OPINION OF THE COURT
KSR INT'L CO. V. TELEFLEX INC.
550 U. S. ____ (2007)
SUPREME COURT OF THE UNITED STATES
NO. 04-1350
KSR INTERNATIONAL CO., PETITIONER
v.
TELEFLEX INC. et al.
on writ of certiorari to the united states court of
appeals for the federal circuit
[April 30, 2007]
Justice Kennedy delivered the
opinion of the Court.
Teleflex Incorporated and its
subsidiary Technology Holding Company—both referred to here as
Teleflex—sued KSR International Company for patent infringement.
The patent at issue, United States Patent No. 6,237,565 B1, is
entitled “Adjustable Pedal Assembly With Electronic Throttle
Control.” Supplemental App. 1. The patentee is Steven J. Engelgau,
and the patent is referred to as “the Engelgau patent.” Teleflex
holds the exclusive license to the patent.
Claim 4 of the Engelgau patent describes a
mechanism for combining an electronic sensor with an adjustable
automobile pedal so the pedal’s position can be transmitted to a
computer that controls the throttle in the vehicle’s engine. When
Teleflex accused KSR of infringing the Engelgau patent by adding an
electronic sensor to one of KSR’s previously designed pedals, KSR
countered that claim 4 was invalid under the Patent Act, 35 U.
S. C. §103, because its subject matter was obvious.
Section 103 forbids issuance of a patent when
“the differences between the subject matter sought to be patented
and the prior art are such that the subject matter as a whole would
have been obvious at the time the invention was made to a person
having ordinary skill in the art to which said subject matter
pertains.”
In
Graham v.
John Deere Co. of
Kansas City,
383
U. S. 1 (1966), the Court set out a framework for applying the
statutory language of §103, language itself based on the logic of
the earlier decision in
Hotchkiss v.
Greenwood,
11 How. 248 (1851), and its progeny. See 383 U. S., at 15–17. The
analysis is objective:
“Under §103, the scope and content of the prior art
are to be determined; differences between the prior art and the
claims at issue are to be ascertained; and the level of ordinary
skill in the pertinent art resolved. Against this background the
obviousness or nonobviousness of the subject matter is determined.
Such secondary considerations as commercial success, long felt but
unsolved needs, failure of others, etc., might be utilized to give
light to the circumstances surrounding the origin of the subject
matter sought to be patented.”
Id., at 17–18.
While the sequence of these questions might be
reordered in any particular case, the factors continue to define
the inquiry that controls. If a court, or patent examiner, conducts
this analysis and concludes the claimed subject matter was obvious,
the claim is invalid under §103.
Seeking to resolve the question of obviousness
with more uniformity and consistency, the Court of Appeals for the
Federal Circuit has employed an approach referred to by the parties
as the “teaching, suggestion, or motivation” test (TSM test), under
which a patent claim is only proved obvious if “some motivation or
suggestion to combine the prior art teachings” can be found in the
prior art, the nature of the problem, or the knowledge of a person
having ordinary skill in the art. See,
e.g., Al-Site
Corp. v.
VSI Int’l, Inc., 174 F. 3d 1308,
1323–1324 (CA Fed. 1999). KSR challenges that test, or at least its
application in this case. See 119 Fed. Appx. 282, 286–290 (CA Fed.
2005). Because the Court of Appeals addressed the question of
obviousness in a manner contrary to §103 and our precedents, we
granted certiorari, 547 U. S.___ (2006). We now reverse.
I
A
In car engines without
computer-controlled throttles, the accelerator pedal interacts with
the throttle via cable or other mechanical link. The pedal arm acts
as a lever rotating around a pivot point. In a cable-actuated
throttle control the rotation caused by pushing down the pedal
pulls a cable, which in turn pulls open valves in the carburetor or
fuel injection unit. The wider the valves open, the more fuel and
air are released, causing combustion to increase and the car to
accelerate. When the driver takes his foot off the pedal, the
opposite occurs as the cable is released and the valves slide
closed.
In the 1990’s it became more
common to install computers in cars to control engine operation.
Computer-controlled throttles open and close valves in response to
electronic signals, not through force transferred from the pedal by
a mechanical link. Constant, delicate adjustments of air and fuel
mixture are possible. The computer’s rapid processing of factors
beyond the pedal’s position improves fuel efficiency and engine
performance.
For a computer-controlled throttle to respond
to a driver’s operation of the car, the computer must know what is
happening with the pedal. A cable or mechanical link does not
suffice for this purpose; at some point, an electronic sensor is
necessary to translate the mechanical operation into digital data
the computer can understand.
Before discussing sensors further we turn to
the mechanical design of the pedal itself. In the traditional
design a pedal can be pushed down or released but cannot have its
position in the footwell adjusted by sliding the pedal forward or
back. As a result, a driver who wishes to be closer or farther from
the pedal must either reposition himself in the driver’s seat or
move the seat in some way. In cars with deep footwells these are
imperfect solutions for drivers of smaller stature. To solve the
problem, inventors, beginning in the 1970’s, designed pedals that
could be adjusted to change their location in the footwell.
Important for this case are two adjustable pedals disclosed in U.
S. Patent Nos. 5,010,782 (filed July 28, 1989) (Asano) and
5,460,061 (filed Sept. 17, 1993) (Redding). The Asano patent
reveals a support structure that houses the pedal so that even when
the pedal location is adjusted relative to the driver, one of the
pedal’s pivot points stays fixed. The pedal is also designed so
that the force necessary to push the pedal down is the same
regardless of adjustments to its location. The Redding patent
reveals a different, sliding mechanism where both the pedal and the
pivot point are adjusted.
We return to sensors. Well before Engelgau
applied for his challenged patent, some inventors had obtained
patents involving electronic pedal sensors for computer-controlled
throttles. These inventions, such as the device disclosed in U. S.
Patent No. 5,241,936 (filed Sept. 9, 1991) (’936), taught that it
was preferable to detect the pedal’s position in the pedal
assembly, not in the engine. The ’936 patent disclosed a pedal with
an electronic sensor on a pivot point in the pedal assembly. U. S.
Patent No. 5,063,811 (filed July 9, 1990) (Smith) taught that to
prevent the wires connecting the sensor to the computer from
chafing and wearing out, and to avoid grime and damage from the
driver’s foot, the sensor should be put on a fixed part of the
pedal assembly rather than in or on the pedal’s footpad.
In addition to patents for pedals with
integrated sensors inventors obtained patents for self-contained
modular sensors. A modular sensor is designed independently of a
given pedal so that it can be taken off the shelf and attached to
mechanical pedals of various sorts, enabling the pedals to be used
in automobiles with computer-controlled throttles. One such sensor
was disclosed in U. S. Patent No. 5,385,068 (filed Dec. 18, 1992)
(’068). In 1994, Chevrolet manufactured a line of trucks using
modular sensors “attached to the pedal support bracket, adjacent to
the pedal and engaged with the pivot shaft about which the pedal
rotates in operation.” 298 F. Supp. 2d 581, 589 (ED Mich.
2003).
The prior art contained patents involving the
placement of sensors on adjustable pedals as well. For example, U.
S. Patent No. 5,819,593 (filed Aug. 17, 1995) (Rixon) discloses an
adjustable pedal assembly with an electronic sensor for detecting
the pedal’s position. In the Rixon pedal the sensor is located in
the pedal footpad. The Rixon pedal was known to suffer from wire
chafing when the pedal was depressed and released.
This short account of pedal and sensor
technology leads to the instant case.
B
KSR, a Canadian company,
manufactures and supplies auto parts, including pedal systems. Ford
Motor Company hired KSR in 1998 to supply an adjustable pedal
system for various lines of automobiles with cable-actuated
throttle controls. KSR developed an adjustable mechanical pedal for
Ford and obtained U. S. Patent No. 6,151,976 (filed July 16, 1999)
(’976) for the design. In 2000, KSR was chosen by General Motors
Corporation (GMC or GM) to supply adjustable pedal systems for
Chevrolet and GMC light trucks that used engines with
computer-controlled throttles. To make the ’976 pedal compatible
with the trucks, KSR merely took that design and added a modular
sensor.
Teleflex is a rival to KSR in the
design and manufacture of adjustable pedals. As noted, it is the
exclusive licensee of the Engelgau patent. Engelgau filed the
patent application on August 22, 2000 as a continuation of a
previous application for U. S. Patent No. 6,109,241, which was
filed on January 26, 1999. He has sworn he invented the patent’s
subject matter on February 14, 1998. The Engelgau patent discloses
an adjustable electronic pedal described in the specification as a
“simplified vehicle control pedal assembly that is less expensive,
and which uses fewer parts and is easier to package within the
vehicle.” Engelgau, col. 2, lines 2–5, Supplemental App. 6. Claim 4
of the patent, at issue here, describes:
“A vehicle control pedal apparatus comprising:
a support adapted to be mounted to a vehicle
structure;
an adjustable pedal assembly having a pedal arm moveable in
for[e] and aft directions with respect to said support;
a pivot for pivotally supporting said adjustable pedal assembly
with respect to said support and defining a pivot axis; and
an electronic control attached to said support for controlling a
vehicle system;
said apparatus characterized by said electronic control being
responsive to said pivot for providing a signal that corresponds to
pedal arm position as said pedal arm pivots about said pivot axis
between rest and applied positions wherein the position of said
pivot remains constant while said pedal arm moves in fore and aft
directions with respect to said pivot.”
Id., col. 6, lines
17–36, Supplemental App. 8 (diagram numbers omitted).
We agree with the District Court that the claim
discloses “a position-adjustable pedal assembly with an electronic
pedal position sensor attached to the support member of the pedal
assembly. Attaching the sensor to the support member allows the
sensor to remain in a fixed position while the driver adjusts the
pedal.” 298 F. Supp. 2d, at 586–587.
Before issuing the Engelgau patent the U. S.
Patent and Trademark Office (PTO) rejected one of the patent claims
that was similar to, but broader than, the present claim 4. The
claim did not include the requirement that the sensor be placed on
a fixed pivot point. The PTO concluded the claim was an obvious
combination of the prior art disclosed in Redding and Smith,
explaining:
“ ‘Since the prior ar[t] references are from
the field of endeavor, the purpose disclosed … would have been
recognized in the pertinent art of Redding. Therefore it would have
been obvious … to provide the device of Redding with the … means
attached to a support member as taught by Smith.’ ”
Id., at 595.
In other words Redding provided an example of an
adjustable pedal and Smith explained how to mount a sensor on a
pedal’s support structure, and the rejected patent claim merely put
these two teachings together.
Although the broader claim was rejected, claim
4 was later allowed because it included the limitation of a fixed
pivot point, which distinguished the design from Redding’s.
Ibid. Engelgau had not included Asano among the prior art
references, and Asano was not mentioned in the patent’s
prosecution. Thus, the PTO did not have before it an adjustable
pedal with a fixed pivot point. The patent issued on May 29, 2001
and was assigned to Teleflex.
Upon learning of KSR’s design for GM, Teleflex
sent a warning letter informing KSR that its proposal would violate
the Engelgau patent. “ ‘Teleflex believes that any supplier of
a product that combines an adjustable pedal with an electronic
throttle control necessarily employs technology covered by one or
more’ ” of Teleflex’s patents.
Id., at 585. KSR
refused to enter a royalty arrangement with Teleflex; so Teleflex
sued for infringement, asserting KSR’s pedal infringed the Engelgau
patent and two other patents.
Ibid. Teleflex later
abandoned its claims regarding the other patents and dedicated the
patents to the public. The remaining contention was that KSR’s
pedal system for GM infringed claim 4 of the Engelgau patent.
Teleflex has not argued that the other three claims of the patent
are infringed by KSR’s pedal, nor has Teleflex argued that the
mechanical adjustable pedal designed by KSR for Ford infringed any
of its patents.
C
The District Court granted
summary judgment in KSR’s favor. After reviewing the pertinent
history of pedal design, the scope of the Engelgau patent, and the
relevant prior art, the court considered the validity of the
contested claim. By direction of 35 U. S. C. §282, an issued
patent is presumed valid. The District Court applied
Graham’s framework to determine whether under
summary-judgment standards KSR had overcome the presumption and
demonstrated that claim 4 was obvious in light of the prior art in
existence when the claimed subject matter was invented. See
§102(a).
The District Court determined, in
light of the expert testimony and the parties’ stipulations, that
the level of ordinary skill in pedal design was “ ‘an
undergraduate degree in mechanical engineering (or an equivalent
amount of industry experience) [and] familiarity with pedal control
systems for vehicles.’ ” 298 F. Supp. 2d, at 590. The
court then set forth the relevant prior art, including the patents
and pedal designs described above.
Following
Graham’s direction, the
court compared the teachings of the prior art to the claims of
Engelgau. It found “little difference.” 298 F. Supp. 2d, at
590. Asano taught everything contained in claim 4 except the use of
a sensor to detect the pedal’s position and transmit it to the
computer controlling the throttle. That additional aspect was
revealed in sources such as the ’068 patent and the sensors used by
Chevrolet.
Under the controlling cases from the Court of
Appeals for the Federal Circuit, however, the District Court was
not permitted to stop there. The court was required also to apply
the TSM test. The District Court held KSR had satisfied the test.
It reasoned (1) the state of the industry would lead inevitably to
combinations of electronic sensors and adjustable pedals, (2) Rixon
provided the basis for these developments, and (3) Smith taught a
solution to the wire chafing problems in Rixon, namely locating the
sensor on the fixed structure of the pedal. This could lead to the
combination of Asano, or a pedal like it, with a pedal position
sensor.
The conclusion that the Engelgau design was
obvious was supported, in the District Court’s view, by the PTO’s
rejection of the broader version of claim 4. Had Engelgau included
Asano in his patent application, it reasoned, the PTO would have
found claim 4 to be an obvious combination of Asano and Smith, as
it had found the broader version an obvious combination of Redding
and Smith. As a final matter, the District Court held that the
secondary factor of Teleflex’s commercial success with pedals based
on Engelgau’s design did not alter its conclusion. The District
Court granted summary judgment for KSR.
With principal reliance on the TSM test, the
Court of Appeals reversed. It ruled the District Court had not been
strict enough in applying the test, having failed to make
“ ‘finding[s] as to the specific understanding or principle
within the knowledge of a skilled artisan that would have motivated
one with no knowledge of [the] invention’ … to attach an electronic
control to the support bracket of the Asano assembly.” 119 Fed.
Appx., at 288 (brackets in original) (quoting
In re
Kotzab, 217 F. 3d 1365, 1371 (CA Fed. 2000)). The Court
of Appeals held that the District Court was incorrect that the
nature of the problem to be solved satisfied this requirement
because unless the “prior art references address[ed] the precise
problem that the patentee was trying to solve,” the problem would
not motivate an inventor to look at those references. 119 Fed.
Appx., at 288.
Here, the Court of Appeals found, the Asano
pedal was designed to solve the “ ‘constant ratio
problem’ ”—that is, to ensure that the force required to
depress the pedal is the same no matter how the pedal is
adjusted—whereas Engelgau sought to provide a simpler, smaller,
cheaper adjustable electronic pedal.
Ibid. As for Rixon,
the court explained, that pedal suffered from the problem of wire
chafing but was not designed to solve it. In the court’s view Rixon
did not teach anything helpful to Engelgau’s purpose. Smith, in
turn, did not relate to adjustable pedals and did not “necessarily
go to the issue of motivation to attach the electronic control on
the support bracket of the pedal assembly.”
Ibid. When the
patents were interpreted in this way, the Court of Appeals held,
they would not have led a person of ordinary skill to put a sensor
on the sort of pedal described in Asano.
That it might have been obvious to try the
combination of Asano and a sensor was likewise irrelevant, in the
court’s view, because “ ‘ “[o]bvious to try” has long
been held not to constitute obviousness.’ ”
Id., at
289 (quoting
In re Deuel, 51 F. 3d 1552, 1559
(CA Fed. 1995)).
The Court of Appeals also faulted the District
Court’s consideration of the PTO’s rejection of the broader version
of claim 4. The District Court’s role, the Court of Appeals
explained, was not to speculate regarding what the PTO might have
done had the Engelgau patent mentioned Asano. Rather, the court
held, the District Court was obliged first to presume that the
issued patent was valid and then to render its own independent
judgment of obviousness based on a review of the prior art. The
fact that the PTO had rejected the broader version of claim 4, the
Court of Appeals said, had no place in that analysis.
The Court of Appeals further held that genuine
issues of material fact precluded summary judgment. Teleflex had
proffered statements from one expert that claim 4 “ ‘was a
simple, elegant, and novel combination of features,’ ” 119
Fed. Appx., at 290, compared to Rixon, and from another expert that
claim 4 was nonobvious because, unlike in Rixon, the sensor was
mounted on the support bracket rather than the pedal itself. This
evidence, the court concluded, sufficed to require a trial.
II
A
We begin by rejecting the rigid
approach of the Court of Appeals. Throughout this Court’s
engagement with the question of obviousness, our cases have set
forth an expansive and flexible approach inconsistent with the way
the Court of Appeals applied its TSM test here. To be sure,
Graham recognized the need for “uniformity and
definiteness.” 383 U. S., at 18. Yet the principles laid down in
Graham reaffirmed the “functional approach” of
Hotchkiss, 11 How. 248. See 383 U. S., at 12. To this end,
Graham set forth a broad inquiry and invited courts, where
appropriate, to look at any secondary considerations that would
prove instructive.
Id., at 17.
Neither the enactment of §103 nor
the analysis in
Graham disturbed this Court’s earlier
instructions concerning the need for caution in granting a patent
based on the combination of elements found in the prior
art
. For over a half century, the Court has held that a
“patent for a combination which only unites old elements with no
change in their respective functions . . . obviously withdraws what
is already known into the field of its monopoly and diminishes the
resources available to skillful men.”
Great Atlantic &
Pacific Tea Co. v.
Supermarket Equipment Corp.,
340 U. S. 147,
152 (1950). This is a principal reason for declining to allow
patents for what is obvious. The combination of familiar elements
according to known methods is likely to be obvious when it does no
more than yield predictable results. Three cases decided after
Graham illustrate the application of this doctrine.
In
United States v.
Adams,
383 U. S. 39, 40
(1966), a companion case to
Graham, the Court considered
the obviousness of a “wet battery” that varied from prior designs
in two ways: It contained water, rather than the acids
conventionally employed in storage batteries; and its electrodes
were magnesium and cuprous chloride, rather than zinc and silver
chloride. The Court recognized that when a patent claims a
structure already known in the prior art that is altered by the
mere substitution of one element for another known in the field,
the combination must do more than yield a predictable result. 383
U. S., at 50–51. It nevertheless rejected the Government’s claim
that Adams’s battery was obvious. The Court relied upon the
corollary principle that when the prior art teaches away from
combining certain known elements, discovery of a successful means
of combining them is more likely to be nonobvious.
Id., at
51–52. When Adams designed his battery, the prior art warned that
risks were involved in using the types of electrodes he employed.
The fact that the elements worked together in an unexpected and
fruitful manner supported the conclusion that Adams’s design was
not obvious to those skilled in the art.
In
Anderson’s-Black Rock, Inc. v.
Pavement Salvage Co.,
396 U. S. 57 (1969), the
Court elaborated on this approach. The subject matter of the patent
before the Court was a device combining two pre-existing elements:
a radiant-heat burner and a paving machine. The device, the Court
concluded, did not create some new synergy: The radiant-heat burner
functioned just as a burner was expected to function; and the
paving machine did the same. The two in combination did no more
than they would in separate, sequential operation.
Id., at
60–62. In those circumstances, “while the combination of old
elements performed a useful function, it added nothing to the
nature and quality of the radiant-heat burner already patented,”
and the patent failed under §103.
Id., at 62 (footnote
omitted).
Finally, in
Sakraida v.
AG Pro,
Inc.,
425 U. S.
273 (1976), the Court derived from the precedents the
conclusion that when a patent “simply arranges old elements with
each performing the same function it had been known to perform” and
yields no more than one would expect from such an arrangement, the
combination is obvious.
Id., at 282.
The principles underlying these cases are
instructive when the question is whether a patent claiming the
combination of elements of prior art is obvious. When a work is
available in one field of endeavor, design incentives and other
market forces can prompt variations of it, either in the same field
or a different one. If a person of ordinary skill can implement a
predictable variation, §103 likely bars its patentability. For the
same reason, if a technique has been used to improve one device,
and a person of ordinary skill in the art would recognize that it
would improve similar devices in the same way, using the technique
is obvious unless its actual application is beyond his or her
skill.
Sakraida and
Anderson’s-Black Rock are
illustrative—a court must ask whether the improvement is more than
the predictable use of prior art elements according to their
established functions.
Following these principles may be more
difficult in other cases than it is here because the claimed
subject matter may involve more than the simple substitution of one
known element for another or the mere application of a known
technique to a piece of prior art ready for the improvement. Often,
it will be necessary for a court to look to interrelated teachings
of multiple patents; the effects of demands known to the design
community or present in the marketplace; and the background
knowledge possessed by a person having ordinary skill in the art,
all in order to determine whether there was an apparent reason to
combine the known elements in the fashion claimed by the patent at
issue. To facilitate review, this analysis should be made explicit.
See
In re Kahn, 441 F. 3d 977, 988 (CA Fed.
2006) (“[R]ejections on obviousness grounds cannot be sustained by
mere conclusory statements; instead, there must be some articulated
reasoning with some rational underpinning to support the legal
conclusion of obviousness”). As our precedents make clear, however,
the analysis need not seek out precise teachings directed to the
specific subject matter of the challenged claim, for a court can
take account of the inferences and creative steps that a person of
ordinary skill in the art would employ.
B
When it first established the
requirement of demonstrating a teaching, suggestion, or motivation
to combine known elements in order to show that the combination is
obvious, the Court of Customs and Patent Appeals captured a helpful
insight. See
Application of Bergel, 292 F. 2d 955,
956–957 (1961). As is clear from cases such as
Adams, a
patent composed of several elements is not proved obvious merely by
demonstrating that each of its elements was, independently, known
in the prior art. Although common sense directs one to look with
care at a patent application that claims as innovation the
combination of two known devices according to their established
functions, it can be important to identify a reason that would have
prompted a person of ordinary skill in the relevant field to
combine the elements in the way the claimed new invention does.
This is so because inventions in most, if not all, instances rely
upon building blocks long since uncovered, and claimed discoveries
almost of necessity will be combinations of what, in some sense, is
already known.
Helpful insights, however, need
not become rigid and mandatory formulas; and when it is so applied,
the TSM test is incompatible with our precedents. The obviousness
analysis cannot be confined by a formalistic conception of the
words teaching, suggestion, and motivation, or by overemphasis on
the importance of published articles and the explicit content of
issued patents. The diversity of inventive pursuits and of modern
technology counsels against limiting the analysis in this way. In
many fields it may be that there is little discussion of obvious
techniques or combinations, and it often may be the case that
market demand, rather than scientific literature, will drive design
trends. Granting patent protection to advances that would occur in
the ordinary course without real innovation retards progress and
may, in the case of patents combining previously known elements,
deprive prior inventions of their value or utility.
In the years since the Court of Customs and
Patent Appeals set forth the essence of the TSM test, the Court of
Appeals no doubt has applied the test in accord with these
principles in many cases. There is no necessary inconsistency
between the idea underlying the TSM test and the
Graham
analysis. But when a court transforms the general principle into a
rigid rule that limits the obviousness inquiry, as the Court of
Appeals did here, it errs.
C
The flaws in the analysis of the
Court of Appeals relate for the most part to the court’s narrow
conception of the obviousness inquiry reflected in its application
of the TSM test. In determining whether the subject matter of a
patent claim is obvious, neither the particular motivation nor the
avowed purpose of the patentee controls. What matters is the
objective reach of the claim. If the claim extends to what is
obvious, it is invalid under §103. One of the ways in which a
patent’s subject matter can be proved obvious is by noting that
there existed at the time of invention a known problem for which
there was an obvious solution encompassed by the patent’s
claims.
The first error of the Court of
Appeals in this case was to foreclose this reasoning by holding
that courts and patent examiners should look only to the problem
the patentee was trying to solve. 119 Fed. Appx., at 288. The Court
of Appeals failed to recognize that the problem motivating the
patentee may be only one of many addressed by the patent’s subject
matter. The question is not whether the combination was obvious to
the patentee but whether the combination was obvious to a person
with ordinary skill in the art. Under the correct analysis, any
need or problem known in the field of endeavor at the time of
invention and addressed by the patent can provide a reason for
combining the elements in the manner claimed.
The second error of the Court of Appeals lay
in its assumption that a person of ordinary skill attempting to
solve a problem will be led only to those elements of prior art
designed to solve the same problem.
Ibid. The primary
purpose of Asano was solving the constant ratio problem; so, the
court concluded, an inventor considering how to put a sensor on an
adjustable pedal would have no reason to consider putting it on the
Asano pedal.
Ibid. Common sense teaches, however, that
familiar items may have obvious uses beyond their primary purposes,
and in many cases a person of ordinary skill will be able to fit
the teachings of multiple patents together like pieces of a puzzle.
Regardless of Asano’s primary purpose, the design provided an
obvious example of an adjustable pedal with a fixed pivot point;
and the prior art was replete with patents indicating that a fixed
pivot point was an ideal mount for a sensor. The idea that a
designer hoping to make an adjustable electronic pedal would ignore
Asano because Asano was designed to solve the constant ratio
problem makes little sense. A person of ordinary skill is also a
person of ordinary creativity, not an automaton.
The same constricted analysis led the Court of
Appeals to conclude, in error, that a patent claim cannot be proved
obvious merely by showing that the combination of elements was
“obvious to try.”
Id., at 289 (internal quotation marks
omitted). When there is a design need or market pressure to solve a
problem and there are a finite number of identified, predictable
solutions, a person of ordinary skill has good reason to pursue the
known options within his or her technical grasp. If this leads to
the anticipated success, it is likely the product not of innovation
but of ordinary skill and common sense. In that instance the fact
that a combination was obvious to try might show that it was
obvious under §103.
The Court of Appeals, finally, drew the wrong
conclusion from the risk of courts and patent examiners falling
prey to hindsight bias. A factfinder should be aware, of course, of
the distortion caused by hindsight bias and must be cautious of
arguments reliant upon
ex post reasoning. See
Graham, 383 U. S., at 36 (warning against a “temptation to
read into the prior art the teachings of the invention in issue”
and instructing courts to “ ‘guard against slipping into the
use of hindsight’ ” (quoting
Monroe Auto Equipment
Co. v.
Heckethorn Mfg. & Supply Co., 332
F. 2d 406, 412 (CA6 1964))). Rigid preventative rules that
deny factfinders recourse to common sense, however, are neither
necessary under our case law nor consistent with it.
We note the Court of Appeals has
since elaborated a broader conception of the TSM test than was
applied in the instant matter. See,
e.g., DyStar
Textilfarben GmbH & Co. Deutschland KG v.
C. H.
Patrick Co., 464 F. 3d 1356, 1367 (2006) (“Our suggestion
test is in actuality quite flexible and not only permits, but
requires, consideration of common knowledge and common
sense”);
Alza Corp. v.
Mylan Labs., Inc., 464
F. 3d 1286, 1291 (2006) (“There is flexibility in our
obviousness jurisprudence because a motivation may be found
implicitly in the prior art. We do not have a rigid test
that requires an actual teaching to combine . . .”). Those
decisions, of course, are not now before us and do not correct the
errors of law made by the Court of Appeals in this case. The extent
to which they may describe an analysis more consistent with our
earlier precedents and our decision here is a matter for the Court
of Appeals to consider in its future cases. What we hold is that
the fundamental misunderstandings identified above led the Court of
Appeals in this case to apply a test inconsistent with our patent
law decisions.
III
When we apply the standards we
have explained to the instant facts, claim 4 must be found obvious.
We agree with and adopt the District Court’s recitation of the
relevant prior art and its determination of the level of ordinary
skill in the field. As did the District Court, we see little
difference between the teachings of Asano and Smith and the
adjustable electronic pedal disclosed in claim 4 of the Engelgau
patent. A person having ordinary skill in the art could have
combined Asano with a pedal position sensor in a fashion
encompassed by claim 4, and would have seen the benefits of doing
so.
A
Teleflex argues in passing that
the Asano pedal cannot be combined with a sensor in the manner
described by claim 4 because of the design of Asano’s pivot
mechanisms. See Brief for Respondents 48–49, and n. 17.
Therefore, Teleflex reasons, even if adding a sensor to Asano was
obvious, that does not establish that claim 4 encompasses obvious
subject matter. This argument was not, however, raised before the
District Court. There Teleflex was content to assert only that the
problem motivating the invention claimed by the Engelgau patent
would not lead to the solution of combining of Asano with a sensor.
See Teleflex’s Response to KSR’s Motion for Summary Judgment of
Invalidity in No. 02–74586 (ED Mich.), pp. 18–20, App. 144a–146a.
It is also unclear whether the current argument was raised before
the Court of Appeals, where Teleflex advanced the nonspecific,
conclusory contention that combining Asano with a sensor would not
satisfy the limitations of claim 4. See Brief for
Plaintiffs-Appellants in No. 04–1152 (CA Fed.), pp. 42–44.
Teleflex’s own expert declarations, moreover, do not support the
point Teleflex now raises. See Declaration of Clark J. Radcliffe,
Ph.D., Supplemental App. 204–207; Declaration of Timothy L.
Andresen,
id., at 208–210. The only statement in either
declaration that might bear on the argument is found in the
Radcliffe declaration:
“Asano . . . and Rixon . . . are complex mechanical
linkage-based devices that are expensive to produce and assemble
and difficult to package. It is exactly these difficulties with
prior art designs that [Engelgau] resolves. The use of an
adjustable pedal with a single pivot reflecting pedal position
combined with an electronic control mounted between the support and
the adjustment assembly at that pivot was a simple, elegant, and
novel combination of features in the Engelgau ’565 patent.”
Id., at 206, ¶16.
Read in the context of the declaration as a whole
this is best interpreted to mean that Asano could not be used to
solve “[t]he problem addressed by Engelgau ’565[:] to provide a
less expensive, more quickly assembled, and smaller package
adjustable pedal assembly with electronic control.”
Id.,
at 205, ¶10.
The District Court found that combining Asano
with a pivot-mounted pedal position sensor fell within the scope of
claim 4. 298 F. Supp. 2d, at 592–593. Given the sigificance of
that finding to the District Court’s judgment, it is apparent that
Teleflex would have made clearer challenges to it if it intended to
preserve this claim. In light of Teleflex’s failure to raise the
argument in a clear fashion, and the silence of the Court of
Appeals on the issue, we take the District Court’s conclusion on
the point to be correct.
B
The District Court was correct to
conclude that, as of the time Engelgau designed the subject matter
in claim 4, it was obvious to a person of ordinary skill to combine
Asano with a pivot-mounted pedal position sensor. There then
existed a marketplace that created a strong incentive to convert
mechanical pedals to electronic pedals, and the prior art taught a
number of methods for achieving this advance. The Court of Appeals
considered the issue too narrowly by, in effect, asking whether a
pedal designer writing on a blank slate would have chosen both
Asano and a modular sensor similar to the ones used in the
Chevrolet truckline and disclosed in the ’068 patent. The District
Court employed this narrow inquiry as well, though it reached the
correct result nevertheless. The proper question to have asked was
whether a pedal designer of ordinary skill, facing the wide range
of needs created by developments in the field of endeavor, would
have seen a benefit to upgrading Asano with a sensor.
In automotive design, as in many
other fields, the interaction of multiple components means that
changing one component often requires the others to be modified as
well. Technological developments made it clear that engines using
computer-controlled throttles would become standard. As a result,
designers might have decided to design new pedals from scratch; but
they also would have had reason to make pre-existing pedals work
with the new engines. Indeed, upgrading its own pre-existing model
led KSR to design the pedal now accused of infringing the Engelgau
patent.
For a designer starting with Asano, the
question was where to attach the sensor. The consequent legal
question, then, is whether a pedal designer of ordinary skill
starting with Asano would have found it obvious to put the sensor
on a fixed pivot point. The prior art discussed above leads us to
the conclusion that attaching the sensor where both KSR and
Engelgau put it would have been obvious to a person of ordinary
skill.
The ’936 patent taught the utility of putting
the sensor on the pedal device, not in the engine. Smith, in turn,
explained to put the sensor not on the pedal’s footpad but instead
on its support structure. And from the known wire-chafing problems
of Rixon, and Smith’s teaching that “the pedal assemblies must not
precipitate any motion in the connecting wires,” Smith, col. 1,
lines 35–37, Supplemental App. 274, the designer would know to
place the sensor on a nonmoving part of the pedal structure. The
most obvious nonmoving point on the structure from which a sensor
can easily detect the pedal’s position is a pivot point. The
designer, accordingly, would follow Smith in mounting the sensor on
a pivot, thereby designing an adjustable electronic pedal covered
by claim 4.
Just as it was possible to begin with the
objective to upgrade Asano to work with a computer-controlled
throttle, so too was it possible to take an adjustable electronic
pedal like Rixon and seek an improvement that would avoid the
wire-chafing problem. Following similar steps to those just
explained, a designer would learn from Smith to avoid sensor
movement and would come, thereby, to Asano because Asano disclosed
an adjustable pedal with a fixed pivot.
Teleflex indirectly argues that the prior art
taught away from attaching a sensor to Asano because Asano in its
view is bulky, complex, and expensive. The only evidence Teleflex
marshals in support of this argument, however, is the Radcliffe
declaration, which merely indicates that Asano would not have
solved Engelgau’s goal of making a small, simple, and inexpensive
pedal. What the declaration does not indicate is that Asano was
somehow so flawed that there was no reason to upgrade it, or pedals
like it, to be compatible with modern engines. Indeed, Teleflex’s
own declarations refute this conclusion. Dr. Radcliffe states that
Rixon suffered from the same bulk and complexity as did Asano. See
id., at 206. Teleflex’s other expert, however, explained
that Rixon was itself designed by adding a sensor to a pre-existing
mechanical pedal. See
id., at 209. If Rixon’s base pedal
was not too flawed to upgrade, then Dr. Radcliffe’s declaration
does not show Asano was either. Teleflex may have made a plausible
argument that Asano is inefficient as compared to Engelgau’s
preferred embodiment, but to judge Asano against Engelgau would be
to engage in the very hindsight bias Teleflex rightly urges must be
avoided. Accordingly, Teleflex has not shown anything in the prior
art that taught away from the use of Asano.
Like the District Court, finally, we conclude
Teleflex has shown no secondary factors to dislodge the
determination that claim 4 is obvious. Proper application of
Graham and our other precedents to these facts therefore
leads to the conclusion that claim 4 encompassed obvious subject
matter. As a result, the claim fails to meet the requirement of
§103.
We need not reach the question whether the
failure to disclose Asano during the prosecution of Engelgau voids
the presumption of validity given to issued patents, for claim 4 is
obvious despite the presumption. We nevertheless think it
appropriate to note that the rationale underlying the
presumption—that the PTO, in its expertise, has approved the
claim—seems much diminished here.
IV
A separate ground the Court of
Appeals gave for reversing the order for summary judgment was the
existence of a dispute over an issue of material fact. We disagree
with the Court of Appeals on this point as well. To the extent the
court understood the
Graham approach to exclude the
possibility of summary judgment when an expert provides a
conclusory affidavit addressing the question of obviousness, it
misunderstood the role expert testimony plays in the analysis. In
considering summary judgment on that question the district court
can and should take into account expert testimony, which may
resolve or keep open certain questions of fact. That is not the end
of the issue, however. The ultimate judgment of obviousness is a
legal determination.
Graham, 383 U. S., at 17. Where, as
here, the content of the prior art, the scope of the patent claim,
and the level of ordinary skill in the art are not in material
dispute, and the obviousness of the claim is apparent in light of
these factors, summary judgment is appropriate. Nothing in the
declarations proffered by Teleflex prevented the District Court
from reaching the careful conclusions underlying its order for
summary judgment in this case.
* * *
We build and create by bringing
to the tangible and palpable reality around us new works based on
instinct, simple logic, ordinary inferences, extraordinary ideas,
and sometimes even genius. These advances, once part of our shared
knowledge, define a new threshold from which innovation starts once
more. And as progress beginning from higher levels of achievement
is expected in the normal course, the results of ordinary
innovation are not the subject of exclusive rights under the patent
laws. Were it otherwise patents might stifle, rather than promote,
the progress of useful arts. See U. S. Const., Art. I, §8,
cl. 8. These premises led to the bar on patents claiming
obvious subject matter established in
Hotchkiss and
codified in §103. Application of the bar must not be confined
within a test or formulation too constrained to serve its
purpose.
KSR provided convincing evidence
that mounting a modular sensor on a fixed pivot point of the Asano
pedal was a design step well within the grasp of a person of
ordinary skill in the relevant art. Its arguments, and the record,
demonstrate that claim 4 of the Engelgau patent is obvious. In
rejecting the District Court’s rulings, the Court of Appeals
analyzed the issue in a narrow, rigid manner inconsistent with §103
and our precedents. The judgment of the Court of Appeals is
reversed, and the case remanded for further proceedings consistent
with this opinion.
It is so ordered.
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