such 14 broad rights to bar the use of all devices now or hereafter known which could [accomplish the function]. . . . [A] patentee cannot obtain greater coverage by failing to describe his invention than by describing it as the statute commands.
I d . at 12-13.
Apparently displeased by the decision in Halliburton,
Congress enacted portions of the 1952 Patent Act as a response
to the Court's prohibition on functional claiming. See In re
Donaldson C o ., 16 F.3d 1189, 1194 (Fed. Cir. 1994) ("Congress
enacted paragraph six . . . to statutorily overrule [the
Halliburton] holding"). Section 112, paragraph 6 of the Act
explicitly authorizes what is termed "means-plus-function"
claiming: "An element in a claim for a combination may be
expressed as a means or step for performing a specified function
without the recital of structure, material, or acts in support
thereof . . . ." 35 U.S.C. § 112, 5 6. In exchange for the
convenience of means-plus-function claiming, however, the Act
restricts the patentee to "the corresponding structure,
material, or acts described in the specification and equivalents
thereof." Id.
In a prior order in this case I determined, at Zipher's
urging, that the patent claims at issue are not means-plus- 15 function claims. Markem-Imaj e , 2011 WL 5837087. I was
persuaded, in large part by extrinsic evidence denoting
established definitions for the disputed terms "controller" and
"monitor," that one of ordinary skill in the art would
understand those terms as "known physical apparatuses" rather
than as "'nonce words' or 'verbal constructs' that are simply
substitutes for the term 'means for,'" i d . at *4-5 (quoting
Mass. Inst, of Tech. v. Abacus Software, 462 F.3d 1344, 1356
(Fed. Cir. 2006)). I also accepted Cipher's representations
that the two terms connote sufficient structure to perform the
functions recited. Def.'s Brief at 7, 9, Doc. No. 47 of No. 10-
cv-112-PB. In light of the evidence presented and the
presumption against means-plus-function claiming that arises
when a claim avoids using the term "means," I concluded that the
restrictions of section 112, paragraph 6 do not apply.
Markem argues that where, as here, a patentee does not
avail itself of the "safe harbor" of section 112, paragraph 6,
the bright-line rule of Halliburton continues to govern and bars
a patentee from functional claiming at the point of novelty. I
am unpersuaded by Markem's categorical approach, however,
because it is inconsistent with Federal Circuit precedent, which 16 plainly sanctions functional claiming, whether or not at the
point of novelty, outside of the framework of a means-plus-
function claim. E.g., Microprocessor Enhancement Corp. ("MEC")
v. Tex. Instruments Inc., 520 F.3d 1367, 1375 (Fed. Cir. 2008)
("Functional language may also be employed to limit the claims
without using the means-plus-function format."); Swinehart, 439
F.2d at 212-13 ("[A]ny concern over the use of functional
language at the so-called 'point of novelty' . . . . is not only
irrelevant, it is misplaced . . . . We are convinced that there
is no support, either in the actual holdings of prior cases or
in the statute, for the proposition, put forward here, that
'functional' language, in and of itself, renders a claim
improper."); see, e.g., Halliburton Energy Servs., Inc. v. M-I
LLC, 514 F.3d 1244, 1255 (Fed. Cir. 2008) (quoting Swinehart
with approval); Haberman v. Gerber Prods. Co., 236 F. App'x 592,
596 n.3 (Fed. Cir. 2007) (patentee is "permitted to use
functional language to limit the claims"); K-2 Corp. v. Salomon
SA, 191 F.3d 1356, 1363 (Fed. Cir. 1999) (analyzing functional
language in patent claim as an additional limitation).4
4 In asserting the continuing vitality of Halliburton, Markem cites no recent federal case law as precedent, relying instead 17 Instead, the Federal Circuit has adopted a more nuanced
approach. See M - I , 514 F.3d at 1255; Swinehart, 439 F.2d at
212-13. The appropriate inquiry is directed to the traditional
patent formalities: because "there is nothing intrinsically
wrong with" functional claiming, a court should invalidate a
patent with functional language only if it fails to satisfy the
established, generally applicable requirements set out in
section 112 and elsewhere. See Swinehart, 439 F.2d at 212.
That said, as the Supreme Court recognized in Halliburton and
GE, there are particular dangers implicated when an inventor
on the decision of the Board of Patent Appeals and Interferences ("Board") in Ex Parte Miyazaki, 89 U.S.P.Q.2d 1207, 1217 (B.P.A.I. 2008). I place little weight on that opinion largely for the same three reasons expressed by the district court in American Medical Systems, Inc. v. Laser Peripherals, LLC, 712 F. Supp. 2d 885, 910 (D. Minn. 2010). That court explained: (1) in Miyazaki, the Board expressly limited its holding to claim construction before the Board; (2) the Board linked its concerns about functional language to the traditional requirements of section 112; and (3) Board opinions are not binding on federal courts. 712 F. Supp. 2d at 910. As an addendum to the first reason, I would also add that the Board in Miyazaki expressly stated that it had chosen to adopt a "lower threshold standard of ambiguity for indefiniteness for claims during prosecution" as compared to the threshold for claims subject to court review after issuance. 89 U.S.P.Q.2d at 1212. I also place no weight on the Board's subsequent decision in Ex Parte Rodriguez, 92 U.S.P.Q.2d 1395, 1408-11 (B.P.A.I. 2009), which unquestionably accepted Miyazaki as governing law.
18 describes his invention in functional terms. A leading treatise
succinctly lists three problems that tend to arise:
First, functionality may present a problem of definiteness under the second paragraph of Section 112 because it fails to provide a clear indication of what subject matter is within the claim. Second, functionality may present a problem of inadequate disclosure under the first paragraph of Section 112. Functional terms tend to be very broad in scope and the specification may not provide an enabling disclosure commensurate in scope. Finally, functionality may present a problem of novelty and nonobviousness: "the mere recitation of a newly discovered function or property, inherently possessed by things in the prior art does not cause a claim drawn to those things to distinguish over the prior art.
Donald S. Chisum, Chisum on Patents § 8.04[3] (2010) (footnotes
omitted).
In this case, Markem has made clear in its briefing and at
oral argument that its challenge is predicated only on the
putative indefiniteness of the patent claims at issue. See
P i .'s Mem. in Supp. of Summ. J. at 1, Doc. No. 151-1. Stripped
of any categorical rule existing by dint of Halliburton,
Markem's functionality argument links the functional language in
Zipher's claims to the traditional concern of definiteness
encapsulated in 35 U.S.C. § 112, 5 2. My analysis of that
argument is guided by the many Federal Circuit decisions on 19 indefiniteness and by its admonition in M-I that "[w]hen a claim
limitation is defined in purely functional terms, the task of
determining whether that limitation is sufficiently definite is
a difficult one that is highly dependent on context [.]" 514
F.3d at 1255.
B. Specific Indefiniteness Argument
Although Markem's brief is not a paragon of clarity, I
understand its more specific indefiniteness argument to be as
follows.5 The claims in Zipher's patents recite a variety of
"generic components" that have long been "ubiquitous in tape
drives," including "controllers." P i .'s Mem. in Supp. of Summ.
J. at 30, Doc. No. 151-1. Although a generic controller has
inherent functionality, it requires additional structure --
i.e., additional programming, hardware, circuitry, etc. -- to be
able to perform the particular functions detailed in the claims.
The patents, however, do not claim any particular programming
5 Zipher's counsel complained at oral argument that Markem had not raised a general indefiniteness argument untethered from a per se rule predicated on Halliburton. My review of Markem's brief (Doc. No. 151-1), specifically pages 30-34, satisfies me that Markem did assert a more nuanced, fact-specific indefiniteness argument, and that Zipher had fair notice that the issue was in play. The argument I describe in the text is drawn directly from Markem's brief and fairly characterizes Markem's contentions. 20 for the controllers, but instead "broadly claim[] all
controllers that operate in the ways claimed, even if they do so
using very different technology than that described in the
patent specifications." I d . at 34. As such, the argument
concludes, Zipher's claims are invalid for indefiniteness
because they fail to specify the scope of the subject-matter
embraced by the claims.
As a general principle, when functional language in an
apparatus patent acts as an additional claim limitation to
describe a capability of a structural component, it will either
describe a capability that is inherent in an already disclosed
structural component, or it will describe a capability that is
not inherent and that therefore implies some additional
unidentified structure that is required to perform the claimed
function. The first type of claiming is problematic if the
functional claim language is at the point of novelty because
"[w]here all structural elements of a claim exist in a prior art
product, and that prior art product is capable of satisfying all
functional or intended use limitations, the claimed invention is
nothing more than an unpatentable new use for an old product."
Bettcher Indus., Inc. v. Bunzl USA, Inc., 661 F.3d 629, 653 21 (Fed. Cir. 2011) (Reyna, J., dissenting); see also Swinehart,
439 F.2d at 213. The second type of claiming, whether or not it
is at the point of novelty, can present a problem if the claimed
function can be performed through various structural means and a
person skilled in the art cannot determine the structures that
are encompassed by the claim. See, e.g., M - I , 514 F.3d at 1254.
The functional claiming at issue here is of the latter variety.
Zipher's patents all require controllers that perform a
variety of functions, including energizing motors to transport
tape, calculating a correction amount of tape, and operating the
motors to maintain tape tension at an acceptable level. As
Zipher now concedes, however, a controller is not inherently
capable of performing these functions without special
programming.6 See Tr. of July 30, 2012 Hr'g at 131, Doc. No.
168. Thus, a person skilled in the art must be able to discern
what additional structures are encompassed by the functions
6 This concession represents a change in position by Zipher. In its brief arguing that the functional claim language was not means-plus-function claiming, Zipher contended that a controller was capable of performing the claimed functions without additional structure. Def.'s Reply to P i .'s Claim Construction Br. at 7, Doc. No. 47 of No. 10-cv-112-PB ("'Controller' Sufficient to Perform Recited Functions").
22 claimed. Here, however, Zipher does not argue that its
functional claim terms connote specific structure. Instead, its
position is that the functional terms encompass all means by
which the functions can be performed. In other words, the
purely functional claim language broadly and impermissibly
"cover[s] any means which anyone may ever discover of producing
the result." In re Fuetterer, 319 F.2d 259, 263 (C.C.P.A.
1963). Indeed, Cipher's counsel admitted as much during the
claim construction hearing when he acknowledged that the term
"controller" was a "deliberately chosen broad term[]" that was
intended to cover every controller capable of performing the
recited functions, no matter the algorithm used in the software
enabling that functionality. Tr. of June 16, 2011 Markman Hr'g
at 68-69, Doc. No. 68 of No. 10-cv-112-PB. It is clear,
therefore, that one of ordinary skill in the art, confronted by
the unbounded functional claiming at issue, would not apprehend
what additional structure was being claimed to enable the
controller to accomplish the recited functions. Therefore, the
claims are invalid for indefiniteness under section 112,
paragraph 2, for "fail[ing] 'to provide a clear-cut indication
of the scope of the subject matter embraced by the claim.'" 23 M - I , 514 F.3d at 1255 (quoting Swinehart, 439 F.2d at 212-13) .
Zipher might argue that I should attempt to save its claims
by construing them as means-plus-function claims and limiting
their scope to the structures disclosed in the specification.
That course is inappropriate for two reasons. First, Zipher
carefully pled its patent claims to avoid such treatment by
refraining from using "means" language. Second, Zipher
zealously resisted means-plus-function treatment in this
litigation, contending until recently that the recitation of a
controller was sufficient structure to perform the recited
functions.
Nonetheless, belated application of section 112, paragraph
6 would not save Zipher's claims because the specification does
not disclose structures sufficient to perform the functions at
issue. Instructive on this point is the line of Federal Circuit
cases addressing claims that recite a general-purpose computer
as the means for performing a function that requires special
programming. In such cases, the Federal Circuit has made clear
that a patent's specification must disclose the algorithm that
enables the computer to perform the claimed function because the
algorithm serves as the "defining structure [that] render[s] the 24 bounds of the claim understandable to one of ordinary skill in
the art." AllVoice Computing PLC v. Nuance Commc'ns, Inc., 504
F.3d 1236, 1244 (Fed. Cir. 2007). A patent that fails to
disclose the limiting algorithm -- for example, a patent that
only discloses the existence of software or a general-purpose
computer -- is invalid for indefiniteness under section 112,
paragraph 2. See, e.g.. In re Katz Interactive Call Processing
Patent Litig., 639 F.3d 1303, 1315 (Fed. Cir. 2011); Finisar
Corp. v. DirecTV Grp., Inc., 523 F.3d 1323, 1340-41 (Fed. Cir.
2008).
As Zipher now concedes, a controller, just like a general-
purpose computer, can be programmed to perform various functions
that are not inherent to its structure. Under a section 112,
paragraph 6 analysis, a means-plus-function claim that recites a
programmable controller capable of performing special functions
must be accompanied by an adequate disclosure in the patent
specification of the algorithm that enables the claimed
functions. That algorithm need not be in any particular form,
so long as it is expressed "in any understandable terms
including as a mathematical formula, in prose, or as a flow
chart, or in any other manner that provides sufficient 25 structure." Finisar, 523 F.3d at 1340 (internal citation
Means-plus-function treatment could not operate to save the
claims at issue because the common specification fails to
disclose sufficient algorithmic structure to describe the
controller's functions. At the hearing, I questioned Zipher's
counsel on whether and where the common specification disclosed
an algorithm. I was directed to various portions of the
specification that show the following: a circuit diagram
illustrating the connections of a controller to other
components; a description of the circuit diagram; references to
one known set of conventional control algorithms and an
explanation of what those algorithms might allow; and a
description of how hardware can be configured to allow for a
calculation of spool diameter. Tr. of July 30, 2012 Hr'g at
133-38, Doc. No. 168. I have reviewed these sections of the
specification, and conclude that they do not set out the
necessary algorithms that would enable a controller to perform
the claimed functions. Therefore, Zipher's claims would remain
invalid for indefiniteness even if I applied the limiting
mechanism of section 112, paragraph 6. 26 IV. CONCLUSION
I am, of course, cognizant of the presumption of validity
that accompanies a patent, and I am aware of the need for clear
and convincing evidence to overcome that presumption. In this
case, Markem has overcome that burden and established that
Zipher's functional claiming "fail[s] 'to provide a clear-cut
indication of the scope of the subject matter embraced by the
claim.'" M - I , 514 F.3d at 1255 (quoting Swinehart, 439 F.2d at
212-13) .
For the foregoing reasons, I grant Markem's motion for
summary judgment (Doc. No. 151). The asserted claims are
invalid for indefiniteness under 35 U.S.C. § 112, 5 2 for
failing to "particularly p o i n t [] out and distinctly claim[] the
subject matter which the applicant regards as his invention."
Specifically, claim 1 of the '572 Patent, claims 2, 18, and 31
of the '094 Patent, claims 1 and 33 of the '268 Patent, claims 1
and 3 of the '917 Patent, and claims 1, 5, 12, 13, 14, 15, and
18 of the '605 Patent are invalid. The clerk is directed to
enter judgment accordingly and to close the case.
27 SO ORDERED.
/s/Paul Barbadoro Paul Barbadoro United States District Judge
August 9, 2 012
cc: Christopher H.M. Carter, Esq. Kurt L. Glitzenstein, Esq. Christopher R. Dillon, Esq. Daniel Miville Deschenes, Esq. Michael C. Lynn, Esq. J. Michael Jakes, Esq. Joyce Craig, Esq. Kara F. Stoll, Esq. Bryan K. Gould, Esq. David J. Shulock, Esq. Elizabeth D. Ferrill, Esq. Garth D. Baer, Esq. Michael V. O'Shaughnessy, Esq. Philip R. Braley, Esq.