This аppeal is from the decision of the United States Patent and Trademark Office (PTO) Board of Patent Appeals and Interferences (board), dated May 24, 1988, adhered to on reconsideration, affirming the examiner’s final rejection of the single claim of аpplicants’ patent application serial No. 454,022, filed December 28, 1982, entitled “Auto-Correlation Circuit for Use in Pattern Recognition.” The sole ground of rejection is that the subject matter claimed is nonstatutory under 35 U.S.C. § 101 because it is merely a mathematiсal algorithm. We reverse.
The real party in interest, according to appellants’ brief, is Sharp Kabishiki Kaisha (Sharp Corporation).
The opening sentence of the specification states: “This invention relates to an auto-correlation unit fоr use in pattern recognition to obtain auto-correlation coefficients as for stored signal samples.” The embodiment more particularly discussed as a species of pattern recognition is voice recognition. The prior art calculation of auto-correlation coefficients is described as being based on a calculation formula involving a multiplication step. The specification states the disadvantage to be as follows:
Those state-of-the-art units for calculation of the auto-correlation coefficients have the disadvantage of requiring expensive multipliers and also complicated circuitry. As a result the auto-correlation unit circuitry within the entire pattern recognition apparatus is proportionately large and auto-correlation calculation demands a greater amount of time during recognition.
The principal object of this invention is to provide an auto-correlation unit for pattern recognition which evaluates auto-correlation coefficients by means of a simple circuitry without the need for an expensive multiplier as well as eliminating the above discussed disadvantages.
Underlying the auto-correlation unit claimed, is a plethora of mathematiсal demonstration by which the applicants purport to show that the approximated value of the desired coefficient can be obtained without multipliers by obtaining the square of the sum of two of the factors in the equation and calculating the auto-correlation cоefficient therefrom according to a stated formula. The specification concludes:
As explained in the foregoing, this invention offers a highly cost effective auto-correlation unit for pattern recognition with simple circuitry without the need to use an expensive multiplier, but *1372 which has comparatively high accuracy and can, moreover, calculate auto-correlation coefficients at high speed.
Fig. 1 of the application drawings is described as “a block diagram schemаtically showing an embodiment of this invention” and appears as follows:
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Fig. 2 is described as a block diagram showing in more detail the embodiment of this invention” and appears as follows:
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We shall not attempt a description of the electronic circuitry shоwn by these drawings beyond explaining, for the better understanding of the claim, that the units designated “ROM” and “RAM” are, respectively, a read only memory and a random access memory, terms well understood by those skilled in the art. “CPU” is a central processing unit. In this case, the function of the ROM, 2 or 15, which is a permanent information storage device, is to deliver as output the square of a number fed to it as input. It is the electronic equivalent of a table in which one can look up the square of numbers over a desired range.
*1373 We next reрroduce the claim on appeal and do so by presenting a copy of the claim as it has been presented in the Solicitor’s brief, to which we have added the letters in brackets designating at [a] the preamble or introductory clause and аt [b] through [h] the several means-plus-function and other elements of the combination of elements recited. Under the heading “Drawings” (the Solicitor’s heading was “Fig. 1”) we have copied verbatim the Solicitor’s designations. Element [d], it will be noted, is not in means-plus-function form but specifies a “read only memory” or ROM, as the Solicitor says. Element [f] is an anomolous clause seemingly intended to indicate what data are stored in the ROM. It is not clear that a means for storing anything in the ROM is part of the disclosed “unit” since the application indicates that the squared values are “previously memorized” in the ROM. However that has nothing to do with the sole question before us which is whether the claim as a whole is, in the words of the Solicitor, “directed to nonstat-utory subject matter,” so we shall not comment further on element [f].
Claim Drawings
[a] An auto-correlation unit for providing auto-correlation coefficients for use as feature parameters in pattern recognition for N pieces of sampled input values X„ (n = 0 to N — 1), said unit comprising:
[b] means for extracting N piecеs of sample input values Xn from a series of sample values in an input pattern expressed with an accuracy of optional multi-bits; Not shown in Fig. 1; analog to digital converter 11 in Fig. 2.
Tel means for calculating the sum of the sample values X„ and X„ - Z (t = 0 - P, P<N); Adder 1.
[d] a read only memory associated with said means for calculating; ROM 2.
[e] means for feeding to said read only memory the sum of the sampled input values as an address signal; Signal path connecting adder 1 to ROM 2.
[f] means for storing in said read only memory the squared value of eaсh sum, (Xn + X„ - Z)2 Internal structure of ROM 2 after being programmed to store squared values.
[g] means for fetching and outputting the squared values of each such sum of the sample input values from said read only memory when said memory is addressed by the sum of the sample input values; and Read pulse (not shown) which is applied to ROM 2; in Fig. 2, signal fj or f2, applied to ROM 15.
[h] means responsive to the output (Xn + X„ — Z)2 of said read only memory for providing an auto-correlation coefficient for use as a feature parameter according to the following formula: Calculating circuit 5.
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*1374
This is one more in the line of cases stemming from the Supreme Court decision in
Gottschalk v. Benson,
Out of these cases came the Freeman-Waiter test to determine whethеr a claim defines nonstatutory subject matter. It was stated in Freeman as follows:
Determination of whether a claim preempts nonstatutory subject matter as a whole, in the light of Benson, requires a two-step analysis. First, it must be determined whether the claim directly or indirectly recites an “algorithm” in the Benson sense of that term, for a claim which fails even to recite an algorithm clearly cannot wholly preempt an algorithm. Second, the claim must be further analyzed to ascertain whether in its entirety it wholly preempts that algorithm.
Over-concentration on the word “algorithm” alone, for example, may mislead. The Supreme Court carefully supplied a definition of the particular algorithm before it [in Benson ], i.e., “[a] procedure for solving a given type of mathematical problem.” The broader definition of algorithm is “a stеp-by-step procedure for solving a problem or accomplishing some end.” Webster’s New Collegiate Dictionary (1976).
... It would be unnecessarily detrimental to our patent system to deny inventors patent protection on the sole ground that their contribution could be broadly termed an “algorithm”. [Emphаsis of “sole” original, otherwise ours.]
In footnote 8 of the Freeman opinion the court further said:
The preferred definition of “algorithm” in the computer art is: “A fixed step-by-step procedure for accomplishing a given result; usually a simplified procedure for solving a complex problem, also a full statement оf a finite number of steps.” C. Sippl & C. Sippl, Computer Dictionary and Handbook (1972).
Id.
at 1246 n. 8,
We note these discussions of the meaning of “algorithm” to take the mystery out of the term and we point оut once again- that every step-by-step process, be it electronic or chemical or mechanical, involves an algorithm in the broad sense of the term. Since § 101 expressly includes processes as a category of inventions which may be patented and § 100(b) further defines the word “process” as meaning “process, art or method, and includes a new use of a known process, machine, manufacture, composition of matter, or material,” it follows that it is no ground for holding a claim is directеd to nonstatutory subject matter to say it includes or is directed to an algorithm. This is why the proscription against patenting has been limited to mathematical algorithms and abstract mathematical formulae which, like the laws of nature, are not patentable subject matter.
The above-listed line of CCPA cases held sоme claims statutory and other claims nonstatutory, depending entirely on what they said. We have to do the same here. Appellants cautiously admit that their claim “at least indirectly, recites an algorithm in some manner,” and thus *1375 meets the first part of the Freeman-Waiter test, but argue strenuously and convincingly that it does not meet the second part of the test, relying, inter alia, on the following statement in Walter (footnote omitted):
Once a mathematical algorithm has been found, the claim as a whole must be further analyzed. If it appears that the mathematical algorithm is implemented in a specific manner to define structural relationships between the physical elements of the claim (in apparatus claims) or to refine or limit claim steps (in process claims), the claim being otherwise statutory, the claim passes muster under § 101.
In the Solicitor’s brief the summary of argument states that the claim “encompasses any and every means for performing the functions recited therein.” We point out that the claim is a combination of means all but one of which is a means-plus function limitation, the one exception being the ROM, clause [d], which is a specific piece of apparatus. The claim is therefore subject to the limitation stated in 35 U.S.C. § 112 11 6 that each means-plus-function definition “shall bе construed to cover the corresponding structure, material, or acts described in the specification and equivalents thereof.” 1 This provision precludes the Solicitor’s interpretation of the claim. The Solicitor’s summary also contends that sinсe the claim should be interpreted as he does, we should regard it as though it were a method claim. Since he is wrong on the first score, he is wrong on the second.
The decision of the board is reversed.
REVERSED.
Notes
. The accuracy of this statement may be questioned in view of a sentence in the opinion in
In re Sweet,