Ex Parte Miyata et al

Board of Patent Appeals and Interferences

Jan 25, 2010

11083233 (B.P.A.I. Jan. 25, 2010)

UNITED STATES PATENT AND TRADEMARK OFFICE
____________

BEFORE THE BOARD OF PATENT APPEALS
AND INTERFERENCES
____________

Ex parte SHINJI MIYATA and HIDEKI HASHITANI
____________

Appeal 2009-001267
Application 11/083,233
Technology Center 3600
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Decided: January 26, 2010
____________

Before MICHAEL W. O’NEILL, STEFAN STAICOVICI, and
KEN B. BARRETT, Administrative Patent Judges.

O’NEILL, Administrative Patent Judge.

DECISION ON APPEAL

STATEMENT OF THE CASE
Shinji Miyata and Hideki Hashitani (Appellants) seek our review
under 35 U.S.C. § 134 of the final rejection of claim 1. We have jurisdiction
under 35 U.S.C. § 6(b) (2002).
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The Invention
The claimed invention is to a control device within a continuously
variable transmission (CVT) that controls the operation of the CVT in order
to reduce any incongruous feeling given to a driver when switching from a
low speed mode to a high speed mode or when switching from a high speed
mode to a low speed mode. Spec. 1:5-13
Claim 1, the sole claim on appeal, is reproduced below.
1. A continuously variable transmission apparatus,
comprising:
an input shaft connected to a drive source and
rotationally driven by the drive source;
an output shaft for taking out power obtained based on
the rotational movement of the input shaft;
a toroidal-type continuously variable transmission
including an input side disk, an output side disk, power rollers
interposed between the input side and output side disks so as to
be swingly rotatable, and trunnions for supporting the power
rollers;
a transmission control valve for shifting the trunnions;
a feedback mechanism for transmitting the shift amounts
of the trunnions to the transmission control valve for feedback
so that a transmission ratio between the input and output disks
provides a target value;
a planetary gear mechanism including three elements,
that is, a sun gear, a carrier and a ring gear;
a first power transmission system for transmitting the
power input to the input shaft to the output shaft through the
toroidal-type continuously variable transmission;
a second power transmission system for transmitting the
power input to the input shaft to the output shaft without
passing through the toroidal-type continuously variable
transmission, the power to be transmitted through the first
power transmission system and the power to be transmitted
through the second power transmission system being joined to
two of the three elements of the planetary gear mechanism, the
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remaining one of the three elements being connected to the
output shaft;
a clutch mechanism, when advancing a vehicle, for
switching over a first mode on the low speed side and a second
mode on the high speed side to each other; and,
a control device, when switching over the first and
second modes to each other, for controlling the transmission
control valve simultaneously with the switching operation of
the clutch mechanism within the time during which the clutch
mechanism is switched, thereby restricting variations in the
transmission ratio of the toroidal-type continuously variable
transmission.
The Rejection
Claim 1 stands rejected under 35 U.S.C. § 102(e) as anticipated by
Sakai (US 6,358,179 B1, issued on Mar. 19, 2002).

SUMMARY OF DECISION
We AFFIRM.

OPINION
Issue
Have Appellants shown that the Examiner erred in finding the claim
limitation of “a control device, when switching over the first and second
modes to each other, for controlling the transmission control valve
simultaneously with the switching operation of the clutch mechanism within
the time during which the clutch mechanism is switched, thereby restricting
variations in the transmission ratio of the toroidal-type continuously variable
transmission” is satisfied by Sakai’s disclosure?
Appeal 2009-001267
Application 11/083,233

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Principles of Law
A patent applicant is free to recite features of an apparatus either
structurally or functionally. See In re Swinehart, 439 F.2d 210, 212 (CCPA
1971) (“[T]here is nothing intrinsically wrong with [defining something by
what it does rather than what it is] in drafting patent claims.”). “Yet,
choosing to define an element functionally, i.e., by what it does, carries with
it a risk.” In re Schreiber, 128 F.3d 1473, 1478 (Fed. Cir. 1997). For
instance, as stated in Swinehart, 439 F.2d at 213:
[W]here the Patent Office has reason to believe
that a functional limitation asserted to be critical
for establishing novelty in the claimed subject
matter may, in fact, be an inherent characteristic of
the prior art, it possesses the authority to require
the applicant to prove that the subject matter
shown to be in the prior art does not possess the
characteristic relied on.
Pertinent Facts
1. Sakai permits simultaneous engagement of a direct mode clutch and a
power recirculation mode clutch when the running condition
corresponds to a predetermined specific region. Col. 2, ll. 34-37.
Relationship between CVT and IVT ratios
2. The predetermined specific region is represented by figure 10,
reproduced infra. Figure 10 is a diagram showing the relationship of
the speed ratio 1c of a toroidal continuously variable transmission
(CVT) and a speed ratio factor E of the infinite variable transmission
(IVT) speed ratio stored by controller 80. Figure 10 is reproduced
below.
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Figure 10 depicts contents of a map specifying the relation of the
speed ratio 1c of a toroidal continuously variable transmission and a
speed ratio factor E of the infinite variable speed ratio transmission
stored by the controller.
3. As described by Sakai and shown in figure 10, in power recirculation
mode, the IVT speed ratio factor Ecl corresponds to the first speed
ratio 1cC of the CVT, and in the direct mode, the IVT speed ratio Ech
corresponds to the first speed ratio 1cC of the CVT. Col. 11, ll. 58-
61.
4. As shown in figure 10, when the speed ratio 1c of the CVT reaches
1cC, the running mode can be changed over by operating the power
recirculation mode clutch 9 and the direct mode clutch 10. Col. 11, ll.
61-65. Sakai describes this occurrence as change-over. During the
change-over, the clutches 9 and 10 are engaged simultaneously. See
Fact 1.

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Clutch Operation
5. Clutches 9 and 10 are operated by power recirculation mode clutch
control valve 200 and direct mode clutch control valve 180,
respectively. Col. 8, ll. 8-12.
6. Control valves 180 and 200 are operated by direct mode clutch
solenoid 190 and power recirculation mode solenoid 200, respectfully.
Col. 9, ll. 14-19.
7. Solenoids 190 and 200 are duty controlled by output signals from
controller 80. Col. 9, ll. 20-22.
8. Sakai describes in column 9, line 37 to column 10, line 16, the
actuation of the clutches 10 (direct mode clutch) and 9 (power
recirculation clutch). The clutches 9 and 10 are engaged
simultaneously. See Fact 1. During a running mode change-over, the
control valves 180 and 200 adjust the control pressures such that
shock is minimized. Col. 10, ll. 17-19.
Control Valve Operation
9. Shift control valve 246 selectively supplies oil pressure to oil
chambers 30A, 30B. The precess cam 135 feeds back the rotation
angle of the trunnion 23, i.e., the gyration angle of the power roller 20
and the axial displacement of the trunnion 23 to the shift control valve
246. Precess cam 135 has a cam groove 135A and one end 38A of an
L-shaped feedback link 38 engages that groove. Col. 5, ll. 8-16.
10. The feedback link 38 pivots about a pivot shaft 39 and its other end
(unnumbered) connects to speed change link 37. Col. 5, ll. 17-20.
The center part of speed change link 37 is connected to spool 246S of
the shift control valve 246. Col. 5, ll. 22-25. With such an
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arrangement, speed change link 37 causes spool 246S to displace
axially according to the drive of the stepper motor 136 and causes the
spool 246S to displace axially with the displacement of the precess
cam 135. Col. 5, ll. 25-31.
11. Shift control valve 246 responds to stepper motor 136 and precess
cam 135 via the speed change link 37. Col. 7, ll. 27-29.
12. First port 246H of shift control valve 246 communicates with oil
chamber 30B. Second port 246L of shift control valve 246
communicates with oil chamber 30A. Oil pressure cylinder 30
comprises oil chambers 30A and 30B. Shift control valve 246
supplies line pressure PL to either port 246H or 246L according to the
displacement of spool 246S connected to speed change link 37. Col.
7, ll. 31-41.
13. Trunnion 23 is displaced in the axial direction according to the
differential pressures of the oil chambers 30A and 30B. As such, the
contact points of power roller 20 with input disk 21 and output disk 22
of the CVT are varied. As the gyration angle of the power roller 20
varies, the proportion of the rotation, i.e., the speed ratio, transmitted
from the input disk 21 to the output disk 22 varies continuously. Col.
4, ll.48-61.
Controller Operation
14. Controller 80 controls the stepper motor 136. Controller 80 also
controls the direct mode clutch solenoid 190 and the power
recirculation mode clutch solenoid 210. Col. 15, ll. 38-41.
15. Controller 80 receives signals from various sensors to determine the
positions and rotation speeds of various actuators and shafts,
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respectfully. Based on these signals, the controller 80 calculates the
targeted value of the speed ratio 1c of the CVT. Col. 15, ll. 43-57.
16. Controller 80 then controls the speed ratio 1c of the CVT to the
targeted value by sending output signals to the stepper motor 136.
Col. 15, ll. 58-59.
17. Controller 80 “also selects the running mode of the IVT and
generates the control pressures Plc, Phc by outputting signals
corresponding to the selection result to the direct mode clutch
solenoid 190 and the power circulation mode clutch solenoid 210.”
Col. 15, ll. 60-64. (Emphasis added).
Conclusions of Fact
18. Since the controller 80 is controlling the speed ratio of the CVT by
sending signals to the stepper motor 136 and “also” selecting the
running mode of the IVT by sending output signals to the clutch
solenoids 190 and 210, then the controller 80 is simultaneously
sending output signals to the stepper motor 136 and clutch solenoids
190 and 210. Facts 14-17.
19. Since the stepper motor 136 is connected to the speed change link 37
(Fact 10), the link 37 is connected to the shift control valve 246 (Fact
10), and the shift control valve 246 supplies the oil pressure to the
chambers 30A, 30B (Fact 9) that, in turn, change the displacement of
the trunnions 23 (Fact 13), that, in turn change the angle of the power
rollers 20 (Fact 13), then the controller 80 is controlling the shift
control valve 246 for shifting the trunnions.
20. Since the controller 80 is controlling the solenoids 190 and 210 and
the solenoids control the control valves 200 and 180 and, in turn, the
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valves 200 and 180 control the clutches in change-over mode, then the
controller 80 is controlling the clutches 9 and 10 during change-over.
Facts 5-8.
21. As such, we find since the controller 80 permits change-over at a
point when the speed ratio of the CVT reaches 1cC and the IVT is
within the range of Ecl and Ech (Facts 2-4), and the controller 80 is
operating the shift control valve 246 simultaneously with the change
over operation of the clutches 9 and 10 through a set of actuators (see
e.g. Fact 18), then the claimed subject matter of a control device,
when switching over the first and second modes, for controlling the
transmission control valve simultaneous with the switching operation
of the clutch mechanism within the time during which the clutch
mechanism is switched, thereby restricting variations in the
transmission ratio of the CVT as called for in claim 1, is satisfied by
the disclosure within Sakai.
Analysis
Appellants’ contentions to show that the Examiner erred in rejecting
claim 1 as anticipated by Sakai are unconvincing. Appellants chose to claim
the subject matter in dispute functionally instead of structurally.
Accordingly, if the Examiner has a reason to believe that the functional
limitation critical for establishing novelty may, in fact, be an inherent
characteristic within Sakai, the Appellant is required to prove Sakai does not
possess the characteristic relied on. Based on our findings above, the
Examiner had a reasonable basis for asserting that the functional limitation
that is critical for establishing novelty is a characteristic within Sakai. As
such, the burden shifts to the Appellant to prove that this is not the case. See
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In re King, 801 F.2d 1324, 1327 (Fed. Cir. 1986). Proof requires evidence.
Appellants’ arguments that there is no express disclosure that valve 246 is
operated with valves 180 and 200 (App. Br. 9), that at a particular speed
ratio, mode switch occurs and after the switch the speed ratio is varied again
(App. Br. 10 and Reply Br. 4), and that their understanding that restricting
the range of speed of a mode change is not the same as controlling the valve
246 simultaneously with valves 180 and 200 (App. Br. 11) provides
insufficient evidence to shift the burden back to the Examiner.

CONCLUSION
Appellants have not shown that the Examiner erred in finding the
claim limitation of “a control device, when switching over the first and
second modes to each other, for controlling the transmission control valve
simultaneously with the switching operation of the clutch mechanism within
the time during which the clutch mechanism is switched, thereby restricting
variations in the transmission ratio of the toroidal-type continuously variable
transmission” is satisfied by Sakai’s disclosure.

DECISION
The Examiner’s decision to reject claim 1 as anticipated by Sakai is
affirmed.
No time period for taking any subsequent action in connection with
this appeal may be extended under 37 C.F.R. § 1.136(a). See 37 C.F.R.
§ 1.136(a)(1)(iv) (2007).

AFFIRMED
Appeal 2009-001267
Application 11/083,233

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