Nokia CorporationDownload PDFPatent Trials and Appeals BoardNov 12, 202014630337 - (D) (P.T.A.B. Nov. 12, 2020) Copy Citation UNITED STATES PATENT AND TRADEMARK OFFICE UNITED STATES DEPARTMENT OF COMMERCE United States Patent and Trademark Office Address: COMMISSIONER FOR PATENTS P.O. Box 1450 Alexandria, Virginia 22313-1450 www.uspto.gov APPLICATION NO. FILING DATE FIRST NAMED INVENTOR ATTORNEY DOCKET NO. CONFIRMATION NO. 14/630,337 02/24/2015 Marko H. Kokko 39700-846RI2US/ NC35888US 1207 12358 7590 11/12/2020 Mintz Levin/Nokia Technologies Oy One Financial Center Boston, MA 02111 EXAMINER CARLSON, JEFFREY D ART UNIT PAPER NUMBER 3992 NOTIFICATION DATE DELIVERY MODE 11/12/2020 ELECTRONIC Please find below and/or attached an Office communication concerning this application or proceeding. The time period for reply, if any, is set in the attached communication. Notice of the Office communication was sent electronically on above-indicated "Notification Date" to the following e-mail address(es): IPDocketingBOS@mintz.com IPFileroomBOS@mintz.com PTOL-90A (Rev. 04/07) UNITED STATES PATENT AND TRADEMARK OFFICE BEFORE THE PATENT TRIAL AND APPEAL BOARD Ex parte MARKO H. KOKKO Appeal 2020-005992 Application 14/630,3371 Patent 7,627,533 B2 Technology Center 3900 Before ALLEN R. MacDONALD, ERIC B. CHEN, and MICHAEL J. ENGLE, Administrative Patent Judges. MacDONALD, Administrative Patent Judge. DECISION ON APPEAL 1 Filed February 24, 2015, as a continuation application of U.S. Patent Application No. 13/309,506 filed on December 1, 2011, seeking to reissue U.S. Patent 7,627,533 B2, issued December 1, 2009, based on Application 10/681,393, filed October 8, 2003. The Examiner determined that “[t]he instant reissue is being treated as a continuation reissue application (rather than as a continuation of a reissue, i.e. a Bauman type continuation application).†Reissue Final Act. 2. Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 2 STATEMENT OF THE CASE Appellant2 appeals under 35 U.S.C. § 134(a) from the Examiner’s rejection of claims 40–85, which are all of the claims pending in the application. Issued claims 1–39 have been cancelled and reissue claims 86– 93 are treated as cancelled. We have jurisdiction under 35 U.S.C. § 6(b). We AFFIRM. SUMMARY OF THE KEY POINTS OF THE DECISION The Examiner’s rejection of claims 40–85 under 35 U.S.C. § 112, first paragraph, as failing to comply with the written description requirement is affirmed. The Examiner’s rejections of reissue claims 40–85 under 35 U.S.C. § 102(e) and § 103(a) are affirmed. The Examiner’s rejection of claims 40–85 under 35 U.S.C. § 251 as being an improper recapture of surrendered subject matter is affirmed. As to the recapture rejection, Appellant primarily disputes the recapture by asserting that reissue claims 40–85 include limitations that are materially narrower than the original claims presented in the ’533 patent. Although not argued by Appellant, at Section C.5.e. infra, we review whether claims 40–85 include an overlooked aspect of the invention. We discuss that a fundamental requirement is for every reissue claim to comply with the original patent (“same inventionâ€) requirement of § 251. Therefore, the original patent requirement applies to any analysis of overlooked aspects of the invention. We determine that claims 40–85 fail to meet the original 2 We use the word “Appellant†to refer to “applicant†as defined in 37 C.F.R. § 1.42(a). Appellant identifies Nokia Corporation as the real party in interest. Appeal Br. 2. Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 3 patent requirement. Thus, claims 40–85 cannot be an overlooked aspect of the invention. The Examiner’s rejection of claims 41, 42, 52–69, 71, 76, 81, 83, and 84 under 35 U.S.C. § 112, second paragraph, as indefinite is affirmed pro forma. The Examiner’s rejection of claims 40–85 under 35 U.S.C. § 251 as being based on a defective reissue oath is affirmed pro forma. STATUS OF THE CLAIMS Patented claims 1–39 have been cancelled. Reissue claims 40–85 (as numbered in Appellant’s November 12, 2019 amendment) are pending. After the non-final rejection of reissue claims 40–93 (as then pending and numbered) on January 12, 2018, Appellant repeatedly cancelled claims from the 40–93 sequence of claims and replaced all pending claims with a newly numbered set of sequential claims. Thus, for example, reissue claim 93 (as filed) is now reissue claim 85 (as appealed). Reissue claims 86–93 are treated as cancelled. Appellant repeatedly stated that a newly numbered sequence of claims replaced the prior sequence. However, Appellant did not formally state that any prior claim whose number did not appear in the new sequence was cancelled. Therefore, the Examiner treated claims 86–93 (not in the newest sequence) as still pending, and prepared numerous rejections thereof. However, we deem reissue claims 86–93 to be cancelled, and all rejections of reissue claims 86–93 that appear in the Final Action and the Examiner’s Answer are moot. Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 4 Only reissue claims 40–85 are pending in the appeal before this panel. TECHNOLOGY The application relates to “concealing the true identity of a user in a communications system.†’533 patent, Abstract. ILLUSTRATIVE CLAIM Claim 40 is illustrative and reproduced below with certain limitations at issue emphasized: 40. A method comprising: receiving, from a first user equipment, a first request for one or more virtual identifiers for the first user equipment; establishing, in at least one of the first user equipment and a service network, the one or more virtual identifiers for the first user equipment; linking, by the service network, the one or more virtual identifiers for the first user equipment to an identifier of the first user equipment; receiving, from the first user equipment, a second request to establish a communication connection from the first user equipment to a second user equipment, and wherein the communication connection is to be established based at least on the virtual identifier; matching, based at least on a database of virtual identifiers linked to identifiers in the service network, the virtual identifier by at least matching the virtual identifier to the identifier of the first user equipment; and establishing, by the service network, the requested communication connection from the first user equipment to the second user equipment, in response to the virtual identifier being matched to the identifier of the first user equipment. Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 5 REFERENCES The Examiner relies on the following prior art references: Name Number Date Levosky US 2002/0087641 A1 July 4, 2002 MacIntosh US 2002/0138581 A1 Sept. 26, 2002 Malik US 7,155,608 B1 Dec. 26, 2006 Jarvinen WO 00/76231 A1 Dec. 14, 2000 REJECTIONS A. Claims 40–85 stand rejected under 35 U.S.C. § 112, first paragraph, for failing to comply with the written description requirement.3 Final Act. 6–7. The rejection sets forth a first rejection covering claims 40–85, a second rejection covering claims 58 and 63, and a third rejection covering claim 85. Appellant separately argues claims 40, 58, and 85. Appellant does not argue separate patentability for claims 41–57 and 59–84. Appeal Br. 17–21. We select claim 40 as representative for the first rejection covering claims 40–85. We select claim 58 as representative for the second rejection covering claims 58 and 63. Except for our ultimate decision, we do not address the merits of this § 112, first paragraph, rejection of claims 41–57 and 59–84 further herein. B. Claims 40–43, 45, 46, 50–54, 58, 60, 63, 65, 66, 70, 71, 73–76, 78– 81, and 83–85 stand rejected under 35 U.S.C. § 102(e) as anticipated by Levosky. Final Act. 13–46. 3 The Examiner withdrew a written description rejection for claim 52 concerning the “confirmation†limitation. Ans. 59. Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 6 We select claim 40 as the representative claim for this rejection. Appellant does not argue separate patentability for claims 41–43, 45, 46, 50– 54, 58, 60, 63, 65, 66, 70, 71, 73–76, 78–81, and 83–85. Appeal Br. 21–23. Except for our ultimate decision, we do not address the merits of the § 102 rejection of claims 41–43, 45, 46, 50–54, 58, 60, 63, 65, 66, 70, 71, 73–76, 78–81, and 83–85 further herein. C. Claims 40–85 stand rejected under 35 U.S.C. § 251 for recapturing surrendered subject matter. Final Act. 9–12. We select claims 40 and 58 as representative. Appellant does not argue separate patentability for claims 41–57 and 59–85. Appeal Br. 15–17. Except for our ultimate decision, we do not address the merits of this § 251 rejection of claims 41–57 and 59–85 further herein. D. Claims 44 and 64 stand rejected under 35 U.S.C. § 103(a) as obvious over Levosky and Jarvinen. Final Act. 47–48. Claims 47, 48, 55, 56, 59, 61, 67, 68, 72, 77, and 82 stand rejected under 35 U.S.C. § 103(a) as obvious over Levosky and MacIntosh. Final Act. 49–57. Claims 49, 57, 62, and 69 stand rejected under 35 U.S.C. § 103(a) as obvious over Levosky and Malik. Final Act. 58–60. To the extent that Appellant discusses the § 103 rejections of claims 44, 47, 48, 49, 55–57, 59, 61, 62, 64, 67–69, 72, 77, and 82, Appellant merely refers by dependency to the arguments directed to claim 40. Appeal Br. 23. Such a referenced argument (or repeated argument) is not an argument for “separate patentability.†Thus, the rejections of these claims Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 7 turn on our decision as to claim 40. Except for our ultimate decision, we do not address the merits of the § 103 rejections of claims 44, 47, 48, 49, 55– 57, 59, 61, 62, 64, 67–69, 72, 77, and 82 further herein. E. Claims 41, 42, 52–69, 71, 76, 81, 83, and 84 stand rejected under 35 U.S.C. § 112, second paragraph as indefinite. Final Act. 7–8. Appellant’s Appeal Brief does not present arguments for the § 112, second paragraph, indefiniteness rejection. Appeal Br. 4 n.2; Reply Br. 3 n.4. Instead, Appellant states that “[r]eview is not requested at this time†for this rejection. Appeal Br. 4 n.2. However, no authority exist which permits Appellant to toll the appeal of a select rejections until after the appropriate time period provided by 37 C.F.R. § 41.31(a). An appeal “is presumed to be taken from the rejection of all claims under rejection unless cancelled by amendment.†37 C.F.R. § 41.31(c). Further, “[a]n examiner’s answer is deemed to incorporate all of the grounds of rejection set forth in the Office action from which the appeal is taken.†37 C.F.R. § 41.39(a)(1). Thus, we affirm pro forma the Examiner’s § 112, second paragraph, rejection. Except for our ultimate decision, the merits of this rejection are not addressed further herein. F. Claims 40–85 stand rejected under 35 U.S.C. § 251 for being based on a defective reissue declaration. Final Act. 3 and 9. Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 8 Appellant’s Appeal Brief does not present arguments for the § 251 defective reissue declaration rejection. Appeal Br. 4 n.1 (mistakenly listed as under 35 U.S.C. § 112(b)); Reply Br. 4 n.3. Instead, Appellant states that “[r]eview is not requested at this time†for this rejection. Appeal Br. 4 n.1. However, no authority exist which permits Appellant to toll the appeal of a select rejections until after the appropriate time period provided by 37 C.F.R. § 41.31(a). An appeal “is presumed to be taken from the rejection of all claims under rejection unless cancelled by amendment.†37 C.F.R. § 41.31(c). Further, “[a]n examiner’s answer is deemed to incorporate all of the grounds of rejection set forth in the Office action from which the appeal is taken.†37 C.F.R. § 41.39(a)(1). Thus, we affirm pro forma the Examiner’s § 251 defective reissue declaration rejection. Except for our ultimate decision, the merits of this rejection are not addressed further herein. OPINION We have reviewed the Examiner’s rejections in light of Appellant’s Appeal Brief and Reply Brief arguments that the Examiner has erred. A. § 112 First Paragraph A.1. The “written description†requirement implements the principle that a patent must describe the technology that is sought to be patented; the requirement serves both to satisfy the inventor’s obligation to disclose the technologic knowledge upon which the patent is based, and to demonstrate that the patentee was in possession of the invention that is claimed. Capon v. Eshhar, 418 F.3d 1349, 1357 (Fed. Cir. 2005). Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 9 An applicant shows possession of the claimed invention by describing the claimed invention with all of its limitations using such descriptive means as words, structures, figures, diagrams, and formulas that fully set forth the claimed invention. Lockwood v. Amer. Airlines, Inc., 107 F.3d 1565, 1572 (Fed. Cir. 1997). MPEP § 2163 I (9th Ed., Rev. 10.2019, June 2020). A.2. The Examiner rejects claims 40, 58, and 85 under 35 U.S.C. § 112, first paragraph, as failing to comply with the written description requirement. · Claims 40, 50, 52, 58, 63, 70, 71, 75, 76, 80, 81, 85, 88 and 89, there is no support found for the claimed concept of matching the user1’s virtual identifier to user1’s equipment identifier and establishing this user1-to-user2 connection in response to such matching. The fact that the user1’s virtual identifier is linked to user1’s equipment characteristic identifier is described in the patent (US Patent 7,627,533 at 4:31-35) as well as the fact that “the virtual identifier . . . is then used, when concealing the true identity . . . when establishing a connection†(at 4: 36-40), but no support can be found for matching as a basis for establishing this user1-to-user2 connection. It is noted that support is present for matching a virtual identifier to a characteristic identifier in the context of a request by user2 for connecting to anonymous user1 (at 5:11–19). . . . · Claims 58 and 63, there is no support for the number(s) to identify a corresponding virtual identifier(s). · Claim 85, there is no support for a reply communication (from user2 to user1) to use a different virtual identifier than that used for the prior communication (from user1 to user2). Final Act. 6–7 (emphasis added). Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 10 A.3.a. Appellant raises the following argument in contending that the Examiner erred in rejecting claim 40 under 35 U.S.C. § 112, first paragraph. [T]he Examiner alleges that claims 40, 50, 52, 58, 63, 70- 71, 75-76, 80-81, 85, and 88-89 lack support because the specification of the ’533 Patent describes using a virtual identifier of a first user equipment to establish a communication connection from a second user equipment to the first user equipment but not from the first user equipment to the second user equipment. (Office Action, at p. 6-7). Appellant respectfully disagrees. At the outset, the specification of the ’533 Patent states that “[t]he virtual identifier of the first user equipment 100 is then used, when concealing the true identity of the user of the first user equipment 100 is required, for example when establishing a connection between the first and the second user equipment 100, 102.†(Specification, at 4:36-40, emphasis added). Thus, contrary to the Examiner’s assertion, the specification of the ’533 Patent expressly supports the limitation set forth in 40, 50, 52, 58, 63, 70-71, 75-76, 80-81, 85, and 88- 89 in which the virtual identifier of the first user equipment is used to establish a communication connection from the first user equipment to the second user equipment. Appeal Br. 18. Appellant’s argument is not persuasive because Appellant does not address the rejection made by the Examiner. Appellant’s argument only addresses generic “establishing a connection between the first and the second user equipment,†not the specific matching based version as claimed and rejected. The Examiner’s rejection highlights concern with the specific claim requirement of “matching as a basis for establishing this user1-to- user2 connection.†We agree with the Examiner that the Specification provides “no support†for this specific limitation. Final Act. 6–7. Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 11 A.3.b. Appellant raises the following argument in contending that the Examiner erred in rejecting claim 58 under 35 U.S.C. § 112, first paragraph. The specification of the ’533 Patent points out that “[t]he IN system 124 includes a database comprising a list of virtual identifiers, such as phone numbers of given format. The first numbers of the virtual phone number may for example always be the same particular numbers for all the virtual identifiers, for instance.†(Specification, at 4:64-5:1). This disclosure expressly supports the limitation set forth in claims 58 and 63 that a virtual identifier includes one or more numbers. Moreover, this disclosure expressly supports the limitation that at least one of the numbers identifies the virtual identifier. Thus, the specification of the ’533 Patent expressly supports the limitation set forth in claims 58 and 63 in which each virtual identifier includes one or more numbers and at least one number identifies a corresponding virtual identifier. Appeal Br. 19 (emphasis added). Appellant’s argument is not persuasive because Appellant does not address the rejection made by the Examiner. Appellant’s argument only addresses generic identifying a number as a virtual identifier, not the specific identifying a “corresponding†virtual identifier as claimed and rejected. The Examiner’s rejection highlights concern with the specific claim requirement of “identifies a corresponding one of the one or more virtual identifiers.†We agree with the Examiner that the Specification provides “no support†for this specific limitation. Final Act. 7. Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 12 A.3.c. Appellant raises the following argument in contending that the Examiner erred in rejecting claim 85 under 35 U.S.C. § 112, first paragraph. The specification of the ’533 Patent expressly states that “the holder of the first user equipment UE1 has already a set of virtual identifiers to choose from in the first user equipment UE1,†(Specification, at 8:28-30). This disclosure indicates that a first user equipment can be associated with a set of virtual identifiers is support for the limitation that a second user equipment can use a different virtual identifier to establish a communication connection with the first user equipment than the virtual identifier used to establish a previous communication connection. As such, the specification of the ’533 Patent supports the limitations set forth in claim 85. Appeal Br. 20 (emphasis added). Appellant’s argument is persuasive. B. § 102(e) – Claim 40 B.1. Appellant raises the following arguments in contending that the Examiner erred in rejecting claim 40 under 35 U.S.C. § 102(e). As set forth in claim 40, the first user equipment can use a virtual identifier of the first user equipment to initiate communication with the second user equipment. For example, the first user equipment can use an alias phone number or an alias email address to establish a communication connection with the second user equipment. The second user equipment can subsequently respond to the first user equipment using the alias phone number and/or email address. This ability for the first user equipment is able to use a virtual identifier of the first user equipment to initiate communication with the second user equipment is absent from Levosky. Instead, Levosky only permits the second user equipment to use the virtual identifier of Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 13 the first user equipment to initiate communication with the first user equipment. To the extent that Levosky describes a form of an alias, a Levosky user may request an alias email address but that Levosky user cannot send outgoing emails under that alias email address. Instead, the Levosky user is only able to distribute that alias email address such that other users may send incoming emails to that alias email address. As Levosky readily points out, [the Levosky] system operates only under conditions that the sender’s Email address is transmitted to the recipient by non-Email means. The sender may give his Email address to a recipient by letter, FAX, telephone, or by including it in a form contained within a WEB site requesting the sender’s Email address. Thus, the communication shown in FIG. 2 is unidirectional only as between the Alias Email Server and the receiver Email client. That is, the receiver Email client 12, may communicate Email messages to the Alias Email Server 100 by this method, but not vice-versa. (Levosky, at para. [0040], emphasis added). Thus, unlike various implementations of the claimed subject matter, Levosky does not permit the first user equipment to use[] a virtual identifier of the first user equipment to establish a communication connection with the second user equipment. To the extent that Levosky allows the user equipment linked to an alias email address to reply to an email sent to that alias email address, the user equipment does not in fact send a request to establish a communication connection that includes the alias email address that should be used for the communication connection. Instead, Levosky requires inserting “a special return code . . . in the ‘reply-to’ portion of the sender’s Email ‘header’ information†such that the reply email from the user equipment is routed to Levosky’s Alias Email server, which then replaces the user equipment’s actual email address with the alias email address used to send the original email. (Levosky, at para. Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 14 [0054]-[0058]). As such, Levosky does not enable the first user equipment to include, in a request to establish a communication connection with a second user equipment, a virtual identifier associated with the first user equipment such that the communication connection with the second user equipment is established using that virtual identifier. Appeal Br. 21–23 (emphasis and formatting added). B.2. The Examiner responds to Appellant’s arguments as follows: Levosky teaches that an anonymous user [i.e., the first user] may reply to a received email [from the second user] therefore meeting the claimed “receiving . . . a request to establish a . . . connection†step quoted above . . . The delivery of this email reply [from first user to second user] meets the “establishing . . . the requested connection . . . to the second user equipment†step quoted above. Levosky teaches that this reply goes through the alias email server where the replying user’s actual email address is stripped and the replying user’s alias email address is used instead to preserve her privacy. This meets the “matching†step quoted above and clarifies that the establishing step is done “in response to the virtual identifier being matched to the identifier of the first user equipment†limitation quoted above. “The invention allows for the user to reply to Emails, while still keeping his or her physical Email address from the sender[.]†(Levosky at ¶ 0053). “[T]he database may contain more than one alias user record corresponding to the same user name[.]†(Levosky at ¶ 0047). “[W]hen the user clicks on ‘send’ in his Email client program, the reply is sent to the Alias Email server instead of going directly back to the recipient. Next, the Alias Email server strips all information which could identify the user’s physical Email address, and the user’s Alias Email address originally given Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 15 to the recipient [is] used as the new ‘replied-from’ address. Thus the privacy of the user’s real Email address is preserved[.]†(Levosky at ¶ 0058). “The Alias Email server also takes the further step of removing the information portion (memo, dates and times, etc.) from the body of the ‘replied-to’ Email, before sending it back to the recipient. Communication may thus go ‘back and forth’ a number of times while preserving the ‘alias’ form of user’s email address[.]†(Levosky at ¶ 0060). Ans. 73–74. B.3. We are unpersuaded by Appellant’s arguments. First, the “initiate†argument is not commensurate with the scope of the claim language. We do not find an “initiate†requirement in claim 40. Contrary to Appellant’s argument, claim 40 does not use the term “initiate,†which generally means to begin, set going, or originate.4 Rather, claim 40 uses the term “establish†which means “to found, institute, build, or bring into being on a firm or stable basis†(emphasis added).5 We are unable to find any indication that these terms are considered to be synonyms. In simple terms, “initiate†speaks to at best the first step in the overall act of “establishing.†Appellant’s claim 40 does not require that the argued use of the virtual identifier be to initiate (used to start the establishing). Rather, claim 40 requires that “the communication connection is to be established based at least on the virtual identifier†(used at some time during the establishing). 4 The Random House Dictionary Of The English Language (2d Ed. Unabridged; 1987). 5 Id. Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 16 Second, we disagree with Appellant’s argument that “unlike various implementations of the claimed subject matter, Levosky does not permit the first user equipment to use[] a virtual identifier of the first user equipment to establish a communication connection with the second user equipment.†We agree with Appellant that the initial 1st user to 2nd user contact in Levosky is limited to distributing the alias email address by letter, FAX, telephone, etc., but not by email. Appellant’s Specification discloses the same as an embodiment at column 8, lines 15–42. However, we disagree with Appellant that “Levosky does not permit the first user equipment to use[] a virtual identifier of the first user equipment to establish a communication connection with the second user equipment.†We agree with the Examiner that in Levosky, the invention allows for the 1st user to reply via email to an email from the 2nd user. Levosky ¶ 53. That is, Levosky provides an initial non-email contact from the 1st user to the 2nd user, followed by an email contact from the 2nd user to the 1st user, and that followed in turn by an email contact from the 1st user to the 2nd user. Levosky ¶¶ 58, 60. Further, as to claim 40, Appellant appears to construe receiving, from the first user equipment, a second request to establish a communication connection from the first user equipment to a second user equipment, and wherein the communication connection is to be established based at least on the virtual identifier as requiring that the 1st user initiate the communication using the virtual identifier. We do not find the claim to be so limited. Rather, we determine that the language only requires that the “virtual identifier†be used at least at some point in establishing the connection from the first user equipment to a second user equipment. We agree with the Examiner that this is disclosed in Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 17 Levosky as “the user’s Alias Email address originally given to the recipient [is] used as the new ‘replied-from’ address.†Levosky ¶ 58. Third, as to Appellant’s “special return code†argument, we find nothing in claim 40 that precludes Levosky’s special return code from being the request to the Alias Email server to complete establishment of a communication connection from the first user equipment to a second user equipment based at least on the virtual identifier (disclosed in Levosky as the user’s Alias Email address). We agree with the Examiner’s determination that Levosky anticipates claim 40. C. Section 251 – Recapture C.1. The Statute The reissue statute expressly permits a patentee to correct an “error†thus permitting patentee to obtain reissue claims broader than the originally issued patent claims at any time within two (2) years from the date the original patent issues. More particularly, 35 U.S.C. § 251(a), (d), provide in pertinent part: (a) Whenever any patent is, through error, deemed wholly or partly inoperative or invalid, by reason of a defective specification or drawing, or by reason of the patentee claiming more or less than he had a right to claim in the patent, the Director shall, on the surrender of such patent and the payment of the fee required by law, reissue the patent for the invention disclosed in the original patent, and in accordance with a new and amended application, for the unexpired part of the term of the original patent. No new matter shall be introduced into the application for reissue. . . . Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 18 (d) No reissued patent shall be granted enlarging the scope of the claims of the original patent unless applied for within two years from the grant of the original patent. C.2. Recapture Principles C.2.a. Recapture is not an error within the meaning of 35 U.S.C. § 251 Under what has become known as the “recapture rule,†a patentee cannot regain through reissue subject matter that the patentee surrendered in an effort to obtain allowance of claims in the patent sought to be reissued. In re Clement, 131 F.3d 1464, 1468 (Fed. Cir. 1997). If a patentee attempts to “recapture†what the patentee previously surrendered in order to obtain allowance of original patent claims, that “deliberate withdrawal or amendment . . . cannot be said to involve the inadvertence or mistake contemplated by 35 U.S.C. § 251, and is not an error of the kind which will justify the granting of a reissue patent which includes the [subject] matter withdrawn.†Mentor Corp. v. Coloplast, Inc., 998 F.2d 992, 995 (Fed. Cir. 1993), quoting from Haliczer v. United States, 356 F.2d 541, 545 (Ct. Cl. 1966).6 See also Hester Indus., Inc. v. Stein, Inc., 142 F.3d 1472, 1480 (Fed. Cir. 1998). C.2.b. The Recapture Rule Application of the recapture rule is a three step process. The first step is to determine whether and in what ‘aspect’ the 6 Haliczer is binding precedent. See S. Corp. v. United States, 690 F.2d 1368 (Fed. Cir. 1982) (en banc) (noting that decisions of the former U.S. Court of Customs and Patent Appeals and former U.S. Court of Claims decisions are binding precedent). Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 19 reissue claims are broader than the patent claims. A reissue claim that deletes a limitation or element from the patent claims is broader with respect to the modified limitation. Next, the court must determine whether the broader aspects of the reissue claims relate to surrendered subject matter. To determine whether an applicant surrendered particular subject matter, we look to the prosecution history for arguments and changes to the claims made in an effort to overcome a prior art rejection. . . . In [the] final step, the court must determine whether the surrendered subject matter has crept into the reissue claim. In discussing this third step, it is important to distinguish among the original claims (i.e., the claims before the surrender), the patented claims (i.e., the claims allowed after surrender), and the reissue claims. Violation of the rule against recapture may be avoided under this final step of the analysis if the reissue claims “materially narrow†the claims relative to the original claims such that full or substantial recapture of the subject matter surrendered during prosecution is avoided. To avoid violation of the rule against recapture in this way, the narrowing must relate to the subject matter surrendered during the original prosecution (i.e., the applicant cannot recapture the full scope of what was surrendered). In re Mostafazadeh, 643 F.3d 1353, 1358–59 (Fed. Cir. 2011) (citations omitted) (emphasis added). C.2.c. Objective Observer It is clear that in determining whether “surrender†of subject matter has occurred, the proper inquiry is whether an objective observer viewing the prosecution history would conclude that the purpose of the patentee’s amendment or argument was to overcome prior art and secure the patent. . . . Thus, if the objective public observer can discern a surrender of subject matter during the prosecution of an original patent in order to overcome prior art and obtain the patent, then the recapture rule should prevent the reissuing of that patent to claim the surrendered subject matter. Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 20 Kim v. ConAgra Foods, Inc., 465 F.3d 1312, 1323 (Fed. Cir. 2006) (citations and footnote omitted) (emphasis added). C.2.d. Overlooked Aspect of the Invention The recapture rule does not apply to reissue claims directed to “overlooked aspects†such as “additional inventions/embodiments/species not originally claimed.†Mostafazadeh, 643 F.3d at 1360. Overlooked aspects, however, are not merely incidental features of the originally claimed invention. See id. Rather, they are distinct elements which “were never claimed and thus never surrendered.†[In re] Youman, 679 F.3d [1335,] 1347 [(Fed. Cir. 2012)]. In re Gen. Elec. Co., 789 F. App’x 857, 860 (Fed. Cir. 2019) (unpublished). In General Electric, the Federal Circuit determined a “subcombination is not an overlooked aspect of the invention.†789 F. App’x at 861 (emphasis added). C.3. Original Patent (“Same Inventionâ€) Requirement The original patent requirement is well-established, being recognized in the reissue statute and longstanding Supreme Court jurisprudence. . . . Supreme Court cases have recognized this requirement for more than 150 years. . . . The Supreme Court’s definitive explanation of the original patent requirement appears in U.S. Industrial Chemicals, Inc. v. Carbide & Carbon Chemicals Corp., 315 U.S. 668, 62 S.Ct. 839, 86 L.Ed. 1105 (1942). Antares Pharma, Inc. v. Medac Pharma Inc., 771 F.3d 1354, 1358–59 (Fed. Cir. 2014) (additional citations omitted). The Supreme Court’s articulation of the “same invention†test in Industrial Chemicals was in the context of 35 U.S.C. § 64, which had slightly different language from the current reissue statute, 35 U.S.C. § 251. . . . Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 21 Despite the change in language relating to the “same invention†requirement, it appears that no change in substance was intended. There is nothing in the statutory language or legislative history suggesting that Congress intended to overturn the long line of Supreme Court cases culminating in Industrial Chemicals by this change in language. Antares Pharma, 771 F.3d at 1360. [O]ur cases explain[] that the Industrial Chemicals standard is analogous to the written description requirement, which, as our en banc decision in Ariad Pharmaceuticals, Inc. v. Eli Lilly & Co., 598 F.3d 1336 (Fed. Cir. 2010) made clear, requires that the patent description “clearly allow persons of ordinary skill in the art to recognize that the inventor invented what is claimed.†Id. at 1351. Whether or not the written description requirement of § 112 was satisfied here, Industrial Chemicals made clear that, for § 251, “it is not enough that an invention might have been claimed in the original patent because it was suggested or indicated in the specification.†315 U.S. at 676, 62 S.Ct. 839. Rather, the specification must clearly and unequivocally disclose the newly claimed invention as a separate invention. Id. Antares Pharma, 771 F.3d at 1362 (citations omitted, emphasis added). In Forum US, the Federal Circuit reiterated its analysis in Antares, stating: It is well settled that for broadening reissue claims, “it is not enough that an invention might have been claimed in the original patent because it was suggested or indicated in the specification.†Indus. Chems., 315 U.S. at 676, 62 S.Ct. 839 (interpreting 35 U.S.C. § 64 (1934)). The Supreme Court described this standard in nearly identical language almost fifty years before Industrial Chemicals. See Corbin Cabinet Lock Co. v. Eagle Lock Co., 150 U.S. 38, 42–43, 14 S.Ct. 28, 37 L.Ed. 989 (1893) (“[T]o warrant new and broader claims in a reissue, such claims must not be merely suggested or indicated in the original specification, drawings, or models, but it must further appear from the original patent that they constitute parts or portions of Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 22 the invention, which were intended or sought to be covered or secured by such original patent.â€). Congress codified this long- standing requirement, which became known as the “same invention†requirement. Antares, 771 F.3d at 1359–60 (quoting 35 U.S.C. § 64 (1946)); see, e.g., Section 53, Patent Act of 1870, 16 Stat. 198 (1870) (“[T]he commissioner shall . . . cause a new patent for the same invention . . . to be issued to the patentee.â€). With the passage of the 1952 Patent Act, Congress revised the statutory language from “the same invention†to “the original patent.†Antares, 771 F.3d at 1360; 35 U.S.C. § 251 (1952). Despite this revision, case law has not suggested that the 1952 Patent Act’s revised statutory language substantively changed “the ‘same invention’ requirement or that the standard of Industrial Chemicals has in any way been altered by the legislative changes.†Antares, 771 F.3d at 1360–61. Thus, for broadening reissue claims, the specification of the original patent must do more than merely suggest or indicate the invention recited in reissue claims; “[i]t must appear from the face of the instrument that what is covered by the reissue was intended to have been covered and secured by the original.†Indus. Chems., 315 U.S. at 676, 62 S.Ct. 839 (emphasis added). Stated differently, the original patent “must clearly and unequivocally disclose the newly claimed invention as a separate invention.†Antares, 771 F.3d at 1362. Forum US, Inc. v. Flow Valve, LLC, 926 F.3d 1346, 1351–52 (Fed. Cir. 2019) (emphasis added). Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 23 C.4. Prosecution and Appeal History The following findings of fact (FF) are supported by a preponderance of the evidence. C.4.a. U.S. Patent 7,627,533 - Prosecution History FF 1. On October 8, 2003, Appellant filed U.S. Patent Application No. 10/681,393 containing twenty claims. Claims 1 and 15 as originally filed read (emphasis, formatting, and bracketed material added): Claim 1. A method for concealing the true identity of a user in a communications system comprising a first user equipment having a first characteristic identifier, a second user equipment having a second characteristic identifier, a service network serving the first and the second user equipment, the method comprising: [A.] requesting a virtual identifier by means of the first user equipment; [B.] establishing the virtual identifier for the first user equipment; [C.] linking the virtual identifier of the first user equipment to the first characteristic identifier of the first user equipment; and [D.] using the virtual identifier of the first user equipment for communication between the first and the second user equipment. Claim 15. An arrangement for concealing the true identity of a user in a communications system comprising: [A.] a first user equipment having a first characteristic identifier, [B.] a second user equipment having a second characteristic identifier, [C.] a service network connecting the first and the second user equipment, Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 24 [D.] wherein the arrangement is configured to: [i.] request a virtual identifier by means of the first user equipment; [ii.] establish the virtual identifier for the first user equipment; [iii.] link the virtual identifier of the first user equipment to the first characteristic identifier of the first user equipment; and [iv.] use the virtual identifier of the first user equipment for communication between the first and the second user equipment. FF 2. On February 21, 2006, the Examiner mailed a Non-final Office Action rejecting claims 1–20 as being unpatentable under 35 U.S.C. § 103(a) over the combination of Hutchinson et al. (US 2006/0004659 A1) and Shiloh et al. (US 2001/0037316 A1). FF 3.A. On May 22, 2006, Appellant amended claim 1 by cancelling claims 4 and 7 and inserting their subject matter into claim 1. Amended claim 1 read (formatting and bracketed material added) (additions are underlined; deletions are strikethroughs): Claim 1. A method for concealing the true identity of a user in a communications system comprising a first user equipment having a first characteristic identifier, a second user equipment having a second characteristic identifier, a service network serving the first and the second user equipment, the method comprising: [A.] requesting a virtual identifier by means of the first user equipment; [B.] establishing the virtual identifier for the first user equipment in at least one of the following: [i.] the first user equipment and Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 25 [ii.] the service network; [C.] linking the virtual identifier of the first user equipment to the first characteristic identifier of the first user equipment; and [D.] using the virtual identifier of the first user equipment for communication between the first and the second user equipment. FF 3.B. Also in the May 22, 2006 amendment, Appellant amended claim 15 similar to claim 1, cancelled claim 17, and added claims 21–36. Amended claim 21 read (formatting and bracketed material added): Claim 21. A user equipment, comprising a first characteristic identifier, the user equipment communicating via a service network with a second user equipment having a second characteristic identifier, wherein the user equipment is configured to: [A.] establish a virtual identifier for the user equipment in at least one of the following: [i.] the first user equipment and [ii.] the service network; and [B.] link the virtual identifier of the user equipment to the first characteristic identifier of the user equipment; and [C.] use the virtual identifier of the user equipment for communication between the user equipment and the second user equipment. FF 4. On August 15, 2006, the Examiner mailed a Final Office Action rejecting claims 1–3, 5, 6, 8–16, and 18–36 (all pending claims) as being unpatentable under 35 U.S.C. § 103(a) over various combinations of Otto et al. (US 2001/0029496 A1), Zhou (US 2005/0132065 A1), Gilbert (US 6,968,385), and Lumme et al. (WO 00/12364). Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 26 FF 5. On January 16, 2007, in a Request for Continued Examination (RCE), Appellant cancelled claims 24–29 and amended the remaining claims. Amended claims 1 and 21 read (formatting and bracketed material added) (additions are underlined; deletions are strikethroughs): Claim 1. A method for concealing the true identity of a user in a communications system comprising a first user equipment having a first characteristic identifier, a second user equipment having a second characteristic identifier, a service network serving the first and the second user equipment, the method comprising: [A.] requesting a virtual identifier by means of the first user equipment; [A.] establishing the a virtual identifier for the a first user equipment in at least one of the following: [i.] the first user equipment and [ii.] the service network; [B.] linking the virtual identifier of the first user equipment to the a first characteristic identifier of the first user equipment; and [C.] using the virtual identifier of the first user equipment for communication between the first and the a second user equipment. Claim 21. A user equipment, comprising a first characteristic identifier, the user equipment communicating via a service network with a second user equipment having a second characteristic identifier, wherein the user equipment is configured to: [A.] establish a virtual identifier for the user equipment in at least one of the following: [i.] the first user equipment and [ii.] the service network; Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 27 [B.] link the virtual identifier of the user equipment to the a first characteristic identifier of the user equipment; and [C.] use the virtual identifier of the user equipment for communication between the user equipment and the a second user equipment. FF 6. On April 4, 2007, the Examiner mailed a Non-final Office Action rejecting claims 1–3, 5, 6, 8–16, 18–23, and 30–36 (all pending claims) as being unpatentable under 35 U.S.C. § 103(a) over various combinations of Otto, Gilbert, Lumme, and newly cited Stolfo (US 7,069,249). FF 7. On August 8, 2007, Appellant added new claims 37–52, cancelled claim 32, and amended claims 1, 15–21, 30, 31, 35, and 36. Amended claims 1 and 21 read (formatting and bracketed material added) (additions are underlined; deletions are strikethroughs): Claim 1. A method for concealing the true identity of a user in a communications system, the method comprising: [A.] establishing a virtual identifier for a first user equipment in at least one of the following: [i.] the first user equipment and [ii.] the service network; [B.] linking the virtual identifier of the first user equipment to a first characteristic identifier of the first user equipment; [C.] predetermining one or more limitations for the use of the virtual identifier; and [D.] using the virtual identifier of the first user equipment for communication between the first and a second user equipment taking the predetermined one or more limitations into account. Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 28 Claim 21. A user equipment, wherein the user equipment is configured to: [A.] establish a virtual identifier in at least one of the following: [i.] the first user equipment and [ii.] the service network; [B.] link the virtual identifier of the user equipment to a first characteristic identifier of the user equipment; and [C.] predetermine one or more limitations for the use of the virtual identifier; and [D.] use the virtual identifier of the user equipment for communication between the user equipment and a second user equipment taking the predetermined one or more limitations into account. FF 8. On November 16, 2007, the Examiner mailed a Final Office Action rejecting claims 1–3, 5, 6, 8–16, 18–23, 30, 31, and 33–52 (all pending claims) as being unpatentable under 35 U.S.C. § 103(a) over various combinations of Otto, Gilbert, Lumme, Stolfo, and newly cited Junda (US 2003/0069857 A1). FF 9.A. On March 17, 2008, in a second RCE, Appellant presented amendments and remarks directed thereto. Appellant amended claims 1, 5, 15, 21–23, 30, 31, 34, 36, and 41–44. Amended claims 1 and 21 read (formatting and bracketed material added) (additions are underlined; deletions are strikethroughs): Claim 1. A method for concealing the true identity of a user in a communications system, the method comprising: [A.] requesting a virtual identifier; [B.] establishing a virtual identifier for a first user equipment in at least one of: Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 29 [i.] the first user equipment and [ii.] the service network; [C.] linking the virtual identifier of the first user equipment to a characteristic identifier of the first user equipment; [D.] predetermining one or more limitations for the use of the virtual identifier; and [E.] using the virtual identifier of the first user equipment for communication between the first and a second user equipment taking on the basis of the predetermined one or more limitations into account. Claim 21. An apparatus A user equipment, wherein the user equipment is configured to: [A.] request a virtual identifier; [B.] establish a virtual identifier; [C.] link the virtual identifier of the apparatus user equipment to a characteristic identifier of the apparatus user equipment; [D.] predetermine one or more limitations for the use of the virtual identifier; and [E.] use the virtual identifier of the apparatus user equipment for communication between the apparatus user equipment and a second apparatus user equipment taking on the basis of the predetermined one or more limitations into account. FF 9.B. In the March 17, 2008 remarks, Appellant stated: Applicant has amended the independent claims to indicate [(a)] that a user equipment requests a virtual identifier or [(b)] that the virtual identifier consists of numbers such that a portion of the numbers indicate that the virtual identifier is a virtual identifier. . . . The pending claims are believed to be patentable over the asserted references for the reasons set forth below. Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 30 The asserted combination of references (Otto, Stolfo, and Junda) does not teach a device [(a)] requesting a virtual identifier as now claimed in independent Claims 1, 15 and 21. . . . None of the asserted references teaches requesting and using a virtual identifier as now claimed. In addition, the asserted combination of references fails to teach [(b)] a virtual identifier consisting at least partly of numbers where at least a portion of the numbers identify the virtual identifier as a virtual identifier, as now claimed in Claims 30, 31, 34 and 36. . . . As the asserted references do not teach the above-discussed limitations, any combination thereof must also fail to teach such limitations. Without correspondence to each of the claimed limitations, each of the § 103(a) rejections would be improper. Applicant accordingly requests that the rejections be withdrawn. With respect to the rejections of various dependent claims, . . . [n]either Lumme nor Gilbert appears to teach [(a)] a user equipment requesting a virtual identifier or [(b)] that the virtual identifier consists of numbers such that a portion of the numbers indicate that the virtual identifier is a virtual identifier. As neither Lumme nor Gilbert teaches or suggests these claim limitations, any combination of these teachings with those of Otto, Stolfo, and Junda must also fail to teach such limitations. Thus, the § 103(a) rejection of dependent Claims 9, 23, 27, 33 and 35 should also not be maintained. Applicant accordingly requests that the rejections be withdrawn. March 17, 2008 Amendment 11–13 (emphasis and bracketed material added). FF 10. On December 31, 2008, the Examiner mailed a Final Office Action rejecting claims 1–3, 5, 6, 8–16, 18–23, 30, 31, and 33–52 (all pending claims) as being unpatentable under 35 U.S.C. § 103(a) over various combinations of Otto, Gilbert, Lumme, Stolfo, and Junda. Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 31 FF 11.A. On April 20, 2009, in a third RCE, Appellant presented amendments and remarks directed thereto. Appellant cancelled claim 35 and amended claims 1, 15, 21, 30, 31, 34, and 36–44. Amended claims 1 and 21 read (formatting and bracketed material added) (additions are underlined; deletions are strikethroughs): Claim 1. A method for concealing the true identity of a user in a communications system, the method comprising: [A.] requesting a virtual identifier; [B.] establishing a virtual identifier for a first user equipment in at least one of: [i.] the first user equipment and [ii.] the service network; [C.] linking the virtual identifier of the first user equipment to a characteristic identifier of the first user equipment; [D.] requesting from a service network, by a second user equipment, a communications connection to be established to the first user equipment by using the virtual identifier of the first user equipment; [D.] predetermining one or more limitations for the use of the virtual identifier [E.] matching the virtual identifier used in the request from the second user equipment to a database of virtual identifiers linked to characteristic identifiers in the service network; and [F.] establishing, by the service network, the requested using the virtual identifier of the first user equipment for communication connection between the first and a from the second user equipment to the first user equipment when the characteristic identifier matching the virtual identifier of the first user equipment Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 32 has been found on the basis of the matching on the basis of the predetermined one or more limitations. Claim 21. An apparatus configured to: [A.] request a virtual identifier; [B.] establish a virtual identifier; [C.] link the virtual identifier of the apparatus to a characteristic identifier of the apparatus for enabling a second apparatus to request from the service network a communications connection to be established to the apparatus by using the virtual identifier of the apparatus, and for enabling the service network to establish the requested communication connection from the second apparatus to the apparatus on the basis of determining the characteristic identifier matching the virtual identifier of the apparatus.; [D.] predetermine one or more limitations for the use of the virtual identifier; and [E.] use the virtual identifier of the apparatus for communication between the apparatus and a second apparatus on the basis of the predetermined one or more limitations. FF 11.B. In the April 20, 2009 remarks,7 Appellant stated: Applicant has amended each of the independent claims to indicate that [(a)] a second user equipment requests a communications connection with a first user equipment using a virtual identifier of the first user equipment and [(b)] such connection is established when a characteristic identifier is found 7 Although Appellant’s remarks state that “Applicant has amended each of the independent claims to indicate . . . a characteristic identifier is found to match the virtual identifier,†independent claims 31 and 36 do not include this limitation. However, claims 31 and 36 were cancelled by the immediately subsequent Examiner’s Amendment on July, 24, 2009. See FF 12. Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 33 to match the virtual identifier. . . . The pending claims are believed to be patentable over the asserted references for the reasons set forth below. The asserted combination of references does not teach [(a)] a second user equipment using a first user equipment’s virtual identifier to request a communications connection to the first user equipment. More specifically, none of the asserted references teaches such a use of a virtual identifier by a device not identified by the virtual identifier. . . . Without correspondence to each of the claimed limitations, each of the § 103(a) rejections is improper. Applicant accordingly requests that the rejections be withdrawn. April 20, 2009 Amendment 12–13 (emphasis and bracketed material added). FF 12. On July, 24, 2009, the Examiner mailed a Notice of Allowance including an Examiner’s Amendment. The Examiner’s Amendment cancelled independent claims 31 and 36 and further amended claims 1, 21, 30, 33, 34, and 49–52. “Authorization for this examiner’s amendment was given in a telephone interview with Erin M. Nichols on July 22, 2009.†July 24, 2009, Notice of Allowance 2. Claims 1 and 21 read (additions are underlined; deletions are strikethroughs): Claim 1. A method for concealing the true identity of a user in a communications system, the method comprising: [A.] requesting a virtual identifier from a first user equipment; [B.] establishing a virtual identifier for a the first user equipment in at least one of: [i.] the first user equipment and [ii.] the service network; Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 34 [C.] linking the virtual identifier of the first user equipment to a characteristic identifier of the first user equipment; [D.] requesting from a service network, by a second user equipment, a communications connection to be established to the first user equipment by using the virtual identifier of the first user equipment; [E.] matching the virtual identifier used in the request from the second user equipment to a database of virtual identifiers linked to characteristic identifiers in the service network; and [F.] establishing, by the service network, the requested communication connection from the second user equipment to the first user equipment when the characteristic identifier matching the virtual identifier of the first user equipment has been found on the basis of the matching. Claim 21. An apparatus configured to: [A.] request a virtual identifier; [B.] establish a virtual identifier; [C.] link the virtual identifier of the apparatus to a characteristic identifier of the apparatus for enabling in order to configure a second apparatus to request from the service network a communications connection to be established to the apparatus by using the virtual identifier of the apparatus, and for enabling in order to configure the service network to establish the requested communication connection from the second apparatus to the apparatus on the basis of determining that the characteristic identifier matches matching the virtual identifier of the apparatus. Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 35 FF 13. On December 1, 2009, the application issued as U.S. Patent 7,627,533 B2 with patent claims 1–39 corresponding to application claims 1–3, 5, 6, 8–16, 18–23, 30, 33, 34, and 37–52 (i.e., the Office renumbered the application claims so as to group related claims in the issued patent). Patent claims 1 and 22 correspond to application claims 1 and 21 respectively. B.4.b. Reissue Application 14/630,337 - Prosecution History FF 14. On February 24, 2015, Appellant filed reissue application 14/630,337, as a continuation application of U.S. Patent Application No. 13/309,506 filed on December 1, 2011, seeking to reissue U.S. Patent 7,627,533 B2, issued December 1, 2009, based on Application No. 10/681,393, filed October 8, 2003. FF 15. On September 28, 2015, Appellant filed an Amendment amending original patent claims 1–39 along with adding new reissue claims 40–54 for consideration. FF 16. On September 30, 2015, Appellant filed a Reissue Declaration identifying the error upon which the reissue was based as (emphasis added): Claim 1 of the original patent includes a limitation for “requesting . . . by a second user equipment[] a communications connection[.]†Applicant did not claim “receiving a request for communication†as recited in new claim 40. Accordingly, this at least one error represents claiming less than what Applicant was entitled to claim. FF 17. On December 19, 2016, in response to a non-final rejection, Appellant cancelled patent claims 1–39 and replaced reissue claims 40–54 with new (i.e., different) reissue claims 40–92. Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 36 FF 18. On June 9, 2017, in response to a final rejection, Appellant filed an RCE and amended reissue claims 40–54 and added new reissue claim 93. FF 19. On January 12, 2018, the Examiner mailed a Non-final Office Action that included a rejection of claims 40–93 under 35 U.S.C. § 251 as being an improper recapture of broadened claimed subject matter surrendered in the application for the patent upon which the present reissue is based.8 The Office Action also rejected claims 40–93 on other grounds. FF 20. On May 15, 2018 and August 22, 2018, in response to the non-final rejection, Appellant cancelled reissue claims 41, 42, 48, 49, 57, 58, and 60, and presented the remaining reissue claims as newly renumbered reissue claims 40–86. FF 21. On April 8, 2019, in response to a final rejection, Appellant filed an RCE, cancelled newly renumbered reissue claim 45, and presented the remaining reissue claims by again newly renumbering the reissue claims as claims 40–85. FF 22.A. On December 2, 2019, the Examiner mailed a Final Office Action which again rejects claims 40–85 under 35 U.S.C. § 251 as being an improper recapture of broadened claimed subject matter surrendered in the application for the patent upon which the present reissue is based. 8 The Examiner’s subsequent Final Office Action mailed on December 2, 2019, repeats this recapture rejection. In our findings, we discuss the details of the Examiner’s recapture rejection below as to that Final Office Action because it is the rejection on appeal before us. Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 37 Also, the Final Office Action rejects claims 40–85 under 35 U.S.C. § 251 as being based upon a defective reissue declaration. Further, the Final Office Action rejects claims 40–85 under 35 U.S.C. § 112, first paragraph, for failing to comply with the written description requirement, and under 35 U.S.C. § 102(e) and § 103(a). Lastly, the Final Office Action rejects claims 41, 42, 52–69, 71, 76, 81, 83, and 84, under 35 U.S.C. § 112, second paragraph as indefinite.9 FF 22.B. The Examiner’s rejection of claims 40–85 under 35 U.S.C. § 251 as being an improper recapture follows the three step process of the recapture rule. Applying the first step of the recapture rule, the Examiner determines whether and in what “aspect†the reissue claims are broader than the patent claims. Particularly, the Examiner determined: Date [of amendment] Surrendered Claim Limitation(s) 3/17/2008 A) Request a virtual identifier for an anonymous first apparatus 4/20/2009 B) Enabling a second apparatus to request from the service network a communications connection to be established to the anonymous first apparatus 4/20/2009 C) Using the virtual identifier of the anonymous first apparatus as part of the request for communication connection to the anonymous first apparatus 9 All affirmed for reasons set forth supra. Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 38 4/20/2009 D) Establishing the requested connection from the second apparatus to the anonymous first apparatus on the basis of determining the characteristic identifier matching the virtual identifier of the first apparatus Pending reissue claims 40-[85] are each broadened in a manner related to the above surrendered subject matter. December 2, 2019, Final Office Action 11. FF 22.C. Applying the second step of the recapture rule, the Examiner determined whether the broader aspects of the reissue claims relate to surrendered subject matter. Particularly, the Examiner determined: During the prosecution of 10/681,393 and subsequent to an art rejection, applicant amended/argued the following claim limitations in seeking allowance of the application: Date [of amendment] Surrendered Claim Limitation(s) 3/17/2008 A) Request a virtual identifier for an anonymous first apparatus 4/20/2009 B) Enabling a second apparatus to request from the service network a communications connection to be established to the anonymous first apparatus 4/20/2009 C) Using the virtual identifier of the anonymous first apparatus as part of the request for communication connection to the anonymous first apparatus 4/20/2009 D) Establishing the requested connection from the second apparatus to the anonymous first apparatus on the basis of determining the characteristic identifier matching the virtual identifier of the first apparatus Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 39 December 2, 2019, Final Office Action 10–11. FF 22.D. Applying the third step of the recapture rule, the Examiner determined whether the surrendered subject matter has crept into the reissue claim. Particularly, the Examiner determined: Independent reissue claim Surrendered Claim Limitation(s) not present 40 B,C,D 50 B,C,D 52 B,C,D 58 A,B,C,D 63 A,B,C,D 70 A,B,C,D 75 A,B,C,D 80 A,B,C,D 88 A,B,C,D Each independent claim eliminates the surrendered subject matter in its entirety; no longer are any of these steps present (pursuant to communication towards the anonymous party). Therefore there is no “material narrowing†present. December 2, 2019, Final Office Action 11–12. FF 22.E. In conclusion, the Examiner determined: As per MPEP 1412.02(C), “[i]f surrendered subject matter has been entirely eliminated from a claim in the reissue application, then a recapture rejection under 35 U.S.C. 251 is proper and must be made for that claim.†December 2, 2019, Final Office Action 12. Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 40 C.4.c. Reissue Application 14/831,619 - Appeal History FF 23. On January 31, 2020, Appellant filed a Notice of Appeal from the Examiner to the Patent Trial and Appeal Board (PTAB). FF 24.A. On March 27, 2020 and May 6, 2020, Appellant filed respectively an Appeal Brief and Supplemental Appeal Brief making arguments with respect to the recapture rejection. FF 24.B. First, as to the recapture rejection of claim 58, Appellant argues: [T]he Examiner alleges that the limitation “request[ing] a virtual identifier for an anonymous first apparatus is absent from claim[] 58 . . . .†(Office Action, at p. 11-12). Appellant respectfully disagrees. Claim[] 58 . . . expressly require one or more virtual identifiers to be established for a first user equipment. Although the establishment of one or more virtual identifiers for a first user equipment is not identical to a request for a virtual identifier, the limitation is nevertheless materially narrower than the original claims presented in the ’533 patent. Under the third step of the M.P.E.P.’s recapture test, claim[] 58 . . . cannot constitute an impermissible recapture at least because claim[] 58 . . . materially narrow[s] the application claims to avoid recapture of the surrendered subject matter. March 27, 2020, Appeal Brief 15 (emphasis added). FF 24.C. Second, as to the recapture rejection of claim 40, Appellant argues: The Examiner also alleges that the limitation “enabling a second apparatus to request from the service network a communications connection to be established to the anonymous first apparatus†is absent from claim[] 40 . . . . (Office Action, at p. 11-12). Appellant respectfully disagrees. Instead of establishing a communication connection from a second user equipment to a first user equipment, claim 40 . . . expressly require[s] the establishment of a communication connection Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 41 from the first user equipment to the second user equipment. Even assuming arguendo that a communication connection from a first user equipment to a second user equipment is a broader limitation than a communication connection from the second user equipment to the first user equipment, which the Applicant disputes, this limitation nevertheless materially narrows the original claim presented in U.S. Patent No. ’533, which is silent on establishment of a communication connection. Accordingly, claim[] 40 . . . cannot constitute an improper recapture under a proper application of the recapture rule. March 27, 2020, Appeal Brief 16. FF 24.D. Third, also as to the recapture rejection of claim 40, Appellant argues: The Examiner further alleges that claim[] 40 . . . exclude[s] the limitation “using the virtual identifier of the anonymous first apparatus as part of the request for communication connection to the anonymous first apparatus†as well as the limitation “establishing the requested connection from the second apparatus to the anonymous first apparatus on the basis of determining the characteristic identifier matching the virtual identifier of the first apparatus.†(Office Action, at p. 11- 12). This assertion is patentably false at least because these limitations are present in 40 . . . For example, claim[] 40 . . . recite[s] a communication connection between a first user equipment and a second user equipment that is established based on a virtual identifier of the first user equipment being matched to an identifier of the first user equipment. Again, even assuming arguendo that a communication connection from the first user equipment to the second user equipment is a broader limitation than a communication connection from the second user equipment to the first user equipment, which the Applicant disputes, these limitations still materially narrows the original claim presented in the ’533 Patent. Accordingly, claim[] 40 . . . cannot constitute an improper recapture under a proper application of the recapture rule. March 27, 2020, Appeal Brief 16–17. Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 42 FF 25. On June 15, 2020, the Examiner mailed an Examiner’s Answer which withdrew a second rejection of claim 52 under 35 U.S.C. § 112, first paragraph, as failing to meet the written description requirement. The Examiner’s Answer maintained the remaining rejections under 35 U.S.C. §§ 102, 103, 112, first paragraph, 112, second paragraph, and 251 (defective declaration and recapture). FF 26. On August 14, 2020, Appellant filed a Reply Brief further addressing the three rejections under 35 U.S.C. §§ 102, 112, first paragraph, and 251 (recapture). As to the recapture rejection, essentially, Appellant repeated the recapture arguments of the Appeal Brief. Reply Br. 5–7. C.5. Panel’s Recapture Determination C.5.a. Examiner’s Recapture Analysis As shown at FF 22.B.–22.D. supra, in the Final Office Action, the Examiner determines (a) whether and in what “aspect†the reissue claims are broader than the patent claims, (b) whether the broader aspects of the reissue claims relate to surrendered subject matter, and (c) whether the surrendered subject matter has crept into the reissue claim (i.e., whether Appellant is recapturing the full scope of what was surrendered). Based on this analysis using the three-step recapture rule, the Examiner concludes that Appellant has attempted an “impermissible recapture of broadened claimed subject matter surrendered†during prosecution. FF 22.A. We agree. Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 43 C.5.b. Disagreement with Appellant’s First Recapture Argument As shown at FF 24.B. supra, in the Appeal Brief, Appellant contends: Claim[] 58 . . . expressly require one or more virtual identifiers to be established for a first user equipment. Although the establishment of one or more virtual identifiers for a first user equipment is not identical to a request for a virtual identifier, the limitation is nevertheless materially narrower than the original claims presented in the ’533 patent. March 27, 2020, Appeal Brief 15 (emphasis added). Therefore, for this reason Appellant argues that accordingly, claim 58 “cannot constitute an improper recapture.†Id. We disagree. The Examiner correctly points out that the feature of “one or more virtual identifiers being established for the first user equipment†(claim 58) “was present in the originally prosecuted claims at the time when [a request for a virtual identifier] was introduced in order to overcome an art rejection.†Ans. 62. Our review of the original claims (e.g., claim 1 shown in FF 7 supra) determines that the limitation “establishing a virtual identifier for a first user equipment,†now argued as materially narrowing, was already present in the original claims (claim 1 on August 8, 2007) prior to the March 17, 2008 amendment adding the surrender generating limitation “requesting a virtual identifier†to claim 1 (see FF 9.A.). Thus, recapture is not avoided because reissue claim 58 does not “materially narrow†the claims relative to the original claims. Although not raised by Appellant, we note that Examiner’s rejection and Appellant’s appeal only discuss one of the two alternative surrender generating limitations added on March 17, 2008. The independent original Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 44 claims were amended to include either one or the other surrender generating limitation. See FF 9.B. As with the “requesting a virtual identifier†surrender generating limitation, the alternative “the virtual identifier consists of numbers such that a portion of the numbers indicate that the virtual identifier is a virtual identifier†surrender generating limitation is also missing from reissue claim 58 (and all other reissue claims). C.5.c. Disagreement with Appellant’s Second Recapture Argument As shown at FF 24.C. supra, in the Appeal Brief, Appellant contends: The Examiner [] alleges that the limitation “enabling a second apparatus to request from the service network a communications connection to be established to the anonymous first apparatus†is absent from claim[] 40 . . . . Instead of establishing a communication connection from a second user equipment to a first user equipment, claim 40 . . . expressly require[s] the establishment of a communication connection from the first user equipment to the second user equipment. Even assuming arguendo that a communication connection from a first user equipment to a second user equipment is a broader limitation than a communication connection from the second user equipment to the first user equipment, which the Applicant disputes, this limitation nevertheless materially narrows the original claim presented in U.S. Patent No. ’533, which is silent on establishment of a communication connection. March 27, 2020, Appeal Brief 16 (emphasis added). Therefore, Appellant argues that claim 40 “cannot constitute an improper recapture.†We disagree. At issue is the surrender generating limitation of “requesting from a service network, by a second user equipment, a communications connection to be established to the first user equipment by using the virtual identifier of the first user equipment†(emphasis added) added to claim 1 on April 8, Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 45 2009. See FF 11.A. We find no merit to Appellant’s position that swapping the direction of the communications connection is a material narrowing. Our review of the original claims determines that the limitation receiving, from the first user equipment, a second request to establish a communication connection from the first user equipment to a second user equipment, and wherein the communication connection is to be established based at least on the virtual identifier (reissue claim 40 on appeal) now argued as materially narrowing, was already covered in the original claims The method of claim 1, the method further comprising receiving at a service network of the communications system a request for establishing a communications connection between the first and the second user equipment, the request comprising the virtual identifier of the first user equipment. (original claim 8 on March 17, 2008 covers a communications connection in either direction)10 prior to the April 20, 2009 amendment adding the surrender generating limitation requesting from a service network, by a second user equipment, a communications connection to be established to the first user equipment by using the virtual identifier of the first user equipment to claim 1 to limit the communications connection to be from the second user equipment to the first user equipment (see FF 11.A.). Thus, recapture is not avoided because reissue claim 40 does not “materially narrow†the claims relative to the original claims. 10 Claim 8 was rejected based on prior art on December 31, 2008 (FF 10). Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 46 C.5.d. Agreement with Appellant’s Third Recapture Argument As shown at FF 24.D. supra, in the Appeal Brief, Appellant contends: The Examiner [] alleges that claim[] 40 . . . exclude[s] . . . the limitation[:] “establishing the requested connection from the second apparatus to the anonymous first apparatus on the basis of determining the characteristic identifier matching the virtual identifier of the first apparatus.†(Office Action, at p. 11-12). This assertion is patentably false at least because th[is] limitation[] [is] present in 40 . . . For example, claim[] 40 . . . recite[s] a communication connection between a first user equipment and a second user equipment that is established based on a virtual identifier of the first user equipment being matched to an identifier of the first user equipment. Again, even assuming arguendo that a communication connection from the first user equipment to the second user equipment is a broader limitation than a communication connection from the second user equipment to the first user equipment, which the Applicant disputes, these limitations still materially narrows the original claim presented in the ’533 Patent. March 27, 2020, Appeal Brief 16–17 (emphasis and formatting added). Therefore, Appellant reasons the recapture rule does not apply to this claim. We agree with Appellant to the extent that we conclude the recapture rule does not apply to this matching limitation. Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 47 The April 20, 2009 amendment added a matching limitation to claim 1 which read (emphasis added): matching the virtual identifier used in the request from the second user equipment to a database of virtual identifiers linked to characteristic identifiers in the service network; and establishing, by the service network, the requested communications connection from the second user equipment to the first user equipment when the characteristic identifier matching the virtual identifier of the first user equipment has been found on the basis of the matching. See FF 11.A. supra. This or a similar limitation was added to independent claims 15, 21, 30, and 34. However, the amendments on April 8, 2009, did not add such a limitation to independent claims 31 and 36. Therefore, we determine that an objective observer viewing the prosecution history would understand that this matching limitation was not essential in order to overcome the rejection and obtain the patent. That is, no surrender occurred as to this matching limitation. Thus, as to the matching limitation, any broader aspects of matching in the reissue claims cannot relate to surrendered subject matter (Second step of the recapture analysis). C.5.e. Overlooked Aspect “Of The Invention†Although not argued by Appellant, we review whether claims 40–85 include an overlooked aspect of the invention. That is, we determine whether the reissue claims are directed to an entirely new embodiment that is not subject to the recapture rule. As a fundamental requirement, any reissue claim must comply with the original patent (“same inventionâ€) requirement of § 251. See Section C.3. supra. That is, the patent specification must disclose, clearly and Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 48 unequivocally, the newly claimed invention as a separate invention. Reissue claims to “overlooked aspects†(See Section C.2.d. supra) are not exempt from the original patent (“same inventionâ€) requirement under § 251. See Gen. Elec., 789 F. App’x at 861 (determining that the “subcombination is not an overlooked aspect of the invention.â€) (emphasis added). A reissue claim that does not meet the original patent (“same inventionâ€) requirement under § 251 cannot be an overlooked aspect of the invention because it is not directed to the disclosed invention of the patent. Therefore, as a first step to determining whether a reissue claim is directed to an “overlooked aspect,†we must determine whether the reissue claims meets the original patent (“same inventionâ€) requirement under § 251. Where the 35 U.S.C. § 112, first paragraph, written description requirement is based on what the skilled artisan would have understood was within the possession of the inventor, recent Federal Circuit case law indicates that the original patent requirement under § 251 requires something more: Whether or not the written description requirement of § 112 was satisfied here, Industrial Chemicals made clear that, for § 251, “it is not enough that an invention might have been claimed in the original patent because it was suggested or indicated in the specification.†315 U.S. at 676, 62 S.Ct. 839. Rather, the specification must clearly and unequivocally disclose the newly claimed invention as a separate invention. Id. Antares Pharma, 771 F.3d at 1362 (citations omitted, emphasis added). Thus, for broadening reissue claims, the specification of the original patent must do more than merely suggest or indicate the invention recited in reissue claims; “[i]t must appear from the face of the instrument that what is covered by the reissue was intended to have been covered and secured by the original.†Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 49 Indus. Chems., 315 U.S. at 676 . . . (emphasis added). Stated differently, the original patent “must clearly and unequivocally disclose the newly claimed invention as a separate invention.†Antares, 771 F.3d at 1362. We apply the standard set forth in Industrial Chemicals and Antares to this case and hold that the reissue claims are invalid. Forum US, 926 F.3d at 1351–52 (emphasis added). To the extent that the Specification must clearly and unequivocally, as required by 35 U.S.C. § 251, disclose the appealed reissue claims 40–85 as a separate invention, we conclude it does not for the reasons that follow. As we determined in Sections A.3.a. and A.3.b. supra, claims 40–85 fail to comply with the written description requirement under 35 U.S.C. § 112, first paragraph. That is, Appellant’s Specification does not show possession (either explicitly or by suggestion or indication) of the claimed invention of claims 40–85. As we note above, Federal Circuit case law indicates that the original patent requirement under § 251 requires something more than is required for the written description requirement under 35 U.S.C. § 112, first paragraph. Having failed to meet the written description requirement, claims 40–85 also fail to meet the original invention requirement under 35 U.S.C. § 251. That is, applying the Industrial Chemicals standard, reissue claims 40–85 do not meet the “original patent†clause of § 251, and thus cannot be an overlooked aspect of the invention so as to avoid the recapture rule. Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 50 OUTCOME The following table summarizes the outcome of each rejection:11 Claims Rejected 35 U.S.C. § Basis/References Affirmed Reversed 40–85 112, first para. Written description 40–85 41, 42, 52– 69, 71, 76, 81, 83, 84 112, second para. Indefiniteness 41, 42, 52– 69, 71, 76, 81, 83, 84 40–85 251 Defective declaration 40–85 40–85 251 Reissue recapture 40–85 40–43, 45, 46, 50–54, 58, 60, 63, 65, 66, 70, 71, 73–76, 78–81, 83– 85 102(e) Levosky 40–43, 45, 46, 50–54, 58, 60, 63, 65, 66, 70, 71, 73–76, 78–81, 83– 85 44, 64 103(a) Levosky, Jarvinen 44, 64 47, 48, 55, 56, 59, 61, 67, 68, 72, 77, 82 103(a) Levosky, MacIntosh 47, 48, 55, 56, 59, 61, 67, 68, 72, 77, 82 49, 57, 62, 69 103(a) Levosky, Malik 49, 57, 62, 69 Overall Outcome 40–85 11 Claim 85 is rejected on two distinct bases as failing to satisfy the written description requirement under 35 U.S.C. §112(a). One of the two rejections is reversed. Appeal 2020-005992 Application 14/630,337 Patent 7,627,533 B2 51 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. § 1.36(a)(1)(iv). AFFIRMED Copy with citationCopy as parenthetical citation