CHANCERY DIVISION
PATENTS
COURT
Strand, London, WC2A 2LL | ||
B e f o r e :
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POZZOLI S.P.A |
Claimant | |
- and - |
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BDMO S.A MOULAGE INDUSTRIEL DE PERSEIGNE S.A CMCS GROUP PLC |
Defendants |
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Mr
Henry Carr QC and Mr. Michael Hicks (instructed by Redd Solicitors LLP) for the
First and Second Defendants
Hearing dates: 7th, 8th 9th June 2006
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Crown Copyright ©
Mr Justice Lewison:
Introduction | 1 |
The patent in suit | 3 |
Approach to construction | 14 |
General principles | 14 |
Variants and the claim | 15 |
New technology | 20 |
The notional addressee | 22 |
Common general knowledge | 26 |
Mindset | 33 |
Issues of construction | 34 |
Claim 1 | 34 |
Container for a plurality of discs, particularly compact discs | 36 |
Seats and regions | 37 |
Located at a higher level than the first region | 45 |
The discs being axially retained in said seats | 46 |
Infringement | 58 |
The double push tray | 58 |
Does the Double Push Tray infringe? | 59 |
Obviousness | 62 |
The general legal test | 62 |
Overcoming prejudice | 67 |
Was there a prejudice; and has it been overcome? | 70 |
Was there a prejudice? | 70 |
If there was a false prejudice, has it been overcome? | 80 |
The prior art | 81 |
The Windsurfing approach | 82 |
What is the inventive concept claimed by the patent? | 82 |
What was the state of the art? | 85 |
What is the difference between the state of the art and the inventive concept? | 86 |
Were the differences obvious steps to take? | 87 |
Fujifilm | 94 |
Anticipation and added matter | 98 |
Result | 99 |
Introduction
The patent in suit
"It is known that containers for a plurality of compact discs are generally constituted by a tray-like body that forms the side-by-side recesses or seats for accommodating the compact discs."
"This arrangement causes the dimensions of the container to have a 2-to-1 ratio, so that said container assumes external dimensions that in addition to being scarcely effective from an aesthetic point of view are often awkward, since they do not allow to easily place the container in the areas where it is to be held."
(1) To provide a container that accommodates two or more discs and allows them to be removed individually and to reduce the external dimensions, thus making it easier and simpler to position the container in the areas in which it is to be held.(2) To provide a container with an external dimension ratio which gives "an easier use of the container" in addition to "a pleasant aesthetic effect".
(3) To provide a container that "by virtue of its particular constructive features, gives the greatest assurances of reliability and safety in use".
(4) To provide a container that is "obtainable starting from commonly commercially available elements and materials and is furthermore competitive from a merely economic point of view".
"A feature of the invention is constituted by the fact, as shown in figures 2 and 3, that the tray-like body 10 defines a first region 20 for accommodating a first compact disc 21; said region has, in a per se known manner, peripheral recesses 22 that allow to remove the disc 21, which is retained, in a per se known manner, by a coupling element 23 that acts axially.
A further feature of the invention is constituted by the fact that there is a second region 30 for accommodating a second compact disc 31, said region being arranged at a higher level than the first region 20.
The second compact disc 31 is furthermore arranged so as to partially overlap the first compact disc 21 and remain spaced therefrom, so that the user can, as shown schematically in dashed lines in figure 3, remove either disc without difficulty.
The partial overlapping of the discs, while keeping them mutually spaced, allows to significantly reduce the overall size of the container and most of all to reduce its dimension ratio."
"In this case, a swing-out frame 40 is provided at the second region 30 and is pivoted at one edge of the tray, said frame supporting a second compact disc, again designated by the reference numeral 31, on one face, and a third compact disc, designated by the reference numeral 41, on the other face.
As clearly shown in the figures, in order to remove either one of the compact discs it is sufficient to overturn the frame 40.
For the sake of completeness in description, it should also be added that the conventional recesses allowing to insert a finger to remove the compact disc are provided both at the second region 30 and at the peripheral regions of the frame 40."
"The invention thus conceived is susceptible of numerous modifications and variations, all of which are within the scope of the inventive concept.
All the details may furthermore be replaced with other technically equivalent elements.
In practice, the materials employed, as well as the contingent shapes and dimensions, may be any according to the requirements."
"Container for a plurality of discs, particularly compact discs, comprising a tray-like body (10,110) defining seats for accommodating at least two discs, said tray-like body (10,110) including a first region (20) for accommodating at least one first disc (21, 121, 122) and at least a second region (30) for accommodating at least one second disc (31, 131, 132) located at a higher level than said first region (20), the discs (21, 31, 121, 131, 122, 132) being axially retained in said seats, so that each of the discs (21, 31, 121, 131, 122, 132) can be individually gripped and axially detached for removal from said seats in which they are retained, characterized in that said at least one second disc (31, 131, 132) is arranged in said second region (30) so as to be spaced from, and to partially overlap said at least one first disc (21, 121, 122) in an axially offset manner."
Approach to construction
General principles
"(a) The first, overarching principle, is that contained in Art 69 itself. Sometimes I wonder whether people spend more time on the gloss to Art 69, the Protocol, than to the Article itself, even though it is the Article which is the main governing provision.
(b) Art 69 says that the extent of protection is determined by the terms of the claims. It goes on to say that the description and drawings shall be used to interpret the claims. In short the claims are to be construed in context.
(c) It follows that the claims are to be construed purposively -- the inventor's purpose being ascertained from the description and drawings.
(d) It further follows that the claims must not be construed as if they stood alone -- the drawings and description only being used to resolve any ambiguity. The Protocol expressly eschews such a method of construction but to my mind that would be so without the Protocol. Purpose is vital to the construction of claims.
(e) When ascertaining the inventor's purpose, it must be remembered that he may have several purposes depending on the level of generality of his invention. Typically, for instance, an inventor may have one, generally more than one, specific embodiment as well as a generalised concept. But there is no presumption that the patentee necessarily intended the widest possible meaning consistent with his purpose be given to the words that he used: purpose and meaning are different.
(f) Thus purpose is not the be-all and end-all. One is still at the end of the day concerned with the meaning of the language used. Hence the other extreme of the Protocol--a mere guideline--is also ruled out by Art 69 itself. It is the terms of the claims which delineate the patentee's territory.
(g) It follows that if the patentee has included what is obviously a deliberate limitation in his claims, it must have a meaning. One cannot disregard obviously intentional elements. Hoffmann LJ put it this way in STEP v. Emson [1993] RPC at 522:
"The well known principle that patent claims are given a purposive construction does not mean that an integer can be treated as struck out if it does not appear to make any difference to the inventive concept. It may have some other purpose buried in the prior art and even if this is not discernible, the patentee may have had some reason of his own for introducing it."
(h) It also follows that where a patentee has used a word or phrase which, acontextually, might have a particular meaning (narrow or wide) it does not necessarily have that meaning in context. A good example of this is the Catnic case itself -- ' vertical' in context did not mean 'geometrically vertical', it meant 'vertical enough to do the job' (of supporting the upper horizontal plate). The so-called 'Protocol questions' (those formulated by Hoffmann J in Improver v Remington [1990] FSR 181 at p.189) are of particular value when considering the difference of meaning between a word or phrase out of context and that word or phrase in context. At that point the first two Protocol questions come into play. But once one focuses on the word in context, the Protocol question approach does not resolve the ultimate question -- what does the word or phrase actually mean, when construed purposively? That can only be done on the language used, read in context.
(i) It further follows that there is no general 'doctrine of equivalents.' Any student of patent law knows that various legal systems allow for such a concept, but that none of them can agree what it is or should be. Here is not the place to set forth the myriad versions of such a doctrine. For my part I do not think that Art. 69 itself allows for such a concept -- it says the extent of protection shall be determined by the terms of the claims. And so far as I can understand, the French and German versions mean the same thing. Nor can I see how the Protocol can create any such doctrine.
(j) On the other hand purposive construction can lead to the conclusion that a technically trivial or minor difference between an element of a claim and the corresponding element of the alleged infringement nonetheless falls within the meaning of the element when read purposively. This is not because there is a doctrine of equivalents: it is because that is the fair way to read the claim in context.
(k) Finally purposive construction leads one to eschew what Lord Diplock in Catnic called (at p.243):
'the kind of meticulous verbal analysis which lawyers are too often tempted by their training to indulge.'
Pedantry and patents are incompatible. In Catnic the rejected 'meticulous verbal analysis" was the argument that because the word 'horizontal' was qualified by 'substantially' whereas 'vertical' was not, the latter must mean 'geometrically vertical.""
Variants and the claim
"Notwithstanding the adaptability of scientific language, the patentee is not expected to be omniscient or to exhibit superhuman thoroughness in drafting. He may not be able to foresee future developments which will be useable with his invention but which make no material difference to the way it works. For example, the invention may relate to a mechanical device in which two parts are connected together. A new method of connection might not be covered by the exact words of the claim, but the notional reader would be reasonably confident that the patentee would have intended to cover the new method as well. Furthermore, the patentee may choose a form of language which emphasises which features of an invention are important and which are not. For example it is common to find claims which start with general description followed by "characterised in" followed by a list of features. The addressee would appreciate that the latter features are particularly important but the features before the words "characterised in" are less so. If there is a variant to the latter which obviously does not affect the way in which the invention works, the notional reader may be reasonably confident that the inventor wanted to cover this variant as well. In these types of cases, the monopoly is likely to extend to the new variant."
"Purposive construction" does not mean that one is extending or going beyond the definition of the technical matter for which the patentee seeks protection in the claims. The question is always what the person skilled in the art would have understood the patentee to be using the language of the claim to mean."
"When speaking of the "Catnic principle" it is important to distinguish between, on the one hand, the principle of purposive construction which I have said gives effect to the requirements of the Protocol, and on the other hand, the guidelines for applying that principle to equivalents, which are encapsulated in the Protocol questions. The former is the bedrock of patent construction, universally applicable. The latter are only guidelines, more useful in some cases than in others. I am bound to say that the cases show a tendency for counsel to treat the Protocol questions as legal rules rather than guides which will in appropriate cases help to decide what the skilled man would have understood the patentee to mean."
"The determination of the extent of protection conferred by a European patent is an examination in which there is only one compulsory question, namely that set by art.69 and its Protocol: what would a person skilled in the art have understood the patentee to have used the language of the claim to mean? Everything else, including the Protocol questions, is only guidance to a judge trying to answer that question."
New technology
"I do not dispute that a claim may, upon its proper construction, cover products or processes which involve the use of technology unknown at the time the claim was drafted. The question is whether the person skilled in the art would understand the description in a way which was sufficiently general to include the new technology. There is no difficulty in principle about construing general terms to include embodiments which were unknown at the time the document was written. One frequently does that in construing legislation, for example, by construing "carriage" in a 19th century statute to include a motor car. In such cases it is particularly important not to be too literal. It may be clear from the language, context and background that the patentee intended to refer in general terms to, for example, every way of achieving a certain result, even though he has used language which is in some respects inappropriate in relation to a new way of achieving that result."
The notional addressee
"The Patent would have been addressed to a team of individuals. This team would have included an industrial designer or design engineer, a production engineer (with at least 5 years experience and a degree in industrial engineering) and a materials engineer (with at least 5 years experience and a degree covering plastics technologies). However as the Patent does not deal in any detail with the materials or the production methods to be used, but is instead focussed on the configuration of the package, the Patent would primarily be addressed to the industrial designer or design engineer of the team, who would have had at least 5 years experience and a degree in industrial design or design engineering."
Common general knowledge
i) The Jewel Box. This was the standard container for one CD where the CD was retained by a central coupling known in the industry as a "rosette".ii) The Digipak. This had a plastic tray with a central rosette attached to a folder of cardboard that formed a back cover, spine and front cover. The Digipak had finger or thumb recesses around the periphery of the disc to assist in the removal of the disc.
iii) The Brilliant Box. In the Brilliant Box there was a hinged tray which swung out from the outermost edge of the base and held two CDs each on a central rosette.
iv) Plastic Sleeves. CDs were stored in envelopes and then inserted into ring binders.
v) Multi-disc Digipaks. These are Digipaks with a tray glued to both the front and back covers which contain more than one disc.
vi) The multi-disc jewel box. This was a box with a central core element and front and back lids opening like a book.
vii) The 2:1 tray. This was a tray with recesses for accommodating two CDs side by side. Since a tray made to accommodate one CD is virtually square, a tray made to accommodate two has dimensions in the ratio 2:1.
Mindset
"The mantle of the skilled person is that of an actual skilled person. The purpose of assuming the mantle of the skilled person is to enable the decision as to what is obvious to be a decision based on actual facts. They include all the attitudes and perceptions of such a person."
Issues of construction
Claim 1
"(1) Container for a plurality of discs, particularly compact discs,
(2) comprising a tray-like body
(3) defining seats for accommodating at least two discs,
(4) said tray-like body including a first region for accommodating at least one first disc
(5) and at least a second region for accommodating at least one second disc
(6) located at a higher level than said first region,
(7) the discs being axially retained in said seats,
(8) so that each of the discs can be individually gripped and axially detached for removal from said seats in which they are retained,
(9) characterised in that said at least one second disc is arranged in said second region so as to be spaced from,
(10) and to partially overlap said at least one first disc
(11) in an axially offset manner."
Container for a plurality of discs, particularly compact discs
Seats and regions
"[A]s shown in figures 2 and 3, …the tray-like body 10 defines a first region 20 for accommodating a first compact disc 21; said region has, in a per se known manner, peripheral recesses 22 that allow to remove the disc 21".
"A further feature of the invention is constituted by the fact that there is a second region 30 for accommodating a second compact disc 31, said region being arranged at a higher level than the first region 20".
Located at a higher level than the first region
The discs being axially retained in said seats
"the disc 21, which is retained, in a per se known manner, by a coupling element 23 that acts axially".
"the conventional central coupling 123".
Infringement
The Double Push Tray
Does the Double Push Tray infringe?
Obviousness
The general legal test
"There are, we think, four steps which require to be taken in answering the jury question. The first is to identify the inventive concept embodied in the patent in suit. Thereafter, the court has to assume the mantle of the normally skilled but unimaginative addressee in the art at the priority date and to impute to him what was, at that date, common general knowledge in the art in question. The third step is to identify what, if any, differences exist between the matter cited as being "known or used" and the alleged invention. Finally, the court has to ask itself whether, viewed without any knowledge of the alleged invention, those differences constitute steps which would have been obvious to the skilled man or whether they require any degree of invention."
"Whenever anything inventive is done for the first time it is the result of the addition of a new idea to the existing stock of knowledge. Sometimes, it is the idea of using established techniques to do something which no one had previously thought of doing. In that case, the inventive idea will be doing the new thing. Sometimes, it is finding a way of doing something which people had wanted to do but could not think how. The inventive idea would be the way of achieving the goal. In yet other cases, many people may have a general idea of how they might achieve a goal but not know how to solve a particular problem which stands in their way. If someone devises a way of solving the problem, his inventive step will be that solution, but not the goal itself or the general method of achieving it."
"obviousness connotes something which would at once occur to a person skilled in the art who was desirous of accomplishing the end."
Overcoming prejudice
"Invention can lie in finding out that that which those in the art thought ought not be done, ought to be done. From the point of view of the purpose of patent law it would be odd if there were no patent incentive for those who investigate the prejudices of the prior art."
"Such a prejudice may be a merely commercial one ("this device won't sell") or it may be a technical one ("this won't work and it is not worth bothering with"). A 20-year monopoly is conferred for overcoming a prejudice of the second kind, but not for overcoming a commercial prejudice… A technical prejudice must be general: it is not enough that some persons actually engaged in the art at the material time labour under a particular prejudice if a substantial number of others do not. A prejudice which is insufficiently widespread for it properly to be regarded as commonly shared will not, in my view, be attributed to the notional skilled person."
Was there a prejudice; and has it been overcome?
Was there a prejudice?
"Prior to the late 1990's, it was considered mandatory by the leading optical disc manufacturers like DADC (Sony Disc Manufacturing) that discs be held within containers in such a way that the recorded side of the disc and the edges of the disc would not come into contact with any element of the container, to protect them from damage."
"The world of packaging in this case is a bunch of trade offs and you trade off one characteristic for something else and you end up with .... Nothing is ever perfect."
"the cost of production of each individual CD has dropped. My understanding is that in some quarters this has led to there being less concern about poor handling causing damage to a CD than in the past (although from a technical perspective the effect of scratching is unchanged)."
"CDs are durable products and are not the extremely delicate products which Mr Plumb appears to suggest. For example you have to be much more careful with a vinyl disc than with a CD. Obviously, you do not want a new CD to be sold looking scratched or damaged in some other way. In addition, because a CD is a product intended to be sold and played on a CD player or used in a computer, some care needs to be taken with it. The degree of care which a person would give to a CD now or in 1994 depends upon the value of the information on it and the price at which it is sold. I do not agree that there was a prejudice in the industry against overlapping CDs whether partially or completely. I also do not agree that there was a prejudice in the industry against allowing the surfaces or the edges of the CD to come into contact with the packaging for a CD."
If there was a false prejudice, has it been overcome?
The prior art
The Windsurfing approach
What is the inventive concept claimed by the patent?
"the provision of a container of simple construction for holding two or more compact discs where the height of the container is less than twice its width and where the discs are partially overlapped and spaced apart and where the discs are securely held and can be individually, easily and safely accessed."
"One is the aesthetically unsatisfactory proportions of a two-disc container that has 2-to-1 face dimensions, which result from the two optical discs (referred to simply as "discs") being positioned one next to the other on the same plane. Another problem is the awkward dimensions, which result in functional problems in handling, display and storage. The height of the 2-to-1 container makes the package too tall to store in many standard store, home and office fixtures."
What was the state of the art?
What is the difference between the state of the art and the inventive concept?
Were the differences obvious steps to take?
"The thing that was immediately in my mind was that I was going to have to lay one CD over the other to a degree. There would have to be some overlap. I immediately picked up the two CDs and put them on top of one of the books to see by how much they needed to overlap for them to fit in a standard book size. The second thing that came to mind was a concern related to damaging the CDs." (Para 37)
"On Brief 3, overlapping the CDs was an absolute necessity. There is no other way of reducing the height of the box. The CDs have to overlap in some way to overcome the 2 to 1 ratio. This is an obvious design constraint and would be obvious to any competent designer. In fact it would be obvious to anyone. It is also obvious that the discs have to be in different planes relative to each other, otherwise they cannot overlap." (Para 57)
"Q. Those two ideas, partially overlapping the CDs and then a concern that you do not want to damage the discs, faced with that problem in 1994, both of those thoughts would be obvious to any competent designer, would they not?
A. They would certainly be considerations that would be part of the process.
Q. Obvious considerations.
A. I know the word "obvious" has certain obvious meanings. What I am saying is that there is a great deal in the process that does not result from obvious decision-making but from going through choices. Like I said yesterday, you can put this one on top of the other and get a box the size of the jewel box that is any depth. You can also put them out here (demonstrating). You can put them next to each other or you can overlap them somewhere in between. The fact that you can do all of those things is obvious. There is no question about it. But you have to make choices, which [are] going to result in a product that is going to work in the marketplace and [are] going to meet the requirements of the market, which include protecting the disc, which includes providing promotional space for printing. It includes a whole lot of stuff that is determined in the marketplace. It is not simple or it would not have taken me four years to get that bloody product on the market."
"My immediate concern would be that if the CDs were overlapping, the stacking ring of the upper disc would not prevent contact between the discs' surfaces and there would be a risk that during packaging or use the edge of the bottom CD might scratch against the top one, thus causing the worst type of scratch damage from the point of view of playback – a radial scratch around the disc."
"Q. So you would be concerned to ensure that there was adequate physical separation between the two discs in their packaging in order to minimize this risk.
A. Both physical separation and permanent separation, i.e. a disc could not be pressed against the other one.
Q. If you did have this concern, the solution of separating the discs in their packaging in the way that you have just said would be clear to anyone, would it not, because you do not want them to touch?
A. I think it is obvious, yes."
Fujifilm
Anticipation and added matter
Result