Appendix — Etter v. Commissioner of Patents & Trademarks

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JUN 26 iga5

| ALEXANDER L. STEVAS,

CLERK

No.

In the

SUPREME COURT OF THE UNITED STATES

October Term 1984

BERWYN E. ETTER,

Petitioner,

VS.

COMMISSIONER OF PATENTS AND TRADEMARKS,

Respondent,

ANTHONY E. B. GOODFELLOW,

Intervenor.

On Petition to the United States Supreme Court for

Writ of Certiorari to the Court of Appeals of the

Federal Circuit.

APPENDIX

Donald H. Zarley

ZARLEY, MCKEE, THOMTE,

VOORHEES & SEASE

2400 Ruan Center

Des Moines, Iowa 50309

515-288-3667

ATTORNEYS FOR PETITIONER

EDITOR'S NOTE

THE FOLLOWING PAGES WERE POOR

HARD COPY AT THE TIME OF FILMING.

IF AND WHEN A BETTER COPY CAN BE

OBTAINED, A NEW FICHE WILL BE

ISSUED.

APPENDIX

TABLE OF CONTENTS

Federal Circuit Decision

Federal Circuit Decision on Rehearing

Etter Patent

Ambrosio Patent

Jones et al. Patent

Azure et al. Patent

Reexamination Statutes 35 U.S.C. §§301-307

Ambrosio Affidavit

Gray Affidavit

PAGE NO.

31

32-37

38-56

57-95

96-140

141-143

144

145-149

United States Court of Appeals for the Hederal Circuit

IN RE BERWYN E. ETTER, ) No. 84-1213

Appellant. one Reexamination No. 90/000154

DECIDED: February 27, 1985

Before MARKEY, Chief Judge, FRIEDMAN, RICH, DAVIS, BALDWIN,

KASHIWA, BENNETT, MILLER, SMITH, NIES, NEWMAN, and BISSELL, /'

Circuit Judges.

MARKEY, Chief Judge.

Appeal from a decision of the Board of Appeals (board) of

pat a

the United States Patent and Trademark Office (PTO) affirming

the examiner's final rejection in a reexamination proceeding of

Claims 1 through 9, all of the claims of United States Patent

No. 4,133,034 (the ‘034 patent), issued January 2, 1979 to

eet ete

Berwyn E. Etter, as nonpatentable under 35 U.S.C. § 103 in view

of prior art. We affirm.

: Back ground

The ‘034 patent concerns a method and device for assi-

milating utility meter data at meter locations. Anthony

Goodfellow, who had applied for and been refused a _ license

under the ‘034 patent, filed a patent application on a utility

meter reading device, copying the claims of the ‘034 patent to

provoke an interference._/ The examiner refused to institute

1/ The '034 patent is involved in a civil action filed

against a third party (M.D. Fla., Civil Action No. 81-1009.

Cir. T-H). That action has been stayed, and an interference

involving Etter and that party has been dissolved, in light of

the examiner's determination that the claims are unpatentable.

Thus the outcome here could affect a civil action and two 001

interferences.

Ac rsaoenattt

an interference because he found Goodfellow's claims

unpatentable in view of U.S. Patent No. 3,932,730 (Ambrosio),

U.S. Patent No. 4,016,542 (Azure), and U.S. Patent No.

4,115,870 (Lowell). On February 4, 1982, Goodfellow requested

reexamination of the '034 patent, citing that prior art. That

request. was granted, and, on August 13, 1982 the examiner,

having completed an ex parte examination, declared all claims

of the '034 patent nonpatentable. Etter asserts that all of

the claims stand or fall together.

Claim 1 is representative: : a

A method of assimilating utility meter data at

the meter locations, comprising,

accumulating on an input information electronic

storage means customer profile information for a

plurality of meter customers, said _ profile

information including the customer identity and

account information,

placing said input information electronic storage

means in a portable computer capable of being

manually carried to the site of a given meter,

said portable computer having an output

information storage means and having the

capability of updating, printing and presenting

various of said customer profile- information for

said meter customers before and after receiving

current customer profile information,

actuating said computer to segregate and to visually a alee

present from the customer profile information for

a plurality of meter customers stored on said

input information electronic storage means at

least the meter number and customer identity

information of a given meter customer,

imposing into said computer the current meter reading

of said given meter customer at the site of the

meter being read,

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oT said computer to calculate the charge for

utility usage based upon the previous’ meter

reading and said current meter reading,

actuating said computer to print a bill for said meter

customer at the site of said meter based upon

said calculation and imposing on said output

information storage means the updated customer

profile information,

and depositing said bill at the service address of said

given meter customer.

The Examiner's Rejection on Reexamination

Fhe examiner held that the subject matter of the "034

claims would have been obvious in view of Ambrosio, which

discloses the use of cards as input information storage means,

and Yowell, which teaches use of random access memory (RAM) as

an input information electronic storage means for storing

customer information (identity, account information, etc.) for

a plurality of customers, or alternatively, in view of Ambrosio

and Azure, which teaches use of a solid state memory as on

Snciaed bitpomiatinn electronic storage means for storing customer

information for a plurality of customers. |

Finding that the environment of use for the devices of

Ambrosio, Azure, Lowell, and the ‘034 patent (viz. on-site

utility meter reading) was the same, and that Azure and Lowell

discuss their inventions as being improvements over systems of

the Ambrosio type, the examiner concluded that it would have

been obvious to employ the memory system of either Azure or

Lowell (i.e., solid state devices such as RAMs or ROMs) in

place of the input information storage device taught by

Ambrosio (i.e., billing cards). In effect, ‘t»2 rejection

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rested on the view that the teachings of Ambrosio and Azure or

of Ambrosio and Lowell would have made the claimed inventions

of the '034 patent obvious.

The examiner accepted Etter's contention that the ‘034

patent enjoyed a statutory presumption of validity, 35 U.S.C.

§ 282, during reexamination, but viewed the presumption as

having been overcome. Further, he said the presumption had

been weakened by prior art (Azure and Lowell) not earlier cited

to nor considered by the PTO. |

Azure and Lowell were considered by the examiner as not

"merely cumulative” of the prior art cited during the original

prosecution, but were clearly more pertinent because they

taught use of input information electronic storage means to

store customer meter information for a plurality of utility

- customers.

The Board's Opinion

On appeal to the board, as before this court, Etter urged

three grounds for reversal: .(1) that the presumption of

validity attaches in reexamination proceedings, and the

examiner faiied to carry the heavier burden thus imposed; (2)

that Azure was obsolete technology. an@ thus constituted less

pertinent art than that cited to the examiner during

prosecution;2/ and (3) that affidavits of Ambrosio and

2/ etter filed a Rule 131 affidavit of prior inventorship

in respect of Lowell. The examiner withdrew Lowell, but held

that Ambrosio in view of Azure remained sufficient to support

rejection of all claims. Etter asserts that the issue on

appeal is whether the claimed inventions would have been

obvious under 35 U.S.C. 103 on Ambrosio in view of Azure.

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Gray showed that the invention of the ‘034 patent would not

have been obvious.

Respecting the presumption of validity, the board noted

mumerous reasons for holding that it did not attach to claims

undergoing reexamination. Saying that the burden of showing

nonpatentability is tne same on the examiner in any examin-

ation, and the board did not see how that burden would be

increased in a reexamination proceeding. It further held that

the evidence was such as to require affirmance of the rejection

because it would sustain the examiner's burden, regardless of

whether the presumption was or was not applied.

Concerning Azure, the board agreed with the examiner that

it was more pertinent than the art considered during the

initial prosecution, and concluded that "the collective

teachings of Ambrosio and Azure would have provided a much

stronger suggestion for combining the teachings to provide the

subject matter" of the invention than would the teachings of

_ the earlier cited art. =

The board considered the Ambrosio and Gray affidavits

unpersuasive because they showed "a total lack of appreciation

of the legal concept of obviousness. "2/

3/ As intervenor, Goodfellow filed a brief on this appeal,

arguing strenuously for non-application of a presumption of

validity to claims undergoing examination and reexamination. His

brief also supported the board's view of the prior art and the

affidavits.

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Issues ;

(1) Must the presumption of validity, 35 U.S.C. § 282, be

applied to claims involved in reexamination proceedings?

( 2) Did the boerd err in affirming the examiner's

rejection?

OPINION

(A) Presumption of Validity

Etter's basic contention -- that § 282 must be applied in

reexamination proceedings -- misconstrues the purposes. for

which that statute and the reexamination statutes’ were

snaeeelk Review of the statutes, legislative history,

regulations, and case law compels the view that § 282 is not

applicable to claims about which "a substantial new question of

patentability,” 35 U.S.C. § 305, is under. consideration in a

reexamination proceeding. Though the board decision here would

be correct in any event, we discuss the issue because of its

foundational relationship to Etter's appeal and the need for

Clarification of guidance offered the board and bar.

Though the board and intervenor stated strong bases for

denying applicability of the presumption in reexamination

proceedings, the board did recognize that it must in any event

show a basis for its rejection of claims in any type of

examination. Apparently for that reason, the solicitor

indicated a willingness to accept applicability of § 282 in

reexamination proceedings. It is true that the question has

"tempest in a teapot" overtones, for the PTO will reject or

cancel claims it considers unpatentable, as is its duty,

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whether § 282 is or is not considered applicable. The need for

clarity in the law and for avoidance of unnecessary disputes,

however, has prompted this court to consider the question in

banc.

Section 282 provides that "[t])the burden of establishing

invalidity of a patent or any claim thereof shall rest on the

party asserting such invalidity." (Emphasis added.). As this

court noted in Stratoflex, Inc. v. Aeroquip Corp., 713 F.2d

1530, 218 USPQ 718 (Fed. Cir. 1983):

The presumption, like all legal presumptions, is

a procedural device, not substantive law. It does

require the decisionmaker to employ a decisional app-

roach that starts with the acceptance of the patent

claims as valid and that looks to the challenger for

proof of the contrary. Thus the party asserting

invalidity not only has the procedural burden of pro-

ceeding first and establishing a prima-facie case, but

the burden of persuasion on the merits remains with

that party until final decision ... . With all

evidence in, the trial court must determine whether

the party on which the statute imposes the burden of

persuasion has carried that burden. [Emphasis added.]

713 F.2d at 1534, 218 USPQ at 875.

The foregoing description in Stratoflex coincides with the

inclusion of § 282 in Chapter 29 of title 35, entitled

"Remedies for Infringement of Patent, and Other Actions". Both

recognize that the presumption is operative to govern procedure

in litigation involving validity of an issued patent. A

Statute setting rules of procedure and assigning burdens to

litigants in a court trial does not automatically become

applicable to proceedings before the PTO. Nor can it acquire

an independent evidentiary role in any proceeding. —

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As said in the legislative history of Chapter 30 of title

35 ("Prior Art Citations to Office and Reexamination of

Patents"), reexamination "will permit any party to petition the

patent office to review the efficacy of a patent, following its

issuance, on the basis of new information about pre-existing

technology which may have escaped review at the time of the

initial examination of the application." House Report No.

66-1307, 96th Cong., 2d Sess. (1980), 3-4, reprinted in 1980

U.S. Code Cong. & Ad. News 6460, 6462 (emphasis added).

Reexamination is thus neutral, the patentee and the public

having en equal interest in the issuance and maintenance of

valid patents.

The statute, 35 U.S.C § 305, provides that “reexamination

will be conducted according to the procedures established for

initial examination under the provisions of sections 132 and

133 of this title." The actual reexamination is conducted ex

peiee. 37 CFR 1.550(a) (1983). Patent claims are reexamined

only in light of patents or printed publications under 35

U.S.C. §§ 102, 103, and only new or amended claims are also

examined under 35 U.S.C. §§ 112 and 132. 37 CFR 1.552; MPEP §

2258.4/ The focus of the limited proceedings under Chapter 30

4/ If a patent owner requests reexamination, but desires

consideration of wider issues, e.g., prior public use or sale,

he must obtain such consideration by filing a_ reissue

application. 37 CFR 1.552; MPEP §§ 2212, 2258. The present

case involves a non-patentee requestor; it should be

remembered, however, that reexamination may be a boon to

patentees whose patents may be thereby strengthened, and that

the actual reexamination procedure itself should be the same

whoever be the requestor.

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thus returns essentially to that present in an initial

examination, i.e., to a time at which no presumption of

validity had been created.

The innate function of the reexamination process is to

increase the reliability of the PTO's action in tenaken a

patent by reexamination of patents thought "doubtful." House

Report at 3. When the patent is concurrently involved in

litigation, an auxiliary function is to free the court from any

need to consider prior art without the benefit of the PTO0's

initial consideration. In a very real sense, the intent

underlying reexamination is to “start over" in the PTO with

respect to the limited examination areas involved, and to

reexamine the claims, and to examine new or amended claims, as

they would have been considered if they had been originally

examined in light of all of the prior art of record in the

reexamination proceeding. That intent is reflected in 35

U.S.C. § 303, which requires the Commissioner to determine

whether "a substantial new question of patentability" has been

raised, and in 35 U.S.C. § 304, which provides for initiation

of reexamination by the Commissioner sua sponte.

The intent that reexamination proceedings and court actions

involving challenges to validity be distinct and independent is

reflected in the legislative history of § 303, which notes that

denial of a request for reexamination does not deprive the

requestor (if not the patent owner) “of any legal right" to

contest validity in subsequent court proceedings. House Report

at 6466. That “legal right" may be exercised as a matter of

right, but determination of whether a “substantial new question

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of ‘patentability” exists, and .therefore whether reexamination

may be had, is discretionary with ,the Commissioner, and, as

§ 303 provides, that determination is final, i.e., not subject

to appeal.2/

That a patentee may request reexamination, and has the

opportunity in the PTO of distinguishing art newly cited by the

examiner, 37 CFR 1.530(c), and may amend his claims under

reexamination, 35 U.S.C. § 305, further distinguish reexamin-

ation from litigation. It is of no moment that the examiner's

burden of showing a basis for rejection in the examination and

reexamination processes is not described in the “clear and con-

vincing" terms applicable under § 282 to a litigant challenging

validity oof an issued patent. . During the examination

processes, allowances of claims raise no presumption and may be

withdrawn. That one challenging validity in court bears the

burden assigned by § 282, that the same party may request

reexamination upon submission of art: not previously cited, and

that, if that art raises a substantial new question of patent-

ability, the PTO may during reexamination consider the same and

new and amended claims in light ‘of that art free of any

presumption, are concepts not in conflict. On the contrary,

5/ The inquiry occasioned by a request for reexamination

is solely whether a reexamination order should issue and is not

directed toward resolution of validity. The requestor's burden

is simply to show a basis for issuance of the order, a burden

unrelated to that assigned in § 282. A refusal of reexamina-

tion leaves untouched the § 282 presumption to which the patent

is entitled in the courtroom. Similarly, a reexamination may

involve only certain claims, e€.g., those in litigation, and the

newly cited prior art may bear no relation to other claims, to

which the presumption of validity would remain attached in

future litigation involving those claims.

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those concepts are but further indication that litigation and

reexamination are distinct proceedings, with distinct parties,

purposes, procedures, and outcomes. In the former, a litigant

who is attacking the validity of a patent bears the burden set

forth in § 282. In the latter, an examiner is not attacking

the validity of a patent, but is conducting a _ subjective

examination of claims in the light of prior art.

In In re Yujiro Yamamoto, 74U F.2d 1569, 222 USPQ 934 (Fed.

Cir. 1984), this court said that claims subject to

reexamination wiil "be given their broadest reasonable

interpretation consistent with the specification, and

limitations appearing in the specification are not to be read

into the claims." 740 F.2d at 1571, 222 USPQ at 936. MThat

Standard is applied in considering rejections entered in the

course of prosecution of original applications for patent. See

In _re Prater, 415 F.2d 1393, 1404-05, 162 USPQ 541, 550-51

(CCPA 1969). As noted in Yamamoto:

{a]n applicant's ability to amend his claims to

avoid cited prior art distinguishes proceedings before

the PTO from proceedings in federal district courts on

issued patents. When an application is pending in the

PTO, the applicant has the ability to correct errors

in claim language and adjust the ecope of claim pro-

tection as needed. This opportunit, is not available

in an inf: .pcement action in district court. ...

The same policies warranting the PTO's approach

te claim interpretation when an original application

is involved have be: held applicable to reissue

proceedings becai'se the reissue provision, 35 U.S.C.

§ 251, permits amendment of the claims to avoid prior

art. [Citation omitted.] The reexamination law...

gives patent owners the same right...

740 F.2d at 1572, 222 USPQ at 936.

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Claims in a reissue application enjoy no presumption of

validity. In re Sneed, 710 F.2d 1544, 1550 n.4, 218 USPQ 385,

389 n.4 (Fed. Cir. 1983). Though reissue and reexamination

proceedings are distinct, the focus of both is on curing

defects which occurred during a proceeding in the PTO, which

was responsible for original issuance of the patent.

Etter cites language in In re Andersen, 743 F.2d 1578, 223

USPQ 378 (Fed. Cir. 1984), as appearing to require application

of § 282 in reexamination proceedings. At oral argument, the

PTO solicitor indicated that Andersen has been understood by

and accepted in the PTO as establishing that requirement.

The court in Andersen dealt with Andersen's argument that

any doubt must be resolved in his favor under (1) a judicially

imposed “rule of doubt,” or (2) as “part of the presumption of

validity.” The court rejected (1), citing In re Nabor, 503

F.2d 1059, 183 USPQ 245 (CCPA 1974), and rejected (2), noting

that the presumption does not embrace a rule of doubt. The

court agreed with Andersen's statement that reexamination

should not circumvent the burden "placed on an infringer during

litigation." As above indicated, that is a truism, the litiga-

tion and reexamination processes being cistinct. The court's

discussion of the workings of the presumption in the face of

new art, and the cases cited, all related to operation of the

presumption in litigation.

Nonetheless, recognizing that Andersen may be and has been

read as holding that claims must be presumed valid under § 282

in reexamination proceedings, the court has sua sponte taken

this case in banc to clarify the law as set forth in this

opinion.

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No statutory language and no legislative history indicates any

support for a requirenent that the provisions of 35 U.S.C. § 282

must be applied in the consideration of claims involved in

reexamination proceedings. Indeed, all available indications are

to the contrary. We hold, therefore, that § 282 has_ no

application in reexamination proceedings.

It is at best incongruous to apply a trial court procedural

rule to the examination of claims in the PTO. Moreove’, because

this court and one of its predecessors has consistently held that

the PTO examiner has the burden of showing a basis under the

statute, 35 U.S.C., for each rejection, injection of the

presumption into the examination process could add nothing but

legalistic confusion.

This court has repeatedly pointed out that the § 282

presumption is a rule of procedure placing the burden of

persuasion on him who attacks a patent's validity. There is no

such attacker in a reexamination, and hence no one on whom that

burden may be placed.©/ In litigation, where a patentee cannot

6/ No third party is involved when reexamination is requested

by the patentee or initiated sua sponte by the Commissioner. When

a third party (whether or not an alleged infringer, and whether or

not suit has been filed) is the requestor, that party is heard

only on whether "a substantial new question" exists. Absent a

“substantial new question", an alleged infringer cannot "force" a

patentee back into the PTO. Contrary to indications in the

concurrence, the reexamination per se of the claims is entirely ex

parte. Whether a requestor, or other party, is permitted to

intervene in an appeal to this court (the intervenor being thereby

bound by the decision on appeal) is discretionary with this

court. In all’ events, concentration on those instances when an

alleged infringer is present at the requesting stage should not

influence a decision on whether § 282 applies in the ex parte

reexamination proceeding.

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amend his claims, or add new claims, the presumption, and the rule

of claim construction (claims shall be construed to save them if

possible), have important roles to play. In reexamination, where

claims can be amended and new claims added, and where no litigating

adversary is present, those roles and their rationale simply vanish.

The patent right is a right to exclude. The statute, 35 U.S.C.

§ 261, says that “patents shall have the attributes of personal

property. °2/ The essence of all property is the right to

exclude, and the- patent property right is certainly not

inconsequential. It is, nonetheless, created by a grant from the

government. When a “substantial question” exists respecting the

correctness of that grant, it does not conflict but coincides with

the nature of the grantee's right when the government reexamines

the propriety of the grant it has made, and thereafter reaffirms

the grant, substitutes a new grant (amended or new claims), or

withdraws the grant in whole or in part (the last being subject to

review in this court).

(B) The Merits

The examiner and the board correctly determined that: (1)

Ambrosio discloses all features of Etter's claims, except “input

information electronic storage means [for accumulating] customer

profile information for a plurality of customers;" (2) Azure

Giscloses that feature; (3) the overall result of the inventions

of Ambrosio, Azure, and Etter is the same; and (4) Etter's claimed

inventions would have been obvious in view of the collective

I/ A patent is not a "deed", a term normally used to describe

an attribute of real property.

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teachings of Ambrosio and Azure which would have provided "a much

stronger suggestion for combining the teachings to provide the

subject ma%ter of claim 1" than would the prior art cited during

‘

the original prosecution.

Harking back to his § 282 aaah Etter says the claims were

Originally allowed over Ambrosio and Jones, and Azure is less

pertinent than Jones. Azure and Jones each disclose electronic

memory. The board correctly noted, however, that Azure, unlike

Jones, discloses use in utility meter reading among possible uses

of his input information electronic storage means and is therefore

more pertinent. That Azure disclosure is not, as Etter says, mere

"hearsay". Etter's arguments that Azure does not_ disclose

calculation and does disclose obsolete technology were properly

rejected as insufficiently founded. Etter admits that Ambrosio

discloses calculation. Obsolescence, if established, need not

necessarily defeat a reference for what it discloses in reference

to a claimed invention. Further, Etter relies on the opinion

affidavit of Gray for his assertion that Azure discloses obsolete

technology. Etter's assertions that Azure cannot be incorporated

in Ambrosio are basically irrelevant, the criterion being not

whether the references could be physically combined but whether

the claimed inventions are rendered obvious by the teachings of

the prior art as a whole. Orthopedic Equipment Co. v. United

States, 702 F.2d 1005, 1013, 217 USPQ 193, 200 (Fed. Cir. 1983);

In re Andersen, 391 F.2d 953, 958, 157 USPQ 277, 281 (CCPA 1968).

84-1213

Review of the Ambrosio and Gray affidavits confirms’ the

correctness of the board's characterization as merely representing

opinions unsupported by facts and thus entitled to little or no

weight. Stee In re Piasecki, No. 84-775 (Fed. Cir. Oct. 17, 1984),

slip op. at 9-10; In re Rinehart, 531 F.2d 1048, 1052, 189 USPQ

143, 147 (CCPA 1976).

AFFIRMED

84-1213 oa

United States Court of Appeals for the Federal Circuit

™N RE BERWYN F.. ETTER, ; No. 84-1213

Appellant. ) Reexamination No. 90/000154

NIES, Circuit Judge, with whom SMITH and BISSELL, Circuit

Judges, join, concurring.

While I agree with the result reached by the majority,

I disagree with the majority opinion insofar as it holds that,

in a reexamiration proceeding, a patent is never accorded the

presumption of validity. In this case it makes no difference

whether the presumption is or is not applied, as the board

itself stated. The holding that the claimed invention would

have been obvious over art not previously considered is fully

justified, had the presumption been recognized.

This case illustrates the advantage of the new

reexamination procedure. It worked here precisely as proponents

of the legislation envisaged. What has resulted, however, in my

view, is an easy case making bad law, not unusual with dicta.

ne majority decision finds a negation of the statutory

pceesumption that is not expressed in the statute. Further, the

majority opinion cannot be justified on the grounds that it is

necessary to achieve the statutory objectives. Indeed, this

decision can only have a chilling effect on voluntary use of the

new procedure by patent owners, which was to be one of its prime

objectives. H.R. Rep. No. 1307, 96th Cong., 2d Sess. 4,

reprinted in 1980 U.S. Code Cong. & Ad. News 6460, 6463.

After complying with the procedures promulgated by

Congress for obtaining a patent, a patent owner is in a

position comparable to the holder of a deed or title to

property. 35 U.S.C. § 261 (1982); Connell v. Sears, Roebuck &

Co., 722 F.2d 1542, 1548, 220 USPQ 193, 198 (Fed. Cir. 1983);

Schenck v. Nortron Corp., 713 F.2d 782, 784, 218 USPQ 698, 699

(Fed. Cir. 1983). That government grant is not to be set aside

unless the deciding tribunal is clearly convinced that the grant

was in error, having been predicated on erroneous or incomplete

facts or a wrong application of law.

The statutory provision in 35 U.S.C. § 282 is absolute:

A patent shall be presumed valid.

Nothing in the reexamination chapter, 35 U.S.C. §§ 301-307,

states otherwise .2/ Nothing in the legislative’ history

indicates that Congress intended a patent owner involved in

reexamination to "start over'' to resecure his patent. On the

contrary, the chapter is directed simply to resolution of a new

question of patentability under 35 U.S.C. §§ 102 or 103.

Specifically, 35 U.S.C. § 304 provides:

§ 304. Reexamination order by Commissioner

If, in a determination made under the

provisions of subsection 303(a) of this

title, the Commissioner finds that a

substantial new question of patentability

affecting any claim of a patent is raised,

the determination will include an order for

reexamination of the patent for resolution

of the question. [Emphasis added. }

l/s The directive in 35 U.S.C. § 305 to follow "procedures

established for initial examination under the provisions of

sections 132 [PTO must give notice of rejection with reasons]

and 133 [time for response]" patently have no bearing on the

substantive issue here.

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As explained in the legislative history:

This "substantial new question" require-

ment would protect patentees from having to

respond to, or participate in unjustified

reexaminations. Further, it would act to

bar reconsideration of any argument already

decided by the Office, whether during the

original examination or an earlier

reexamination.

H.R. Rep. No. 1307, 96th Cong., 2d Sess. 7, reprinted in 1980

U.S. Code Cong. & Ad. News 6460, 6466.

The presumption of validity dovetails neatly with

reexamination to resolve a substantial new question of

patentability and its application would fit within’ the

precedent of this court in which the presumption of validity

has been defined or its effect explained in a series of

decisions .2/ Indeed, in In re Andersen, 743 F.2d 1578, 1580,

223 USPQ 378, 380 (Fed. Cir. 1984), the PTO acknowledged that

the presumption of validity applied.2/

The presumption of validity places on the challenger

of a patent the burden of coming forward with evidence to

2/ American Hoist & Derrick Co. v. Sowa & Sons, 725 F.2d

1350, io gy 69-71 (Fed. Cir. 1984);

Stratoflex, Inc. Aeroqui ., 713 F.2d 1530, 1534, 218

USPQ B71, 575 - 76 (Fed. 4 te 1983) SSIH equi paent S. A. 5

Int'l Trade Comm'n, 718 F.2d 365, 3 USPQ 87° (Fe .

Cir. 1983); Solder Removal Co. v. U. S. Int *i. Trade Comm'n.,

582 KF, 2d 628, 632-33, 199 USPQ 129,

3/ In this case, the board's position is that it makes no

difference whether the presumption applies or not. In In re

DeWitt, No. 581-71, slip op. at 5 (Bd. App. May 30, 1984), the

appeal of which is also decided today, No. 84- 1555 (Fed. Cir.

Feb. 27, 1985), the board took the next step and explicitly

held that the presumption did not apply to claims under

reexamination.

84-1213 -3-

)

RE eaters Ce ITA Oy

fee

_-

establish facts which may lead to ch2 conclusion that the

patent is invalid. SSIH Equipment S.A. v. U.S. Int'l Trade

Comm'n, 718 F.2d 365, 375, 218 USPQ 678, 687 (Fed. Cir. 1983).

The challenger bears the burden of proof of such facts, as well

as the ultimate burden of persuasion on the legal issue of

validity. Stratoflex, Inc. v. Aeroquip Corp., 713 F.2d 1530,

1534, 218 USPQ 871, 875 (Fed. Cir. 1983). The PTO acknowledges

that it bears these burdens in examination of an original

application or in reexamination of patent claims. The PTO does

not accept, however, that the quantum of proof of facts -is

"clear and convincing" evidence, which this court has stated to

be imposed by the presumption. SSIH, 718 F.2d at 375, 218 USPQ

at 687. . -

Our precedent holds that the presumption of validity.

is not weakened or destroyed during litigation by presentation

of more relevant art not considered by the PTO, but may be more

easily overcome if such art is presented. American Hoist &

Derrick Co. v. Sowa & Sons, 725 F.2d 1350, 1358-60, 220 USPQ

763, 769-71 (Fed. Cir. 1984). This follows from the absence of

a decision on such matter by the administrative expert, the PTO

examiner, to which deference must be given. Id. at 1359, 220

USPQ at 770. The situation in reexamination falls precisely

within this concept. If reexamination concerns only a question

of patentability not previously considered by the PTO, a

fortiori, there is no prior decision to which deference is due

84-1213 ae ae

0

>

0

and the presumption can be more easily overcome. But deference

should be required in reexamination with respect to a matter

which was previously considered or is substantially the same,

e.g., basing a rejection on a new reference which is not

materially different from one which has been overcome. The

legislative history quoted above expresses a clear intent,

consistent with the presumption of validity, that patents are

not to be examined de novo. The legislative history quoted by

the majority relates only to previously unconsidered matters.

However, concerning matters which are essentially the same as

those previously considered which may be re-raised during

reexamination, a patentee is entitled to more respect for his

property than the majority decision recognizes. Indeed, the

majority's analysis and certain statements in the legislative

history which speak of enhancing the presumption of validity by

reexamination“! seem to equate the presumption of validity

with the presumption of administrative regularity or

correctness, a concept which our precedent has specifically

rejected. American Hoist, 725 F.2d at 1359-60, 220 USPQ at 770.

The majority justifies its position that the

presumption does not apply in reexamination on the ground that

—

See, -, Patent Reexamination: Hearings on S. 1679

Retore the a on the Judiclary, 96th Cong., Ist Sess. I, 60

(1979) (testimony of Arthur R. Whale) ("[Reexamination] will

bring the presumption of validity to the same level with

respect to newly cited art.").

84-1213 ©3-

ae

vat

reexamination is an ex parte proceeding, while the presumption

is appropriate only in inter partes disputes. The record in

this case shows that an alleged infringer in litigation forced

the reexamination, filed a brief analyzing the art in

connection with its request to the PTO, filed a reply to the

patent owner's objection, was served with copies of the

examiner's actions and the patent owner's responses, and was

permitted to intervene and brief matters in this court. The

record here does not disclose that affidavits accompanied the

alleged infringer's request for reexamination or his reply to

the patent owner's statement, but this type of submission is

allowed by such person. To characterize reenentection in its

entirety as an ex parte proceeding under such circumstances,

while technically correct, ignores reality. It is, in my view,

more appropriate to view it here as collateral to the pending

litigation, although without res judicata effect against the

alleged infringer if the claims are held valid. 3 Chisun,

Patents § 11.07[4][£], at 11-128 (1984).

I agree with the majority that reexamination should

work in such a manner that it will be "neutral.'' However, the

decision today, in my view, will make patent owners resistent

to reexamination. The deck is stacked against them by this

decision and by In re Yamamoto, 740 F.2d 1569, 1571, 222 USPQ

934, 936 (Fed. Cir. 1984). The court has made reexamination

into a proceeding which affords advantages to an infringer over

his position in court.

84-1213 - 6-

—

Delay itself is an advantage to an infringer of

greater economic power than the patent owner, and the lack of

res judicata effect against the infringer gives that party two

opportunities to attack the patent. These advantages are

inherent in reexamination and must be accepted as the quid pro

quo for the perceived benefits of reexamination. We need not,

however, go further and, as a matter of statutory interpreta-

‘an also change the rules by which validity is to be judged

to the infringer's -benefit. An .infringer may well have

evidence which is sufficient to meet the low threshold of "a

substantial new question of patentability", but not sufficiently

persuasive in court to overcome the presumption of validity,

including the burden of clear and convincing proof. This might

be particularly true where evidence is submitted to the PTO in

the form of affidavits of experts or others who thereby escape

the testing of cross examination.

With respect to claim construction, claims’ in

litigation are to be “so construed, if possible, as to sustain

their validity.'"' ACS Hospital Systems, Inc. v. Montefiore

Hospital, 732 F.2d 1572, 1577, 221 USPQ 929, 932 (Fed. Cir.

1984), citing Klein v. Russell, 86 U.S. (19 Wall.) 433,. 466

(1874); Turrill v. Michigan, .S. & N.I. R.R., 68 U.S. (1 Wall.)

491, 510 (1864). Claims in reexamination, on the other hand,

“will be given their broadest reasonable interpretation." In

re Yamamoto, 740 F.2d at 1571, 222 USPQ at 936. Thus, claims

84-1213 -J-

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may be valid and infringed in court but invalid in the PTO and,

a fortiori, not infringed. It is small solace to a patent

owner in that situation that he may amend his claims in

reexamination and secure narrower new claims. Upon amendment,

his claims are subject to complete examination and an infringer

has the benefit of intervening rights to the extent afforded

under 35 U.S.C. § 252 pursuant to 35 U.S.C. § 307(b).

Given this court's interpretation of proper

reexamination procedure, the obvious strategy of an infringer

would be to force the patentee back to the PTO where the

patentee's presumptive advantage, as well as claim construction

advantage, is eliminated.

The majority's analysis focuses on the aspect of

reexamination dealing with the threshold determination that "a

substantial new question of patentability" has been raised.

The majority then continues its analysis of this case as if

reexamination itself is a “limited examination'' directed to

that question. However, our court has also _ analogized

reexamination to reissue proceedings. In re Yamamoto, 740 F.2d

at 1572, 222 USPQ at 937. In reissue, examination is not

limited to the question raised by the patent owner. 37 C.F.R.

§ 1.176. The PTO has taken a similarly expansive view of the

scope of reexamination in its regulations and in its stated

operating procedures.

84-1213 -8-

Oc4

Reexamination, as interpreted by the PTO, is a two

step process involving: (1) the determination that there is "a

substantial new question oof patentability", and (2)

reexamination itself. The latter step is not constrained, in

the PTO view, by the former. In a very real sense, once

reexamination is ordered (an unreviewable decision), the patent

holder "starts over" under the PTO view on all § 102 and § 103

issues with respect to all claims, amended or wunamended,

——_

whether or not related to the new question.

With respect to the first step, i.e., determining

whether there should be reexamination, PTO regulation 37 C.F.R.

§ 1.515 provides:

§ 1.515 Determination of the request for

reexamination.

(a) Within three months following the

filing date of a request for reexamination,

an examiner will consider the request and

determine whether or not a substantial new

question of patentability affecting any

claim of the patent is raised by the request

and the prior art cited therein, with or

without consideration of other patents or

printed publications. [Emphasis added. }

Turning to the Manual of Patent Examining Procedure

(MPEP), one sees that examiners are instructed as follows, when

considering a request for reexamination:

§ 2242 Criteria for Deciding Request.

: Material new arguments or interpreta-

tions can raise “a substantial new question

of patentability" as to prior art patents or

printed publications already considered by

the Office.

é

Gi

§ 2244 Prior Art on Which Determination Is

Based.

The determination whether or not "a

substantial question of patentability" is

present can be based upon any prior art

patents or printed publications. Section

303(a) of the statute and 37 CFR 1.515(a)

provide that the determination on a request

will be made "with or without consideration

of other patents or printed publications,"

i.e., other than those relied upon in the

request. The examiner is not limited in

making the determination to the patents and

printed publications relied upon in_ the

request. The examiner can find "a substan-

tial new question of patentability" based

upon the prior art patents or printed

publications relied upon in the request, a

combination of the prior art relied upon in

the request and other prior art _ found

elsewhere, or based entirely on different

patents or printed publications. The primary

source of patents and printed publications

used in making the determination are those

relied upon in the request. However, the

examiner can also consider the prior art of

record in the patent file from the earlier

examination or a reexamination and any

patents and printed publications of record

in the ratent file from submissions under 37

CFR 1.591 which are in compliance with 37

CFR 1.%o in making the determination.

kkk

Any question as to whether a substantial

new question of patentability exists should

be resolved in favor of granting the request

for reexamination. [Emphasis added.]

With respect to the scope of the examination on

reexamination, the second step, 37 C.F.R. § 1.552(a) provides:

Patent claims will be reexamined on the

basis of patents or printed publications.

No limitation is found there, or is intended, to limit

reexamination to the new question of patentability which

84-1213 - 10 -

started reexamination.2/ © In making rejections, the examiners

are told

in the MPEP:

§ 2256 Prior Art‘ Patents and Printed

Publications Considered by Examiner in

Reexamination.

The primary source of prior art will be

the patents and printed publications cited

in the request.

The examiner must also consider patents

and printed publications

--cited by a reexamination requester under

§ 1.510

--cited in patent owner's statement under

§ 1.530 or a requester's reply under § 1.535

if they comply with § 1.98

--cited by patent owner under a duty of

2 § 1.555) in compliance with

1.9

--discovered by the examiner in searching

5/ In

1007 0.G.

publishing the implementing regulations, _ Acting

Commissioner of Patents and Trademarks Tegtmeyer stated with

respect to the scope of reexamination:

The scope of the reexamination proceeding

which was originally proposed has_ been

essentially adopted in the final rules. The

suggestions that the rules be broadened to

include other issues have not been adopted

since the other issues would unduly complicate

the proceedings, raise the expense of the

proceedings and raise questions whether such

issues can be considered under Pub. L. 96-517.

31 (1981).

Thus, while "other" issues such as _ fraud, will

considered, the only stated limitation on §§ 102 and 103 issues

is that indicated above.

84-1213

—)

not

be

0

c

7

--of record in the patent file from earlier

examination

--of record in patent file from § 1.501

submission prior to date of an order if it

complies with § 1.98. [Emphasis added.]

§ 2216 Substantial New Question of Patent-

ability.

- If a substantial new question of .-

patentability is found as to one claim, all

claims will be reexamined during the ex

parte reexamination process. [Emphasis

added. ]

The M™=P example of the processing of a "typical"

reexamination shows a request for reexamination of claims 1-4

of a patent (MPEP § 2214, at 2200-11); a decision that a new

question is raised as to:claims 1-3 and no new question as to

claim 4 (MPEP § 2246, at 2200-29); and, finally, a decision (1)

not to reexamine claims 1-3 because of a court decision; (2) a

rejection of issued claim 4; (3) a determination of

patentability of issued claim 5; and (4) a rejection of new

claim 6 (MPEP § 2262, at 2200-41). ‘Thus, issued claim 4 is

lost--although no decision. was made that a substantial new

question of patentability existed to involve the cl im in the

reexamination. | | |

Coupling | this expansive view of the scope of

reexamination with the denial of a presumption of validity

gives carte blanche to the Office to "second guess" the

original allowance on the basis of the art originally

considered or, at least, not materially different. This

unrestrained view of its power during reexamination was,

84-1213 - 12 -

0

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8

indeed, expressed by the board in In re DeWitt, No. 581-71,

slip. op. at 5 (Bd. App. May 30, 1984), the appeal of which is

also decided today, No. 84-1555 (Fed. Cir. Feb. 27, 1985), in

which the board opined:

[T]here is no policy reason against the

Office reconsidering its own work product

and admit it may have made anerror. . .

This view is too simplistic. The questions of

validity of patents over prior art are not clear cut. The

conflicting testimony of responsible experts, which this court

sees every day in the records of patent cases before it, belies

the concept that determining an "error'' was made will be

readily apparent .£/ The ultimate decision is a judgment call

and the result may weit depend on whether one starts with the

view that the patent is valid or that reexamination starts on a

clean slate. See American Hoist, 725 F.2d at 1358-60, 220 USPQ

at 769-71 (judgment of invalidity reversed, inter alia, for

failure to accord presumption of validity).

For the foregoing reasons, I believe it would be the

correct and desirable interpretation of the statute to apply

the presumption of validity in reexamination in the same manner

6/ “Federal courts have a difficult enough time trying to

determine whether an invention, narrowed by the _ patent

application procedure and fixed in the specifications which

describe the invention for which the patent was granted, is

ogre poll Kewanee Oil Co. v. Bicron Corp., 416 U.S. 470,

92 (1973). a

84-1213 -13-

0

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9

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as in court proceedings, and I would also apply the identical

standard for claim construction. _/

Alternatively, I urge the majority to limit

reexamination to "resolution of the question," that is, to the

"substantial new question of patentability" which caused the

reexamination to be ordered, in accordance with 35 U.S.C.

& 304. Nothing in the statute constrains the Commissioner, of

course, from finding more than one substantial new question of

patentability. However, under the statute, the Commissioner is

required to make such determinations He should not merely

allow reexamination to proceed in any direction at _ the

discretion of an examiner. Clearly, reexamination was not

designed to allow the PTO simply to reconsid r and second guess

what it has already done.

7/ Implicit in my opinion, of course, is that no presumption

applies to new or amended claims.

84-1213 —

650

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7 ep eee

United States Court of Appeals for the Hederal Circuit

In the Matter of the Application

No. 84-1213

Reexam. No. 90/000154

of

BERWYN E. ETTER, PATENT OWNER AND

ANTHONY E. B. GOODFELLOW, INTERVENOR

ee eee eee ee ee ee ee ee ee

ORDER

A petition for rehearing and a suggestion for rehearing

in banc having been filed in this case,

UPON CONSIDERATION THEREOF, it is Ordered by the court

that the petition for rehearing be, and the same is. hereby,

Denied.

The suggestion for rehearing in banc is declined.

FOR THE COURT

——

ceora¢/. Hutchinson, Clerk

March 25, 1985

Date

CC: Ms. Thomas E. Lynch

Solicitor, U.S.Patent

and Trademark Office

OSi

rie

United States Patent 19)

Etter

(11) 4,133,034

(45) Jan, 2, 1979

[$4] METHOD AND MEANS OF ASSIMILATING

UTILITY METER DATA

[76] Inventor: Berwyn E. Etter, 368 Boca Ciega

Point Bivu. So., Madeira Beach, Fla.

33708

[21] Appl. No.: 819,350

j22) Filed: Jul. 27, 1977

i I icnbennlacainicte G06K 1/00

[52] U.S.C. 364/464; 235/432;

364/483, 364/900

[58] Field of Search .............. 364/200, 900, 401, 403,

364/464, 483, 709; 235/152, 151.3, 151.31, 61.9

R, 61.6 R, 156; 340/149 R

[56} References Cited

U.S. PATENT DOCUMENTS

3,344,408 = 9/1967) = Singer et al. .......2..-2ecceeeeeeee 3647900

3,990,220 6/1971 Ishids et al. .................... 235/61.9 R

3,842,248 10/1974 Yarnell et ab... .......-00..... 235/156

. 3,932,730 141876 = Ambrosio ...........-.-....... 235/61.9 R

2,956,740 «$1976 = Joomes et Bh. one eeeecccccceeerees 364/209

4,007,443 2/1977 Bromberg et al. ................... 364/900

. 4,025,766 5/1977 Ng et al. 235/152

Primary Examiner—Charles E. Atkinson

Assistant Examiner—Errol A. Krass

Attorney, Agent, or Firm—Zarley, McKee, Thomie, .

Voorhees & Sease

(57) ABSTRACT

A method of assimilating utility meter data at the meter

locations by accumulating on an input tape customer

profile informaticn for a plurality of meter customers,

including the customer's account number, service ad-

dress, meter number, customer name, previous reading

date and meter reading, utility rate factors and debit/-

credit transactions. The input tape is then placed in a

portable computer capable of being manually carried to

the site of a given meter. The portable computer has the

' capability of updating, printing and visually presenting

various of the customer profile information before and

afier receiving current customer profile information.

The computer is actuated ‘o visually present at least the

meter number and customer address of a given meter

customer. The current meter reading is then placed in

the computer which is then actuated to calculate the

charge for the utility usage based upon the previous

meter reading and the current meter reading. The com-

puter is then actuated to print a bill for the meter cus-

tomer, and the computer imposes on an output tape the

updated customer profile information. The printed bill

is then removed from the computer and deposited at the

customer address.

A device for assimilating utility meter data comprising

| & portable computer means having a computer housing,

computer circuitry, input and output tapes connected to

the computer circuitry, printout means operatively con-

nected to the computer circuitry, and a manually held

contro! means connected to the computer housing by a

flexible coupling for actuating the computer circuitry

and for putting raw data into the computer means. The

manual control means includes a visible message output

board connected to the computer circuitry whereby the

Operator can visually observe certain of the information

contained in the computer as said information is im-

posed on the output board.

9 Claims, 3 Drawing Figures

U.S. Patent Jan. 2, 1979 Sheet 1 of 2 4,133,034

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4,133,034

METHCD AND MEANS OF ASSIMILATING

UTILITY METER DATA

BACKGROUND OF THE INVENTION

This invention relates to a method and means for

assimilating utility meter data at the meter location.

Utility meters are conventionally read at the site of the

meter, this information is returned to a central deposi-

2

held manual control means 14 is connected to the hous-

ing 12 by NMexible coupling 16.

The computer 10 is comprised essentially of conven-

tional hardware well-known in the art and the precise

$ electronic circuitry is not disclosed herein. With refer-

ence to FIG. 4, the numera! 18 designates the computer

circuitry. The housing 12 is adapted to receive input

cassette tape 20 which is placed in operational contact

‘with the computer circuitry 18 by conventional means.

tory wherein the bill for utility usage is computed. The 10 Similarly, output cassetie tape 22 is also connected to

bill is then sent to the customer. This is a very cumber-

some means and is quite expensive. The postage alone

for this process amounts to hundreds of thousands of

dollars for a given utility company. The time lag occa-

the computer circuitry 18. A conventional battery pack

24 is mounted within the housing 12 and serves as the

energy source for the computer. A printed bill 26 is

produced by the computer through conventional

sioned by the above process delays the payment of the 15 means, and the bill 26 is conventionally detachable from

bills by the customer. Some remote means have been

devised so that meters can be read from a central loca-

tion, but this system requires the installation of special

meters which are quite expensive.

SUMMARY OF THE iNVENTION

This invention comprises a method and means for

assimilating utility meter data at the meter location

through the use of a portable computer having both an

the computer.

The control means 14 includes a visible message out-

put board 28 which is comprised of a conventional

character display panel such as that disclosed in U.S.

20 Pat. No. 3,868,535 issued Feb. 25, 1975. The numeral 29

indicates a typical message output.

The control means 14 includes a plurality of depress-

ible switches which serve to recall information from the

computer for display on the output board 28, and which

input tape and output tape. The meter is capable of 25 serve to permit raw data to be placed within the com-

computing the bill on the spot, and the printed bill is

removed from the computer and immediately deposited

The input tap includes customer profile information

” puter. The nine switches 30 are used to place raw data

from the utility meter into the computer. The numbers

appearing on switches 30 correspond to the value of the

data being imposed into the computer from the meter

including the customer's name, meter number, account WO jiceit,

number, service address, and information relating to

previous meter readings ard debit-credit transactions.

The computer device has a handheld control means

which includes a visible message output board. The

Switch 32, as will be described hereafter, is the ready

switch which is used to institute the process of this

invention. Switch 34 actuates the printer of the com-

puter. Switch 36 actuates the read circuitry. Switch 38

operator through the use of the control means has the 35 designates any peculiar irregularities pertaining to the

ility to recall information to the output board which

is stored in the computer wherein the customer's name,

meter number, etc. can be visually observed. The cur-

rent meter information is put into the computer through

transaction. Switch 40 is used to verify the reading.

Switch 42 is used to determine special codes or instruc-

tions. Switch 44 causes the name and address sf ine

customer to be displayed. Switch 46 is the advance

the control means, the computer calculates the custom- 40 switch which will be discussed hereafter. Switches 48

er's bill, and then prints the bill whereupon it is re-

moved by the operator and deposited with the cus-

tomer.

This invention eliminates the high cost of mailing bills

to the customer and eliminates the time loss occasioned 45

by conventional means wherein the customer does not

receive the bill until several days, at best, after the meter

is read.

This invention therefore substantially accelerates the

rate of payment from meter readings, eliminates postage 50

costs, and greatly facilitates the meter reading record

keeping burden.

DESCRIPTION OF THE DRAWINGS

FIG. 1 is a perspective view of the portable computer 55

which comprises a part of this invention;

FIG. 2 is a perspective view of a operator operating

the computer of FIG. 1 at the meter site;

FIG. 3 is a plan view of the control means for the

computer; and

FIG. 4 is a schematic view showing the manner in

which the computer means of FIG. 1 operates.

DESCRIPTION OF THE PREFERRED

* EMBODIMENT

A small portable computer 10 having a shoulder har-

nass 11 secured thereto has most of its components

conventionally mounted within housing 12. A hand-

0

and 50 are special keys to be used for particular circum-

stances.

A typical electrical utility meter 5. with typical

meter dials 54 is shown in FIG. 2.

The input tape 20, sometimes referred to as the route

cassette, normally would include the following cus-

tomer profile information and special instructions:

Customer Profile Special Instructions

Account number 1. Instruction/codes

Service address

Meter number Key in Office

Name Meter inside

Previous Reading Date

Previous Reading/Usage 2. Location Codes

Maximum Use In House

Estimated Masimum Reading

Rate factors/designation 3. Special Codes

Debit/credit Tampering

t

Special Information

This information is deposited on input tape 20 for a

plurality of customers. The operator will pick up the

input tape from a central depository before leaving on

. his route for the day. The tape is placed in the computer

65 in operative Connection with the computer circuitry 18.

Upon arriving at the location of the first utility cus-

tomer, the operator will actuate the ready switch 32

which causes the service address of the customer to be

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4,133,034

3

displayed on board 28. Advance switch 46 will be actu-

sied to cause any special instructions to be imposed on

board 28, such as to “beware of a dog”, or “see the

building manager before reading the meter”. Normally,

the operator will continue to actuate advance switch 46 $

until no further information is depicted on board 28. He

will continue to actuate the advance switch 42 so that at

east the meter location in the house and the meter

number will be depicted on board 28.

While standing before the meter as indicated in FIG. 10

), the operator will read from the meter, and place the

meter reading in the computer by actuating various of

he switches 30. The read switch 36 is then actuated to

-ause the computer to calculate or otherwise take into

sccount the following factors: 1s

Computes the kilowatt hour usage.

Substracts the last month's reacoing from the new

cading.

The utility rate is applied.

Applies debt/credii entries. 20

Applies any special factors.

3y programming the computer with the degree day

aciors for the prior thirty days, the computer will esti-

nate what the usage should be, based upon prior usage

or similar periods. If the usage does not fall within a 25

wedetermined range, the operator will be required to

econfirm the current reading before the computer

rints the bill. Thus, before the computed bill is printed,

he operator will actuate switch 40 to cause the com-

uter to compare the computed bill with the estimated 30

sage. If the computed bill is out of proportion with the

stimated bill, the term “verify” will be imposed on the

oard 28 as indicated in FIG. 3. The operator will then

tread the meter and the foregoing steps will be re-

cated. coe

Ifthe term “verify” do- of appear on screen 29, the

perator sctuates swi’® . #4 to cause the bill 26 to be

rinted. The operator then removes the bil] 26 from the

omputer. It is deposited in a plastic sack and placed on

ne door knob of the dwelling involved. As the com- 40

uter prints the bill, the new billing information is re-

orded on output tape 22. The switch 44 can be actu-

ied at any time to verify the name and address of the

ustomer. The operator can impose on the output tape

tegularities such as broken seals on the meter or the 45

ke by actuating switch 38. Similar information such as.

ross dogs or the like can be imposed on the output tape

y switch 42. Keys 48 and 50 are also available for

ecia] instructions such as indicating that the battery

wck is low, ae cape eagyly © tow, os ie lput oc 3x0

utput tapes are low.

ht Ge end of Ge Gey, ofl of the catemens on thy

wute have been billed on the day that their respective

eters were read. The output tape is deposited by the

peralor at a central depository wherein the new infor- 5$

ation is utilized to create an input tape for the follow-

& month. If the meters are being read in a smal! town,

¢ information from the output tape can be electroni-

ily transmitted through conventional means through

central depository in a remote city for processing. 60

The foregoing invention achieves at least the follow-

g Objectives:

1. Accurate billings with less chance of mistakes and

sy vertification by the customer.

2. Eliminates the necessity of inhouse preparation of 65

e bill.

3. Eliminates the cost of delivering the bill to the

stomer.

4

4. Accelerates utilitics’ accounts receivable.

It should be understood that the input tape 20 and the

Output tape 22 are the most convenient means for

achieving the respective functions of these components.

However, other information storage systems could be

' wtilized in lieu of the cassette tapes without departing

from this invention.

It is, therefore, seen that this invention achieves a

substantial improvement in the process of assimilating

utility meter data.

I claim:

1. A method of assimilating utility meter data at the

' meter locations, comprising,

accumulating on an input information electronic stor-

age means customer profiie information for a plu-

rality of meter customers, said profile information

including the customer identity and account infor-

mation,

placing said input information electronic storage

means in a portable computer capable of being

manually carried to the site of a given meter, said

portable computer having an output information

storage means and having the capability of updat-

ing, printing and presenting various of said cus-

tomer profile information for said meter customers

before and after receiving current customer profile

information,

actuating said computer to segregate and to visually

present from the customer profile information for a

plurality of meter customers stored on said input

information electronic storage means at least the

meter number and customer identity information of

& given meter customer,

imposing into said computer the current meter read-

ing of said given meter customer at the site of the

meter being read,

actuating said computer to calculate the charge for

utility usage based upon the previous meter reading

and said current meter reading,

actuating said computer to print a bill for said meter

customer at the site of said meter based upon said

calculation and imposing on said output informa-

tion storage means the updated customer profile

information,

and depositing said bill at the service address of said

given meter customer.

2. The method of claim ‘I Wherein’ stid’dférémen-

tioned steps are repeated for all of the customers on said

input information storage means.

3. The method of claim 1 wherein said customer

profile information includes average quantities of utility

usage of prior periods, comparing said average quanti-

ties of utility usage with the utility usage for the period

being read so that substantial variations between the

average quantities of utility usage and utility usage de-

termined for the period being read can be ascertained,

and signaling the existence of such substantial variations

so tha the accuracy of the utility usage for the period

being read can be verified.

4. The method of claim 1 wherein the updated cus-

tomer profile information on said output information

storage means is transmitted to a central depository of

customer information.

5. A device for assimilating utility meter data at the

meter location, comprising,

a portable computer means comprising a computer

housing, computer circuitry, input information

electronic storage means and output information

4,133,034

5

electronic storage means operatively connecied to

said computer circuiisy, said input information

electronic storage means containing Customer pro-

file information for a plurality of meter customers,

printout means operatively connected to said dom-

6

enting on said output board Customer profile infor-

mation for one meter customer from the customer

profile information for a plurality of meter custom-

ers stored on said input information electronic stor-

age means.

6. The device of claim § wherein éaid contro] means

is a hand-held control manifold connected to said com-

puter circuitry,

and manual conirol means for actuating said com-

puter circuitry and for putting raw data into said puter housing by an elongated flexible coupling.

computer means, said manual control means in- 7. The device of claim § wherein a shoulder harness is

cluding a visible message output board connected 10 secured to said computer housing for carrying the same.

to said computer circuitry whereby the operator 8. The device of claim 6 wherein a shoulder harness is

can visually observe certain of the information secured to said computer housing for carrying the same.

contained in said computer as said information is 9. The device of claim $ whercin said information ee:

imposed on an output board, said control means storage means are tapes. eee

including means for segregating and visually pres- 15 7 8 8 8

3s

-*

40 ~ >

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ie i

ver

45 at. &.

~ Se"

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30

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aj ‘eis

ted States Patent ty)

oso

ity = 3,932,730

i448) Jan. 13, 1976

OINT-OF-ACTION BILLING

IRANSACTOR

inventor. Miagio F. Ambrosio, Woodland

Hills, Cahf

Assignee: Electronic Memories & Magnetics

Corporation, Los Angeles, Calif

“iled Sept. 30, 1974

Appl. No.- §10,560

Related U.S. Application Data

“‘ontinuation of Scr No 356.503, May 2, 1973,

handoncd

References Cited

UNITED STATES PATENTS

4 4/1969

2 2/1970

16 4/1970

1 4271970

0 6/1971

2 Wig?)

Simpran

Perotio et al

Aficl, Jr ct al

Schwarz

Ishida ct al

Ruben

235/619 R

GO6K 1/00

2435/6! 6, 61.8, 61.9;

340/172.5, 149, 149 A, 150, 151

23S/e1 6

340/172 5

340/172 5

235/616

235'A19

235'168

3.770.941 PUST9IY Cachele etal. PIS/O1 IR

Primary Evaminer—Daryt Wo Cook

Attorney, Agent, or Firm —VLaindenberg. Freitich,

Wasserman, Rosen & Fernandez

157] ABSTRACT

A utility billing transactor ts disclosed for entering 4

new meter reading, Computing the amount of utility

service Cclivered as the difference betwcen a previous

meter reading and the new meter reading, computing

the amount to be paul, and printing a bill showing the

new meter reading and the amount duc. A card, «hich

has the customer's idenhfication (ID) number, previ-

ous meter tcading and billing rate code eniered on it,

is inserted into the transactor to initiate automatic se-

quencing of steps to read the ID number, call for key-

board entry of a new meter reading, read the previous

meter reading, compute the differcnce between the

mcter reading, compute the amount duc as the prod-

uct of a rate or schedule of rates determined trom the

billing rate code (either direet!; or through u table

stored in a read-only memory) and printing the bill

The entire transaction, including data read from the

card and data computed is recorded in nonvolatile

memory and immediately checked for recording error.

§ Claims, 11 Drawing Figures

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974

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POINT-OL-ACTION BILLING TRANSACTOR

‘This application is a continuation of application Ser.

No. 356,503, filed May 2, 1973, now abandoned

BACKGROUND OF THE INVENTION

This invention relates to apparatus which accepts a

record medium prepared with necessary data for billing

a ulilily customer upon scading and cotering through a

keyboard a new meter reading

Past cllorts to provide » utility-meter reader with

portable apparatus for entering a new meter tcading

and calculating the amount duc since the previous

meter reading have not been adopted for use by utility

companies because of the limited time the meter reader

has to cover his route. I would obviously take too

much time for the meter reader to plug his portable

apparatus into the . wter for automatic reading. Conse-

quently, the past efforts have been directed to appara-

tus into which the meter reader mercly keys in the new

meter reading, such as shown in U.S. Patent No.

3,590,220. However, that apparatus requires many

manual operations to control the sequence of opera-

tions, thus burdening the meter readcr to the point

where he may require more time to complete his route.

What is sequircd is a fully automatic billing transactor

which responds to the insertion of a previously pre-

pared record medium, such as a billing card, to control

the necessary sequence of operations, including the

manual entry of a new meter scading, for the amount

due to be calculated and for the transaction to be re-

corded on the record medium for immediate delivery

to the customer as a “utility bill.”

SUMMARY OF THE INVENTION

The invention is characterized by apparatus having

means for accepting a record medium on which there is

prerecorded a customers identification number, previ-

ous meter reading and a code indicating the rate to be

charged the customer for the utility service consumed.

The apparatus includes means for reading the data

recorded on the record medium. Means for entering

the new meter reading through keyboard, means for

calculating the difference between the new meter rcad-

ing and the previous meter reading. means for comput-

ing the amount duc based upon the dilicrence com-

puted as a function of the applicable rate indicated by

the billing rate code, cither directly or through address-

ing arandom access memory in which a rate schedule

is stored. and prnting on the record medium at least

the new meter seading and the amount duc, all auto-

matically, cacept for entry of the new meter reading

Which is automatically called for in proper sequence

but is manually entercd before the sequence of opera-

tions resumes. Sequence control means in the form of

prewired logic clements, inchiding a sequence Counter,

responds to clock pulses once a record medium ts in-

serted into the accepting means to control in sequence

the operation of the foregoing means. When entry of

the new meter reading is required as the next step,

inhibiting means included in the sequence control

means inhibits clock pulses from being applicd to the

Sequence control counter until the new meter reading

has been entered. The sequence control means also

controls printing of at least the new meter reading and

the amount duc at appropriate tines.

The computed

al

35

40

45

50

w

a

60

65

>

-

diictence and ameunt duc ts prmted autecnati ally

after the amount duc hay been computed

The novel features that are considered Charen toric

of this invention are set forth with particularity inthe

appended claims. The invention will best be under-

stood from the following description when read im cen.

nection with the accompanying drawings

BRILE DESCRIPTION OF THE DRAWINGS

HIG. fis a perspective view of an cacmplary embout

ment of the invention

HIG 2 is a sectional view taken along the line 2—2 of

FIG 1

FIG. 3 shows a billing card adapted for use in the

exemplary embodiment

PIG. 3 Mustrates to wn exploded tsometiic view an

arrangement for a punched card reader in the exvem-

plary embodiment

FIG. 5 is a logic diagram of a sequence control unit

for the cxemplary embodiment.

VIG. 6 is a block diagram showing a preferred ar-

rangement for the electronic system of the exemplary

embodiment.

FIG. 7 WMustrates schematically an arrangement of

printing heads for printing on electrosensitive arcas of

the card in FIG. 3.

FIG. 8 is a logic diagram of a card printer in the

sysicm of FIG. 6.

FIG. 9 is a logic diagram of a calculator in the system

of FIG. 6.

FIG. 10 is a logic diagram of a magnetic tape te-

corder in the system of FIG. 6.

FIG. 11 is a logic diagram of an alternative calculator

in the system of FIG. 6.

DESCRIPTION OF THE PREFERRED

EMBODIMENTS

FIG. 1 shows in perspective an illustrative transactor

adapted tc receive a billwe card 10 of a particular

utility customer in a slot PL. the card ts prepared in

advance for the purpose of reading the utility meter

and prepsring a bill. The necessary information uniguc

to the transaction and required for the new bill ts read

from the card The new meter reading ts entercd

through a keyboard 12. The keyboard includes push-

button kcys numbered O through 9 for entering the new

transuction with the most significant digit first and a

fixed decimal point. As in conventional desk calcula-

tors, leading zeroes neeed not be entered because the

digits entered in sequence are shifted serially throuch

the least significant digit position mio more siznificant

digit positions. The keyboard includes additional push-

button keys to provide what btthe operator control ts

requited by the transactor over the data processing for

the particular transaction

For sunplicity in desciibmg this first exemplary em-

bodi:nent, all numbers entered into the tape buffer and

the calculator are limited to five decimal digits How -

ever, Hough the technology of integrated circuits, it

would be feasible to provide as many as cight or ten

decimal digits, and interaal registers are provided with

sufficient dign capacity to provide the precision desired

in the calculations.

Pertinent data involved in the transaction is stored in

a nonvolatile bulk store memory 13 for later use by a

central office in updating the conumer” S account, in-

cluding the total amountto be paid Some of the dats

read from the card by the transactor is preprinted on

, ms ote

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3

he card in a form suitable for the customer to read.

ransaction data not read from the card by the transac:

ot, but entered through the keyboard and devcloped

» the transactor, is stored in the bulk store memory

nd is printed on the cand) The billing card is then

randy for immediate delivery to the customer,

is contemplated that the transactor will be repeat:

diy used for the same type of transaction. namely gas,

ater or electricity billing. in order that all of the data

rocessing may be preprogrammed in such wy manner

mit the required sequence, or sequences. will be pre-

ied in. a sequence Control section. The operator need

nly insert the card and secure it in place by pivoting a

ich I4 over the slot PP te hold the card in place.

‘hen a READY fight 146 comes on, the operator

ercly enters the new meter reading as transaction

tum. When the datum has been entered, a print light

Scomes on and a display window 16 shows the datum

Mered. Once satisfied that the datum has been cor-

cily entered, the operator depresses a PRINT button

}, and the transactor will accept the entered datum

Hautomatic processing. When the processing is com-

ete, a light 18 comes on. That light remains on until

CLEAR button 20 is depressed to clear the transuc-

1, or until the billing card is removed, at which time

¢ transactor is automatically cleared. The operator

pots the Iatch 14 forward away from a back stop Ida

jallow the card 10 to be removed. That removes

he from the system, except where necessary, such

in a dynamic store memory for preprogrammed

vences and/or data tables, if any, by releasing a

ing loaded microswitch depressed by the pivotal

ch 14 when its position against the stop 14a.

ata transferred to the bulk store memory 13 is

cked. If an error occurs in the process of storing the

a, the data is automatically restored until free of

or, or until storing has been attempted a specified

ber of times. If successful storing has not becn

ipleted by then, a record-crror light 19 comes on.

operator will then remove the card as usual and

tk it “error” for the central office to check or com-

¢ from the new meter printed on the card. If not

rectly printed, the new meter reading can be written

the card in pencil

rom the foregoing it is evident that the billing trans-

t shown in FIG. 1 is comprised of five major sec-

s a keyboard and read section, a sequence control

ion, a calculator section, a print section and a bulk

c¢ memory section. FIG 2 illustrates in a cross sec-

along a line 2—2 of FIG. I the general layout of

¢ sections. The sequence control and calculator

tronics sections are housed in a compartment 21.

tead and print sections are housed in a compart:

122. Batteries 23 are housed ina compartment 24.

(heads ase housed in a narrow compartment 25 on

side of the card 10 inserted through the slot TL. As

be described more fully hereinafter, cach print

is comprised of five 7-bar-segment printing sec-

S capable of numeric tine printing of five decimal

son clectrosensitive paper. The bulk store memory

wsed in a compartment 27. It is comprised of a

netic tape cassette 28 dhisen by a motor 29.

¢ data to be read from the card is stored in the

of punched holes in columns. To sense the

hed holes, clongated light emitting phosphorous

we disposed in a thin compartment JO over the

mns to be read, and photocells are disposed under

ad ina thin compartment 31, onc photocell under

20

25

>

‘a

4

each hele position of cach column of holes Slotted

puides extending along the sides of the card held the

card in proper postion for reading. The batch P4 heles

the card secure against a slotted bar 32 catendineg be-

tween the inner ends of the two slotted side guides

For convenience, eclectic meter treading snd billing

will be used by way of cxanmple, and not by way ot

louitation. The billing card shown in FIG. 3 consists of

# first portion JE separated from a sccond portion 32

by a perforated line 33. The name and address of the

utility Company is printed on the second portion to be

returned wiih payment, and only the name of the com-

pany is printed on the first portion to be retained by the

customer for his records. A space 34 is provided for the

transactor to enter the amount to be poid in the second

portion as well as a space 35 in the first portion. Spaces

46 and 37 are provided for printing the new meter

treading enicred into the calculator and the consump-

tion (difference between the new meter reading and

the previous meter reading) computed by the trunsac-

for. -

The card is not only a record medium for the bill, nt

is also a “page " out of the meter reader's route book.

On the first portion of cach card there is printed essen-

tial information from the route book pertaining to the

customer, such as the customer's name and address.

the customer's account number, the service period, and

a billing code or factor, K. The card may also have

imprinted thercon by the central office of the utility

company a meter identification number, a code ind:-

cating the meter location, and the previous meter reud-

ing. With this information, the meter reader can carry

out his normal function and using the transactor, pre-

pare the bill for immediate delivery at the customer's

add: css.

The first portion of the card has three ficlds of

punched columns: a meter identification ficld, ID, a

previous meter reading ficld, PMR; and a billing factor

or code ficld, K. These fields are prepunched at the

central office. For simplicity in illustrating a specific

embodiment of the invention, it is assumed that cach

ficld consists of five decimal digits, and that cach deci-

mal digit of a valuc from 0 through 9 is indicated by a

punched hole in a corresponding onc of ten rows con-

ventionally designated U through 9. In practice, a con-

ventional Hollerith card has 80 columns and 12 rows

The top two rows, usualiy designated 1) and 12, are not

used in the first cacmplary embodiment to be de-

scribed, but may be used in other embodimerts to

provide sequence control over the automatic operation

of the transactor.

The account number on the second portion is used at

the central office to post the payment. The number can

be reed optically for sorting. The amount to be paid

may alse be optically read for posting an incorrect

amount ts received, an opaque overlay can be printed

with the amount received Alternatively, the account

number may be prepunched in the second portion for

sorting ina fick! to the lent of the space 34. The amount

recencd would then be punched in the renaining col-

wins for automatic posting. In either case, the upper

left corner of the returned portion may be precut as a

means of checking the proper onentation of that por-

tion in the sorting and posting apparatus

The upper eft comer of the first portion is precut to

provide a means of checking proper oncutation of the

billing card when inserted in the transuctor of FIGS. 1

and 2. For cxumple, a microswitch may be mounted

ise“

Pees aes ¢

Fru eos.

5

neat the bar 32 at the one Commer of the card space not

intended to recenve the Cut commer of the card Tnserting

the card properly will then close the nuicroswitch and

apply power to the transactor. Hi the cut corner ts inad-

vertentl, inserted inte that commer of the card space,

the microssitch will not be closed, thereby forcing the

opertor te reverse the card in order to proceed That

microswitch is connected in series with the first micro-

switch rcfersed to hereinbefore, mounted in such a

position that it will be closed by the latch P4 only when

the latch is tin proper latching position against the stop

Ida. Thus. the card must not only be inserted properly

but also latched in position in order for the power to be

applied to the transactor, Removing a processed billing

cand automatically removes power to conserve the

limited power of the batteries

As will be described more fully hereinafter, the meter

reader Selects the comect card fora customer and in-

serts Ht into the billing transactor, That automatically

starts the programmed sequence of the transactor, and

preliminary steps are cartied out until the mew meter

reading, NMR, is required. The sequence ts then

stopped and the READY hight is turned on until the

meter reader has entered the new meter reading

through the keyboard into a keyboard buffer register

from which it is displayed in the window 6 using 7-bar

segment fight emitting diodes for cach digit position.

The PRINT light then comes on. When the PRINT

button is depressed. the new meter reading is stored in

a tape-buffer register. HW is nondestructively read out

from there and printed. It is also entered from there

into the calculator section of the transactor.

As will be more apparent from the following descrip-

tion of an exemplary embodiment, all data read from

the card is storcd in the tape buffer but not all data is

printed or is used in the calculator, such as the cus-

tomer ID number. Data that is to be printed is read

from the tape bulicr for printing, and data that is to be

used in the calculator is transferred to calculator regis-

ters.

Once the new incter reading has been entered in the

calculator, the previous meter reading, PMR, and the

billing rate, K, are read and stored in the tape buffer.

Both are entered into the calculator from the tape

buffer, and the previous meter reading is printed. Once

the consumption (A~NMR-PMR) has been calculated,

it is also stored in the tape buffer and printed. The

amount to be paid is thereafter computed, stored in the

tape bulfer and printed. For simplicity, in the first em-

bodiment to be described. a constant billing rate or

factor is assumed for each customer. although the rate

may be different for different classes of customers. UH is

athe assumed that the billing factor includes any appli-

cable tax rate. The amount te be paid is then simply the

product of consumption times the billing factor. He the

billing factor is not a constant, but decreases in steps us

consumption increases, the factor Ko may be a code

used to addiess a read only memory (ROM) for the

applicable rate schedule ‘The predetermined progiam

for sequencing operations of the calculator would then

he expanded accordingly, as will be described for a

second embodiment of the invention

The hinit as te what can be included in the bill is only

the number of columns on the card, and the extent of

Hansactor memory. In the first embodiment, nothing is

to be added to the basic bill so that transactor memory

snot required. only the bulk storage unit is provided to

Store cach transaction Hf there ts a balance duc from

a

a

~

tw

_—

—

30

35

40

45

50

58

60

ee 4932780

6

prestous bill at can bo proprmtcd en the Piling card

with mmstructioms ts the customer te add that te: the

amount to be pad fer the curecnt billing porrod

Once the billing card PO has been insericd mn the stot

HD and the hitch $4 is in pesition te secure the cand in

plaice, power ts apphad to the system as net Johercin

before. The first step is to bern reading the cand PIG

4 itlusteates in mere detail the Cand tead sections 30

and Jb, refered te with reference to FIG) 2. In the light

emitting seetion JO, a thin glass plate 40 ty costed with

a transparent electrode 41 ina uniform sheet A film 42

of hight emitting phosphor vacnum deposited over the

tansparent electrode is then coated with a dark dicles-

tric film 43. Metallic clectrodes 44 are deposited or the

diclectric film in elongated sections over the column

positions of cards to be read

A source of pulses 45, such as a relaxation oscillator,

energizes the Light emitting film with bigh negative

voltage through a PNP transistor OQ, and a step-up

transformer Ty. However, electrons are injected into

the light emitting film only when an elongated elec:

trode 44. is selectively connected to circu ground,

such as by a switch comprised of a transistor O, The

phosphor then emits light along the entire length cf the

selected electrode. That light passes through a hele tn

the card column positioned ovlow the clongated clec-

trade. A discrete photocell in a matrix detects the light

emiticd by phosphor

In the photocell matrix, there is one photocell for

cach hole position of cach column. Therefore, to reed

15 columns of 10 rows. there are 150 photocelis ar-

rayed in rows and columns. Each photoccll ts con-

nected between a metallic sheet 46 deposited on an

insulating substrate 47 and a separate transparent elec-

trode 48 running across phoiocells along cach row. In

that manner, sclectively energizing onc column clec-

trode 44 illuminates a columa of hole positions 0

through 9. Only one hole is punched in a columa-Con-

sequently, only onc row electrode 48 will conduct. thus

indicating the decimal digtt stored in the card column

Wuminated according to the position of the conducting

clectrode in the array. An amplificr 49 inverts and

amplifies the pulse produced

Referring now to FIG. §, a clock pulse gencratos 30

is turned on when microswitches S, and S; are closed

by the proper insertion of a billing card aad a proper

positioning of the card latching lever PA, as described

hereinbefore. The pulse generator may in practice be

the same sclf starting relaxation oscillator used for the

card reader as just described. A multivibrator. or other

pulse shaping circuit, at the output of the generator

provides the proper shape and amplitude for the chock

pulses. The nominal frequency of the clock pulses

CLR) thus produced ts 250 KEl7 for use im the system

ww be discussed with relerenee to FIG. 6.

A frequency divider $1 reduces the system clock tou

lower frequency clock (LECLE) such as 250 Hy, fur

use in driving a prog|eam counter §2 through a NAND

gate $3. A decoder $4 decodes the binary output of the

counter and provides timing signals T,, 1.. Ty Tes

used in controlling the sequence of operitions in the

system of FIG. 6. When more than one period of the

pulse train derived from the frequency divider SE ts

tcquired for the operation called for by a timing signal

T,. the complement 1° of the timing sigaal disables the

counter through NAND gates 35 and 86. The second

input terminal of the gate $6 is truc (1) until 1s time

to release the hold on the counter §2,

Pare ees

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me the operation ws complete. a sapnal mdicating

pletion, or otherwise tds ating that the program

woe Should be advanced to the neat step, releases

“hold” imposed on the pulses te the counter

ugh a NAND gate $7 and Mip-Nuops §¥% and §9. That S recon and check operation occurs at the end ai the gene

one by setting the fip- Mop 38 which enables the predetermined program and will be described heremat- oe,

PLECLK pulse to set the flip-flop $9. The first ter with teference to FIG. 9. Ee bee:

‘EK then gated out to the counter §2 then resets the At time T,,. when the least significant duit of the ID cor

flop $8. The gates $8 and §7 function as OR gites code ty stored in the tape bulfer. the program counter

¢ gate $3 functions as an AND gate. The gate $6! is disabled via gates 58 and $6 of FIG §. The timing

y provides the inhibi function. The flip-flop §8 signal T,, will also energize the reads byht 14 (RIG 1)

onds at its set and reset input terminals to a positive The meter reader then knows that the transactor hiss

ig step voltage. Consequently. all inputs to the gute power and as functioning He also knows it ts time to

ic normally positive (1) to hold the output at a enter the new meter teading, NMR. by punching the

itive (0) level. When a releasing signal drops one 'S proper keys of the keyboard 12. The keys only enter

Hicrminal to a negatne (0) level, it produces a rise the digits of the NMR into a bulfer repister 64 via a

he output terminal of the gate to a positive, thus decimal to BCD converter 6§ with the MSD first in the

lucing a positive going stcp voltage. Once released, Jeast significant digit (LSD) position Each subsequent

counter will receive Clock pulses and advance the digit entered shift digits already entered to the lett

ram sequence through successive steps until again 2° using the leading cdge of cach keyed Jigit signal to

bled via gate $$. trigger a timing corcunt 64a via an OR pote 644 to en-

he system organization of a card reader tape store, able the buffer register to shift in response to five fast

board entry and display. calculator and card printer Clock pulses from the generator S0. In practice. the

now be described with reference to FIG 6. A card timing circuit will be comprised of 2 counter which will

cr 60 implemented as described with reference to 25 meter precisely five shift pulses. te.. which will count —e

4, is energized when the switches S, and S, are five clock pulses and then reset. In that menner the etek

oJ, as is the rest of the system, but nu column is digits entered in the LSD position ere shifted i. the toes

inated until time Ty. At time T,, all system regis- direction of the MSD of the buller register 64 and «eee

and flip-flops are resect (cleared) except in the leading zeroes need not be keyed in ptricse

ence control section of FIG. §. Then at time T,, 30 For simplicity, it is assumed all digits ere displayed

istor Q,( FIG. 4) is turned on to illuminate column continuously through a five-digit code converter 66,

the card, thus initisvting a sequence for reading cut but in practice the digus may be Cisplayed serially in

e-digit meter code, D,D,D,D;D,, from columns repeated cycles. thus time sharing a one-digit codec

A converter 61 converts each decimal digit signal converter. Persistence of vision will provide a steady

4-hit code, B,-B,. 3S display if the display cycle is repeated every tenth of #

time T . the most significant digit (MSD) D, of the second are

t ID code read from column I ts stored in parallel Once the meter reader is satisfied he has entered the ee. sey

¢ MSD position of a thirty-digit (120-bit) register meter reading properly. he presses the PRINT bution tS Jee

ape buffer register 62. The next four digits of the to momentarily generate u PRINT signa! which sets the He

t code are then rcad in sequence and stored. The 40 flip-up 58 via the NAND gate §7 in FIG. §, thereby dation

nce is as follows unlocking the program counter: §2. That enables the +f ee

energize Column 1 counter to advance, but at the next count, a signal T,.' acti

- store Dy aguin disables the program counter. That signal also

- energize Column 2 transfers the content of the bufler register 64 (five

- sore D, 45 BCD digits) into the neat five BCD digit positions of gt ee

- energize Column 3 the first shift register in the tape buffer. That is mstun- ar

I sture D, taneous. In addition, signal Ty, enters the new meiet

- energize Column 4 reading (NMR) into a register (A) in the calculatuz 68.

- Store D, The program counter ts locked at tine T,, to permit the

- energize Column § SO slow process of printing the NMR out of the Lape buficr

- Store D, onto the card.

tape buffer register 62 consists of two shift regts- The card printer 69 to be described with reference to

as will be described more fully heremattcor with PIGS. 7 and 8 employs nom impact, clectroprnt heads

nce to BIG. 9, cach having 120-bit positions for bach bead is Capable of prmting five dapits ma tine,

g Si numbers, cach having five digits in BCD SS cach diyat is composed of seven bar scpyments bor

Lach number is stored in the same manner as the convicnce, only three 7-bar-segmeni printine sec

de, starting with the most significant digit, with ions are shown and connections ure shown coimpicte :

Successive BCD digit bemy stored ta the first for only the fast. at berg understood that other printing BoE Wes”

tin the neat least significant 4-bit posthons sections are similarly connected tor cach ditt position ie b

first register of the tape buffer register 62 ay © of a printing head The billing card ts sensitized for VE Nes FF

led with pates for selectively reading out the five clectroprmting cach digut with a Coating of ZnU on a (ola

umbers, in parallel by BCD bits, and in serial or conductive (carbon) film pe dusarhe

Toby BCD digit as needed. It is also provided with

for tecirculating the entire content of its 120-b9

ns for writing into one track of magnetic tape 63

cs by BCD digit and BCD bit without wny loss of

The second register is used to store a playback of

corded sequence of 120-bits for comparison with

3.932.730

8

the content of the first reprder in erder te cortinmn

comect Serage of data on the tape tn the exontet a

detected error, the system will again recerd on the tape

and check the recorded data. Sequence control for that

The head lustrated scheniatically in PIG. 7 consists

of «ceramic substrate 70 with sever aetalhe SEEIMCHES,

a through g, for cach digit) An eaghth “seemeat™ koas

provided for making a connection to the commen con-

ductive film on the card for the parting of a digit, The

common conductive film for cach digit ws indicated bs

9

a dotted bre outhneng the arca of the print head which

is in contact with the chpit punting area on the cand

which cathe. the conductive film Common leads 71

are employed to select the digit positions for printing in

sequence, While segment leads 72 are employed to

select the segments a through ¢ to be sequentially ener:

gized for cach digit printed: An alternative arrange-

ment would be to have a conductive film common to all

digit positions, and separate logic for selectively encr-

gizing the 7-bar segments of cach individual chit in

sequence. In cither case, the current through selected

segments and the metallic film darkens the ZnO film

and thus prints only in the areas covered by the se-

lected segments.

Referring now to the curd printer control logic shown

in FIG. 8, a tape buffer select unit 73 in the printer

responds to the sequence timing signal T,; to select for

printing the five BCD digit positions (20-bit positions)

of the tape buffer into which the new meter reading

(NMR) is entered The sequence timing signal T,, also

enables AND gate 74 via an OR gate 74a to transmit

low frequency clock pulses from a frequency divider 7§

to a print segment counter 76. The frequency divider

75 reduces the low frequency clock, LFCLK, to a sulfi-

ciently low frequency, such as 25 Hz. to permit printing

through a selected clectroprint head from a group of

heads 77, 78, 79 and 80 for the respective areus 34, 35,

36 and 37 shown on a card in FIG. 3.

The print segment counter 76 is a 3-bit binary

counter, the output of which is decoded by line scg-

ment select decoder 81 to sequentially gate through a

bank of AND gates 82 line segment signals to segment

leads of the print heads via line segment drivers 83. The

line segment select decoder is simply a logic network

for converting the binary output of the countcr 76 into

a decimal code where only one of scven lines is encr-

gized for cach of the binary counts from 001 through

Ht.

After the last segment g of the first digit has been

selected for printing, if necessary, and the counter 76

cycles to the zero state, an AND gate 84 is enabled to

transmit a clock pulse from the frequency divider 75 to

a digit print counter 8§ implemented as a ring Counter

having five stages, the first of which is on when the

counter is in the resct state in order that a signal PD, be

transmitted to select the first of five digits to be printed

through the first one of five common leads 71 (FIG 7)

In that manner, the first digit is printed before the AND

gate 84 transmits a clock pulse to advance the digit

print counter to its second state during which a signal

PD, is transmitied to sclect the second digit. The se-

quence is repeated until all five digits have been

printed

A digit select network 73h responds to the sipznals

PD, through PD, to sequentially) gate the BCD digits to

a BCD to 7-bar code converter 73. In that manner the

tape buffer select unit 73 couples a sclected group of §

BCD digits to the digit select network which transmits

the four bits of a selected digit to the code converter for

printing

After the fifth digit has been printed and the print

seement counter 76 overflows, be,

Mate, the neat low frequency clock ts) trinsmitied

through an AND gate 8§ ay a print complete signal, PC,

fo the NAND gate 57 in FIG. 6 to uniock the program

counter

The output terminals PD, through PD, of the print

digit counter RS are connected to a print area select

returas to the zero

2

—

40

60

3,932,729

10

logic network 87 which permits the prt dist Counter

to cnerpize m sequence the Common leads TENG 7)

of the pont bead for the area JO CEIG 3p an response te

the timing signal T,, At time by. eben the Gorsump.

tion €3> NMR-PMR) ts te be printed. the sipmals PD,

through PD. are effective to select fer printing dopits

through the print head for the ares 37 OEIG Fb That ts

accomplished through one bank of AND gates enabled

by the signal Ty, to transmit the signals PD, through

PD, to successive ones of the common tines TE CFIG 7)

for the head of the arey 37. Timing signals 7 ., and Ty,

are similarly eflective in causing the amount to he paid

in arcas 34 and 33.

Once printing of the new meter reading ty complete

and the program counter $2 advances to the count of

Ty, at the output of the decoder $4, a sequence is nite

ated for reading from the card the previous meter read:

ing, PMR. The sequence is carried out during the im-

ing periods T,, through T,, where the odd toning pert

ods are used to sequentially Huminate columns 6-10 of

the card and the even timing periods T,, through T,;

are used to store the decimal digits read and converted

to a BCD code mto the five BCD diyit positions (20-bit

positions) of the first register in the tape bulfe.

The PMR tread from columns 6-10 of the card is not

printed on the billing card by the transactor If the

PMR is to be printed in that portion to be retained bs

the customer for the customer's information, t may be

printed on the card at the time that it is punched into

columns 6-10. Consequently. curing the next sequence

timing period T,, the calculator 68 enters the PMR tn a

register (Q) in paralicl This is possible by having the

appropriate 20-bit positions of the tape buffer con-

nected to input terminals of u designated register in the

calculator for parallel entry in response to the timing

signal T,.

The next timing signal T,, commands the calculator

to subtract the PMR in the Q-register of the calculator,

from the new meter reading, NMR, in the A-register of

the culculutor, and to store the difference. A, in the

A-register. The next timing signal T,, causes the differ:

ence, A, to be copicd in parallei into the neat fire BCD

digit positions (20-bit positions) of the first register in

the tape buffer, without destroying the difference in the

A-register in order that t may be multuphed dy the

billing factor. That is accomplished by simply copying

the content of the A-register at that Ome direct!y into

predetermined positions of the tape buffer register

through prewired gates

The neat timing signal Ty, initiates ready out the

billing factor from the card inte the tape buffer That as

accomplished durimg the successive timing periods

Tae Ta,. During successive even periods columns PL-1S

of the billing card are sequentially dluminated and

during the odd taming pertds, the successme BCD

digits are entered into successive BCD dit: pesitions

(4-bit positions) of the first register in the tape buller

The next timing sapnal Py. disables the program counter

via the pates $8 and §6 and causes the billing fictor, kK,

to be transferred on parallc! from the appropriate bit

positions of the first register in the tape buffer to a thud

Q register of the calculator

the timing signal Tye ts alo apphed to the ay puffer

select unit 73 and print atca select unit 86 to print the

difference, A, in the area 37 of the billing card before

the amount to be paid ts computed That ws accom

plished in the same manner in which the now meter

reading was printed in the areca 36 of the billing card

pt” “eset ®

. -*

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ee

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3.932.730

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action 8 Started by the pumt sepmeot countor 76a

wnse to the Veretnag sipnal Ve appiied te the AND

Movi OR pate T4a When printing 1 complete. a

1 PC unlocks the program counter via the NAND

67 as before

should be noted that for simpheity it ns assumed

all five digits are printed, including the leading

s, but im practice, additional logic may be pro-

J for suppressing the leading cetoes and initioting

xtual printing process with the most significant

vow digit, During thes penod of suppressing lead:

eres, the timing sequence of the pronter could be

erated Yoosave time, but the time to be saved

J not normally yustity the additonal complearity of

ontrol logic, However, it would suill be advanta-

sto suppress the actual printing of leading zeroes

der to suave the power that would be wasted in

ing such leading 7crwes

should also be noted that the time in the pro-

med sequence during which the difference is

cd is not important MH could just as casily have

printed before reading out the billing factor, K, or

red until after the amount to be paid is computed

hen printed, either before of after the amount to

sal is printed

¢ next timing signal 7,- initiates a multiply com-

Jin the calculator to cause the difference in the

ister to be multiplicd by the rate factor in the

sister through successive paralle! additions of the

ence a number of times as designated by the bill-

iclor, and storing the partial products. To assure

vent time for thes multiplication. the timing sgnal

subles the program counter, When the multiplica-

s complete, the calculator generates a muluplica-

complete signal, MCP, to unlock the program

oy through the NAND gate $7.

ere are many known ways of implementing the

plication process. For simplicity, it ix here con-

lated that a third register, which may be referred

the M-register, is provided in the calculator and

mented as a counter which counts down one for

addition step of the multiplication. The first step

‘multiphcation process ts to transfer the consump-

4. into the M-register at time Ty. The M-register

s the content of the O-register to be added to the

nt of the A-register one time cach time it counts

onc, thus building up the product in the A-regis-

\n advantage of this technique is that in the case of

ple billing factors to be applied according to a rate

lule, such as one billing factor for the first 40

|. another for the neat KWH ete. t would be

¢ to step the multiplication at the proper ime and

another billing rate

next timing signal 1 initiates a parallet transfer

duct of the multiplication, ic. the amount to be

AMT, from the A-repister to the neat five digit

ons of the first register in the tape buffer The

er isan parallel through prewired gates enabled by

ming signal Ty.

y MCKE timing signal Ty. disables the program

er and initiates printing on the Silling card the

mt to be paid fiom the tape buffer Because of the

nt of power required to print cach segment of a

on the billing card, and the limited power pro-

by the batteries in this portable transactor, the

Mt to be paid is first printed in the areca 3S of the

E code. The signal T,, sclects the five digit print

for the area 3S while the signal Ty directs the tape

20

25

\

<4

“ab

al

40

S¢

$s

6

=

65

12

boffor sclect wnat 7A throuch an OR pate 72a te prot

the amownt to be par i the same manwer as the no»

Mater teadimg, NATR. promted mn the area JO and thy

difference, &, printed wm the area 37 labled “consump:

ton”

After the print sequence ® complete, 2 signal PC

gencrated by the print contre? unit unlocks the pro.

gram counter which then advances to the neat count

Tae and again locks for another prmting evele, thes time

to print the amecnt te be pan in the area 34 through

the print head for the ares 34 selected by the sipnal Toy

while the amount to be paid ws agam selected by the

tape buffer select unit 73 CEIG. 8) as directed by the

sipnal Ty. through the OR pate Tle

Each time the amount to be paid ts pemted the print

ing sequence iy Commenced when the print seement

counter 76 Ws enabled to receive clock pulses through

the AND gate 74 by the timing signals Tye and Ty, sta

the OR gate 74a. Although not shown, tis understood

that the print segment counter and privat digit Counter

are tese, by the print complete signal even though

those counters have by design reeycled to ther reset

State in order to assure that the neat printing sequence

does start with those counters in ther reset state

When the amount to be paid has been printed the

second time, the print complete signal, PC, unlocks the

program counter, and the next timing signal, T,,. re-

jocks the timing counter via the NAND gates 335 and

$6. The signal T,, also initiates transfer of the data

stored in the first register of the tape bufler into the

magnetic tape.

From the foregoing ut is evident that in this first em.

bodiment, a fixed program is provided by the program

counter. The sume organization can be used im other

embodiments where the sequence of operations ts con-

trolicu by stored operation codes read from the billing

card, or read from a random access memory aus in a

conventional programmed digital computer

The organization of the calculator will now be de-

scribed with reference to FIG. 9. It as essentially the

organization of a conventional arithmetic unit m a

programmed digital computer. It contains an A-register

90 used as an accumulator during all arnhmetic opera-

tions, a Q-register 91, an M-register 92 and a purallc!

adder/subtracter unit 93. When the previous meter

reading in the Q-register is subtracted from the new

meicr reading at time 7,,, subtraction logic is enabled

in the unit 93. The difference. A, is stored in the A-rep-

ister. At tims is¢, when the billing factor K wy entered

into the Q-register, the content (4) of the A-repisicr ts

transferred to the M-register 94 for use as a multiplier

during multiphcation. The product is developed un the

A-tepister

In the case of electricity, a typrat nate factor may be

§ 825 cents per kilowatt howe Therefore, the multiph:

cation called for would be, for example. P7TSKWH >

WOSS82S. The multiplication cared oot dunng time 1):

is initiated by setting a JK Myp-Mop 98 to repeatedly add

the contents of the A and Q-repesters, and to store the

sum of cach addition in the A-register Each addition

occurs in fesponse to ce low frequency clack, LECER,

which ws counted down tn the M-repester through a pate

96. When the M-repister has counted down to one. a

decoder 97 detects thas Condition and enables the neat

clock, LECLK, to reset the fap Mop 95. The product os

then in the A-register. A gate 98 also iransmats a clock

pulse as a muliiplicaution complete sipnal, MCP, to the

NAND gate 37 (FIG 2)

13

Phe A tepeter and sddition dogic ts suffictenth long

to meemodate the Ligest product anticipated without

ovcifow Should an overflow (Caray) from the MSH

pesition of the addition dogic. a Mip-fMop 99 wall be set

by the SISK carry sipnal to energize an overflow Limp

OVE until the transactor t Cleared and the Mip Mop 99

isteset, Parallel addition ts contemplated in this exem-

plary embodiment for simplicity However, in practice

it may be desirable to perform addition and subtraction

in series by BCD digit and in parallel by binary digits of

cach decinal digit. The fast clock, CLK. could be used

to sequence the successive steps of cach serial addition

or subtraction

The product formed in the A-register is with a fixed

decimal point. In this exemplary embodiment, the deci-

mal point would be five BCD places from the right.

Upon printing out the product as the ameunt to be

paid. only two decimal places to the right of the decr

mal point are printed. The balance, which ts a fraction

of one cent, is ignored If desired. logic could be in-

cluded to round off at the tine of printing

FIG 10 illustrates the control logic for recording on

tape. The timing s:Zuai Ty, sets a flip-flop 100 to turn

the tape motor on, and enables a NAND gate 101 to

transmit clock pulses, CLK, to a delay counter 102.

The purpose of that counter is to delay transfer of data

to the tape until the tape is up to speed. At the end of

the delay period, a Mip-Mop 103 is set to start recording

on tape the content of the first register in the tape

buffer unit. The first and second registers in the tape

buffer unit are shown as two 120-bit registers 104 and

105.

The flip-flop 103 enables a NAND gate 106 to trans-

mit system clock pulses, CLK, to the shift register 104

and to a synchronizing and amplifying unit 107 for

Moring cach binary digit shifted out of the first tape

buffer register on tape The data is preferably shificd

out in the order stored in the register with the most

significant bit of the MSD of the meter ID first.

A bit zero is stored on the tape as a short pulse less

than half the period of a clock pulse (about onc-

fourth), and a bit one is stored as a longer pulse more

than half the perwwd of w clock pulse (about three-

fourths) through a write kead 108. A counter 107

counts the clock pulses applicd to the register 104.

When 120 clock pulses have been counted, the counter

109 resets the Mip-Nop 103 to complete recording one

time.

A read head 119 positioned downstream from the

write head senses the pulses recorded through the head

108. An amplifier IED and pulse shaper 112 restores

the pulses read to substantigly the shape of pulscs at

the output of the amplifier 107. A detector 113 detects

the leading edge of cach recorded bit from the ampli-

fier TN to produce a sharp self-synchronizing pulse

and delays it half the period of the clock pulses in order

Wo effectively strobe the output of the amplifier TEL at

the center of cach bit period Te accomplish that, the

Uelayed pulse as applied to the shift register Wea short

pulse is present at the output of the amplifier. indicat-

ing a bit O read. the pulse from the detector 113 shifts

abit O inte the register 108. Ifa long pulse is prescnt at

the output of the amphfer, mihicatiog a bat DP tead. the

pulse from the detector 113 shifts a bit 1 into the regis.

ter TUS,

Other self synchronizing record and playback sys

lems may be used. such as semply recording the chock

Pulses in second channel in parallel with binary digits

393).

—

-

25

_

-

45

5¢

60

GS

7M)

14

Pomp recorded. wang sider. side wote beads Th.

Glock pulses may then be read ina second teod head

Heside the read head PIO. Howes, the er accu

lent self ssnchromzing record and phastuck sssiqn os

prefered te asend doubling the number ot tout beads

and having to mamton precise spacing betwen beads

of cach pan

A sccond 120-bit counter 114 counts the self syn-

chronizing clock pulses out of the detector PLA to de-

termine when playback of the reconded data is con

plete When complete. a flip Mop PES is set siaia

NAND gate 116 te enable a MAND gate P17 te trans

mit systea. Clock pulses te both shift registers 104 and

10S. therchs shifting both through « comparstor 11K.

When 120. bits have been shitted through the compara-

tor by clock pulses counted by the counter P14 sia an

OR gate 119, the Mip-Mop PES is reset via a NAIND pate

120. The comparator is also enabled by the fip- fey

11S.

The comparator is comprised of an exclusive OR pate

which indicates an error if its output is ever true while

the paired bits are being shifted through it from the two

registers. If so. a Mip-Nop 121 ts set At the end of the

120-bit compare period determined by the counter

114, and while the flip-flop TLS is being reset. the Mip-

Nop 103 is set. via a NAND vate 122 and an OR gate

123, to initiate another recording and playback cycle

At the same time the fip-Nop 121 ts resect and « counter

124 is incremented to a count of one. Ifan error occurs

again during the second or third time, the counter 124

is incremented cach time Hf incremented to a count of

three, a decoder 125 detects the count and signals

RECORD ERROR to turn on the “record error” lamp

19 (FIG. 1). The meter reader may manually clear the

error signal by pushing the clear button, but that is not

necessary because the transuctor Clears itscl! sutomat-

cally ut time T, of a new sequence for the next billing

card. After pulling out the billing card just processed

with an error in recording, he munually fills out a duph-

cate billing card to return to the central office for

checking at the central office. and proceeds to deliver

the billing card just pulled out

If no crror occurs during the first, sccond of third

recording cycle, NAND gate 126 signals NO ERROR

That signal, or the ERROR signal, unlocks the program

counter vis OR gate 127 (FIG 9) and NAND gate §5

(FIG §) The neat timing signal T,; then turns on the

complete lamp 18 (FIG 1). Upon removing the billing

card, the complete lamp is turned off as al! power is

removed from the billing transactor

In the foregomp descnption of a first exemplary em-

bodiment, a constant biiling factor was assumed for all

of the consumption of a customer That ts often sot the

case, as will now be described for a second emrods

ment of the mvention with reference to PIG Tt. In-

Stead, a iypical monthly bil tor clectrcits may be com

puted in eccordance with the following charges

Porst 400 WHE wt S878 comm par KWH

Root 4 KWH ats O78 cents par hw

Reat 140 KWH wt 7 824 cen per AW

Noat TON AWE at 2 OS cents per AWE

Addin KWH WE OTS conte por AME

Toaccommodite such a nate structure, which may be

Different for different classes of customers. the nate

factor, K.is not entered into the O register of the caleu-

Liter for computing the bill Insicad. the number Kot

used us u Code to address uw rceuadunly memory (ROM)

*

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Guhere the apoicable tate schedule se: wed Con-

quently, at tne Ty. the number Kor stoned man

repister PAT.

nthe modified calculator shawn in PIG TL, the

mponents Common to the first cabedinent are iden-

cd by the same seference numeral, but distinguished

a prime for cach reference numeral

The number in the X-register points to a block of

cose memory Jocations which Contain the rates to

apphed te successive increments of Consumed © lec-

‘al power. Consequenth . when the timing signal ,-

sthe Mip-Mop 95° to imitate mulupheation. a flyp-

p $32 is set via an OR pate DAS to enable the rate to

read out from the location m the ROM specified by

N-register in response te the next low frequency

ch which also resets the Mip Mop 132 via an AND

¢ 134 and increments the X-register to the addiess

the neat sate That same clock pulse. LECLK. sets a

flip-up 138 to enable an AND gate 136, und

reby enable the adder-subtracter to respond to sub-

vent low frequency cieck pulses, LECE RK. for multt-

ation by successive addition of the first rate factor

mthe ROM to the content of the A-register, which

ony times for the first 40 kilowatt hours, unless the

rcpister 94° which counts the number of additions

counted down to one. in which cause the decoder

causes the flip-flop 98° to be reset with the next

ck, LFCLK. to stop the multiplication after the next

ition

ssuming the M-segister has not counted down to

multiplication by addition continucs with a new

efor the next 40 kilowatt hours A counter 137

ints up the number of additions by counting the low

quency clock pulses. LFCLEK. via wu pute 138. When

number 39 stored with the rate of § $24 cents per

'H and read from the ROM is detected by a deco-

detector 139, the Mip-Nop 13S ts reset by the next

CLK pulse The 40th addition is thus initiated. The

ding edge of the O output of the Mip- Mop 135 sets

flip-flop 132 via OR gate 133 to permit the next

CLK pulse to: reset the Nip Mop 132; enter a new

: from the ROM: set the JK flip-flop 135 to allow

lipheation to be resumed with the following

CLK pulse, and increment the X-register P31 to the

hess of the next rate) Multiplication then continues

‘efore until the decodes 96° stops after all kilowatt

shave been multiplied by arate factor, or until the

oder/detector 139 stops mo momentarily when the

h kilowat hours is being multiphed in erder to tread

the neat tate together with the number Jb ie oe

dim the decoder/detector 139. Wheo the het rate

been read out, the muluphication process continues

the Maregister count. down toone To assure that,

cealive one ts stored wath the bast rate and toad out

he decoder/detector which obviously fails to detect

cpatise one as the counter 137 counts up The nest

CER pulse initiates the Last cyete of addin the Last

‘facton im the QO tepister to the accumulotcd total in

A-vgister and resets the ip flop 98% At the same

C. the gate 98" transmits a multiphcation complete

ll, MCP, to the sequence control section to ad-

ce the program counter to Ty.

hese embodiments may be modified to aecommo-

P additional factors which make up the monthly bill

iMeryecting additional sequenced operations For

mple. if there is to be a minimum of $1.00, the net

just computed may be compaared at time Ts, with

minimum, and the larger amount seiccted as the

'

w

su

60

lt

ameunt te be pard Phat weadd require only one

PEC TAR penod. and would therefore merels shift ail the

Manny Operabons ocr one timing period of the

program counter. Soll other operations can be added.

such as reading a previous balance from the cand and

whine te the cortent monthly bill The sum would

then be printed as the amount to be pant However, as

additional factors are included the complerity of the

system hardware increases: Ht then hecomes advarta-

geous to omplement as much of the hardware as poss:-

ble with software That can be donc. for example by

including solid-state camlom access memory (KAM)

for stoning both instructions and data fora sequence of

operations tiilored te cach customer using standard

subroutines Mored and called as necessary. such as the

billing cate schedule for the customer, nanimum billing,

previous bulance. und se forth, The customers ID

would simply be used to call out the applicadle block of

instructions and data

Because modifications and sanations falling within

the spirit of the invention will occur to those sbilled in

the art, itis not intended that the scope of the invention

be determined by the disclosed exemplary esobodi-

micnis, but rather should be determined by the breadth

of the appended claims

What is claimed is

I. In a portable billing traasactor for entering and

processing a uliity service Uamsaction, and printing a

bill on a record medium for immediate delivery to a

customer, said service being measured by a meter read

by a person for manual entry, suid mediem having

information necessary for computing the bill in prede-

termined arcas, suid information including the previous

meter reading and a rate code, the combination com-

prising

means for accepting said record medium and holding

it in vw Static postion during a billing transection,

calculating means for performing arithmetic culcula-

tions on data coupied thercto under clectronic

control, said calculating means including first and

second arithinctic registers,

means for reacting data from different predetermined

arcas Of suid record medium at different controlle J

lines;

means for printing data on different predetermined

arcas of said record medium at different controiled

tines,

a buffer register for storing said new meter reading.

keyboard means for manually cotezing said new

meter steading iata said buffer register for display,

keyboard means for manually producing a print com-

mand, ;

means responsive to sand print command for coupling

sid net mewn reading as diplived from saad bufter

repuster into san Calculating means,

a sonice Of clock pulses.

aeready light aad means for disp Lasing said new micter

rocuding entered mto saad baller regester,

sequence Controbmcans including a program Counter

responsive to sai source of Clock pulses for suty-

matically controlling said calculuting means, read-

ny means and prating means through predeter-

mined coordinated operations once sand uccepting

means Has recesed a tecerd medium in said static

position. said Coo dinated operations comprising

energizing said reads bepht to cai for manual key-

board entry of sad nea meter reading inte suid

buffer register after sand holding meens has uc-

=

17

cepted send record medium and said record me-

dium ts boing beled wn a static position:

energizing sad dr play means to call for a manual

hesbound production of said print command to

cause said new meter roading to be printed on

sud tecond medium and to be coupled inte said

first one of said arithmetic registers,

reading said previous meter reading from a second

predetermined area of said record medium into

said second one of said arithmetic registers when

printing of said new meter reading has been com-

pieicd,

computing a difference betwcen said new meter

reading and said previous meter reading. and for

storing the difference in suid first one of said

arithmetic registers,

printing said difference in a preselected area of said

record medium,

reading said rate code into said calculating means,

computing the amount duc from said difference

and said rate codec;

printing said amount duc in a preselected area of

said record medium.

2. Apparatus as defined in cluim 1 including address-

yble means in said calculating means for storing a plu-

ality of rate schedules, each rate schedule consisting of

a plurality of rate factors accessed in sequence upon

addressing said addressable means by a unique codec,

and wherein said rate code read from said record me-

dium constitutes said unique code, and further includ-

ing means for multiplying successive predetermined

—

—

~

20

—

x

35

40

45

$0

55

60

65

18

toements of said difference by successive ones of sand

tate factors in calculating said arount duc

3. Apparatus as defined m cham Pow hetem said infor.

mation promcerded im predetermined areas moludes a

customers identification number and sam sequence

control means includes coordimated control of the op-

eration of reading sau! customer identification number

from a predetermined area. and sand appatatus includ-

ing nonvolatile bulk storage means for recordmy trans.

action information including said customer's Wentifica

tion number, previous meter reading new meter tead-

ing. difference betucen said new meter reading and

said presious meter roading, and the amount duc

4. Apparatus as defined in claim 3 wherem said nen

volatile bulk storage means includes a buifer storage

means for temporary storage of said transaction infor.

mation as it is read from said record medium: and as it

is Computed, and a magnetic tape into which the con-

tents of said buffer storage means is transferred as the

last of said coordinated operations under control of

said sequcace control means

5. Apparatus as defined in claim 3 including address.

able means in said calculating mesns for storing a plu-

tality of rate schedules, cach rate schedule consisting of

a plurality of rate factors accessed in sequence upon

addressing said addressable meuns by w unique code,

und wherein said rate code read from said record me-

diuin constitutes said unique code. and further includ-

ing means for multiplying successive predetermined

increments of said difference by successive ones of said

rate factors in calculating said amount due

» * * * *

co

—: ‘—_amee

4 . $

Hi t he

eS ae o

‘United States

Jones et al.

Patent

[19]

pit]

145]

3.956,740

May II,

1976

—_

—— .

Tye wy

4 . = . omen ae on . ° - “f ee

[$4] PORTABLE DATA ENTRY APPARATUS ein:

[75] Inventors: Michacl Dale Jones; David Alan Prmary Exanuncr—Gareth VD. Shaw eS

Sobran: Cort Taylor Wright: Assistant Examiner—James D. Thomas tain

William Siesan Oe Jr. all of Attorney, Agent, or hirmm—Arnold, White & Durkee

Houston, Tex.

[73] Assignee. Telon Corporation, Houston, Tex. 157] ABSTRACT

[22] Filed: Nov. 29, 1974, An improved portable dats entry machine ts disclosed.

wherein data may be keyed, viewed for accuracy, te-

{21} Appl. No: $28,441 corded on maprctic tape, recalled from magnactic ———

tape, and telephonically transmitted for data process- peel:

I ais scencjpenecbcinsavemce 340/172.5; 3600/4; ing. Improvements include a search feature to locate Po pbets

260/72; 235/616R previously recorded data, an automatically controlled soe

SN MA TI tonisvscinticonsinnes GOOF 13/00; GOGF 13/04; power switching unit to prolong the times that batter. a

GIB 5/00: GIB 15/18 ies may be used prior to recharging, microcomputer

; 4 4 5:2? controlled circuitry to prevent attempted data enter:

{58} Field of Search.......0..0.0..... 340/172.5; 235/152, trolled y to pr pled d

235/156, 64.6 R, 3600/4, 72 under low-battery conditions, an clectronic shutdown

to prevent cell reversal, a voltage reference techoiygue

% ; © minimize the power drain from the batteries, a

[56] References Cited t the po | f the |

UNITED STATES PATENTS unique mechanism und circuitry to preclude the imiad- yeoman

: vertent destruction of data, a low cost modem for feet oe,

anes tas ans oe csonensnensnasnenecenes enseeees weet communicating entered data ty a remote location, an Ls AS An

meg eed ee ang aaa sean automatic interlock for the tape compartment. a Pete?

1760098 9/1970. trwin.. nn, Sa0/172.5——_ehly effective display technique. a novel high voltage panimdonis

RIMAI2 PNVOIR WaewWer neecccees ceccceneeneeeen 340/172.5 POWEr supply, and an oUL-of-scyucnce detector,

SRIGOI0 — OFNO PH AMG anna snc ccccnsccccsccnecene 235/156 Ree oar ae

VA2VIBE — WAVTA Chaban ccsceesecoee 340/172.5 4 Claims, 26 Drawing Figures

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UNITED STATES PATENT AND TRADEMARK OFFICE

CERTIFICATE OF CORRECTION

INTO. : 3,956,740 CAR a

af May 11, 1976 Pecaters tba

ENTOR(S) : Michael Dale Jones et al

itis certified that crror appears in the above-identified patent and thal said Letters Patent

ereby connected as shown below:

. 2, line 48, change “per" to --power--. gre eS:

. 4, line 13, insert --MODE-- after "the". Be AES

4, line 43, change "drive" to --drives--. td teers

5, line 30, delete “optical” and insert --optional--.

line 1, insert --modulus-- following "either".

line 57, delete "happening" and insert --beginning--.

line 3, delete "SEN" and insert -~SEND--.

21, under ROM Number 6-continued, delete “Addresses

0 to 127" and substitute ~-Addresses 128 to 255--.

the first printed page of the specification, add --John ae

M. Humphreys of Dallas, Texas-- as an inventor. BS PR et:

Signed and Sealed this i aes:

Twenty-fourth Day of August 1976

boa)

~

—

. . . .

ao oO

- =

Attest:

6 eS RE cll -

RUTH C. MASON C. MARSHALL DANN Sn ae

Attesting Officer

Commissioner of Patents and Trademarks 7 atnae ob beaty

016

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ca Peet SS top yt sping cetstiagheeiy eee eae aio ne AN ‘Ze Rr ae: Gn tate Sige Be SI ep ngne

1

PORTABLE DATA ENTRY APPARATUS

BACKGROUND OF THE INVENTION

|. Field of the Invention

The present invention relates to improvements in

portable data devices of the type wherein data may be

keyed, viewed for accuracy, recorded on magnetic

tape, recalled from magnetic tape, and telephonically

transmitted for processing.

2. Description of the Prior Art ;

At the present time there are various types of data

collection systems in use for collecting and recording

various types of data. Data that is collected by these

systems is usually transmitted by conventional means to

a central computer for further processing. These data

collection systems are especially uscful to supermar-

kets and drug storcs as a means of ordering merchan-

disc.

Onc type of data coilection system developed to date

generally uses a modified adding machine as an input

device to a recording medium. These types of systems

are usually cumbersome to use, since carts are required

to transport them. Furthermore, these systems require

conventional 110 volt electricity for operation, Icading

to awkward power cords and limited mobility.

Portable data entry devices have been dew.loped to

alleviate some of the problems associated with the

above devices. These portable devices have. not, how-

ever, provided total ficxibility. Morcover, they have not

provided sufficient safcguards against un-noticed oper-

alor error, e.g., inadvertent deletion of data, and they

have been too complicated for many users to opcrate

correctly and consistently, especially untrained per-

sons.

SUMMARY OF THE INVENTION

The present invention overcomes the shortcomings

of the prior art without sacrificing light weight or porta-

bility.

The system provides for recording data on a tape

cassette in a portable casc, which also includes a mi-

crocomputer sct and baticrics. A hand-held keyboard

input unit, including a display. isconnecited by a.cable

to the case. In one aspect of the invention, circuitry is

provided for gencrating a signal when the battery volt-

age is below onc predctermincd level. The signal is

inputted to the microcomputer set, which generates a

signal sequence to the display, indicating the low-bat-

tery condition.

In another aspect of the invention, the baticrics arc

automatically electronically disconnected when battery

voltage drops below a second predctermincd level. This

feature is part of the “duta integrity” theme of the

invention.

Various components are powercd and shut down as

functionally required, thereby prolonging battery life.

An important aspect of the present invention is that it

permits, upon operator key command, a re-winding of

the tape and an automatic search for a signal pattern

corresponding to a coded item chosen by the operator,

or, if the operator so elects, an item-by-item scan of all

Previous entrics. Additionally, the three previous

entrics at any given time are storcd in memory, and

may accordingly be reviewed without moving the tape

at all,

$

20

25

30

35

45

50

$5

60

65

3,956,740

2

BRIEF DESCRIPTION OF THE DRAWINGS

In the accompanying drawings:

FIG. 1 is a perspective view of the portable apparatus

of this invention.

FIG. fa is a more detailed view of the keyboard unit

90 of FIG. 1.

FIG. 2 is a block diagram illustrating the electrical

arrangement of the system of this invention.

FIG. 3 is a schematic diagram of the power supply

circuitry of the system of FIG. 2.

FIG. 4 is a schematic diagram of the powcr-switching

circuitry of the system of FIG. 2.

FIG. § is a scibematic circuit diagram of a microcom-

puter set of the system of FIG. 2.

FIG. 6 is a schematic diagram of clock gencration

circuitry of the system of FIG. 2.

FIG. 7 is a schematic diagram of the port selector

circuitry of the system of FIG. 2.

FIG. 8 is a schematic diagram of the input port cir-

cuitry of the system of FIG. 2.

FIG. 9 is a schematic diagram of the output port

circuitry of the system of FIG. 2.

FIG. 10 is a schematic diagram of the read-write

circuitry of the system of FIG. 2.

FIG. 11 is a schematic diagram of the dcck-motion-

centrol ciccuitry cf the system of FIG. 2.

FiG. 12 is a schematic diagram of the alarm clock

circvitry of the systeny of FIG. 2.

* FUG. 13 is a schematic diagram of the alarm circuitry

of the system of FIG. 2.

FIG. 14 is a schematic: Giagram of the bit ccll timer

circuitry of the stem of FIG. 2.

FIG. 15 is a sch matic diagram of the emitter detec-

tor civcuitry of the system of FIG. 2.

FIG. 16 is a schematic diagram of the delay circuitry

of the syster: of FIG. 2.

FIG. 17 is a schematic diagram of the segment sclec-

tor circuitry of the system of FIG. 2.

FIG. 18 is a schematic diagram of the digit sciector

circuitry of the system of FIG. 2.

FIG. 19 is a schematic diagram of the keyboard

switch and interrogation circuitry of the system of FIG.

2.

FIG. 20 is a schematic diagram of the high voltage

powcr supply of the system of FIG. 2.

FIG. 20a graphically shows the output wascform of

one component of the high voltage per supply of FIG.

20.

FIG. 20b is a simplified schematic diagram of the

high voltage power supply of FIG. 20.

FIG. 23 is a schematic diagram of the powcr saving

circuitry that is used in conjunction with the high volt-

age powcr supply of FIG. 20.

FIG. 22 is a schematic didgram of portion of the

modem circuitry of the system of 11G. 2.

FIG. 23 is a schematic diagram of the portion of the

modem circuttry of the system of FIG. 2 which inter-

faces an acoustical coupler.

DESCRIPTION GF THE VREFERRED

EMBODIMENT

it will be appreciated that the present invention can

take many forms and embodiments. The truc essence

and spirit of this invention are defined in the appended

claims, and it is not intended that the embodiment of

the invention presented hercin should limit the scope

thercof.

O13

as

ot . s 5

bent ~

o Cate a *:

3,950,740

3

cloning now to HiG. P. the extemal configuration

he portable data entry apparatus of this avention is

wn This apparatus is comprised of a keyboard im-

alisplay unit 90, a housing OF in which a tape deck

hanism and a majority of the electronics embody -

this invention are located and into which a mag-

ce cassette tape cartridge 94 may be inserted, and

cable 92 which connects housing 9 and keybourd-

how unit 90. A specific function, e.p., the entry of

ta be performed by the portable data entry appa-

sis selected by the operator, This is accomplished

vlilization Of the Keyboard input-adiyplay unit 90,

electronics which reside in housing OT detect the

tion to be performed, and, in the case of data en-

cnerate proper clectrical signals to cause the data

e written on the tape in the tape cartridge 94. Also

lectronics position the tape such that it is ready

pt new data,

lerring now to FIG. 2, there is shown a block dia-

of the portable data entry apparatus of this inven-

It is comprised of microcomputer set 100, clock

port selector 103, input port 104, output port 10S,

motion control "06, read-write circuttry 107, ba

tuner 168, dispiay 109, high voltage power supply

J keyboard switch and interrogation assembly 111,

m 182, delay 113, modem P14, power supply 11S,

er switching 116, alarm circuitry 217, emitter de-

br LIK, segment selector 119, and digit sclector

twill be appreciated that the block diagram is

enicd to give a general understanding of interrela-

of the above interclated elements. Ut should also

ppreciated that the detailed interconnection of the

bus devices is not given at this point for ease of

entation of the block diagram. The detailed inter-

icction of these devices will be sct forth later in the

ilication.

operation of the apparatus of this invention be-

with reference to FIG. 2, by assuming that no

ious data hawe been recorded on tape and that the

ator is just beginmng to use the apparatus. Tape

ulge 94, ts, therefore, mserted in the housing 91,

he power switch on. Keyboard input-display unit

engaged in the “on™ position. This switch is sche-

ally shown in FIG. 19, and its being engaged on

s power supply 11S to be activated.

ce the source of power for the portable data entry

ratus of this invention is batterics, it is desirable to

uve the consumption of battery power. Power

hing unit 116 (PIG. 2) accomplishes Uris by sup-

f power to ceriain component parts only when

to those parts is required for proper operation

ample, power is supplicd to the modem £21 only

the operator puts the unit in the “send” mode as

ibed below, an power is supphed to the tape deck

‘hen the operator puts the unit in cither the

Jor RECORD modes.

thermore, battery power is conserved when in

modes by switching the power to component

by the apparatus at periodic intervals. The length

te that power is available to these components is

ied ty as the “awake time, and the length of time

Lis not available is referred te as the “asleep”

In the preferred embodiment of this invention the

wm awake time is approximately 2.5 niillisec-

and the asicep time is ypproaimately 7.5 millisee-

cr supply DIS, when activated, supphes power

ly to the microcomputer sect 100, and the mi-

a

a

45

a

s

=

4

Crocomputer set LOO begins to execute a senes of pre:

Cotemmined tnstructions, as hater Husteated. Smee at

thes potot to the opertion onty the power switch has

been turned on, the microcomputer set 100 is interie-

gating the keyboard switch (FIG 19) and interrogation

circuttry PEE vie the scement selector circuitry 119 to

determine if a mode has been selected by the operator.

Since no previous data has been recorded on tape and

the operstor was just beginning to utilize the apparatus,

assume now that the operator desics to enter the RE-

CORD mode. y

To enter the RECORD mode ter a new tape the

operator must press fost the [Sob FIG. Ep Rhey Gh 1G.

19) ad then must depress the CLEAR key (FIG. 19)

for approximately S seconds. The microcomputer set

100 fust detects that the MODE key had been de-

pressed and then that the CLEAR key had been de-

pressed for the required five seconds. After five sec-

onds the microcomputer sect generates commands via

the output port 105 (hIG. 2) to the deck motion con-

trol 124 to cause the tape of the cartridge 94 to be

rewound, After the tape has been rewound, the deck

motor mechanism is enabled by deck mation control

124 to start the tape moving in the forward direction

until the beginning of the tape is found. The beginning

of tape is found by utilizing emitter detector ELS. The

operator is now tcady to begin entry of data.

Data may be entered by depressing the appropridic

keys of the keyboard input-display unit 90 (FIG. 1)

which are shown schematically in the keyboard switch

and interrogation circuitry ELE of FIG. 19. Suppose, for

example, that the data “12348” were desired to be

written onto tape. The operator would depress the |

switch, followed by the 2 switch, ete. until the five

switches have been depressed. The data are then dis-

played in the display unit 109.

If the operator had attempted to enter data into the

date entry apparatus prior to entering t

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