LEONIE M. BRINKEMA, District Judge.
This civil action arises from an interference proceeding between Rolls-Royce plc
The relevant filing history of UTC's patent application began on November 17, 1995,
The relevant filing history of Rolls-Royce's patent began in Great Britain, with the filing of British patent application no. 9607316.8 on April 9, 1996.
The purpose of an interference is to determine which of. multiple parties, each asserting patent rights to the same claimed invention, was the first to actually invent it. The invention at issue is defined by what is known as a "count," which consists of one or more claims from the parties' respective patents or applications. At the outset of the proceeding, one of the parties is declared the "senior party" based on the earlier effective filing date of its patent. The senior party is prima facie presumed to have invented first, and the burden remains on the "junior party" to prove otherwise, by a preponderance of the evidence.
The interference proceeding is conducted by one or more administrative law judges of the Board. The Board neither conducts a trial nor receives live testimonial evidence. Instead, after conducting limited discovery governed by the PTO's rules of procedure, the parties argue their positions to the Board, which issues a written decision.
The interference at issue was provoked by UTC during the examination of its '931 reissue application, when UTC persuaded the examiner to recommend to the Board that it declare an interference between UTC's '931 application and Rolls-Royce's issued '077 patent. The Board agreed with the examiner and declared patent interference no. 105,195 ("'195 interference") on. December 31, 2003. Notice of Interference (Docket # 142, Ex. 1). With an effective filing date of November 17, 1995, (compared to Rolls-Royce's April 9, 1996), UTC was named the senior party and Rolls-Royce the junior party to the interference.
Before the Board reaches the merits of who was first to invent, the parties may file "preliminary motions" to address various issues.
However, on April 8, 2004, Rolls-Royce filed a dispositive motion entitled "Rowlands Preliminary Motion 1 (for judgment based on no interference-in-fact pursuant to 37 C.F.R. § 1.633(b))," in which Rolls-Royce argued for a dismissal of the interference altogether on the ground that the parties had actually invented and claimed patentably distinct
On April 29, 2004, UTC filed a preliminary motion, entitled "Spear Preliminary Motion 1 (adding a claim to Spear's application)," in which it sought to redefine the interfering subject matter allowed under 37 C.F.R. § 1.533(c), by adding a new claim 24 to its '931 application, which would then be incorporated into the interference count. The new claim 24, if allowed, would be dependent upon claim 23, and would incorporate into UTC's claimed invention the "convergent casing" element which Rolls-Royce claims, in part, makes its invention patentably distinct.
On February 2, 2005, the Board issued its Decision on Preliminary Motions ("Decision") and entered a final judgment for UTC in the '195 interference. In its Decision the Board denied Rolls-Royce's preliminary motion for judgment based on no interference-in-fact and denied as moot UTC's preliminary motion to add a new claim 24.
In its Decision, the Board discussed the two elements that Rolls-Royce asserted made its claimed invention patentably distinct from UTC's; i.e., (1) forward sweep in the outer region of the blade and (2) a convergent inner duct wall in the rotor region, The Board found that the first element was actually covered by the broad claim language in UTC's '931 application, and was therefore anticipated under § 102, and also found that the element was well known in the industry at the time of the invention, and therefore obvious under § 103. As a result of these findings, the Board ruled that the interference was in fact properly declared. In denying Rolls-Royce's preliminary motion, the Board essentially found interfering subject matter between the parties based on the claims already included in the count. Therefore, allowing UTC to add a new claim 24 to its '931 application, and incorporating that claim into the count, would add nothing new to the interference analysis. For that reason, the Board denied UTC's motion as moot.
Having found the existence of an interference-in-fact, the Board essentially decided that the parties had indeed invented and claimed the same device.
A party which is dissatisfied with the Board's decision in an interference may seek review in a federal court under 35 U.S.C. § 146.
A § 146 action in district court is "essentially a proceeding to review the action of the Board." Conservolite, Inc. v. Widmayer, 21 F.3d 1098, 1102 (Fed.Cir.1994). The proceeding itself is a hybrid between an appeal and a trial de novo. Estee Lauder Inc. v. L'Oreal, S.A., 129 F.3d 588, 592 (Fed.Cir.1997). As trier of fact, the court may hear live testimony and receive documentary evidence, "but normally only as to issues raised by the parties during the proceedings below or by the Board's decision." Conservolite, 21 F.3d at 1102. Ultimately, the district court reviews the Board's findings of fact and law de novo. Winner Int'l Royalty Corp. v. Wang, 202 F.3d 1340, 1347 (Fed.Cir.2000).
The issues before the Court, reviewed de novo, are (1) whether the Board properly denied Rolls-Royce's motion for no inter-ference-in-fact and (2) whether the Board properly dismissed UTC's motion to add a new claim to its application. At the heart of these issues is the Board's claim construction of several key disputed terms. None of these issues can be resolved without first understanding the parties' inventions
Rolls-Royce and UTC
The primary function of the fan' stage of a jet engine
During engine operation, the fan blades and hub, driven by a shaft, rotate about the engine's longitudinally extending rotational axis. Id. at col. 1, 11. 13-15. In this state, the rotating fan blades provide thrust for the jet engine in a manner analogous to propeller blades on a conventional, piston-driven airplane engine. UTC's Trial Brief at 2.
A phenomenon generically called "shock" has long, been known to occur in the fan stage of an operating jet engine. Shock is generally caused by the supersonic flow of a compressible medium such as air over a body. In the context of the fan stage, shock tends to occur in the radially outer region (or tips) of the blades rather than in the radially inner region (near the hub). This shock phenomenon occurs due to the mechanics of a rotating body, in that the relative velocity of the air flow over the blades increases with increasing radius.
A particular type of shock which occurs under certain operating conditions
Passage shock has long been known in the industry to cause problems in the operation of jet engines. Most significantly, it contributes to the overall noise of the engine and causes inefficiencies in its operation. Reducing noise level is important to airlines because many airports have strict noise restrictions during certain times of the day. Improving the efficiency of engines is likewise important to the airlines for saving on fuel costs.
One approach to eliminating or reducing passage shock and. its negative effects has been to alter the shape of fan blades. Traditionally, fan blades have been shaped in a "radial" or substantially straight manner. While functional, radial blades suffer the full force of passage shock due to the air striking the leading edge of these blades at a perpendicular angle. As a result, the supersonic relative air velocity over the tips of radial blades is maximized, causing maximum passage shock effect.
To alleviate the effects of passage shock, engineers began experimenting with highly angled or "swept blades" as early as the 1970's. See Bliss U.S. Pat. No. 3,989,406 ("Bliss"). Bliss, for example, taught that there are benefits to angling the blades into the incoming air ("forward sweep") or away from the incoming air ("rearward sweep"). Sweeping the leading edge of the blades has the effect of reducing the relative velocity of air over the leading edge, which in turn, reduces or eliminates the effects of shock.
The inventions taught by UTC's '931 application and Rolls-Royce's '077 patent are both directed towards improvements to the traditional swept fan blades. Specifically, both inventions teach improvements to the efficiencies of prior art swept blades. However, there are also significant differences between the parties' inventions including (1) the objects of inventions and (2) the manner in which those objects are achieved.
The specification for UTC's '931 reissue application is based on (by incorporation) its issued '985 patent.
The only object of Spear's invention expressly stated in the specification is to maximize engine efficiency. Spear col. 2, 11. 11-13. Efficiency is maximized, Spear teaches, by "limiting the number of shocks" experienced by each blade during operation. Spear col. 1, 11. 57-58. There are actually two types of shocks described by Spear, the adverse affects of which the invention seeks to minimize. The first shock is the traditionally known passage shock described above. The second shock described by Spear is known as "endwall shock."
Endwall shock, which Spear explains is "unrelated" to passage shock, is actually caused by the sweeping of fan blades. The shock occurs during engine operation, when pressure waves form along the span of the suction surface
Spear teaches that in traditionally swept fan blades, passage shock and endwall shock occur in two different locations with respect to the leading edge of the blade. Passage shock, as taught by Spear, is "attached to" the blade's leading edge, while endwall shock occurs in front of the leading edge. Because of these staggered locations, "the [air] flowing [through the blades] encounters multiple shocks and experiences unrecoverable losses in velocity and total pressure, both of which degrade the engine's efficiency." Spear col. 1, 11. 45-48.
Spear's invention is a swept fan blade whose unique shape causes the passage shock to be "brought into coincidence with the endwall shock[,] so that the [air] does not encounter multiple shocks." Spear col. 4, 11. 58-62. This coincidence of the shocks improves efficiency, because "the aerodynamic penalty of. coincident shocks is. less than that of multiple individual shocks." Spear col. 4, 11. 65-67.
Spear's invention to achieve coincidence of shock can best be described as a swept blade having reduced sweep at the tip. Although the specification teaches two general embodiments of the invention, we will discuss only the one relevant to the interference—the "swept back" embodiment of fig. 2. This swept back embodiment is described as "[t]he leading edge [28] is swept back at radii greater than the inner transition radius ["r
In the swept back embodiment of fig. 2, Spear teaches a fan blade whose radial length can be divided into three distinct regions based on the sweep angle of the blade. The first or "inner region" of the blade begins at the blade's hub and ends at the inner transition radius, r
The second or "intermediate region" begins at the inner transition radius, r
The innovation of the nonincreasing sweep angle in the tip region is best understood by comparison to the prior art. In figure 2, one can see the difference between Spear's blade 22 (indicated by solid lines) and a conventional prior art swept blade 22' (indicated by dashed lines). In the tip region (74), the conventional blade increases its rearward sweep while Spear's blade reduces it. Turning to figure 3, the end result is that the tips of Spear's blades 22 (indicated by solid lines) are positioned relatively forward compared to the prior art blades 22' (indicated by dashed lines). The result is that the passage shock (66), which remains attached to the blade's leading edge, is brought into coincidence with the more forward positioned endwall shock (64).
As with UTC's '985 patent, the Court will refer to Roll-Royce's '077 patent by the name of its inventor, Rowlands.
Rowlands teaches a number of objects of his "Swept Pan Blade" invention. In addition to improving engine efficiency, as taught by Spear, the objects of Rowlands invention include (1) improved stability, Rowlands col. 4, lines 7-17; (2) reduced mechanical loads and stresses on the blades, Id. at lines 22-42; and (3) improved tolerance to foreign object damage caused by bird strikes', Id. at lines 43-47. Because many aspects of Rowlands invention are beyond the scope of the interference dispute, the Court will only address those improvements and means that are relevant to the interference proceedings.
An important difference between the Spear and the Rowlands' inventions is the importance of stability in the Rowlands invention. Specifically, Rowlands teaches that although swept fan blades "generally exhibit good efficiency levels," this benefit normally comes "at the expense of stability. . . ." Rowlands col. 3, lines 42-43. One of the objects of Rowlands' invention, however, is to "increase fan rotor efficiency. . . with no erosion of . . . stability. . . ." Id. The means for achieving this objective end includes a fan blade that has forward sweep at the tip. Rowlands col. 5, lines 31-33.
Like Spear, Rowlands teaches an alteration to the traditionally shaped swept fan blade to improve its performance. Additionally, Rowlands, like Spear, teaches a fan blade that is forward swept in an inner region and rearward swept in an intermediate region. But in the outer region, where Spear teaches a reduced sweep.("nonincreasing"), Rowlands teaches a blade with forward sweep. Moreover, Rowlands teaches an entirely different motive for altering the blade's sweep in the outer region.
An important motive for Rowlands' invention is to "overcome [ ] . . . inherent stability problems of [traditionally swept blades]." Rowlands col. 4, lines 18-19. One such stability problem is a phenomenon known as "surge." At its worst, surge can cause a dangerous stall condition whereby the jet engine fails to provide thrust because of a "violent reversal of airflow." Rowlands col. 4, lines 15-16. A
Rowlands teaches that one way to capture or intercept the passage shock with a swept fan blade is to sweep the tip of the blade forward. This alteration causes the shock surface to move "rearwards, away from the leading edge, at the blade tip." Rowlands col. 4, lines 15-16 and figs. 2b. and 4b. (for examples of captured passage shock). The improved Rowlands swept fan blade, therefore, has a blade profile that is forward swept in the inner region, rearward swept in the intermediate region, and forward swept in the outer region. In short, the blade has forward-rearward-forward sweep.
Another feature of the fan stage taught by Rowlands is a convergent casing over the tips of the blades. The traditional casing, which covers the internal parts of the jet engine, is shaped more or less like a cylinder, maintaining a substantially constant diameter in the axial direction. A convergent casing, however, "is tapered in the downstream direction" over the tips of the blades. Rowlands col. 6, lines 15-16 and fig. 5a. Rowlands teaches that the motivation for using a convergent casing is "to avoid complicated aerodynamic interference effects which might otherwise be brought about by reflection of the passage shock waves from the casing wall as has been described in U.S. Pat. No. 5,642,985." Rowlands col. 6, lines 22-26.
Despite the length and complexity of the record for this litigation, at the core of this dispute is how certain key terms in the patents claims are interpreted.
The first step in an interference-infact analysis is to construe the claims. Medichem, S.A. v. Rolabo, S.L., 353 F.3d 928, 932-33 (Fed.Cir.2003). Claim construction is a question of law "exclusively within the province of the court." Markman v. Westview Instruments, 517 U.S. 370, 372, 116 S.Ct. 1384, 134 L.Ed.2d 577 (1996). Sitting de novo, this Court need not give any deference to the claim constructions rendered by the Board. Winner, 202 F.3d at 1347.
A court should construe a claim term based upon "the meaning that the term would have to a person of ordinary skill in the art in question at the time of the invention, i.e., as of the effective filing date of the patent application." Phillips v. AWH Corp., 415 F.3d 1303, 1313 (Fed.Cir. 2005). "In some cases, . . . claim construction. . . involves little more than the application of the widely accepted meaning of the commonly understood words." Id. at 1314. In other cases, where "the meaning of a claim term as understood by persons of skill in the art is . . . not immediately apparent, [then] . . . the court looks to . . . the words of the claims themselves, the remainder of the specification, the prosecution history, and extrinsic evidence. . . ." Id.
"It is . . . entirely appropriate for a court, when conducting claim construction, to rely heavily on the written description for guidance as to the meaning of the claims." Id. at 1317. However, a court must "avoid the danger of reading limitations from the specification into the claim." Id. at 1323. "[T]he line between construing terms arid importing limitations can be discerned with reasonable certainty and predictability if the court's focus remains
A person of ordinary skill in the art is a theoretical person, whose credentials and abilities are relevant to the issues of claim construction and § 103 obviousness. The relevant time frame for one of ordinary skill in the art is the time of the invention. Phillips, 415 F.3d at 1313. The "time of invention" is the effective filing dates of the application and patents at issue, that is, November 17, 1995(UTC) and April 9, 1996 (Rolls-Royce). Thus, the Court must determine the credentials and abilities of one of ordinary skill in the art of fan blade design in the 1995-95 time-frame.
According to the testimony of Rolls-Royce's expert witness W. John Calvert, a person of ordinary skill in the relevant art in 1995-96 would "have at least a bachelor's degree in . . . general engineering, [plus] . . . four to five years at least of experience dealing with the transonic and supersonic flows occurring in a gas turbine engine." Trial Tr. at 270-71. However, the person's experience, with swept fan blades in particular, Calvert testified, would have been "[p]robably very limited, because at that time, work on swept fan blades wasn't widespread, so they would probably have very little direct experience of that." Id. at 271.
UTC's expert witness, Dr. Yuan Dong, described a person of ordinary skill in the art as "someone with an advanced degree in fluid mechanics and/or with numerous years of experience designing fans for ducted gas turbine engines for airplanes." Trial Tr. at 527. Given the complexity of the field, the Court agrees with UTC's position. That is, one of ordinary skill in the art would have several years of experience designing fan blades and/or hold an advanced engineering degree in fluid mechanics.
The claims at issue here are UTC's '931 claim 23, Rolls-Royce's '077 claim 8, and UTC's proposed '931 claim 24. For ease of reference, these claims are set out in the following chart, with differences in claim language noted in bold.
UTC's '931 Application Rolls-Royce's '077 Patent Claim 23 Claim 8 A fan stage of a ducted fan A fan stage of a ducted fan gas turbine engine that is gas turbine engine that is rotatable about an axis ofat least in part rotatable rotation and defines a about an axis of rotation downstream direction along and defines a downstream the axis of rotation, direction along the axis of comprising: rotation, comprising: a fan casing that defines an a fan casing that defines an inner duct wall having a fan inner duct wall having a fan rotor region; rotor region; a hub disposed concentrically a hub disposed concentrically relative to the fan relative to the fan casing; casing; a fan rotor that includes a fan rotor that includes multiple swept fan blades, multiple swept fan blades, the swept fan blades being the swept fan blades being spaced apart around the spaced apart around the huband being capable of hub, each of the multiplerotating at speeds providing swept fan blades having:supersonic working medium gas velocities over the blades to cause a shock in the gas adjacent the inner duct wall, each of the multiple swept fan blades having: a tip profile thatcorresponds a tip profile thatis convergent to the inner ductso as to substantially wall of the fan casing;correspond to theconvergent inner duct wall of the fan casing; a leading edge that defines a leading edge that defines a variable sweep angle in a a variable sweep angle in a direction perpendicular to direction perpendicular to the axis of rotation, the the axis of rotation, the leading edge including: leading edge including: an inner region adjacent an inner region adjacent the hub, the inner region the hub, the inner region defining a forward sweep defining a forward sweep angle; angle;
an intermediate region between an intermediate region between the inner region and the inner region and the fan casing, the intermediate the fan casing, the intermediate region defining a region defining a rearward sweep angle; and rearward sweep angle; and an outer region between an outer region between the intermediate region the intermediate region and and. the fan casing, the outer the fan casing, the outer region being translated regiondefining a forward forward relative to a leading sweep angle. edge with the same sweep angle as an outward boundary of the intermediate region to provide a sweep angle that causes the blade to intercept the shock.
UTC's Proposed Claim 24 for the '931 Application (Differences From UTC's Already Existing Claim 23 are in Bold)
A fan stage of a ducted fan gas turbine engine that is rotatable about an axis of rotation and defines a downstream direction along the axis of rotation, comprising:
The Court need not construe every term of the above claims, but rather "only those terms ... that are in controversy, and only to the extent necessary to resolve the controversy." Vivid Tech., Inc. v. Am. Sci. & Eng'g, Inc., 200 F.3d 795, 803 (Fed. Cir.1999); see also United States Surgical Corp. v. Ethicon, Inc., 103 F.3d 1554, 1568 (Fed.Cir.1997)(stating that claim construction "is not an obligatory exercise in redundancy"). The Court, therefore, in exercising its discretion, will construe only the following disputed terms as necessary to resolve the relevant issues in this interference.
The meaning of UTC's claim term "translated forward" is vigorously contested by the parties. The Federal Circuit in Phillips explained that "apart from the written description, ... the claims themselves provide substantial guidance as to the meaning of particular claim terms." Phillips, 415 F.3d at 1314. Additionally, "the context of the surrounding words of the claim also must be considered in determining the ordinary and customary meaning of those' terms." ACTV, Inc. v. Walt Disney Co., 346 F.3d 1082, 1088 (Fed.Cir.2003). Given this guidance, the Court will construe "translated forward," as discussed below, in its context within claim 23.
UTC argues, and the Board agreed, that "translated forward means that the leading edge of the fan blade is moved forward, towards the airflow direction." Decision at 11. The construction is best understood by reference to Spear's figure 3, which is a cross-sectional view of the tips of the blades of figure 2. Towards the bottom of this figure, there are three-directional arrows, labeled "U," "V
After construing the term "translated forward," the Board interpreted the remainder of the claim as a whole. Specifically, it found that, taken together, the claim term
is "broad enough to cover fan blades with an outer region that has a rearward sweep angle or a forward sweep angle." Decision at 12. Essentially, the Board agreed with UTC that the above claim describes a range of sweep angles in the outer region of a blade, that range including both reduced rearward sweep and forward sweep. The Court finds, however, that this claim construction is in error, and makes use of impermissible hindsight.
The Board first erred by finding the claim terms at issue to be unambiguous oh their face.
without resorting to a diagram or some further explanation.
Because UTC's claim language is ambiguous on its face, a person of ordinary skill in the art would be forced to read the
In conclusion, given the ambiguity of the claim terms standing alone, and. reading them "in view of the specification, of which they are part," the Court construes this claim to mean that one of ordinary skill in the art would have understood Spear's Claim 23, that is,
to mean that "the outer region is moved axially forward in the direction of the working medium."
As with the last disputed claim term, "the shock" can only be construed properly based on its context within claim 23. The relevant antecedent language, for "the shock" is
(Emphasis added). The relevant contextual language is discussed below.
The Board did not construe this section of claim 23 at all. Instead, it construed only UTC's claim 18, which omits this last limitation, even though the parties stipulated to the Board what they have stipulated to this Court, that UTC's claim 23 and Rolls-Royce's claim 8 are fully representative of the '195 interference. The Court has accepted this stipulation in analyzing the terms in UTC's claim 23 and Rolls-Royce's claim 8.
UTC argues for a generic construction of the term "the shock" as "the pressure wave produced by supersonic motion of a body in a medium that is forward of the leading edge of the blade, near the inner duct wall." UTC's Opposition Brief to Rolls-Royce's Trial Brief at 27. UTC further argues that any more specific construction would impermissibly read limitations of the specification into the claim. Alternatively, it argues that
Id. at 30.
The Court disagrees with this construction for the same reasons it disagreed with
The Court next turns to the construction of the entire phrase: "a sweep angle that causes the blade to intercept the shock." Again, UTC's claim language is ambiguous on its face; this time, because of its functional nature. One of ordinary skill in the art, reading the claim alone, would not understand exactly what sweep angle is required to "cause the blade to intercept the shock." By comparison, Rolls-Royce's parallel claim language is structural in nature, describes the outer region simply as "defining a forward sweep angle," and would therefore be understood on its face by one of ordinary skill in the art.
Because of the ambiguity in UTC's claim, one of ordinary skill in the art would have to resort to the specification. In doing so, the person would be looking for guidance as to exactly what sweep angle in the outer region of the blade would cause it to intercept the endwall shock (as the Court has construed "the shock"). In the UTC application the entire specification is devoted to teaching this critical sweep angle, which Spear labels as the "radially varying second sweep angle O
Spear col. 4, lines 47-53. (Emphasis added).
Given the teachings of the specification, the Court finds that one of ordinary skill in the art would have understood the claim
In support of enablement for forward sweep., the Board cited to the following written description in Spear:
Spear col. 4, line 63-col. 5, line 4. (Emphasis added). The Board then speculates that:
Decision at 12.
The Court rejects such speculative reasoning and gives little weight to the cited Spear written description, which is nothing more than a boilerplate disclaimer. More importantly, this description would not be enabling of, or shed light on, any claim terms because this language simply cites a goal (i.e., bringing passage shock into coincidence with endwall shock) without any explanation of a structure to achieve that goal.
For the sake of clarity, and consistent with the above constructions, the Court construes the above language of UTC's claim 23 to mean:
Having construed the relevant disputed claim terms, the Court now turns to the first of two substantive underlying issues.
The Court finds, for the reasons discussed in more detail below, that there is no interference-in-fact between Rolls-Royce's '077 patent and UTC's '931 reissue
The PTO's interference rule 37 C.F.R. § 1.601(j) defines an "interference-in-fact" as follows:
(Emphasis added). The phrase, "the same patentable invention" is described by an example:
Conservolite, 21 F.3d at 1101 (citing 37 C.F.R. § 1.601(n)).
Using that example in this case, one can think of Rolls-Royce's invention as "A" and UTC's as "B." Moreover, the parties have stipulated that whether Rolls-Royce's claimed invention is "the same patentable invention" as UTC's is limited to a question of obviousness under 35 U.S.C. § 103. Lastly, because this is an interference proceeding, the Court must compare only the parties' claims in its interference analysis, without resort to the patents' specifications.
Before declaring an interference, the Board "must determine that the subject matter of the application claim,
The test for whether an invention is deemed "obvious" under 35 U.S.C. § 103 is articulated in Graham v. John Deere Co., 383 U.S. 1, 86 S.Ct. 684, 15 L.Ed.2d 545 (1966), which held that this mixed question of law and fact should be decided based on both "primary" and "secondary" considerations. First, the Court must determine such primary considerations as: "the scope and content of the prior art ...; differences between the prior art and the claims at issue ...: and the level of ordinary skill in the pertinent art .... Against this background, the obviousness or nonobviousnes of the subject matter is determined." Id. at 17, 86 S.Ct. 684. The "secondary considerations" under Graham include various categories of objective evidence which can support a finding of nonobviousness. They include commercial success, long felt but unresolved needs, failure of others, copying, unexpected results, and industry acclaim.
As to the primary considerations of obviousness,
Merck & Co. v. Biocraft Labs., Inc., 874 F.2d 804, 808 (Fed.Cir.1989) (internal quotations omitted). In this analysis, "the person of ordinary skill is charged with knowledge of the entire body of technological literature, including that which might lead away from the claimed invention." In re Dow Chemical Co., 837 F.2d 469, 473 (Fed.Cir.1988). "When an obviousness determination is based on multiple prior art references, there must be a showing of some `teaching, suggestion, or reason' to combine the references." Winner, 202 F.3d at 1348.
Although prior art references are used to find obviousness, in Noelle v. Lederman, 355 F.3d 1343, 1352 (Fed.Cir.2004), the Federal Circuit found that it was improper to rely on a party's specification to prove obviousness. Id. Instead, one "must only compare the parties' claims." Id. However, if certain terms of the claims are "ambiguous," it is appropriate to "resort to the specification or other sources to define those terms." Id.
Rolls-Royce argues that there are two material differences between its claim 8 and UTC's claim 23: 1) Rolls-Royce's claim of an "outer region [of the leading edge of the-swept fan blade] ... defining a forward sweep angle," and 2) a "convergent inner duct wall of the fan casing."
Both the Decision and UTC's defense to Rolls-Royce's no interference-infact motion rely on the assertion that UTC's invention includes forward sweep at the tip. As discussed above, however, the Court finds that such forward sweep is not included in UTC's claim 23. Consistent with Noelle, the Court reached that conclusion using the parties' specifications only in the course of claim construction. In construing UTC's ambiguous claim language:
the Court finds that UTC's "invention," for purposes of the interference, does not incorporate forward sweep at the tip because one of ordinary skill in the art would understand the sweep angle in the outer region to be nonincreasing (constant or reduced), up to zero degrees, but not sweeping forward. Therefore, the invention, as claimed, does not include forward sweep.
Beyond its claim 23, UTC (and the Board) offered no prior art references establish the obviousness of forward sweep at the tip of a swept blade. Moreover, consistent with Noelle, the Court cannot consider any of the teachings of UTC's specification to render obvious this feature. Therefore, because UTC does not claim this element, and no prior art teaches it, the forward sweep at the tip element in Rolls-Royce's claim 8 is nonobvious.
In Stratoflex, Inc. v. Aeroquip Corp., 713 F.2d 1530, 1538-39 (Fed.Cir.1983), the Federal Circuit stated that:
(internal citations omitted). The Court's conclusion of nonobviousness of Rolls-Royce's invention, although based solely on primary considerations, is confirmed by several secondary considerations. Specifically, long felt but unresolved need, industry acclaim, and commercial success support the Court's conclusion.
At trial, Rolls-Royce's Vice President of Marketing, Robert C. Nuttall, ("Nuttall") provided compelling testimony about the commercial airline industry's need for ever quieter, more fuel efficient engines. Fuel efficiency, he testified, is important for cost savings, especially true for large, long-range aircraft. Trial Tr. at 215. By way of example, Nuttall discussed Airbus's new, 555 passenger A380 aircraft. Id.
Id. at 215-16.
Id. at 216.
The evidence at trial showed that industry engineers began experimenting with highly swept fan blades in the 1970's, mostly to solve the problems of noise and inefficiency of existing jet engines.
Id. at 50. Rowlands started with a computer-simulated blade having forward sweep in the inner region and a 45° constant rearward sweep in the outer region.
The results of the project, which was known as "ALPS" (Advanced Low Pressure System Blades), are summarized in
Id. at 16. In other words, Rowlands postulated that an "increase in tip chord" (blade width)—which would have the effect of giving the tip of the blade a forward sweep angle—would improve a swept blade's stability (measured by surge margin).
The idea was implemented in Rowland's follow-up project called Swept Civil Research Fan ("SCRP"). The SCRF project involved experimentation with a swept fan blade having forward sweep in an inner region, rearward sweep in an intermediate region, and the critical change of forward sweep at the tip. The blade was also enclosed by a convergent casing. The SCRF blade and casing, in fact, was exactly the invention disclosed and claimed in Rolls-Royce's '077 patent, claim 8.
The computer model analysis of the SCRF blade revealed dramatic results. As documented in Rowlands' August 18, 1995, internal Rolls-Royce report, Plaintiff Ex. 484, and as he explained at trial,
Tr. at 63. The major breakthrough, however, was that this highly efficient swept fan blade, unlike the prior art, was also stable, due to the forward sweep at the tip. Rowlands explained:
Id.
The blade described in claim 8, which to this point had only been modeled and tested on a computer, was later physically tested, and eventually incorporated into a Rolls-Royce engine called the Trent 8104. The parties do not dispute that the Trent 8104 was the very first commercially available engine incorporating fan blades with forward-rearward-forward sweep. On this record, the Court finds that Rolls-Royce satisfied a long-felt need in the industry, through the Trent 8104, for a feasible, highly swept fan blade engine having the important characteristics of high efficiency, low noise, and stability.
UTC makes much of the fact that the Trent 8104, which was designed for Boeing's long-range 777, was never sold, having lost out to a competing General Electric engine. The Court disagrees, however, with this narrow evaluation. The Trent 8104 became a model for the industry to follow, such that all three major manufacturers now produce large
The forward-rearward-forward swept fan blade of claim 8 received substantial industry acclaim, both internally at Rolls-Royce, and more importantly, from the industry as a whole. Internally, Rolls-Royce awarded Rowlands and his colleague Michael J. Adams
Although Rolls-Royce never sold the 8104 engine, that engine was the first commercially available engine with highly swept fan blades. After public awareness of the Trent 8104, the rest of the industry quickly came out' with their own, similar versions of the highly swept fan blade engines. Today, the forward-rearward-forward sweep design is the industry standard for large civil aircraft engines.
UTC argues that Rolls-Royce has failed to establish the required nexus between engine sales and the invented fan blade design. The Court finds, however, through Nuttall's testimony and the trial exhibits, that the highly swept fan blades is a feature that was strongly marketed to the airlines. Moreover, the Court finds that the improved efficiency and noise characteristics of the fan blade have been a major driving force behind sales of Rolls-Royce engines that incorporate them.
The Court found unpersuasive Rolls-Royce's evidence of other secondary considerations
The Court agrees with that portion of the Board's decision-finding obvious Rolls-Royce's claim 8 convergent casing element. The prior art teaching convergent casings are legion.
The obviousness of Rolls-Royce's convergent casing element, however, is mooted by the nonobviousness of its forward sweep at the tip feature.
The Court agrees with the Board, although for different reasons, that UTC's preliminary motion to add claim 24 to its '931 application and to the interference count is moot. The proposed independent claim 24 would add the following new language to the already existing, independent claim 23
By this motion, UTC is trying to capture through claim 24 the convergent casing feature of Rolls-Royce's claim 8. However, because the convergent casing is obvious, the Court finds that UTC's proposed claim 24 would add nothing new to the interference-in-fact analysis. Therefore, the Court will affirm that portion of the Decision dismissing as moot UTC's preliminary motion.
Lastly, the Court declines to award attorneys' fees and costs finding that this is not an exceptional case under 35 U.S.C. § 285.
For the reason's discussed above, the Board's February 2, 2005, Decision on Preliminary Motions will be affirmed to the extent it dismissed UTC's preliminary motion to add claim 24, however, the Decision will be reversed as to the denial of Rolls-Royce's preliminary motion. Because this Court finds that, there is no interferencein-fact between Rolls-Royce's '077 patent and UTC's '931 reissue application, judgment
35 U.S.C. § 146.