Lead Opinion
Appellants Jeffrey and Claudia Griffin (“the Griffins”) appeal from a judgment of the United States District Court for the Central District of California. The district court granted summary judgment, finding the Griffins’ United States Patent No. 5,154,448 (“the 448 patent”) invalid under 35 U.S.C. § 102(b) as anticipated. Marrin v. Griffin, Nos. CV07-239-GW and CV072100-GW,
On appeal, the Griffins’ primary contention is that the trial court improperly failed to treat the “for permitting” language in the preamble as a claim limitation. We affirm.
BACKGROUND
In July of 1990, Jeffrey and Claudia Griffin conceived of the idea of using a scratch-off label to mark beverage containers and cups so that attendees of a gathering or party could keep track of their beverage cups. The Griffins filed a patent application in April 1991, and the '448 patent, entitled “Scratch-Off Marking Label,” issued on October 13, 1992. Claim 1 of the patent, which is representative of the four disputed claims, reads as follows:
1. A scratch-off label for permitting a user to write thereon without the use of a marking implement, comprising:
a permanent base having a colored near side which is normally visible to the user and having a far side; and
a coating of scratch-off non-transparent material having a color which contrasts with the color of the near side of the permanent base, which coating is applied directly onto the near side of the permanent base with sufficient thickness so as to obscure the color of the permanent base, and which when scratched off reveals the color of the near side of the permanent base.
'448 patent col. 4 11. 35^48. The first two lines of Claim 1 comprise its preamble. Figure 1 of the '448 patent, which illustrates a beer can embodiment of the asserted invention, is reproduced below.
Michael Marrin formed a company, Upardi, Inc. (“Upardi”), to manufacture the labels, and containers with the labels, with the objective of securing a license from the Griffins for the '448 patent. On June 5, 2002, the Griffins entered into a license agreement with Upardi. The relationship between Michael Marrin and the Griffins broke down swiftly, due primarily to differences in opinion about the appropriate payment obligations under the license. On April 11, 2006, the Griffins notified Michael Marrin that the license was terminated. In January 2007, Michael Marrin and Etch-It, Inc., a company Michael Marrin had created to market and sell scratch-off labels, filed an action for declaratory relief against the Griffins in the United States District Court for the Central District of California seeking a determination, inter alia, that the Griffins '448 patent was invalid. Then, in March 2007, the Griffins filed suit against Michael Marrin, Heidi Marrin, and Etch-It, Inc. (collectively “Marrin”) in state court, alleging that Marrin was willfully infringing the '448 patent. Marrin removed the Griffins’ action from the state court to the California district court, and the two actions were consolidated.
On cross-motions for summary judgment, the district court ruled that the '448 patent was invalid as anticipated, and therefore was not infringed by Marrin. Marrin,
The Griffins timely appealed, and we have jurisdiction under 28 U.S.C. § 1295. Because this appeal is from a grant of summary judgment, we review the district court’s determination de novo and view the record in the light most favorable to the non-moving party (here the Griffins). See OddzOn Prods., Inc. v. Just Toys, Inc.,
DISCUSSION
The Griffins’ main argument on appeal is that the preamble’s “for permit
The preamble language indicates that the intended use of the scratch-off labels was “for permitting a user to write thereon without the use of a marking implement.” '448 patent col. 4 11. 35-36. But use descriptions such as this are rarely treated as claim limitations. As we said in Bicon, Inc. v. Straumann Co., “[p]reamble language that merely states the purpose or intended use of an invention is generally not treated as limiting the scope of the claim.”
Clear reliance on a preamble during prosecution can distinguish a claimed invention from the prior art and render the preamble a claim limitation, id. at 808, but there was no such reliance here. The prosecution history establishes that the Griffins did not consider the writing use for their claimed invention as being patent-ably significant. The Griffins state that, as filed, the original patent application included the following language for claim 1:
1. A scratch off marking label, comprising:
(a) a layer of scratch off non-transparent coating, and;
(b) a permanent base layer of such color so as to contrast with said scratch off coating;
(c) said scratch off coating being applied directly onto said permanent layer of contrasting color, whereby upon scratching through of said scratch off coating reveals the contrasting color of said permanent layer in legible lines, thereby providing a writing means whereby a person can mark on the label without the need for a writing implement.
Appellants’ Br. 9 (emphasis added). In revising this claim to its current form during prosecution, the Griffins explained to the examiner that “ ‘writing means’ is not an element of Applicant’s claims, and does not appear in the new claims.” J.A. 71 (Jeffrey A. Griffin, Amendment After Notice of Allowance (Nov. 28, 1991)). Because the Griffins expressly attested that the “writing means” language was not a claim limitation, they cannot now assert that it was such a limitation. Thus, we agree with the district court and hold that the preamble’s statement of purpose does not limit the scope of the claims.
The dissent suggests that the presumption against reading a statement of
The Griffins also now argue that the asserted prior art fails to anticipate additional limitations from the body of the claims — namely, that the patented device includes a scratch-off coating that contrasts with the color of the device’s permanent base. The law of anticipation is clear: “A prior art reference anticipates a patent claim if the reference discloses, either expressly or inherently, all of the limitations of the claim.” Finnigan Corp. v. Int’l Trade Comm’n,
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Thus, we reject the Griffins’ argument that the asserted prior art fails to disclose additional limitations present in the body of the claims of the Griffins patent.
Beyond their anticipation arguments, the Griffins contend that the district court should have ruled on the issue of infringement, notwithstanding its finding that the asserted claims were invalid. This argument lacks merit. There can be no infringement of claims deemed to be invalid. Ultradent Prods., Inc. v. Life-Like Cosmetics, Inc.,
AFFIRMED
COSTS
No costs.
Dissenting Opinion
dissenting.
I respectfully dissent, for the court has misunderstood the law of “anticipation” and has misapplied the rules of claim construction. The law of “anticipation” requires that the same invention was previously known and described in the prior art. The law of “claim construction” requires that the claims are construed in light of the specification and the prosecution history. When the prior art does not show the same invention, correctly construed claims are not deemed “anticipated.” It is incorrect to construe a claim so as to delete limitations stated in the claim' — including the “preamble” clause — and then to hold the claim “anticipated” by subject matter that is excluded by the limitations stated in the preamble clause.
Nonetheless, my colleagues on this panel delete material limitations in the claim because they appear in the preamble of the claim, and then find the claim anticipated, although the claim is not anticipated when the deleted limitations are considered. These deleted limitations distinguish the invention that is described and claimed in the patent in suit. It is incorrect to construe the claims contrary to the deleted limitations so as to broaden the claims into invalidity.
DISCUSSION
Claim 1, the broadest claim of U.S. Patent No. 5,154,448, in suit, is as follows:
1. A scratch-off label for permitting a user to write thereon without the use of a marking implement, comprising:
a permanent base having a colored near side which is normally visible to the user and having a far side; and
a coating of scratch-off non-transparent material having a color which contrasts with the color of the near side of the permanent base, which coating is applied directly onto the near side of the permanent base with sufficient thickness so as to obscure the color of the permanent base, and which when scratched off reveals the color of the near side of the permanent base.
Precedent establishes that the preamble limits the claims when it distinguishes the use of the claimed article from the prior art, see Vita-Mix Corp. v. Basic Holding, Inc.,
Generally stated, “terms appearing in a preamble may be deemed limitations of a claim when they give meaning to the claim and properly define the invention.” In re Paulsen,
Whether a preamble stating the purpose and context of the invention constitutes a limitation of the claimed process is determined on the facts of each case in light of the overall form of the claim, and the invention as described in the specification and illuminated in the prosecution history.
This vast body of precedent is directly contravened by today’s ruling, where the panel majority discards the preamble and thereby removes limitations to the claim, and then holds the changed claim invalid. The proper analysis requires construing the claims in accordance with the rules of claim construction, that is, in light of the specification and the prosecution history. See Phillips v. AWH Corp.,
The '448 patent specification and prosecution history make clear that the Griffins’ claimed invention is not “scratch-off’ technology generally, for other uses of “scratch-off’ layers were known; their invention is a scratch-off label on which a user can inscribe information by scratching the surface without the need for a marking implement. The “for permitting” phrase in the preamble is the portion of the claim that makes this aspect clear. Construing the claim without reference to this important narrowing distinction would encompass admitted prior art that was considered, and distinguished, during examination.
In construction, the “scratch-off lottery type game piece” [of MacGregor] is somewhat similar to the Scratch-Off Marking Label. However, the prior art was invented to provide manufacturers with the option of providing promotional game pieces and “cents off’ coupons on products. The object of scratching the label of the “scratch-off lottery type game piece” in the prior art is to expose a hidden cents-off coupon, a winning game piece, or some other information. These promotional labels were not invented to solve the same problem that the proposed invention for a Scratch-off Marking Label seeks to solve.
'448 patent, col. 1 11. 22-33. Similarly, U.S. Patent No. 4,872,707 to deBruin, cited during examination, describes a lottery ticket in which a “pigmented layer” can be scratched off to reveal a “printed layer.” '707 patent, col. 6 11. 37-40. The Griffins explained that the purpose of their invention, and their manner of achieving that purpose, are quite different:
to provide a container label which allows a simplified method (you only need your fingernail) for recording information and identification on the container, thus obviating the need for a writing implement.
'448 patent, col. 1 11. 59-62.
The '448 patent specification recognizes that the differences from prior structures are “slight,” stating that the Griffins’ label “differs slightly from an ordinary scratch-off lottery type game piece,” because “[r]ather than to scratch off the scratch-off coating in a broad area, one forms letters, numbers or figures by scratching through the coating 60 to make easily visible lines 30. The user can then form a name, date or some other kind of pertinent information on the label as desired.” '448 patent, col. 3 11. 46-52. These stated differences from the prior art require consideration during claim construction, yet are ignored by my colleagues. The panel majority opinion illustrates its incorrect construction in its table, Maj. Op. at 1295, wherein the opinion compares the '448 patent’s claim 1 after excision of the preamble clause, with the Malinovitz “parking card.” Malinovitz adds nothing to the MacGregor and deBruin “lottery card” references that were cited during examination. These references were distinguished by the Griffins, on the ground of the limitations that are now stated in the preamble. The panel majority’s comparison of parts of the claim with parts of references cannot provide “anticipation” of the entire claimed invention.
Departing from precedent, the panel majority does not “review the entirety of the patent to gain an understanding of what the inventors actually invented and intended to encompass by the claim,” Corning Glass Works,
The panel majority acknowledges its deletion of the limitations in the preamble, protesting that the preamble “merely states the purpose or intended use” of the invention, citing Bicon,
The Bicon case, on which the panel majority primarily relies, states that “it is not unusual for this court to treat preamble language as limiting” when the facts warrant.
When a claim is written so that the preamble merely introduces the general subject matter, but does not state limitations of the specific invention, this debate does not arise. However, this general claim drafting style does not produce a “presumption” that preamble language is irrelevant to claim scope. Maj. Op. at 1294-95. The cases cited by the panel majority for this proposition do not so state. See id. at 1294-95 (citing Intirtool, Ltd. v. Texar Corp.,
The specification of the '448 patent and its prosecution history point unwaveringly to the role of the preamble as defining and limiting the Griffins’ invention. My colleagues misconstrue the prosecution record, for they state that “the Griffins expressly attested that the ‘writing means’ language was not a claim limitation.” Maj. Op. at 1294. The record shows that the Griffins argued that no specific “writing means” is required, and that they therefore resisted specifying any particular writing instrument; but they did not thereby remove the purpose of providing a scratch-off label that accepts writing without a particular marking instrument, and without preprinted information underneath. The specification stresses that the goal of the invention is to provide a label that can be written on by scratching the surface' — as the Griffins explained to the examiner, the label can be marked by a fingernail, coin, or whatever else is handy, and the claim states that no specific “marking implement” is required. The claim was allowed with this phrase in the last claim clause, and no objection was made by the examiner when the Griffins moved this phrase to the front of the claim. Neither the Griffins nor the examiner suggested that this movement eliminated this fundamental aspect of the invention. Whatever the intent of the Griffins, prosecuting their patent application pro se, there is no support whatsoever for the
The court’s holding today distorts longstanding rules of claim interpretation, by requiring that distinctions between the invention and the prior art must be ignored when they are presented in the introductory clause of the claim. The majority’s claim construction, and the ruling of anticipation based on elimination of the limitations in the preamble of the '448 patent claims, are contrary to law and precedent. I respectfully dissent.
Notes
. The only validity issue before us is "anticipation.”
