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B_
Inc. v. _Earth Resource Mapping, Inc., 433 F.3d 1373, 1377-78 (Fed. Cir.
Lizmdtec
2006) (Rader, J., dissenting from denial of rehearing en bane). Is it possible that the
F ederal Circuits precedents lead to broad constructions of claims, which are then
invalid under the written description requirement?
the Federal Circuit in claim interpretation. These are summarized in the following
Note.
The law of claim interpretation presents the diligent student with a paradox. On
the one hand, the basic principles seem straightforward and the basic thrust of the
doctrine using claims as the primary source for defining patent rights but
approach, the dictionary uber alles school of thought. Even so, much complexity
and uncertainty remains. This is of course not surprising given the confluence of
three factors: (1) technology is often complex; (2) language is oftenZ-iinprecisc: and
(3) very small differences in meaning can translate into very large economic
i
importance. (Just one example of many that could be cited: the interpretation of
the word reference in the phrase reference means" was a $51 million issue in a
one thing: everlarger teams of ever-sharper lawyers are paid everlarger fees to
baffles
litigate patent cases, insuring that every potential ambiguity and nuance in ii
ll. The
patent document will be scrutinized, analyzed, magnified. dressed up, and ushered
onto center stage with a grand flourish (hiring the patent trial. And this approach
low of
is far from irrational, compared to spending these resources up front" during the
i in the
5?
prosecution of each patent. Recall that very few a little more than 1:; of
issued patents are ever litigated.
The best way to get a feel for what this all means is to read a crosssection of
mg claim interpretation decisions from the Federal Circuit for six months or so (see
772 INFRINGEMENT
355(
of tl
and of the way that doctrines and rules seem merely to float over the surface of a
not
vast sea of complexity, never fully capturing or containing it.
Id. at 12
As a modest second-best alternative, we have organized this vast and unwieldy
to expat
body of cases into several important sub-topics which we present here. Space
Circuit
limitations dictate that we keep this to a very limited selection, so we have chosen
litigants
what we believe to be the most important topics. The cases described also, not
Lion at 1
coincidentally, capture some of the complexity and contrariness of this area of law.
This is because, as we said, no amount of organizing or massaging can bring 2. (
Circuits case law has tried to divide validity and infringement issues to a great The
extent. skeleta
the wo
A cost of this approach
possibl
Medrad, Inc., 358 F.3d 898 ( . . , .
bones
district court first granted summary judgment of non-infringement after it inter-
goal in
preted the phrase high pressure power injector" in the claim to refer to an injector
requiri
having a pressure jacket." In reaching that interpretation. the district court relied
inventi
on the specification, in which every example of an injector included a pressure
contex
jacket. In the cases first appeal, the Federal Circuit reversed, finding no
ambiguity in the relevant claim language and "no reason to resolve the purported For
ambiguity by reading [the relevant language] restrictively." 358 F.3d at 905. the m
immec:
Three years later, the case returned to the Federal Circuit, this time after the
lleSy 1
district court' granted summary judgment of invalidity on the ground that a
eoHect
jacketless injector was not enabled in the specification. The Federal Circuit are m
affirmed, noting that, inter alia, nowhere does the specification describe an
:mrmi
injector . . . without a pressure jacket." 481 F.3d at 1379. LiebelFlarsheim seems hndi
correctly decided, especially in light of this part of the prosecution history:
3.
The claims in the originallyfiled application explicitly recited a pressure
Where
jacket . . . . Medrad asserted, and the district court agreed, that during
Patent
the prosecution[,] the applicants became aware of Medrads jacketless
injector system and then deleted all references to a pressure jacket in the
B. INTERPRETING CLAIMS 773
the art in question at the time of the inventiongie., as of the effective filing date of
So how does the court determine the meaning to a person of ordinary skill in the
art? Phillips teaches to 100k:to *those sources available to the public that show
what a person of skill in the art would have understood disputed claim language to
mean [including] the words of the claims themselves, the remainder of the
scientific principles, the meaning of technical terms, and the state. of the art. In . t
. tp-U*
sum, ordinary meaning refers to a person of ordinary skill, which in turn refers to l v
contextual meaning. l
l
The importance of context is increased by general patent practice: Claims are
skeletal, employing as few Words as possible. (Remember that in general the fewer
the words, the broader the claim, and all claim di'aftcrs suck to obtain the broadest
For these reasons, it is generally true, as the court in Phillips recognized. that
the meaning of a claim term as understood by persons of skill in the art is often pot
immediately apparent and it also fair to say that patentees frequently use terms
idiosyncratically. Reliance on context is therefore crucial. Contextual analysts-is a
collection of doctrines and subdoctrines, rather than a single canon. These doctrines
are more fairly caller guidelines than rules because their application, pot
surprisingly, all depends on the context: They provule the grist fbi mam a
hard-fought contest over claim interpretation.
3- Contextual Meaning May Trump Ordinary Meaning. Phillips is a case
Where the court majority refused to imply a more narrow interpretation frgnth
patent specificatiOn. A good counterexample is Nystmm zv. THE); Co., Inc., 4 .
E:
f
774 INFRINGEMENT CH. 8
This co
1136 (Fed. Cir. 2005), which involved claims to a new type of board for use in
example,
constructing a flooring surface for exterior use. Id at 1140 (quoting U.S. Patent
FIGS 1-5
5,474,831 (1995)). The patented board had a slightly convex top surface so it could
same gem
shed water, and a slightly concave bottom surface so that multiple boards could be
3, 11. 252
stacked easily for shipping. The accused infringer, TREX, sold exterior decking
install-atin
planks made from composites of wood fibers and recycled plastic." I d. TREX argued tion of the
that the term board in the patent claim should be interpreted to refer only to a
written di
board made from wood cut from a log. Id. at 1142. The district court agreed and
boards E
granted summary judgment to TREX. descriptit
On appeal, the patentee Nystrom stressed that the accused products fell Within
decking]
the ordinary meaning of boards, and indeed [e]ven in its appeal brief, TREX The court
refers to its product as "lrexs boards.' "Appellate Brief of Ron Nystrom (March 17,
The p
2003), available at 2003 WL 24028264, at 8. Nystrom also looked to dictionaries, as
with the
the Federal Circuit explained:
that the
Nystrom contends that although some dictionaries define board solely in uniform)
reference to its material composition, see Websters Third International other fin
Dictionary 243 (2002) (defining board as a piece of sawed lumber of little circumfe
thickness but considerable surface area usu. being rectangular and of a rejectioi
length generally exceding its width), not all dictionaries are so con- The l
strained. For example, the American Heritage Dictionaiy of the English the a
Language 203 (4th ed. 2000) defines board as 1. A long flat slab of sawed hund
lumber; a plank. 2. A fiat piece of wood or similarly rigid material adapted insta
for a special use. Nystrom argues that the ordinary meaning of the word clips
board encompasses both a piece of cut wood or sawn timber and a the l
424 F.3d at 1144. Agreeing with the district court, however, the Federal Circuit obvious
not cor
relied on the specification to read board narrowly (id. at 114344):
board
An examination of the term board in the context of the written
will sh
description and prosecution history of the [Nystrom] patent. leads to the supper
conclusion that the term hoard must he limited to wood cut from a log. contox
The written description begins by noting that lal variety of specialized dcckin
flooring materials have been developed for interior and exterior use."
Id. at 1144
[Nystrom] patent, col. 1, 11.13-14. The discussion then proceeds to the
Ngstrwn l
specific context of wood flooring materials for exterior use. In the. context
of the discussion of wood flooring materials for exterior use, the patent 4. T ht
their own
states, In all conventional flooring materials known to applicant, the top
definition:
and bottom horizontal surfaces of these flooring materials are flat and
does rler
planar. As a result, water tends to stand on the surface of the decking
material, causing it to deteriorate more quickly than it otherwise would." A gum
Id. at ll. 5761. The discussion continues, Further, the process used to cut 1352 (Fer
such lumber from logs can produce inferior product on the outermost an edible
boards, often leading to scrap." Id. at 1]. 05-67. The Background of the he used
Invention, thus, frames the invention in the context of wood decking claimed l
materials cut from logs, even though it acknowledges that other materials machine.
exist.
B. INTERPRETING CLAIMS 775
same general direction as the curvature of the growth rings GR. Id. at col.
3, 11. 2527. The written descm'ption goes on to note that the manner of
installation of conventional decking boards leads to accelerated deteriora-
tion of the boards when exposed to weather. Id. at 11. 34-35. Similarly, the
boards B cut from a log L. Id. at 11. 6566. Throughout the written
The court used the prosecution history to reinforce the narrow meaning:
the art of exterior wood flooring. Wood doors have been in use for
clips, and/or adhesives, very little has been done to the basic shape of
the board itself.
not concerned with materials made from wood, and especially an elongate
board for exterior use and having a convex top surface when installed that
nil] shed water and at the same time provide a surface that is suitable for
Id. at 1144. Was the court reading in" a limitation from the specification? How can
4." The Lexicographcr Rule. Courts often say thatiatentees are free to be
their own lexicographers Le, to define claim terms in a _ way they wish. Ihese
definitions are typically set forth in the specification. Yet, even when the p tentee
does define a term, the definition may be ambiguous.
A good example is Jack Guftnmu, Inc. u Kopykakc Enterprises, Inc., 302 F.3d
1352 (Fed. Cir. 2002), which involved a patent on a system for printing an image on
an edible sheet, which could then bc placed onto a cake for decoration (e.g., it could
be used to put pictures of children onto their birthday cakes). One step in the
claimed process required placing the relevant image on a copy glass of a photocopy
machine. In place of a photocopy machine, the accused infringer used a commercial
776 INFRINGEMENT CH. 8
scanner that was attached to a inkjet printer modified to use edible ink. One
question In the case was whether the term photocopy machine in the claims could
encompass the combination of a scanner with an inkjet printer. The patent
paper photocopy machine . . . , the two aspects are deemed to dejine a histor
an im
The accused infringer, Kopykake, argued that this explicit definition merely
and s
ensured that the claim would cover photocopy machines with the scanning and
printing components in separate housings. The explicit definition was not, Kopy-
kake argued, supposed to cover any combination of scanning and printing capabili- C:
Had the patentee intended to claim only conventional plain paper photo-
Id. at
copy machines, Whether composed of a single housing or not, he would not
have used the phrase cooperate to pmduce the effect of a plain paper 9pr
with
photocopy machine." Such a phrase indicates that the term includes an
prior
apparatus that is not a conventional plain paper photocopy machine, but
what
that nonetheless possesses scanning and reproduction features that work
proct
together to produce the effect of such a photocopy machine.
Sce a
It is crucial to stress, however, that Jack Gutman E ntcrpriscs is a very rare case. puter
The vast majority of cases that cite the lexicographer rule" do not involve an inter
explicit definition. Rather, courts cite the rule to demonstrate that the patentee may
place an unusual construction on claim language, though that construction is prcvi
typically implicit rather than explicit. In these cases, the patentees are not really justil
being lexicographers. It is a poor lexicographer, after all, who Would trust to general versi
context and repeated usage to establish the meaning ntn Word. The essence of the SU 35
lexicographic art is a succinct and precise definition - the very opposite of the some
implicit contextual clues that courts have to use in interpreting claim language. datin
that
One final point on the lexicographer rule: Federal Circuit precedent holds that a
such
general discussion of an invention in a specification cannot provide a definition for
freqi
a claim term unless the discussion can be tied to a specific word or words in a claim.
State
A leading case explains:
it int
Fran
[A] party wishing to use statements in the written description to confine or
cons:
otherwise affect a patents scope must, at the very least. point to a term or
terms in the claim with which to draw in those statements. Without any
inopt
there is no legitimate way to narrow the property right. The Supreme tool,
Court [McCarty u Lehigh lht RR., 160 US. 110, 116 (1895)] has clearly Clar
Remshaw PLC 'u. Marposs SocietaperAzioni, 158 F.3d 1243, 1248 (Fed. Cir. 1998).
Cultor Corp. u A.E. Staley Mfg. 00., 224 F.3d 1328 (Fed. Cir. 2000) is a good
example of the disclaimer doctrine at work. Cultor was a dispute over a patent on
an improved process for making 'Rvater-soluble polydextrose, a substitute for flour
Id. at 1330 (quoting the patent specification). The court held that this statement
prior art acids. Id. at 1331. Because [c]laims are not correctly construed to cover
.; ,gi what was expressly disdaimed, id., the court held that the claim did not cover
processes such as the defendants, which used phosphoric acid instead of citric acid.
See also Schering Corp. v. Amgeh Inc., 222 F.3d 1347, 1353 (Fed. Cir. 2000) (the
patentee expressly limited the meaning of the term IFN- to define the leukocyte
interferon (the inventor) described had in his original application).
dating back to Mummy/'n Madison, 5 US. 137, 174 (1803) (It cannot be presumed
that any clause in the constitution is intended to be without effect; and therefore
frequently applied in modern statutory construction too. See, e.g., Bailey u United
'. States, 516 US. 137, 146 (1995) (We assume that Congress used two terms because
it intended each term to have a particular, nonsuperuous meaning); Colautti u
Franklin, 439 US. 379, 392 (1979) (explaining that an elementary canon of
_CONStructon [is] that a statute should be interpreted so as not to render one part
_ HIOperative).
not an ironclad rule. See Akhil Reed Amar, Constitutional Redundancies and
.t'ilmm/ilg Clauses, 33 VAL. U. L. REV. 1, 2 (1998) ([M]ost lawyers and law students
**Saem tO misunderstand the true meaning and proper scope of [the antiredundancy]
778 INFRINGEMENT CH. 8 B-
rule of construction). Some provisions in a written instrument serve to clarify more the ta
amblguous provisions, see id., and thus the non-redundancy maxim is best viewed specific
as a mere guide. 0th
A good counterpoint to Phillips is once again found in Nystmm 'v. TREX. Recall u Apo
that the issue in Nystrom was the meaning of the word board, and the accused t languz
infringer wanted to limit the meaning of the claim to wooden boards. Nystrom Hacke
made the common sense argument that the meaning of board in claim I could not ? (Fed.
logically be limited to wooden boards, because claim 16 of the Nystrom patent with t
specifically claimed a wooden board. Interpreting board in claim 1 as implicitly ` 143 F.
meaning wooden board would render meaningless the limiting language found in becau
claim 16. If board in this patent means wooden board, then claim 16 would refer surfa(
The Federal Circuit began by reciting the doctrine of claim differentiation: style
When different words or phrases are used in separate claims, a difference in supra
cover the same subject matter where the written description and prosecu- .
tion history indicate that such a reading of the terms or phrases is proper. )
use of language ultimately proved decisive, despite the seemingly straightforward meat
logic of the claim differentiation canon. See also Laitram Corp. v. Momhouse strut
Industries, Inc., 143 F.3d 1456, 1463 (Fed. Cir. 1998) (overriding the presumption of Thus
Inc., 976 F.2d 1559 (Fed. Cir. 1992). The plaintiff 3M held a series of patents related
to resin-based orthopedic casts, which have replaced old-fashioned plaster casts.
Several claims required the bandages for forming the cast to include a lubricant. l'
Some chemicals identified in the specification as effective lubricants had been used Bro
in prior art bandages, and the defendant argued that the claims were anticipated gre;
Although the prior art used similar chemicals for cast bandages, the prior art hea
bandages produced a tacky surface that caused problems in making the cast.3M'S that
patent taught ways to use chemicals including some found in the prior art tO Hy i
produce a lubricated or slippery surface. Relying on those teachingS, the district thai
court limited the claim term lubricant to mean substances capable of making the by .
bandage slippery when activated. The Federal Circuit affirmed, holding it Win
entirely proper to use the specification . . . to determine what the inventor dov
meant by terms and phrases in the claims. Id. at 1566. And in the specification, the d
Federal Circuit found that [t]he fundamental purpose and significance of the way
an
the tacky resin problem of the prior art. This is evident throughout the patent
specification.
Other cases are to the same effect. See, e.g., Daiichi Phamwzceutical Co., Ltd
u Apotex, Inc., 380 F.Supp.2d 478 (D.N.J. 2005) (holding it proper to restrict claim
(Fed. Cir. 2000) (affirming an interpretation of a claim phrase that was consonant
with the purpose of the invention.);Laitram Corp. u Morekouse Industries, Inc,
143 F.3d 1456 (Fed. Cir. 1998) (limiting the phrase driving surface to aflat surface
because the specification stressed benefits of the invention that required a flat
surface).
Finally, note that there is a close parallel between the contextual interpretation
style found in cases such as 3M and the written description cases (Chapter 4,
supra). Claims must be supported by the written description, and thus relying
heavily on the specification in claim interpretation may save some claims that, if
interpreted too broadly, would be invalid because they lack support in the written
description.
'ard
means-plus-function elements to be construed to cover the corresponding
structure, material, or acts described in the specification and equivalents thereof."
ruse
Thus, in such claims, claim language is tied very tightly to the specification, with an
in of
equivalents analysis needed if the patentee wants to interpret the claim as covering
something not disclosed in the specification.- Does such an analysis limit patent
.ung claims to a very narrow scope? Consider the following case:
)und
ant. [This case involves one of the most famous inventions in history, the Wright
used Brothers patent on a flying machine," and the decision was written by one of the
.ated greatest patent judges of all time. the celebrated Judge Learned Hand.
The Wrights patent focused on a vexing problem, which was how to construct a
heavier than air flying machine that could maintain stability in flight. A solution to
r art
3M`s that problem was to put it mildly very important since people do not like to
to fly in machines that lose stability and crash into the ground. The Wrights learned
strict that bending or warping the aircrafts wings changed the amount of lift gem-rated
g the
by each wing. Wing warping can help in balancing the aircraft. For example, if the
ng it wing on one side of the plane began to drop. that Mug could be temporarily warped
entor downward to add more lift on that side of the plane (see Figure 8-4; the side mark
d is being warped downward to add lift) while the wing on the opposite side was
i, the
f the warped in the opposite way to decrease lift (side The net effect Would be for the
aircraft to tend to rebalance itself.
)pery
.ming
l
i
i
*Lu