In Re Bruce Beasley ( 2004 )

NOTE: Pursuant to Fed. Cir. R. 47.6, this disposition is not
citable as precedent. It is a public record.
United States Court of Appeals for the Federal Circuit
04-1225
(Serial No. 07/636,839)
IN RE BRUCE BEASLEY
________________________
DECIDED: December 7, 2004
________________________
Before LOURIE, Circuit Judge, ARCHER, Senior Circuit Judge, and DYK, Circuit Judge.
Opinion for the court filed by Circuit Judge LOURIE. Dissenting opinion filed by Circuit
Judge DYK.
LOURIE, Circuit Judge.
Bruce Beasley appeals from the decision of the United States Patent and
Trademark Office (“PTO”) Board of Patent Appeals and Interferences affirming the
rejection of claims 1-6 of U.S. Patent Application 07/636,839 as obvious under
35 U.S.C. § 103. Ex parte Beasley, Appeal No. 2001-2202, Paper No. 38 (B.P.A.I. Aug.
29, 2002) (“Decision on Appeal”); Ex parte Beasley, Appeal No. 2001-2202, Paper No.
40 (B.P.A.I. Oct. 27, 2003) (“Decision on Request for Rehearing”). Because the Board’s
key factual findings relating to its obviousness analysis are not supported by substantial
evidence, the Board erred in concluding that the claims would have been obvious as a
matter of law. We accordingly vacate and remand.
BACKGROUND
On January 2, 1991, Beasley filed U.S. Patent Application 07/636,839 directed to
the generation of images or markings on a video display screen using a light pen, so as
to point to or otherwise indicate information of interest. Representative claim 1 recites:
1. In a system for forming an image on a display screen scanned in
frames by a beam:
a light pen movable relative to the screen and having a light
sensing element for providing a signal when the position of the light pen
coincides with the position of the beam,
a memory having a plurality of addressable storage locations,
means for mapping the display screen into the memory on a point-
by-point basis by sequentially addressing the memory locations in
synchronization with the position of the beam to provide a one-to-one
correspondence between the memory locations and the points on the
screen,
means responsive to the signal from the light pen for writing data
into the memory at locations corresponding to the position of the light pen
on the screen during successive frames,
means for reading the data out of the memory locations as they are
addressed, and
means responsive to the data read out of the memory for producing
an image corresponding to the points where the light pen is positioned
during successive frames.
(emphases and paragraphing added).
Previously, the ’839 application had been the subject of an appeal to this court,
which affirmed the rejection of claims 1-6 under 35 U.S.C. §§ 102 and 103 in view of
U.S. Patent 3,832,485 (“Pieters”). In re Beasley, No. 99-1055, 1999 WL 515480 (Fed.
Cir. July 20, 1999) (nonprecedential) (“Beasley I”).1 Beasley thereafter filed a Continued
Prosecution Application, in which he amended independent claims 1 and 4 to
1
In Beasley I, claims 1, 3, 4, and 6 had been rejected as being anticipated
by Pieters, and claims 2 and 5 had been rejected as being obvious in view of the same.
Beasley I, 1999 WL 515480 at **1. Pieters is directed to an apparatus for creating
delineations on images using, inter alia, a light pen. Pieters, abstract.
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specifically include the feature of “mapping the display screen into the memory on a
point-by-point basis . . . to provide a one-to-one correspondence” between the memory
locations and the points on the screen (hereinafter referred to as the “point-by-point
mapping limitation”).2
Observing that Pieters, by itself, did not disclose the point-by-point mapping
limitation, the examiner rejected the amended claims for obviousness under
§ 103 in view of Pieters combined with either one of U.S. Patent 3,973,245 (“Belser”) or
U.S. Patent 4,847,604 (“Doyle”).3 The examiner cited Belser and Doyle as each
disclosing “a conventional bit map memory mapping a display screen into the memory
on a point by point basis,” and that “it would have been obvious to one of ordinary skill
in the art to substitute Belser’s [or Doyle’s] bit map memory” for the content addressable
memory (“CAM”) used in Pieters. Jan. 7, 2000 Office Action at 2-3.
A skilled artisan would have been motivated to make such a combination, alleged the
examiner, “because image data stored in the bit map format can be read out rapidly.” Id.
2
In the prior appeal, Beasley argued that the point-by-point mapping
limitation was to be read into independent claims 1 and 4, in an attempt to avoid
anticipation by Pieters. The court in Beasley I concluded that the language of the
claims was not sufficiently narrow to require this limitation to be read therein, and
consequently affirmed the anticipation rejection. Beasley I, 1999 WL 515480 at **3.
After amending the claims to expressly recite the point-by-point mapping limitation,
Beasley is now before us again. Although the point-by-point mapping limitation is cast
in means-plus-function form, see 35 U.S.C. § 112, ¶ 6 (2000), the parties do not dispute
whether any of the cited references discloses an equivalent structure. Accordingly, we
need not identify or consider the structures in Beasley’s application that correspond to
that function.
3
Belser concerns a method and apparatus for “converting information in
coded form into a dot matrix or raster form,” Belser, col. 2, ll. 22-24, and presents in
considerable detail an algorithm for reformatting data. Belser, col. 5, l. 23 through col.
9, l. 20. Doyle is directed to a system that allows a user to point to a feature on an
image and cause descriptive information (e.g., text or a magnified view) to appear.
Doyle, col. 11, l. 13 through col. 12, l. 18.
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Beasley responded that the examiner had failed to establish a prima facie case
of obviousness because replacing the CAM in Pieters with the memories in Belser and
Doyle would require “a complete restructuring” of the system shown in Pieters, which
was “not within the purview of obviousness.” Apr. 6, 2000 Resp. to Office Action at 2.
Arguing that the cited references failed to provide any motivation for the combination,
Beasley stressed that the examiner’s suggestion for the substitution “appear[ed] to be
based entirely on applicant’s own disclosure” in an attempt to “piece together” the prior
art so as to render the claimed invention obvious. Id. Beasley criticized the rationale
proffered by the examiner—that “data stored in a bit map format can be read out
rapidly”—as “fall[ing] far short of the necessary motivation for the combination.” Id.The examiner rejected Beasley’s arguments in a final office action, by repeating
the substance of the Jan. 7, 2000 Office Action, and by further alleging that it was “well
known in [the] computer display art to substitute a bit map memory for a conventional
memory such as the memory used by Pieters.” Jun. 14, 2000 Office Action at 4.
Insisting that the “advantage of using . . . bit map memory over . . . conventional
memory [was] well recognized,” the examiner listed three advantages: (1) increasing the
display rate; (2) ensuring proper correlation of image locations with display locations;
and (3) minimizing data processing and storage requirements. Id. In view of those “well
recognized” advantages, reasoned the examiner, “it would have been obvious to one of
ordinary skill” to make the substitution. Id. at 5.
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Beasley appealed the final rejection to the Board, reiterating his arguments
against obviousness. The Board agreed with the examiner’s reasoning and affirmed4
the rejection of claims 1-6.5 Decision on Appeal at 8. The Board found that the cited
references suggested to skilled artisans “that if more rapid readout of image data is
desired, the bit map memory, rather than the CAM of Pieters, should be employed.” Id.
at 5-6. With respect to Beasley’s restructuring argument, the Board stated that “the
artisan skilled in the image display and memory arts would have been well aware of the
restructuring” involved when making the substitution. Id. at 6. Disagreeing with Beasley
that the examiner’s proposed substitution of one memory type for another was
“unsupported,” the Board reasoned that the “artisan would clearly have understood,
from the applied references, the different types of memories available (CAM versus bit
map), and their comparative advantages, and would have chosen implementation of
one over the other for the advantages sought.” Id. Concluding that the examiner
established a prima facie case of obviousness, the Board sustained the rejection of
claims 1-6.
Beasley filed a request for reconsideration, which the Board denied. Decision on
Request for Rehearing at 5. Beasley timely appealed the Board’s decision to this court,
and we have jurisdiction pursuant to 28 U.S.C. § 1295(a)(4)(A).
4
To the extent the Board adopted the examiner’s position as its own, we
shall refer to the examiner’s findings and conclusions as those of the Board. See In re
Paulsen, 30 F.3d 1475, 1478 n.6 (Fed. Cir. 1994).
5
Our discussion will focus on independent claim 1, and, in particular, the
point-by-point mapping limitation. The only other independent claim is claim 4, which is
directed to a method, but is otherwise similar to independent claim 1 in all material
respects. Since Beasley has not made separate patentability arguments for claim 4, or
for any of the dependent claims, those claims will stand or fall together with claim 1. See
In re Kaslow, 707 F.2d 1366, 1376 (Fed. Cir. 1983).
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DISCUSSION
A claimed invention may be found to have been obvious “if the differences
between the subject matter sought to be patented and the prior art are such that the
subject matter as a whole would have been obvious at the time the invention was made
to a person having ordinary skill in the art to which said subject matter pertains.”
35 U.S.C. § 103(a) (2000). Whether an invention would have been obvious under
§ 103 is a question of law based on underlying findings of fact. In re Kotzab, 217 F.3d
1365, 1369 (Fed. Cir. 2000). We review the Board’s legal conclusion of obviousness de
novo, and its underlying factual determinations for substantial evidence. In re Gartside,
203 F.3d 1305, 1316 (Fed. Cir. 2000). Substantial evidence is “such relevant evidence
as a reasonable mind might accept as adequate to support a conclusion.” Id. at 1312(quoting Consolidated Edison Co. v. NLRB, 305 U.S. 197, 229 (1938)).
On appeal, Beasley urges reversal on the basis that the record does not support
the Board’s determination that the examiner established a prima facie case of
obviousness. For a prima facie case of obviousness to exist, there must be “some
objective teaching in the prior art or . . . knowledge generally available to one of ordinary
skill in the art [that] would lead that individual to combine the relevant teachings of the
references.” In re Fine, 837 F.2d 1071, 1074 (Fed. Cir. 1988). “The motivation,
suggestion or teaching may come explicitly from statements in the prior art, the
knowledge of one of ordinary skill in the art, or, in some cases the nature of the problem
to be solved.” Kotzab, 217 F.3d at 1370.
The presence or absence of a motivation to combine references is a question of
fact, In re Dembiczak, 175 F.3d 994, 1000 (Fed. Cir. 1999), which is evaluated under
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the substantial evidence standard. Gartside, 203 F.3d at 1316. Beasley contends that
we have before us a case of impermissible hindsight reconstruction, in which the
examiner’s finding of a motivation to substitute the memory used in either Belser or
Doyle for the CAM in Pieters rests on generalized statements of advantages without
regard to the desirability or the feasibility of modifying Pieters. Given the “subtle but
powerful attraction of a hindsight-based obviousness analysis,” we require a “rigorous
application of the requirement for a showing of the teaching or motivation to combine
prior art references.” Dembiczak, 175 F.3d at 999. This is consonant with the obligation
of the Board to develop an evidentiary basis for its factual findings to allow for judicial
review under the substantial evidence standard that is both deferential and meaningful.
See In re Lee, 277 F.3d 1338, 1344 (Fed. Cir. 2002).
In evaluating the Board’s finding of motivation, we look to the record, for “all of
the relevant information upon which the Board relied in rendering its decision.”
Gartside, 203 F.3d at 1314. “That record, when before us, is closed, in that the Board’s
decision must be justified within the four corners of that record.” Id. For the purposes of
the present appeal, the record indicates that there have been no less than five
occasions, since the filing of the Continued Prosecution Application with the amended
claims, on which the Board and the examiner have had the opportunity to develop a
factual record that establishes substantial evidence of a motivation to combine Pieters
with either Belser or Doyle. They failed to do so in each instance. Our review of (1) the
Jan. 7, 2000 Office Action; (2) the Jun. 14, 2000 Office Action; (3) the Feb. 13, 2001
Examiner’s Answer; (4) the Decision on Appeal; and (5) the Decision on Request for
Rehearing reveals that the assertions pertaining to the advantages of one type of
04-1225 7
memory over another that had been advanced by the examiner and the Board for the
express purpose of showing motivation for the proposed substitution have been set
forth without any supporting citations to relevant portions of either Pieters, Belser,
Doyle, or any other authority.
For example, the examiner’s allegation in the Jan. 7, 2000 Office Action that
“image data stored in the bit map format can be read out rapidly” has been repeated
axiomatically throughout the record in justifying the replacement of the CAM in Pieters.
Neither the Board nor the examiner has identified in the record any source of
information—either from the references cited or otherwise—from which they base their
comparison of the relative speed advantages of “bit map memories” over CAMs.
Similarly, the assertion in the Jun. 14, 2000 Office Action that the “advantage of using . .
. bit map memory over . . . conventional memory is well recognized” appears
unaccompanied by any indication of its origins.6
In adopting the examiner’s position, the Board made no effort to substantiate the
examiner’s assertions by invoking any identifiable authority. Instead, the Board relied
on the examiner’s and its own knowledge as skilled artisans. For example, the Board
claimed that “the secondary references” suggested to skilled artisans “that if more rapid
readout of image data is desired, the bit map memory, rather than the CAM of Pieters,
6
While the abstract of Doyle was cited for the proposition that the use of “bit
map memory” ensures proper correlation of image locations with display locations, and
minimizes data processing and storage requirements, a closer inspection of Doyle
reveals that these “advantages” arise out of a specific arrangement for encoding image
information, rather than from any intrinsic characteristic of “bit map memories” in
general. Doyle, col. 4, ll. 15-19 (“[T]he advantages . . . stem from encoding information
about a video image as a pixel bit map and a color map in which the addresses or
indices of the color map are correlated with the addresses or pointers to strings of
descriptive information about predefined features of the video image.”).
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should be employed.” Decision on Appeal at 5-6. Similarly, in dismissing Beasley’s
restructuring argument, the Board alleged that a skilled artisan would have been “well
aware” of the restructuring involved. Id. at 6. Under the MPEP provisions7 in effect at
the time, such generalized claims of what “the secondary references” teach and of what
the skilled artisan would have been “well aware” fail to satisfy the level of specificity that
is required. Cf. Kotzab, 217 F.3d at 1371 (“[P]articular findings must be made as to the
reason the skilled artisan, with no knowledge of the claimed invention, would have
selected these components for combination in the manner claimed.”). The MPEP
provides guidelines for relying on official notice and personal knowledge, which the
examiner did not follow in this case:
The rationale supporting an obviousness rejection may be based
on common knowledge in the art or “well-known” prior art. The examiner
may take official notice of facts outside of the record which are capable
of instant and unquestionable demonstration as being “well-known”
in the art. In re Ahlert, 424 F.2d 1088, 1091, 165 USPQ 418, 420
(CCPA 1970) . . .
...
When a rejection is based on facts within the personal knowledge
of the examiner, the data should be stated as specifically as possible, and
the facts must be supported, when called for by the applicant, by an
affidavit from the examiner. Such an affidavit is subject to contradiction or
explanation by the affidavits of the applicant and other persons. See 37
CFR 1.104(d)(2).
...
For further views on official notice, see In re Ahlert, 424 F.2d 1088,
1091, 165 USPQ 418, 420-421 (CCPA 1970) (“[A]ssertions of technical
facts in areas of esoteric technology must always be supported by citation
of some reference work” and “allegations concerning specific ‘knowledge’
7
The Manual of Patent Examining Procedure (“MPEP”) is commonly relied
upon by patent examiners on procedural matters. Litton Sys., Inc. v. Whirlpool Corp.,
728 F.2d 1423, 1439 (Fed. Cir. 1984). “While the MPEP does not have the force of law,
it is entitled to judicial notice as an official interpretation of statutes or regulations as
long as it is not in conflict therewith.” Molins PLC v. Textron, Inc., 48 F.3d 1172, 1180
n.10 (Fed. Cir. 1995).
04-1225 9
of the prior art, which might be peculiar to a particular art should also be
supported.” . . .
MPEP § 2144.03 (7th ed. 1998) (emphases added); see also MPEP § 2144.03 (7th ed.,
rev. 1, 2000). Certainly, the relative speed advantages of CAMs vis-à-vis “bitmap
memories” and the feasibility of substituting one for the other can hardly be described
as a fact that is of “instant and unquestionable demonstration” for the purpose of taking
official notice unsupported by any citation.
The record reflects that the examiner and the Board have managed to find
motivation for substituting one type of memory for another without providing a citation of
any relevant, identifiable source of information justifying such substitution. The
statements made by the Examiner, upon which the Board relied, amount to no more
than conclusory statements of generalized advantages and convenient assumptions
about skilled artisans. At least under the MPEP then in effect, such statements and
assumptions are inadequate to support a finding of motivation, which is a factual
question that cannot be resolved on “subjective belief and unknown authority.” Lee, 277
F.3d at 1344. Under such circumstances, with respect to core factual findings, “the
Board must point to some concrete evidence in the record in support” of them, rather
than relying on its assessment of what is “well recognized” or what a skilled artisan
would be “well aware.” In re Zurko, 258 F.3d 1379, 1385-86 (Fed. Cir. 2001). “To hold
otherwise would render the process of appellate review for substantial evidence on the
record a meaningless exercise.” Id. at 1386 (citing Baltimore & Ohio R.R. Co. v.
Aberdeen & Rockfish R.R. Co., 393 U.S. 87, 91-92 (1968)).
The PTO, perhaps realizing the deficiencies in the record in this regard, provides
numerous citations in its brief to specific passages in Pieters, Belser, and Doyle in a
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valiant attempt to muster substantiation for the Board’s findings. We cannot consider
such post hoc attempts at bolstering the record in our review for substantial evidence.
Burlington Truck Lines, Inc. v. United States, 371 U.S. 156, 168 (1962) (“[C]ourts may
not accept appellate counsel’s post hoc rationalization for agency action.”). Our review
must be limited to those grounds relied on and articulated by the Board; otherwise, the
applicant may be deprived of a fair opportunity to support his position. See Lee, 277
F.3d at 1345; see also SEC v. Chenery Corp., 332 U.S. 194, 196 (1947) (“[T]he court is
powerless to affirm the administrative action by substituting what it considers to be a
more adequate or proper basis.”).
CONCLUSION
For the above reasons, we conclude that the Board’s determination that
Beasley’s claimed invention would have been obvious in view of the combination of
Pieters with either Belser or Doyle is not supported by substantial evidence.
Accordingly, we vacate the Board’s decision and remand for further proceedings not
inconsistent with this opinion.
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NOTE: Pursuant to Fed. Cir. R. 47.6, this disposition
is not citable as precedent. It is a public record.
United States Court of Appeals for the Federal Circuit
04-1225
(Serial No. 07/636,839)
IN RE BRUCE BEASLEY
DYK, Circuit Judge, dissenting.
I respectfully dissent. Under our decision in Lee the Board may not rely on
common knowledge and common sense in rejecting a claim as obvious. In re Lee, 277
F.3d 1338, 1344-45 (Fed. Cir. 2002). But both the examiner and the Board are
presumed to be skilled in the art, id. at 1345, as the majority recognizes, ante at 8.
They may properly rely on that knowledge in making rejections for obviousness, but
“when they rely on what they assert to be general knowledge to negate patentability,
that knowledge must be articulated and placed on the record.” Lee, 277 F.3d at 1345.
That is exactly what the examiner and Board have done here. The patent
examiner rejected Beasley’s claims as obvious over Pieters in view of either Besler or
Doyle, finding a motivation to combine in the fact that “image data stored in the bit map
format can be read out rapidly.” Jan. 7, 2000 Office Action at 2. The examiner
sustained his rejection in the subsequent Office Action and specifically addressed
Beasley’s argument that there was no motivation to combine. The examiner noted that
“[t]he advantage of using the bit map memory over the conventional memory is well
recognized” and listed three advantages: (1) increasing the display rate; (2) ensuring
proper correlation of image locations with display locations; and (3) minimizing data
processing and storage requirements. June 14, 2000 Office Action at 4. The Board
agreed with the reasoning of the examiner and further found that an “artisan skilled in
the image display and memory arts would have been well aware of the restructuring and
manners of address which would need to be changed in order to substitute one type of
memory for another.” Ex parte Beasley, Appeal No. 2001-2202, Paper No. 38, at 6
(B.P.A.I. Aug. 29, 2002). I see no error in the Board’s reliance on the PTO’s own
specialized knowledge. The effect is merely to create a prima facie case, and to shift
the burden to the patent applicant. Here the applicant did not refute the factual findings
of the Board and the patent examiner, but merely offered lawyer argument to contradict
the Board’s findings. Under these circumstances the application was properly rejected.
With this said, I agree that the MPEP provision in effect at the time is not a model
of clarity and can be read as recognizing only a very limited scope for the use of the
PTO’s expertise. MPEP § 2144.03 (7th ed. 1998). However, the current version
appears to allow greater latitude. MPEP § 2144.03 (8th ed., rev. 2, 2004). In future
cases, where the PTO has provided us with an interpretation of the new MPEP
provisions, we will need to address the extent to which the new version of the MPEP
gives the PTO greater scope to rely on its own expert knowledge.
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