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US Federal Circuit Abandons Heightened Bar in Means-Plus-Function Analysis

Issued: July 31 2015

In the Williamson v. Citrix opinion issued June 16, 2015, the US Court of Appeals for the Federal Circuit (CAFC) has withdrawn their earlier opinion in the case and abandoned the heightened burden that had been established to show that a claim limitation is a meansplus- function term subject to 35 U.S.C. §112, paragraph 6 (or 35 U.S.C. §112(f) in the AIA laws).


At issue in Williamson was the meaning under §112, paragraph 6, of the term “module” of the “distributed learning control module” limitation in the claim.


Although there is a presumption that the presence (or absence) of the phrase “means for” invokes (or does not invoke) §112, paragraph 6, such a presumption is rebuttable. As such, in determining the meaning of “module” in Williamson, the CAFC, citing Greenberg v. Ethicon Endo-Surgery, Inc., noted that the essential inquiry is whether the words of the claim are understood by persons of ordinary skill in the art to have sufficiently definite meaning as the name for structure.


The CAFC also noted that a string of cases after Greenberg had progressively raised the burden. For example, in Lighting World, Inc. v. Birchwood Lighting, Inc., a higher bar than the standard in Greenberg was applied. Namely, in Lighting World, the presumption flowing from the absence of the term “means” was indicated as being a presumption that is a “strong one that is not readily overcome.”


In Flo Healthcare Solutions, LLC v. Kappos, the bar set in Lighting World (and reiterated in Inventio AG v. ThyssenKrupp Elevator Americas Corp.) was raised even further to “[w]hen the claim drafter has not signaled his intent to invoke §112, paragraph 6 by using the term ‘means,’ we are unwilling to apply that provision without a showing that the limitation essentially is devoid of anything that can be construed as structure.”


With the new Williamson opinion, the CAFC has overturned the abovenoted string of cases, holding that the heightened bar resulting from these cases is “unjustified.” For example, in the opinion, the CAFC noted that the “strong” presumption from Lighting World has resulted in a proliferation of functional claiming untethered to §112, paragraph 6, and free of the strictures set forth in the statute.


Thus, the CAFC in Williamson has abandoned characterizing as “strong” the presumption that a limitation lacking the word “means” is not subject to §112, paragraph 6, holding such characterization to be “unwarranted.” The CAFC also overruled the strict requirement of “a showing that the limitation essentially is devoid of anything that can be construed as structure.”


Therefore, the current standard, which reverts back to the pre-Lighting World standard, is whether the words of the claim are understood by persons of ordinary skill in the art to have a sufficiently definite meaning as the name for structure. If the words of the claim do not meet this standard, §112, paragraph 6, applies.


With regard to the particulars in Williamson, the term “module” was held to connote a generic “black box” for performing the recited computerimplemented functions, and was construed as a well-known nonce word operating as a substitute for “means” in the context of §112, paragraph 6. The CAFC indicated that such nonce words reflect nothing more than verbal constructs tantamount to using the word “means,” and include, but are not limited to, words such as “module,” “mechanism,” “element,” and “device.” In this case, the term “module” was construed simply as a generic description for software or hardware that performs a specified function, and therefore the presumption against means-plusfunction claiming was rebutted.


Because §112, paragraph 6, was held to apply to the term “module,” the specification of the US 6,155,840 patent (the ’840 patent) in Williamson was then analyzed to determine whether or not the specification imparted any structural significance to the term “module.”


Because the specification of the ’840 patent failed to describe how the “distributed learning control module,” by its interaction with the other components in the distributed learning control server, was to be understood as the name for structure, the judgment by the District Court that claims 8-16 were invalid for indefiniteness under 35 U.S.C. §112, paragraph 2 was affirmed by the CAFC.


The lessons for applicants from this case are to make sure that (i) the specification discloses sufficient corresponding structure for all claim elements, and (ii) the claims recite such disclosed structure to avoid a construction under 35 U.S.C. §112, paragraph six (or 35 U.S.C. 112(f)).



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About the Author

Jeffrey R Filipek is a partner at Wenderoth, Lind & Ponack in Washington. He has practiced in the intellectual property field since 1993, and specializes in patent preparation and prosecution in electrical and mechanical technologies. His practice includes work in communications, internet, automotive electronics, batteries, software, digital healthcare, aerospace/flight control surfaces, electrical power generation, breathing devices, biomedical devices and laser technology. He began his career in intellectual property at the United States Patent and Trademark Office, where he spent four years gaining experience as a patent examiner.

 

Bradley Thomas spent eight years at the US Patent and Trademark Office as a patent examiner prior to joining Wenderoth, Lind & Ponack in Washington, where he is a patent agent. His practice focusses on the prosecution of utility applications in the US in a wide range of technologies, including consumer electronics products, including televisions, players, and recorders; imaging and image processing devices; audio, video, internet, and satellite communication systems and communications circuitry; and semiconductor manufacturing processes and devices, including microprocessors and memory. Thomas also worked for the Moog Components Group as an engineering intern.