In re Alappat | |
---|---|
Court | United States Court of Appeals for the Federal Circuit |
Full case name | In re Kuriappan P. Alappat, Edward E. Averill and James G. Larsen |
Decided | July 29 1994 |
Citation(s) | 33 F.3d 1526; 31 U.S.P.Q.2d 1545 |
Holding | |
That the claimed device was considered a machine or apparatus, not a mathematical formula, which fit within the categories considered as patentable subject matter. BPAI reversed. | |
Court membership | |
Judge(s) sitting | En banc Court: Chief Judge Glenn L. Archer Jr.; Circuit Judges Giles Rich, Helen W. Nies, Pauline Newman, Haldane Robert Mayer, Paul Redmond Michel, S. Jay Plager, Alan David Lourie, Raymond C. Clevenger, Randall Ray Rader, and Alvin Anthony Schall |
Case opinions | |
Majority | Rich |
In re Alappat, 33 F.3d 1526 (Fed. Cir. 1994), [1] along with In re Lowry [2] and the State Street Bank case, [3] form an important mid-to-late-1990s trilogy of Federal Circuit opinions because in these cases, that court changed course by abandoning the Freeman-Walter-Abele Test that it had previously used to determine patent eligibility of software patents and patent applications. [4] The result was to open a floodgate of software and business-method patent applications, [5] [6] many or most of which later became invalid patents as a result of Supreme Court opinions in the early part of the following century in Bilski v. Kappos and Alice v. CLS Bank . [7] [8]
Kuriappan Alappat was an employee of Tektronix, an oscilloscope manufacturer. [9] He and two other employees (Edward Averill and James Larsen, but for convenience the three will be referred to collectively as Alappat) devised a form of "rasterizer," which is a device used in a digital oscilloscope to smooth waveform data before displaying the waveform on the oscilloscope screen. [10] (The irregularities in the waveform are called "jaggies.") The invention is a system for improving the appearance of digital oscilloscopes' screen displays by connecting data points smoothly without gaps or jaggies. A digital oscilloscope ordinarily represents data points as isolated points on the screen. Each point occupies a small area on the screen termed a "pixel." It is convenient to connect successive data points on the screen by a line, so that the data appears on the screen as a line graph. [11]
There were two problems, however, with these displays. First, the jaggies would create a "staircase effect." Second, random noise superimposed on the signal makes the lines appear to flicker and move up and down or from side to side (which is called "aliasing").
The basic technique to overcome aliasing ("anti-aliasing") generally in use was to lessen the illumination intensity of those pixels more remote from the desired trajectory of the data points, in accordance with some formula or scheme (for example, least squares averaging). Conventional means were well known for varying the amount of energy delivered to the location of a pixel, in order to vary light intensity at the pixel.
In a cathode-ray tube (CRT), such as that for an oscilloscope, a beam of electrons is accelerated by an electromagnet coil around the neck of the tube. The electrons' speed (and therefore energy, and therefore illuminating effect) is proportional to the current in the coil at the time the electrons pass through it. [12] Hence, to implement an anti-aliasing scheme one controls pixel intensity by varying CRT neck coil current in accordance with the scheme. The result is to provide variable illumination intensity for each pixel, so that the pixels closest to the trajectory of the data points on the screen are made brighter, and those farther away, dimmer. The procedure improves the appearance of the display by providing a continuous-appearing and non-jumping waveform. [13]
Alappat devised what appears to be a novel and convenient anti-aliasing scheme—an anti-aliasing algorithm. The specification of the patent application disclosed how to provide a smooth-appearing waveform (something appearing to be a straight diagonal line without jaggies or staircase) by determining illumination intensity of each of the pixels in accordance with the new formula I' = c (1 - [Δy ij / Δy i ]). In this formula, c is an arbitrary constant, and the Δ values represent vertical pixel-to-pixel distances on the screen. A user of the system then makes the CRT's neck coil current proportional to I', as calculated according to the foregoing formula.
The PTO did not assert that the technology described above is the kind of thing with which the patent laws are concerned, but instead argued that what was claimed was different from that and was not patentable subject matter, because giving the claim its "broadest reasonable interpretation," and because it was drafted entirely in means-plus-function format, "each of the steps in this postulated process claim recites a mathematical operation, which steps combine to form a 'mathematical algorithm for computing pixel information,' and that, 'when the claim is viewed without the steps of this mathematical algorithm, no other elements or steps are found." [14] In other words, Alappat's patent application described a device within an oscilloscope, that helps to control the oscilloscope's screen illumination in a certain way. But the issue, according to the PTO, was whether the patent claimed merely that thing or claimed something else, as well—something that goes beyond the kinds of thing on which the patent laws grant exclusive rights. [15]
Claim 15, the only independent claim in issue in the case, [16] read:
A rasterizer for converting vector list data representing sample magnitudes of an input waveform into anti-aliased pixel illumination intensity data to be displayed on a display means, comprising:
(a) means for determining the vertical distance between the endpoints of each of the vectors in the data list;
(b) means for determining the elevation of a row of pixels that is spanned by the vector;
(c) means for normalizing the vertical distance and elevation; and
(d) means for outputting illumination intensity data as a predetermined function of the normalized vertical distance and elevation.
The final decision of the PTO appellate board was that while the claim could be interpreted to describe machinery such as a combination of elements such as an arithmetic logic unit (ALU), read-only memory (ROM), and shift registers, it could also be interpreted to describe a programmed general purpose digital computer. The board considered the claim thus to be the equivalent of a claim to computer instructions for carrying out a mathematical algorithm and therefore not patentable subject matter under 35 U.S.C. § 101. [17]
The Federal Circuit heard the case en banc , meaning before all judges active on the court. There were a number of procedural issues unrelated to the patentability of computer software, including whether the court had jurisdiction over the appeal. Three judges abstained from joining any opinion on the merits, because of the jurisdictional issues, which resulted in the court's being very fractured and making it difficult to put together a majority. One judge (Michel, J.) who believed the court was without jurisdiction nonetheless joined the majority opinion, so that a bare majority of the eleven sitting judges joined in the majority opinion. [18]
In the bare majority opinion for the court written by Judge Rich, the court found that Alappat claimed "a machine for converting discrete waveform data samples into anti–aliased pixel illumination intensity data to be displayed on a display means," and not an abstract idea. The court noted that "Alappat admits that claim 15 would read on a general purpose computer programmed to carry out the claimed invention." But this did not preclude the issuance of a patent, the court said, because the claimed subject matter was nonetheless a machine. "We have held that such programming creates a new machine, because a general purpose computer in effect becomes a special purpose computer once it is programmed to perform particular functions pursuant to instructions from program software." [19] The court added: "In any case, a computer . . . is apparatus not mathematics."
The dissent by Chief Judge Archer objected to the majority's invocation of the piano roll blues argument: "[T]he majority implicitly resurrects long-dead precedent of the Court of Customs and Patent Appeals in direct conflict with Supreme Court precedent and subsequent precedent of that court." Alappat claimed conventional apparatus (or a computer) arranged to make a mathematical calculation. The effect of the claim was to claim the mathematical calculation. Where "the invention or discovery is only of a 'new, useful, and nonobvious' process for solving a mathematical formula, Benson, Flook, Diehr, and years of precedent command that the patent law shall not exalt form over substance, but rather recognize that the substance is outside § 101."
Judge Archer (joined by Chief Judge Nies) argued that a Chopin-playing player piano does not magically become a "new" player piano simply because one inserts into it a piano roll for Brahms' Lullaby. He denied that a claim to a general-purpose digital computer running a new program could be directed to statutory subject matter:
It is illogical to say that although a claim to a newly discovered mathematical operation to be performed by a computer is merely a nonstatutory discovery of mathematics, a claim to any computer performing that same mathematics is a statutory invention or discovery.
Initially, it was uncertain what the Federal Circuit had decided in this case. Counsel for Tektronix, the successful party in the case, said that the decision held only that "digital circuitry governed by mathematical formulas can be patented." He added, "The heart of the majority opinion rests on the conclusions that the Tektronix rasterizer was a machine. There is no justification, the majority said, in rejecting the patent simply because the machine made use of mathematics." [20]
One commentator said that two widely different interpretations were possible for what the court said the patent-eligible invention was, when it asserted that a "computer operating pursuant to software may represent patentable subject matter" if it meets the requirements of Title 35:
One interpretation is that [what the court says may be patented is] some type of programmed computer equipment subsystem intertwined with an oscilloscope, in which case the scope of claim 15 is limited to an oscilloscope environment. Alternatively, "the claimed invention" also includes a free-standing microprocessor or general-purpose digital computer programmed to carry out the algorithm, in which event claim 15 is not limited to the oscilloscope environment and effectively covers the algorithm itself. The only way that this passage can make sense is if some of the terms have a secret or private, question-begging meaning that is different from their apparent meaning. For example, a programmed computer might "represent" patentable subject matter but not "be" patentable subject matter, whatever that might mean. Or maybe meeting "all of the other requirements of Title 35" means complying with section 101 as interpreted in Benson, Flook, Diehr, Abele, Schrader and so on. To say the least, this passage of the opinion is more poetic than lucid. [21]
The same commentator pointed out that different post-Alappat panels of the Federal Circuit had "embraced diverse interpretations of the decision." [22] It eventually became clear, after the Federal Circuit's 1998 State Street Bank decision, that the Federal Circuit had transitioned to a new patent-eligibility regime in which a patent would be allowed if the invention was able to "produce a useful, concrete, and tangible result." [23] [24] Moreover, the piano roll blues theory temporarily became dominant in the Federal Circuit for about a decade after Alappat. [25]
In a 2006 dissenting opinion, U.S. Supreme Court Justice Breyer (joined by Justices Stevens and Souter, characterized the Alappat decision as one of the Federal Circuit's decisions in which it used a legal test that led to results opposite to those reached in several Supreme Court decisions. [26]
In Bilski v. Kappos , 561 U.S. 593 (2010), the Supreme Court was unanimous that the "useful, concrete, and tangible result" test of Alappat and State Street was an incorrect statement of the law. [27] The Federal Circuit had made the same ruling in In re Bilski , the judgment in which the Supreme Court affirmed in Bilski v. Kappos.
A software patent is a patent on a piece of software, such as a computer program, libraries, user interface, or algorithm.
Neither software nor computer programs are explicitly mentioned in statutory United States patent law. Patent law has changed to address new technologies, and decisions of the United States Supreme Court and United States Court of Appeals for the Federal Circuit (CAFC) beginning in the latter part of the 20th century have sought to clarify the boundary between patent-eligible and patent-ineligible subject matter for a number of new technologies including computers and software. The first computer software case in the Supreme Court was Gottschalk v. Benson in 1972. Since then, the Supreme Court has decided about a half dozen cases touching on the patent eligibility of software-related inventions.
State Street Bank and Trust Company v. Signature Financial Group, Inc., 149 F.3d 1368, also referred to as State Street or State Street Bank, was a 1998 decision of the United States Court of Appeals for the Federal Circuit concerning the patentability of business methods. State Street for a time established the principle that a claimed invention was eligible for protection by a patent in the United States if it involved some practical application and, in the words of the State Street opinion, "it produces a useful, concrete and tangible result."
Diamond v. Diehr, 450 U.S. 175 (1981), was a United States Supreme Court decision which held that controlling the execution of a physical process, by running a computer program did not preclude patentability of the invention as a whole. The high court reiterated its earlier holdings that mathematical formulas in the abstract could not be patented, but it held that the mere presence of a software element did not make an otherwise patent-eligible machine or process patent ineligible. Diehr was the third member of a trilogy of Supreme Court decisions on the patent-eligibility of computer software related inventions.
Patentable, statutory or patent-eligible subject matter is subject matter which is susceptible of patent protection. The laws or patent practices of many countries provide that certain subject-matter is excluded from patentability, even if the invention is novel and non-obvious. Together with criteria such as novelty, inventive step or nonobviousness, utility, and industrial applicability, which differ from country to country, the question of whether a particular subject matter is patentable is one of the substantive requirements for patentability.
Parker v. Flook, 437 U.S. 584 (1978), was a 1978 United States Supreme Court decision that ruled that an invention that departs from the prior art only in its use of a mathematical algorithm is patent eligible only if there is some other "inventive concept in its application." The algorithm itself must be considered as if it were part of the prior art, and the claim must be considered as a whole. The case was argued on April 25, 1978 and was decided June 22, 1978. This case is the second member of the Supreme Court's patent-eligibility trilogy.
Gottschalk v. Benson, 409 U.S. 63 (1972), was a United States Supreme Court case in which the Court ruled that a process claim directed to a numerical algorithm, as such, was not patentable because "the patent would wholly pre-empt the mathematical formula and in practical effect would be a patent on the algorithm itself." That would be tantamount to allowing a patent on an abstract idea, contrary to precedent dating back to the middle of the 19th century. The ruling stated "Direct attempts to patent programs have been rejected [and] indirect attempts to obtain patents and avoid the rejection ... have confused the issue further and should not be permitted." The case was argued on October 16, 1972, and was decided November 20, 1972.
Freeman-Walter-Abele is a now outdated judicial test in United States patent law. It came from three decisions of the United States Court of Customs and Patent Appeals—In re Freeman, 573 F.2d 1237, In re Walter, 618 F.2d 758 ; and In re Abele, 684 F.2d 902 —which attempted to comply with then-recent decisions of the Supreme Court concerning software-related patent claims.
In re Bilski, 545 F.3d 943, 88 U.S.P.Q.2d 1385, was an en banc decision of the United States Court of Appeals for the Federal Circuit (CAFC) on the patenting of method claims, particularly business methods. The Federal Circuit court affirmed the rejection of the patent claims involving a method of hedging risks in commodities trading. The court also reiterated the machine-or-transformation test as the applicable test for patent-eligible subject matter, and stated that the test in State Street Bank v. Signature Financial Group should no longer be relied upon.
The exhausted combination doctrine, also referred to as the doctrine of theLincoln Engineeringcase, is the doctrine of U.S. patent law that when an inventor invents a new, unobvious device and seeks to patent not merely the new device but also the combination of the new device with a known, conventional device with which the new device cooperates in the conventional and predictable way in which devices of those types have previously cooperated, the combination is unpatentable as an "exhausted combination" or "old combination". The doctrine is also termed the doctrine of the Lincoln Engineering case because the United States Supreme Court explained the doctrine in its decision in Lincoln Engineering Co. v. Stewart-Warner Corp.
In United States patent law, the machine-or-transformation test is a test of patent eligibility under which a claim to a process qualifies for consideration if it (1) is implemented by a particular machine in a non-conventional and non-trivial manner or (2) transforms an article from one state to another.
The Piano Roll Blues or Old Piano Roll Blues is a figure of speech designating a legal argument made in US patent law relating to computer software. The argument is that a newly programmed general-purpose digital computer is a "new" machine and, accordingly, properly the subject of a US patent.
This article incorporates public domain material from websites or documents of the United States Government.
AT&T Corp. v. Excel Communications, Inc., 172 F.3d 1352 was a case in which the United States Court of Appeals for the Federal Circuit reversed the decision of the United States District Court for the District of Delaware, which had granted summary judgment to Excel Communications, Inc. and decided that AT&T Corp. had failed to claim statutory subject matter with U.S. Patent No. 5,333,184 under 35 U.S.C. § 101. The United States Court of Appeals for the Federal Circuit remanded the case for further proceedings.
Alice Corp. v. CLS Bank International, 573 U.S. 208 (2014), was a 2014 United States Supreme Court decision about patent eligibility. The issue in the case was whether certain patent claims for a computer-implemented, electronic escrow service covered abstract ideas, which would make the claims ineligible for patent protection. The patents were held to be invalid because the claims were drawn to an abstract idea, and implementing those claims on a computer was not enough to transform that abstract idea into patentable subject matter.
DDR Holdings, LLC v. Hotels.com, L.P., 773 F.3d 1245, was the first United States Court of Appeals for the Federal Circuit decision to uphold the validity of computer-implemented patent claims after the Supreme Court's decision in Alice Corp. v. CLS Bank International. Both Alice and DDR Holdings are legal decisions relevant to the debate about whether software and business methods are patentable subject matter under Title 35 of the United States Code §101. The Federal Circuit applied the framework articulated in Alice to uphold the validity of the patents on webpage display technology at issue in DDR Holdings.
In re Lowry, 32 F.3d 1579 was a 1994 decision of the United States Court of Appeals for the Federal Circuit on the patent eligibility of data structures. The decision, which reversed a PTO rejection of data structure claims, was followed by a significant change in PTO policy as to granting software related patents, a cessation of PTO appeals to the Supreme Court from reversals of PTO rejections of software patent applications, an increasing lenity at the Federal Circuit toward such patents and patent applications, and a great increase in the number of software patents issued by the PTO.
In re Schrader, 22 F.3d 290 is a 1994 decision of the United States Court of Appeals for the Federal Circuit in which the court summarized and synthesized its precedents under the Freeman-Walter-Abele Test of patent eligibility. Under this test a key element is that the claimed invention is implemented with some type of hardware—that is, a particular machine. This was one of the last Federal Circuit decisions using that test.
Enfish, LLC v. Microsoft Corp., 822 F.3d 1327, is a 2016 decision of the United States Court of Appeals for the Federal Circuit in which the court, for the second time since the United States Supreme Court decision in Alice Corp. v. CLS Bank upheld the patent–eligibility of software patent claims. The Federal Circuit reversed the district court's summary judgment ruling that all claims were patent–ineligible abstract ideas under Alice. Instead, the claims were directed to a specific improvement to the way computers operate, embodied in the claimed "self-referential table" for a database, which the relevant prior art did not contain.