Amicus Brief — Dann v. Johnston
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Suprerte Court. vS&
FILED
sep 22 1SmS
i | MICHAEL ROOAK. IF cuerk |
Supreme Court of the United States
October Term, 1974.
No. 74-1033.
C. MARSHALL DANN, Commissioner of Patents & Trademarks,
Petitioner,
v.
THOMAS R. JOHNSTON,
Respondent.
On Writ of Certiorari to the United States Court of
Customs and Patent Appeals.
BRIEF AMICUS CURIAE FOR THE
AMERICAN PATENT LAW ASSOCIATION.
Arntuur R. Wua ce, President, Ricuarp E. Kurtz,
American Patent Law Association, 1831 The Fidelity Building,
2001 Jefferson Davis Highway, Philadelphia, Pennsylvania. 19109
Arlington, Virginia. 22202
JaMes W. FALk,
Howarp Popper,
600 Mountain Avenue,
Murray Hill, New Jersey. 07974
Barry E. SAMMONS,
780 North Water Street,
Milwaukee, Wisconsin. 53202
Jack C, GOLDSTEIN,
2100 Transco Tower,
Houston, Texas. 77027
Attorneys for Amicus Curiae,
The American Patent Law
‘ or
internetcna! Printing Co., 711 So. SOth St, Phils., Pa. 191943 — Tel. (215) 727-8711
TABLE OF CONTENTS.
Page
I. Tae NATURE AND THE INTEREST OF THE AMICUS ..... l
II. SUMMARY OF THE ARGUMENT ...............0. 000000. 3
Pe GED «cakcecenesbenesddedcdecronsousnesecéucen< | 5
A. The Inclusion of a Programmed General Purpose
Digital Computer as Part of the Enabling Disclosure
of a Patent Application Claiming an Innovation
Neither Confers Upon Nor Removes From That In-
novation the Quality of Being a Patentable Invention 5
B. Where the Inventor's Idea for an Invention Is Novel,
Unobvious, and in the Technological Arts, That Idea
Is Part of the Invention as a Whole and Must Be
Considered in Determining the Unobviousness of the
DEED - ccracecasdenasdeddtkeedesaseuesenecouves 7
C. When a Patent on a Specific Apparatus, Such as a
Computer, Has Expired, Only That Apparatus and
Not Patentable Improvements Thereon Will “Fall
Into the Public Domain” ............cccccccsceee ll
D. An Innovation in Digital Computer Programming
May Be Patentable if the Program Co-Acts With an
Ordinary Computer in an Unobvious Way, if the Pro-
gram Is Carried Out With Newly Invented Apparatus
or if the Program Produces a New Use for an Old
Machine Sufficiently Inventive to Be Patentable as a
POU ec cevesdscctsecencceccsokedéusnsdececess 13
E. The Government Has Misused Established Principles
of Patent Law in Failing to Focus on the Claims and
Has Failed to Define Properly the Terms Used .... 15
i a a ee heal be ee ae 20
TABLE OF CASES.
Page
Armour Pharmaceutical Co. v. Richardson-Merrill, Inc., 396
wm bE Ls S| Pree 10
Aro Mfg. Co., Inc. v. Convertible Top Replacement Co., Inc.,
Be Ok he ee CED Snccacdcccncssacanedcoeseseres 15
In re Aufhauser, 399 F. 2d 275 (C. C. P. A. 1968) ........ 9
Brulotte v. Thys Co., 379 U. S. 29 (1964) ................. 12
In re Conover, 304 F. 2d 680 (C. C. P. A. 1962) ......... 3)
Eibel Process Co. v. Minnesota & Ontario Paper Co., 261
es Gh GP ED SWiebeckcdccasdcnsecnstesécacesacecs 8, 10
Funk Bros. v. Kalo Inoculant Co., 333 U. S. 127 (1948) .... 9,10
Graham et al. v. John Deere Co. of Kansas City et al., 383
Be Bae CE Oib vc nccvenvendsnsncacdeasess 10, 13, 14
Graver Tank Mfg. Co., Inc. v. Linde Air Products Co., 336
ey Ob Ce MED <cacceudadecdsctectusévendesecesees 15
Gottschalk, Acting Commissioner of Patents v. Benson et al.,
GT, Be Ge GC Hobs ake cécnvcccecésanedest 6, 7, 9, 15, 20
Mackay Radio & Telegraph Co. v. Radio Corporation of
ee, Te ie es EP CD bbs 6 csceeveccccscccssec i)
O'Reilly v. Morse, 56 U. S. (15 How.) 62 (1853) ......... 6,7
In re Roberts and Burch, 470 F. 2d 1399 (C. C. P. A. 1973) 9
Trio Process Corporation v. L. Goldstein’s Sons, Inc., 461
De, BPG A HE pcawusccccccvecectersceccsacs 9
U. S. v. Adams, 383 U. S. 39 (1966) ................00ee 10
STATUTES CITED.
Page
SB UW. &. CG. Ge BI ccccccccccccccccccccccsccccccceses ll
SB UW. B. GC. OOD ccc cvecccccccccccccccvvcccccces 8, 10, 11, 13, 14
SS GD. B. GB. BERD ccccccccccvccsccccccccccccccsccsccccces 5
EE EERE SD ee Sone eer er ae rer 1
MISCELLANEOUS.
Page
“Computers: First the Maxi, Then the Mini, Now It’s the
Micro,” Science, Vol. 186, December 20, 1974 ........ 17
“DEH: The computer takes over turbine control,” Power,
ee ees I sak dawegese 5
“Digital Control and Automation Systems—A look at Com-
puter Control and Automation in Automotive Manufac-
turing,” Computer Design, October, 1973 ............ 5
“Digital Control and Automation Systems—System Measures
and Sorts Green Lumber at 38 Boards/Min. with 99.5%
Accuracy,” Computer Design, July, 1974 .............. 5
“Hard-wired numerical controllers yield to efficient minicom-
puters,” Electronics, April 12, 1973 .................. 16
“How real-time computers work in today’s automatic ware-
housing,” Material Handling Engineering, January, 1975 5
IEEE Transactions on Industrial Electronics and Control In-
strumentation, Vol. IECI-22, No. 3, August, 1975, pp.
DE Scdk sR ahMEanbednnddasehUeesCbSddeeeeneces 17
“Microcomputers—Evolutionary successor of the minicom-
puter, the microcomputer is a set of microelectronic
‘chips’ serving the various computer functions. It has
opened up new realms of computer applications,” Scien-
ee Ee occ cnn ueteedbdosenavenece 17
“Microprocessors & microcomputers: What will the future
bring?” EDN, November 20, 1974 ..............ceeeeeees 17
“Microprocessor Sparks a Quiet Revolution in Instrumenta-
tion,” Electronic News, Vol. 20, No. 1039, August 4, 1975 17
“Minicomputers that run the factory,” Business Week, De-
Ey. RS RE tea pe en ee 16
“News Scope—$15 microprocessor coming for simpler applica-
tons,” Electronic Design, August 16, 1975 ............ 17
“Now minicomputers run machine tools,” Business Week,
RD Ti GEE cen ecccvcccesescccvvedescescssouss 16
MISCELLANEOUS (Continued).
Page
“Programmable devices—Your best buy in control?” Modern
Materials Handling, February, 1975 ................++. 18
“Refinery operations controlled by double computer,” Petrol-
eum Review 27, 471-6 (1973) ........-ccceeeeeeeeees . 5
Robinson, The Law of Patents, §§ 173 and 175 ............ 17, 19
IN THE
Supreme Court of the United States
Ocroser TERM, 1974.
No. 74-1033.
C. MARSHALL DANN, COMMISSIONER OF
PATENTS & TRADEMARKS,
Petitioner,
v.
THOMAS R. JOHNSTON,
Respondent.
On Writ or CERTIORARI TO THE UNITED States Court
or Customs AND PATENT APPEALS.
BRIEF AMICUS CURIAE FOR THE
AMERICAN PATENT LAW ASSOCIATION.
THE NATURE AND THE INTEREST OF
THE AMICUS.
A. The American Patent Law Association.
This brief amicus curiae is submitted by the American
Patent Law Association (“APLA”)' under Rule 42(2) of
1. APLA’s rs Tomember -large elects the officers and other
who form APLA’s 19-mem r go verning body, the Board of Man-
agers. The filing of this brief on behalf of. APLA has been au-
thorized by the of Managers and approved by its Executive
2 Brief Amicus Curiae
this Court. Letters from the parties’ counsel, consenting
to the filing of this brief, are on file with the Clerk of this
Court.
APLA is a nationwide association of approximately
4,000 members including judges, law teachers, copyright
and trademark lawyers, and over half the patent lawyers
in the country from private, corporate, and government
practice.
Unlike some specialties of law practice where the
plaintiffs and defendants are often represented by pre-
dominantly separate legal fraternities, in patent law the
same individual attorneys may appear as often on the
plaintiff's side as on the defendant's side of patent, trade-
mark and copyright litigation, and on either the licensor
or licensee side of negotiations for licenses. By such ex-
perience and membership composition, this association is
well balanced in the realities of the patent law in action.
B. Interest of the Amicus.
APLA has no interest in and takes no position with
respect to the patentability of the particular invention of
respondent's pending patent application. More par-
ticularly, no position is taken with respect to the issue of
unobviousness of the claimed subject matter.
Amicus submits that this case should be decided in
accordance with established principles of patent law.
Amicus is concerned that the Government's brief tends to
confuse some of these established principles.
Brief Amicus Curiae 3
Il.
SUMMARY OF THE ARGUMENT.
A. The inclusion of a programmed digital computer
in the enabling disclosure of a patent application claiming
an innovation neither confers upon nor removes from that
innovation the quality of being a patentable invention.
Programmed digital computers are used to implement
many different innovations. Patentability of these in-
novations should be determined in accordance with well
established principles of patent law and not by sweeping
pronouncements of special law developed from considera-
tion of one or two particular cases.
B. Where the inventor's idea for an invention is
novel, unobvious and in the technological arts, the idea is
part of the invention as a whole and must be considered
in determining the unobviousness of the invention.
C. When a patent has expired on a specific apparatus,
such as a computer, only that apparatus and not patentable
improvements therevn will “fall into the public domain.”
D. Amicus agrees with the three-part view expressed
in the Government's Reply Brief for Certiorari that recog-
nizes “the possibility of patentability if a program co-acts
with an ordinary computer in a ‘synergistic’ way, if the
program is carried out with newly-inventive apparatus, or
if a program produces a new use for an old machine suff-
ciently inventive to be patentable as a process.” (G. Rep.
2). Amicus is concerned however, that the Government's
subsequently filed main brief has qualified that view so
as to render it meaningless.
2. G. Rep. refers to the Government's Reply Brief for Cer-
tiorari. G. Br. refers to the Government's main Brief.
4 Brief Amicus Curiae
E. The claims of a patent application are the true
measure of a patent grant. The Government ignores re-
spondent’s claims and instead focuses on the alleged un-
derlying programming idea. “Program” is not well defined
in this case and the patentability of “programs” per se is
not an issue. Computer technology has already advanced
so far that the Government's oversimplifying “program-
ming” analogies are meaningless.
Brief Amicus Curiae 5
Il.
ARGUMENT.
A. The Inclusion of a Programmed General Purpose
Digital Computer as Part of the Enabling Disclosure
of a Patent Application Claiming an Innovation
Neither Confers Upon Nor Removes From That In-
novation the Quality of Being a Patentable Invention.
The first paragraph of 35 U. S. C. § 112 requires that
the applicant disclose his innovation in terms which enable
a skilled person to practice the invention. That is, the
applicant must submit an “enabling disclosure.”
The inclusion of a properly programmed digital com-
puter as part of the enabling disclosure of a patent ap-
plication cannot be determinative of patentability because
computers are used to implement patentable innovations
in the useful arts, and they are used to implement un-
patentable innovations in the liberal arts. Digital com-
puters are used to perform mathematical calculations,
compose music, make fine arts drawings, operate factories
and warehouses, refine oil, generate electric’ power and
perform numerous other tasks.’ No general rule can justly
describe the patentability of all of the foregoing.
Nevertheless, Petitioner's first question on page 2 of
its brief is based on the premise that this Court in
3. “Digital Control and Automation Systems—A look at Com-
puter Control and Automation in Automative Manufacturing,”
Computer Design, October, 1973; “How real-time computers work
in today’s automatic warehousing,” Material ae aaeneer-
by com-
anuary, 1975; Ra ay controlled
puter,” Petroleum Review 27, 471-6 (1973); “DEH: The computer
takes over turbine control,” Power, August, 1973; “Digital Control
6 Brief Amicus Curiae
Gottschalk, Acting Commissioner of Patents v. Benson et
al., 409 U. S. 63 (1972), held that a new idea implemented
by programming an existing computer is unpatentable.
Petitioner seeks extension of a decision that the method
claims in that case were unpatentable to a holding that
the apparatus claimed in the present case is unpatentable.
However, the only similarity between the present case
and Benson is the presence of a general purpose digital
computer in the enabling disclosure of the involved patent
application.
To adopt the Government's interpretation of Benson
and the extension thereof to apparatus claims would pre-
clude patenting innovative machines in the arts which
have hitherto prospered under the patent system.
The Government's First Question Is Based On A Fallacy
Because Benson Did Not Rule Out Process Claims For All
Inventions Wherein Programming Is Part Of The Enabling
Disclosure.
The Benson patent application disclosed a mathe-
matical technique that could best be performed by using
an appropriately programmed digital computer. This
Court found the claims of the Benson application so
broadly written and so unlimited in scope as to pre-empt
the underlying mathemaiical discovery itself. The Benson
claims were the same type of “overweening claim” that
had been struck down in O'Reilly v. Morse, 56 U. S. (15
How.) 62 (1853). The Benson claims were “not limited
to any particular art or technology, to any particular ap-
paratus or machinery, or to any particular end use” and
pre-empted the “algorithm itself.” 409 U. S. 63, 72.
However, the presence of a “computer” or a “pro-
gram is not determinative of whether a claim should be
struck down for over-breadth as by pre-empting an algo-
Brief Amicus Curiae 7
rithm. The proper test, as indicated by this Court’s de-
cisions in Morse as well as in Benson, is whether a non-
statutory “idea” such as a mathematical algorithm is being
claimed so broadly that the claim is, in effect, attempting
to pre-empt the nonstatutory idea itself.
The claims to the algorithm of Benson would have
been no more or no less patentable if the process set forth
in those claims had been based on a disclosure of a known
wired machine or analog computer. Similarly, apparatus
claims supported only by a disclosure of known apparatus
acting in a known way to perform a mathematical algo-
rithm and of such breadth as to preempt the algorithm
itself are not statutory regardless of whether a “program”
or “general purpose computer” is or is not included in the
enabling disclosure.‘
APLA therefore suggests to this Court that the ques-
tion of the patentability of programs or of inventions based
upon an enabling disclosure including a programmed com-
puter is irrelevant to the resolution of this appeal.
B. Where the Inventor’s Idea for an Invention Is Novel,
Unobvious, and in the Technological Arts, That Idea
Is Part of the Invention as a Whole and Must Be Con-
sidered in Determining the Unobviousness of the
Invention.
Whatever the decision of this Court on the immediate
issue of patentability of the invention claimed here, it is
4. One cannot look at the hypothetical Benson claim prepared
by the Government and set out in Appendix D of its Petition, by
itself, to determine whether in scope it is overclaiming so as to
cover the algorithm itself. With a sufficient supporting disclosure
ore» | the specific apparatus elements involved, the claim pre-
sented the Government is a proper claim. How broadly the
claim will be interpreted in an infringement situation on someone
else's structure is 4 question of equivalency that may or may not
be established in the particular facts of the case.
8 Brief Amicus Curiae
imperative that the rationale on page 22 of the Govern-
ment'’s brief be discarded. The Government argues that:
“Even when an idea is unobvious its implementa-
tion must be unobvious, as well, to justify the grant
of a patent monopoly, whether the implementation
involves a process or a product.” (G. Br. 22)
The brief further states that the “means or mode of imple-
menting the idea must extend beyond the routine, con-
ventional or obvious applications of the idea that follow
once the idea is known.” The argument is completely
contrary to the established principle, codified in 35 U. S. C.
§ 103, that the invention as a whole must be considered in
determining patentability. |
Does the Government contend that the inventor’s idea
is prior art to the apparatus or process for carrying it out?
That this contention is antithetical to the law of patents
is to be noted from the thousands upon thousands of
patents granted on electrical, mechanical and chemical in-
ventions in which the way of implementing the idea is
perfectly clear from the idea itself.
This Court, in Eibel Process Co. v. Minnesota &
Ontario Paper Co., 261 U. S. 45 (1923), treats one facet
of the question. There the patentee discovered that
wrinkling and malformation of paper in a paper making
machine occurred because the stock did not flow fast
enough at a critical point in the process. Eibel simply in-
creased the pitch of the path of the stock to take advantage
of the force of gravity to increase the flow rate. This Court
held the patent valid, deciding that the patentee had made
a patentable contribution in discovering the problem even
though the solution was deemed to be routine. Certainly
in the Eibel case the “invention as a whole” was consid-
ered in determining patentability.
Brief Amicus Curiae 9
Since at least as early as the Eibel case, the “invention
as a whole” has been referred to in determining patent-
ability.*
The Government's brief obscures the isswe in its faulty
analysis at page 22 of its brief. There are at least three
distinct situations involving an idea and its implementa-
tion, and the Government has chosen to see only two of
them. Basic to an understanding of the misconception
that can result is the distinction between “obviousness”
and the constitutional consideration requiring that the in-
vention relate to the “useful arts.”
The first situation is where the idea does not directly
relate to the useful arts and the implementation is claimed
so broadly as to cover all uses of the idea or is claimed so
as to cover the obvious uses of the idea. Ideas not directly
related to the useful arts include recognition of a law of
nature or a mathematical algorithm. For this situation,
patent coverage is not permitted. Examples of this are
Benson, supra, and Funk Bros. v. Kalo Inoculant Co., 333
U. S. 127 (1948).
The second situation is where the idea is not directly
related to the useful arts but the implementation of that
idea is claimed to cover unobvious mechanisms or
processes in a useful field. Then patent coverage is pos-
sible, Mackay Radio & Telegraph Co. v. Radio Corpora-
tion of America, 306 U. S. 86, 94 (1939). In this situation
the “patent monopoly may be granted, not on the idea,
but on the inventive process or product.” (G. Br. 24).
The third situation, totally ignored in the Covern-
ment's brief, is where the idea relates to the useful arts
5. See also, Trio Process 7" v. L. Goldstein's Sons,
Inc., 461 F. 2d 66, n. 18a (3 Cir. 1972); In re Aufhauser, 399 F. 2d
275, 277 (CCPA 1968); In re Conover, 304 F. 2d 680, 683 (CCPA
= ; and In re Roberts and Burch, 470 F. 2d 1399, 1401 (CCPA
10 Brief Amicus Curiae
and is unobvious. It must then be considered as part of
the “subject matter as a whole,” 35 U. S. C. § 103. In this
situation it is erroneous to give weight to the obviousness
or unobviousness of the implementation. The Eibel case,
supra, is in point. There, having analyzed the problem in
terms of an unobvious idea or discovery, the implementa-
tion was obvious, but the patent was upheld in view of
the unobviousness conferred through the discovery.
The Government in its brief has created the possi-
bility for considerable mischief in the patent law by im-
properly expanding the limited holding of Funk Bros.,
supra, to produce a rule of law that encompass all inven-
tions, not only those directed to natural phenomena.°
The fallacy of the broad pronouncement that in all
instances the means of implementing an idea must be un-
obvious can be seen from this Court’s decision upholding
the patent in U. S. v. Adams, 383 U. S. 39 (1966). Here,
again, the implementation required only ordinary skill, but
it was the idea that imparted patentability to the claims in
the Adams patent. As this Court stated in Graham et all.
v. John Deere Co. of Kansas City et al., 383 U. S. 1, 32
(1965), it is the invention as a whole that must be viewed
in determining patentability and the whole encompasses
both conception and implementation.
It may not be clear whether the Government intended
this sharp redirection in the law of patents, but it is certain
that destructive violence would be worked on the statute
and on the patent system itself should the Government's
“rationale” be adopted by this Court.
6. The Court of Appeals in Armour Pharmaceutical Co. v.
Richardson-Merrill, Inc., 396 F. 2d 70, 74, read the opinion in
Funk to lead to “the test of patentability of a natural phenomenon”
and not to a test of patentability for all inventions, as stated by
the Government in its brief.
Brief Amicus Curiae ll
C. When a Patent on a Specific Apparatus, Such as a
Computer, Has Expired, Only That Apparatus and
Not Patentable Improvements Thereon Will “Fall
Into the Public Domain”.
The Government has noted two truisms in patent law
but it has to come to a conclusion not supported by either
truism, by any logic or citation of authority. First, the
Government has noted (G. Br. 35) that when a patent ex-
pires its subject matter falls into the public domain. Sec-
ond, the Government has noted (G. Br. n. 27) that an
inventor of a machine is entitled to the benefit of all uses
of that machine. However, it is a complete non-sequitur
to go from these two basic statements to the Government's
contention that all inventive improvements utilizing a
previously patented computer must fall into the public
domain with the demise of the first patent on that
computer.
The obtaining of a patent on a machine does not
prevent others from obtaining patents on unobvious im-
provements on the machine, on an unobvious combination
incorporating the machine as one element of the novel
combination, or on new and unobvious uses of the ma-
chine. Such later patents are permitted under 35 U. S. C.
§§ 100-103 whether that machine is the subject of an ex-
pired or unexpired patent or had never been patented.
When a patent expires the invention which is claimed
in that patent falls into the public domain. By refusing
throughout its argument in this case to consider patent
claims, the Government has failed to distinguish between
the claimed invention of a patent and the commercial
equipment which incorporates that invention and brings
the invention to the market place. That which is claimed
in the patent falls into the public domain on the expiration
of the patent. Whether or not the commercial equipment
12 Brief Amicus Curiae
also falls into the public domain is dependent upon
whether other valid and unexpired patents are applicable
to that specific equipment.’
A patent on an improvement invention does not with-
draw from the public its right of free access to materials
already available (G. Br. 36). The public's access to the
unimproved apparatus, here the computer, is in no way
impaired by patents that may issue on novel improvements
to that computer. Only the public’s access to the improve-
ment invention is temporarily subject to the patent, but
that improvement invention is perforce not already avail-
able within the public domain.
An improvement which is truly unobvious may merit
the praise accorded by this Court to Eibel’s paper-making
invention:
“His was not a pioneer patent, creating a new art;
but a patent which is only an improvement on an old
machine may be very meritorious and entitled to
liberal treatment. Indeed, when one notes the crude
working of machines of famous pioneer inventions and
discoveries, and compares them with the modern ma-
chines and processes exemplifying the principle of
pioneer discovery, one hesitates in the division of
credit between the original inventor and the im-
provers; and certainly finds no reason to withhold
from the really meritorious improver, the application
7. There are proper aspects of the problem of the “second
and further seni monopoly” (G. Br. 35) where a second patent
is obtained on a product already the subject of a prior = In
Brulotte v. Thys Co., 379 U. S. 29 (1964), this Court before
it a situation where seven patents were incorporated into the li-
censed machines. The Court held that it was improper to collect
royalties “which accrued after the last of the patents incorporated
into the machine has expired,” 379 U. S. 30 (emphasis added).
According to the argument presented by the Government in this
case, the collection of royalties after the Pst of the patents incorpo-
rated into the machine had expired should have been illegal.
Brief Amicus Curiae 13
of the rule ‘ut res magis valeat quam pereat’ which
has been sustained in so many cases in this Court.”
(261 U. S. at 63)
The Government's brief suggests that a patent on a
novel and unobvious improvement of apparatus previously
patented by someone else should be invalid, per se, as an
extension of the first patent. The proper question has
always been whether the improvement is obvious or un-
obvious under 35 U. S. C. § 103 in view of the prior patent
and all other pertinent prior art. It is interesting to note
that under the Government’s view one would never reach
the § 103 issue if there is a prior patent, expired or un-
expired, which discloses the apparatus on which the
present invention is an improvement.
When the patents covering the computer used to
implement respondent’s invention herein expire, the
claimed subject matter of those patents will fall into the
public domain. But there is neither reason nor authority
to support the Government's ill-founded contention that
all patentable improvements of such computers, whether
machine or process inventions, and whether or not in-
volving programming as part of their enabling disclosure,
must also fall into the public domain.
D. An Innovation in Digital Computer Programming May
Be Patentable if the Program Co-Acts With an Ordi-
nary Computer in an Unobvious Way, if the Program
Is Carried Out With Newly Invented Apparatus or
if the Program Produces a New Use for an Old Ma-
chine Sufficiently Inventive to Be Patentable as a
Process.
APLA submits that the foregoing statement requires
nothing more and nothing less than an analysis of the
type set forth in Graham v. Deere, supra. Though it is a
14 Brief Amicus Curiae
difficult analysis, it has, nevertheless, been carried out with
only minor variations since the time of Thomas Jefferson,
as set forth in Graham v. Deere.
The Court has been asked to make such an analysis
under 35 U. S. C. § 103 in the present case. Amicus ex-
presses no opinion on the issue of obviousness except to
point out that all inventions, including those in which a
programmed computer is included in the enabling dis-
closure of the invention, must be measured by the same
statutory standards including 35 U. S. C. § 103.
Amicus disagrees with the Government’s view (G. Br.
14) that the questions of statutory subject matter and
obviousness are “interrelated.” These are separate ques-
tions and should be decided in the sequence which would
best serve public policy and judicial economy. Whether
an invention is obvious or not can have no bearing on
whether the subject matter of that invention is or is not
statutory. If this were not true, an invention might be
“statutory” at its creation, but rendered “non-statutory”
rather than merely “unpatentable” after it had passed into
the public domain. But “statutoryness” has never before
been thought to be a simple function of the passage of
time. Accordingly, “obviousness” and “statutory subject
matter” are quite separate, independent and not inter-
related questions.
Although Petitioner argues that the innovation in the
instant application is obvious under 35 U. S. C. § 103,
Petitioner recognizes the possibility of patentability in
other cases if the program co-acts with the computer in
an unobvious way (G. Br. 29). The head-note of this
section is a statement from the Government's Reply Brief
for Certiorari, p. 2. Although that reply brief recognizes
8. In paraphrasing the Government's position, APLA has used
the term “unobvious” instead of “synergism” since the former term
appears in 35 U. S. C. § 103.
Brief Amicus Curiae 15
the possibility of patentability if a computer program pro-
duces a new use for an old machine, in its main brief the
Government asserts that a new use of a computer is not
patentable. The Government argues that this Court in
Benson held process patents unavailable for inventions
involving programs for general purpose digital computers
and extends this “holding” to new uses for such computers
which must be claimed as a process (G. Br. 27). The
fallacy in Petitioner's changed position is that this Court
did not hold process patents unavailable for all program-
ming related inventions as previously discussed. The
question of new uses was not an issue in Benson nor is it
an issue in the present case.
E. The Government Has Misused Established Principles
of Patent Law in Failing to Focus on the Claims and
Has Failed to Define Properly the Terms Used.
The claims of a patent are the measure of the patent
grant, Graver Tank & Mfg. Co., Inc. v. Linde Air Products
Co., 336 U. S. 271, 277 (1949), Aro Mfg. Co., Inc. v.
Convertible Top Replacement Co., Inc., 365 U. S. 336, 339
(1961). The Government appears to dismiss that which
is claimed as nothing more than a mere matter of form.
It characterizes claim language as “inventive semantics”
(G. Br. 29). The Government focuses on the “monopoly
on [the] idea that respondent seeks” (G. Br. 11); respond-
ent's “programming idea” (G. Br. 13); respondent's “al-
leged inventiveness or novel discovery” (G. Br. 17); and
respondent's “alleged invention” (G. Br. 18) without
coming to grips with what respondent has claimed. What
has been claimed by respondent must be examined as it
was examined in Benson. The Benson decision was not
one based on the mere “format” of the claim but, on the
contrary, it was based on the entire context of the claims.
16 Brief Amicus Curiae
In trying to make the complex sound simple, the Gov-
ernment has drawn several misleading analogies. For
example, it has argued that “[s]imply put, the difference
between a general purpose digital computer . . . and a
fixed wire computer is like the difference between a player
piano and a music box, respectively.” (G. Br. 16). The
analogy is wrong for a number of reasons.
The technology has advanced to the point where most
of the Government's distinctions between the fixed wire
computer and the general purpose digital computer are
obsolete. Examples of this include “minicomputers” and
“microcomputers,” machines which have the attributes of
both general purpose and fixed wire computers.
“Minicomputers” are much smaller than the IBM 1400
disclosed in respondent's patent application.’ Because of
its relatively low cost, the minicomputer has found wide
application as a substitute for mechanical, electromechani-
cal, analog electrical and digital electrical systems com-
monly used in industry. Once the minicomputer is pro-
grammed to serve a particular function in an industrial
system, the program usually remains unchanged. The
minicomputer effectively becomes a special purpose com-
puter, and performs like the fixed wire computer referred
to in the Government's brief. The choice of whether an
innovation should be embodied in a programmed mini-
computer or in a fixed wire computer often turns on
economic considerations.’°
More recently, another form of general purpose digital
computer has become commercially available which is
smaller and lower in cost than the minicomputer. Aptly
ters that run the factory,” Business Week, De-
a 1973. ow minicomputers run machine tools,” Business
Week, August 12, 1972.
10. “Hard-wired numerical controllers yield to efficient mini-
computers,” Electronics, April 12, 1973.
Brief Amicus Curiae 17
termed “microcomputers,” these machines are formed by
combining a semiconductor read-only memory with an in-
tegrated circuit microprocessor.’ The read-only memory
has components which may be embraced within the
volume of a postage stamp and which may contain tens
of thousands of items of information. It performs all of
the functions of the changeable “core” program storage
unit of conventional digital computers. Changing the
“program” in a machine using a read-only memory re-
quires insertion of a physically different memory element.
This is a rearrangement of parts into a new combination.
Combinations of physically different parts causing a
machine to exhibit a new, useful and non-obvious “rule of
action” have always been recognized as giving rise to
patentable invention.”
The music hox, player piano analogy is not applicable
to programmable digital computers for another reason.
Every machine is characterized by its rule of action which
resides within the machine itself. Robinson, The Law of
Patents, §§ 173 and 175 (1890). Machines that are dif-
ferent can be characterized by the different rules of action
—— omereecs fate ens
Scientific American, May, 1975; “Com-
~* ee Peal lho been Then bia Tee ho tae Science,
ol. 186, December 20, 1974; IEEE Transactions on Industrial
Electronics and Control Instrumentation, a, IECI-22, No. >
Saaee, simpteen 290-360; “News Scope—$
icoorocaso Spt = Ou Electronic Design, August 18 1975.
= lnctremestation,
mie News, Vol 20No. 1008, August 4, 1975. “Mi
cieteemguten: ehen fll Geo Gcleco tana” EDN .-—
ber 20, 1974
12. The Government (C. Br. 15) acknowledges that
—— in a computer ocr “the anioaatiinel te cose
Such new and unobvious configurations
yy ve ys been within the of the t
scope paten
18 Brief Amicus Curiae
resident in each. The rule of action of a music box is to
have its steel comb plucked by the spikes set into its
rotating drum; the rule of action of a player piano is to
have its keys actuated according to the pattern of holes
punched in its paper roll. Each type of machine plays the
“music” by slavishly striking the note identified by the
spike on the drum or the hole on the paper. Though each
machine can be characterized by more detailed rules of
action spelling out its particular distinctive instrumentali-
ties, both machines can be characterized on a broader
level, by the common rule of action: “strike the identified
note.” Thus, when a “new” drum or paper roll is inserted
that differs from the “old” drum or paper roll solely be-
cause of the musical significance contained, the “rule of
action” of neither machine is changed. Though there
might be an advance in the art of music from a paper tape
of “Chopsticks” to a paper tape of a Sousa march, the
change is not in the rule of action of the machine but only
in the fine art of music.
This is not the case with computers. The advent of
the programmable digital computer made available for the
first time a machine having a truly changeable “rule of
action.” '* In the music box or player piano, only notes
could be struck. The digital computer is so flexible that it
can run entire chemical processing plants or make con-
nections for transcontinental telephone conversations. For
each of these different situations maclunes with different
“rules of action” are required. In each case the “rules”
are encoded in the computer memory merely by patterns
of “bits.” The Government wrongly asserts that these
vastly different technologies differ from each other only
by “the meaning one chooses to assign outside the com-
13. “Programmable devices—Your best buy in control?”, Mod-
ern Materials Handling, February, 1975. .
Brief Amicus Curiae 19
puter to a particular configuration of binary digits or ‘bits’
in its memory.” (G. Br. 7, quoting the Board )."*
From the above it can be seen that in this case both
the term “computer” and the term “program” have not
been well defined even though they are central to the
Government's argument. The Government (G. Br. 15)
notes that there are systems programs and application
programs and then indicates that it is the application pro-
gram that “is generally denoted by references to computer
programs in common parlance.” Their brief then assumes
that one is only talking “in common parlance.”
Amicus CBEMA in its brief (n. 3), also discusses sys-
tems programs and applications programs but considers
that a system program is “an integral part of the com-
puter.” APLA concurs and considers that a computer is a
unique combination of electrical components intercon-
nected by that “integral part,” the requisite programs that
determine the basic operations, the “rule of action” of the
The rule of action may be permanently incorporated
or wired into a machine; it may be permanently but alter-
ably incorporated, as by the use of the semiconductor read-
of that memory. A “fixed wire computer” and a “general
purpose computer” (G. Br. 16) are again undefined terms.
20 Brief Amicus Curiae
Both terms can apply to a digital computer (contrary to
the implications of footnote 14, G. Br. 15). And both
terms can apply to a computer with a read-only memory.
By speaking “in common parlance” the Government con-
fuses, not clarifies, the issue.
IV.
CONCLUSION.
The Government's first question (G. Br. 2) assumes
that Benson held process patents unavailable for all pro-
grammed operations of a computer. This assumption is
erroneous and cannot be the basis for the sweeping pro-
nouncement of unpatentability of prcgrammed apparatus
which the Government propounds.
By this question and other statements in its brief the
Government confuses, not clarifies, the issues. The legal
principles to be applied are not dependent on the presence
or absence of programming in the enabling disclosure.
The question of the patentability of programmed
machines and programmable processes should be dealt
with in the same way as with identical questions that
would arise with any other types of machines or processes.
The inventor of a new, useful and unobvious process
or apparatus should pot be deprived of the incentives ot
the patent statutes merely because his invention uses pro-
gram control in its implementation.
Respectfully submitted,
Ricuarp E. Kurtz,
James W. Fa x,
Howarp Popper,
Barry E. SAMMONS,
Jacx C. GoLpsTEin,
Attorneys for Amicus Curiae,
Artuur R. WHALE, The American Patent Law
President, Association.
American Patent
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