; 

/ 

( 

In re A.pplicR. t. ~on of 

Wtl Ham F. F'riedman. 

FU ed Jnl~ ~f • 1 ~~~. 

Ser .. No. 682,096 

Cr~ptoeraphlc f7stea 

Hon. Comrniesioner of Patents, 

Sirs 

REF ID:A272~ 

DiY. 63, Room 689? 

?esponei'fe to Patent Office ~ction dated June 6, 193'. 

Claims 11 sr.d 13 are cancelled without prejudice. 

Cla !,~, 11, line 1-, after "bank'' and before the eerdcolon insert - - • ea.14 

.eb of ele \ente being electrical17 int~rrelBted - - Line 4 1 car.eel 

"connections" s.nd eubetltute - - electrical r·elation - -

Cla.1"'1 18, 1 ~ne 2, ,-ancel "and" Line 3, "lfter "bank" and 

before the 84hllicolaa insert - - • an4 im:Jlllding electrical oonneotio .. 

between said set• of element• - -

Claia 19, line 2, cancel "and" ; 8ubetitute a ooana after 

"ke1board " Line S, after "ballk" and before tbe aemioolon lneen -b- , an4 

including electrical connectione lMtween ea14 aeta ot •l8118nte - -

Claim ?.O, line 2, caneel "and" s substitute a ooama after 

"ke1'boar4" Line S, after "b&nk" and before the ••miooloa ineert - - , &114 

incllJ.ding c1rcu1' connection• between e~id eete of element• 

Claim 21, line 2. cancel " and" ; eubetltute a cof!llll!L atter 

"ke;)boA.rd" Line 3 atter "b!Ullt" and before the se1'11colon ineen - - , and 

including circuit connectlone betwee1' en.id seta of element• - -

Confidential 

Declassified and approved for release by NSA on 09-13-2013 pursuantto E .0. 1352a 

" 
REF ID:A272~ 

Claim 22, line 3, after "bank ; " ineert - - eleetr1e&l 

connection• between e11.id eat. or element• J - -· 

Clala 23, line 3, after "bank ; " inPert - - c1rcu.it aonnectiOAI 

between •aid 1ete ot element• a - -

Cl&im 24, line s, attar "banlc 1 " ineen - - circu.it connection• 

between •~id eete or element• 1 - -

Claim 26, line ~. after "bank ; " insert - - circuit connectiona 

between said eet1 or element• J 

B E J: A R IC S 

Beterx-1ng to the Examiner'• etatertent "Bebem dbcloaea 11echani• 

tor dieplactng the code wheel• ", th1• 1• eorrect. But hi• atatement that 

" thie mechanie 11 in errect a cipher-ke1 trt.1.nemttter " 1a erroneou in 

two reepecte. 

Lookine into the meaning or the ezpreaalon " clpher-ke7 tranaal tter" •'"haw three thlng1 to conaicler 1 fir•'• the Maninc ot the 

tera "cipher k•J " ; eeoon4, tbe aeanlzl&' of the tera "'tranaitter" , 

and third, the meaning or the tana resultine from combining "cipher ke7" 

with "tranemitter" into one expreeeion. It will be granted, preeumabJ.7 , 

'that 'theee tera1 mue't be examined 1n the light ot orntographio&l. teolmtq• 

and tem1nolog. Accordi.ngl)', haTing recourse to a reference eource 

commonl1 accepted '" 9.Utborite.ti'f•· 'fb., the Encyclopedia :Britannica, 

J 

I 

·' 
REF ID:A272~ 

14th Y:'dition, Article "Codes l'lnd (;iphers " in Val. E, we find the 

tollowint eta. tement : 

"Eve";:, pra.ctic:al cipher system 1DU11t ernbine (l) & 

be.8ic nt-P thod of tre~.t:aent which is eonetant in character. 

with (2) ~ ke~ing principle which 1P v~riable in chf\r~cter 

and employs specific keywords, phrases, or n'\l!llbers, the lndi Tidual compoei t iona or which determine or control the exact results under the bf'.&ic aethod. " 

Ci:DSideri!l(:' the phril\Se .. Cipher key " A.$ it Rppef\r8 in the 

applicant's specifications and claims, and bearing in mind tb&t we are 

directing attention onl1 to the mechanlea for displs.cing the cipher 

wheel•, it 1• quite cle&r thst tbe cipher key here eer-..e ae the phJeio&l 

embodiment of the "keying principle " reterred to in t!11a foregoing eita ti on, ~·nd that i te sole purpose 1• to serft a.a the controlling element 

in effecting the displacements of the a!ph.!r wheel• in a TA-riable 11&Dn81'. 

Contrast this eituatton wlth tht\t in Hebern. r•eterriT)€ now onl1 to the 

mechanism !or displ~cine the cipher wheels. in Hebern there la embodiei 

no rnich thing AB a cipher key which correspond• to a " keying principle 

which la ~ril\ble in cba.rF.:.cter " beoauH tbe meohanillll for clieplaclng 

tbe cipher wheels is abeolutel7 fixed. It 1•, in rs.ct, the very 8ntitheeia of a keying principle Wl.riable in char'"'ter and ie etrictlJ compsrable to the meche.nhm of any indicatint:: or recording meter for aeaaur1ng e~•, electric power, or w~ter corurap.~ption. Certainly, no one coul.4 

conaietently arguA that the mech&niem actuatir,. an odo~eter, tor eY.ample. 

embodies a keying principle which ie Tariable in character and which controle the movements of the wheel• in a •rialale manner. Indee4, conetanc7 is the :funds.mental baeh of operation 8.nd tanctioning ot such a 

d•Tice, end not ~ari~bilit7. Since this ie the eaane 'ype of meter-like 

mechanism ns ill embodied in Bebern, it must be quite clear that the 
REF ID:A2728~ 

mechanih'l tor displacing the cipher wheele in Bebern 1e poei ti Yel7 not 

an aabediment of a "ke~ing principle which ia Tariable ia character " 

and theretore the 'r&miner 18 not correct in anum.ing that Bebem ditolosee a raechN:l1flll which embodiee a cipher key ae a oontrolling element 

in dieplacing the cipher wheels. 

Coming now to the word "tr&nam.itter" , in the phrase "oipherk•J tra:n .. itter ", thie retere to a d.etinlte J1111chanico -elaetrical entit7 

well kncwn in the art ot telegrapb1 ae a epeeitic mechani111 operating in 

a epecifio me.rm.er to ac<'omplish specific tunotions in electrical tra.namiHion ot energ1. In ita eesence, a tre.nemi tter of "the obar~oter 411-

oloeed by appliosnt is a m.eoha.nhm. wbieh pemi ts ot tM e1ta.bl111hment 

ot one or a multiplicity of sete of electr~cal eonditioae for trnn8Dl1tt1DC electrical 1mpul••• and of ch&:nging trom one set to another 1et ot 

oondition• 1tocordinc to •ome Ys.riable taotor eu.eh as a tape beariJ26 pGrtor~tlon1 correeponding- to a communication alphabet. :;ert.af.nly Rebern 

dil!lclosea no such deYice, n·)l' is the mecbanbm embodied therein even 

taintly eiailar to an electrical tranlllaitter or thil type, nor 1• the 

Rebern aechan1911l in affect a tr~namitter, as inferred bJ the ExRMiner. 

Coming now to the whole phrflr:-e "cipher-key trans.titter ",. s 

tranemi tter of the type d.escri'bed b~ applicant 1• WNAll7 •Plo7e4. •trict17 tor ordinar1 telegraphic trt!.118111.ieeion purpo1e1. It l• true that it hat 

been •ployed tor oryptogrAphio purpoeee, ae dhcloeed in Korehouee, Verna.m, and others. ht 1 t hae ne'Yer before been employed in connection 

with ft oryptogrttph1c device using rota bbl• cipher wheele, nor tor the 

purpose or controlling the displacements or the cipher wheel•• 

4 
REF ID:A272831 

In the litht of the foregoing parF!.graphs 1 t mu.et be quite clear 

that t~e Hebern mechR.nism is not " in effect_ a cipher-key trana1tter " 

as :oere described and that applica.nt'e claims 1 to 4 are by no mean• 

met by the Bebern reference. 

··eterrinc +o xami11er' e atflteMent "If the keyinr- element 18 

neceae~ry to the funct ionintc· of the rest ot the device, 1 t ca.-mot be 

said to be independent th~reot " , 1 t •1 be ~e-id that the tape is not 

- neceSBnry to the functioning of' the device. Coneid.e:red solelj as n 

mecha.nioo-electrical device which baa moving parts actuated thue e.n4 

so by interaction of ite comDonent elementP, and not thinking ot it aa 

a d•!Vice tor encipberU1g and deciphering communic"l.tione, 1 t C()uld operate perfectly satietactoril7 without any tape at ell. What would 

hap1:>en in th11 C9se i1 that once started in operation the di&pll'lcement1 

ot the cipher wheels would be perfectly regular : &11 five wheels woul.4 

•tep forward one space tor e~cb depreesi.on of a key of +he keyboRrd. 

Crwtographioal}7 the result • oultl be equi Talent aere ]Jr to the uae of 

a 1et of ei' different alphabets. Th111 howeTer, 1• whollJ beside the 

the 

point rf11 s~tl by tbe .:.xaminer, Yist. whetht"-?' or not/keying element_., 

in this case the tape, la neceeaBry to thfll f'une+. ionlne of the m~iehtne. 

It hs1 t>een demonstrated thft.t this iP not thic. nn!'.'e r-.nd ~hi:~retore the 

he.miner 1• in error in this regard. '!'he lll'>J"ill!. element 1e in re.ct 

independent or the cryptoe·raph. It was not intended that the fA.ct 

th&1; it ce.n 'be replaced be used as e.n argument ta.-.oring it• independanc7 

of the mechaniaia iteelt. That phase of t:he matter ha.e nothing to do 

with the present argument. 'l'he eafMtntial idea here la that of a cryptogre.ph emplo711Jir rotA.t~ble cipher wheels the displacements of which 

are controlled by i>.n external ele:-;-.ent.. in contradistinctlon with a 
REF ID:A272831 

de-.1ca ln which the dit:.-plAcer1enta of the clphar whe\:!11" P.-le controlled. 

6 to 10 Aad 18 Bre accurate in description Rnd ln all alnoerit) requee~• 

the Ji'.nmlner to reconsider h1• act ion in the l lght ot the foregoing 

. '-·• f'or the Ena1ner • • at'-'ltemen:\ tha.t theee claim• are 

indefinite in the inferential incluion of the tape aa elei!lent of the 

tn"chhe, t!~e applicant h••t11 earneeiJ.3 end9ft.Tored to RTOid any bseie tor 

euch an iaterence. :.gain 1t;;d agf'!.ln the epeclficp.tione and the clalu 

cll•tlnot~ indioa'\e that the tape 1• not an iaber•nt element of the 

... h:lae 1Nt on the oontral'1 1• an external •lamed, inde-per,dent of t.b9 

•rntograpll. 

In nwort of the proposition that iapoeiUw 1nclue1on 

of element• baa often escaped. ori tlol• 'bJ" tbe Oourta, 1 t 1e deeirec\ to 

rater to "Patent llala Dr~!tirlf.' ~ oy Ir. StrlnphAm (1930 ), Sec. f-t.5e, 

P8«9 211, wherein se'leral case• P..re l'.lentloned. In connection with one 

ot the• (libel •• AU.m.mota I 261 u.s. 48 ; 310 o.G. 3 J' 1t i• 8&14 I 

"Bibel olaia 7 and 80118 ot 1ihe other olaim:e of t:.he SNne patent conei•t 

eselulwl1 ot illpoeUiYel,7 included ele:oent•, e:zcept for the tntroducto17 

-tnaUM. " The :libel pa•.ent 1n q~·1est1on is !lo. 84-5,22'. 

direotl1 included aE a mP.Ohine pi.rt, the clRiMs would ~e eubJect to reJeotioa on the ground of aggreg,,.tion, or ae a.n 014 combination of maohble 

and. tape. While not atlaltting the nl14it7 of 1nol1141DF the tape ae a part 

ot the aohim, ewn 11 it were aclaltted, 1 t ls d1f'1Cul t .. to aee &IQ" 

baaie tor rejection on the gr01111d tb~t we have here ~n uld combinatiCllll 

' 

.. 
REF ID:A272831 

ot me.chine and tape. 'r.'he Examiner baa railed to cite referabaea wbere:ln 

a or,ptograph1o deTioe em~loyine rotntabl• cipher wheel• ie com.bine4 

with a cipher•kq trr:.n11mi tter ueinr. ~ tape. So fA.r ae the rqrplicant 1• 

a.ware th111 combination is no'\l'el in the art. BowP.ver. if the .-=-:xaminer 

all8'Ulll91 that the uae ot a tape in the applica.nt's invention ie 111re17 

&a.other way ot causing the cipher wheel• to be diaplace4 and that a 

Mana tor auoh a displacement 18 1ntarent1all.J preeent in Rebera, l!Ul4 

that therefore it is merely An old combin~iion, then it ie hoped that 

the diecueBion in connection with cla.ims 1 to 4 A.bow will earYe to 

01arif1 the •tructure and will lead to a change ot opinioa. 

Again, 1 t iB de11ir~d to et.reH the point that the llAwle;y oase 

oited by the -:~xamiaer •f>ul4 not •PPl.7 to applloant•5 011.se, awn .. ..,. 

ing the i•l1111oa of the tape &• a po•it1Te •1-nt. In that ca• it 

••• •14 "!he 11Ubat1tut1on for an old elemer•t in " comb·ination of an 

element pertormtne- a eiailar function, but aoaetructed in s. different 

wa:,, doe• not render the oomb1nation itself patentable where there 11 

no .re111ltant Oh&Jll'8 1n the operation " In applic&nt'• case the ke7 tape 

or a pluralit7 of te1 tape1 in the ooablnation &• claimed 4oee aoet . -- •pllaticall;v produce ~re~t cbyp la the operation Ti11 that 

perlo41oitJ 1• pre"f9nted, an4 th~ ellaination ot predictable ta.otor1 

11 aade more etfeoU 'N 'b7 nml t19l11nc the llWlber ot te7illl' element• or 

tape11 all a11 elaborated Ter1 fully in the preT1ous argument a!ld. thr01Jgh.-

011.t th• 41eolo8UJ'I ot applicant'• case. 

Re ft· · ence lzam1ner' • reJection or claims 11 t.n 16 on the basi• 

ot Jlebern who9 be oonten.41, "Bhow• •omni• for eftaotlng ad.Jutmen:t of 

the OOlllllUtators " , the discus1ion in connection with claims 1 to • &bo"9 

7 
REF ID:A272831 

h 9.[;ain pertinent. The explanation offered as to the di•tinction between the fixed, invAriable, strictl7 meter-like mechanimn in llebem 

end the '9ar111.b1e meohaniem embodied in a true cipher-key transmit'\er 

ae disclosed b1 applicant is believed to be quite sufficient to differentiate the appl1cant•a invention irtlld claims ll to 16 trom a.tqthtng 

in Bebern. 

The suggestion of the Examiner found in the first para.-

graph, page 2 of the rejection, that " &n arbitrary phrase " 1• used 

" to de1tcnate such mechani• " , llN.llt be traversed. Supplemental 

to what has been said above, attention ts called to the repeated UM 

of the tera "cipher key " in the MorehOU8e patent of record ln thi• oase. 

Here an example 1a found in the pa tent an tor the terminology properq 

uHd 'bJ applicant. Surel7, IUCh patents u Vernam and J.iiorehouae will 

1ert'8 to confirm what hae been said abo'98, and give authorit1 and ea.notion tor the use 'by applic11.nt ot BUCh terms as ''cipher ke7 ",. ·•cipher 

Jee;.,.- tr&namit•~er '' , r.nd "cipher key transmitter mechanism"• MoreoYer,. 

the me&n111€ of theee te1'1'1'l.s in the instt\nt case ie well supported bJ 

the epecitication and drawings, a1way1 keepine; 1.n mind that the 1peoitioe.tion iB to be regarded. ae the dictiona.17 tor "the clA.ima in eTeey ea.•. 

h to the tel'm. "cryptogra.pb " ueed to designP.te the machine. 

'l'he tenainolog7 otficiall, adopted b;y the War 1Jepa.rtn.ent in itl!I publica.-

'1on1 dealing wUh or;,rotographl' 41atingu11he1 between "orypto81"Rlll ", which 

1• the Horet writing or mee1age 1 taelt and "orntogra;ph" , which ii an 

instrument, device, or a;lpflratue producing such a writing or meaeage. 

The• terme are strictly analogous to the terms "teleeram " and "telegraph'~. 

8 
REF ID:A272831 

Moreo"9r• the f:nc~clopa.edia Britannica, article reterre4 to aboTe, toll°"• t.hia terminolOff7• It should be recogn1se4 that 41ctlomr1e• are ae 

a rule unable to keep abreast of ad"Y&noee in highly epeolaliae4 f1el4•, 

and one mu11t look to tlla latest text• a.nc1. ourrent publioattou for up 

to date teralnolOQ'. cr•he tr~rr11 ~yptOJtr~h used 1u a noun to deeienate a 

017Ptographto deTice, inatrumant or lll'0111118 1• t011nd ODlJ' in the EaoJClopedia. 

Britannioa of 19291 and in recent taste and publicatione on oryptograplv'. 

-.-er~rrf!:c- now to t,;1e decisio1~ t:·• :Ber&rdini •· '!'ooci relied ripori b1 the .'.xa.:u•ner in rep'J~tbl{:, hi• reject.ion ot the matbo4 claiu 

N1J1Rbera 26 to 3'1 it is urged that eald case is aurel7 insuttio!ent to 

aupport the conten.ti.on ths.t a metho4 ot encipbeJ·ins r.md dao1pher\¥ 1• 

not entitled to pRtent protection. aa & tl'U8 .. thod or mechanical prooeea. 

In the oited c~ae, t~e Court &1.JP~rentl~ went no further than to hold ..._. 

in the in•tuoe of one ot the pRtenta in suit ( !io. 889.0M ) that the 

inwnt 1.oa. if arq. re•14H in a "•1•t• " • or "art " ( ui:og theee wor49 

a.e more or leae eponom.ou wi'tl'1 method or proo••• ) 1 but the decieion goe• 

on ~-o aseert that thii.1 art or method Re tnJCh ""·" not olatmed. '1'be claiu 

were. in fact, directed to a "ood.e me1eage " and were in that parHoular 

caee httld TOid tor laclr: ot tnwntlon. .~ .• Juet stti.te4 abo••• 'thl• case i• 

aenredl1 not 1.0 be regal'ded a• a. oon.trolUng authort ty to euppon the 

poe1tionthat .a.o m~thod or enciphering or deciphering 1• entitled. to pro-

\eotion a1 a true method. The Vernam pa.tent ~o. 1,416,765 and the \lorehou• pe.tent 01 ted in thie OA.M ?>o. 11 3561 &&6 , are both in thie ·~ ari 

and both include method claim•• 

-~.e to tr.e incl1.ision of ~ recitn.1 .. , .. !'truet.ure ill metho4 

cls1ine, patent a of thb chA.ra.cter a.re too nmerou• to mention. ; .. )·pl icant'• 

9 
REF ID:A272831 

position on this point wns quite fulls discussed in the lAst argument. 

Exa.m.plee of claims directed to methods of performing particular opera-

·ttona, ~"lt'd-tor methode of manipulating machine•, ma.y be ci te4 in 

large n'UJllber • In~ such examples a recit&l of structure ie necee11&17 

to clea.rne•• and intellicibil1ty. SUrely it must be oonoede4 thl'lt the 

inclulion ot atruct'11ral e1emente in au.oh casee doe• not 'dtiate the 

method, nor does it follow that the method steps in auch caae1 a.re 

merely statements of function or arq given machine. It J!IU8t be 'r9118mbered 

in tlle preeent oaee that we ha.,. an example of a method of manipulating 

certain inetrwnente.ltties, but obviously thet:e lne·t.nw:t•nU.11 ti es are aueceptible or considerable V!\riation so th~t the essential method ste'PI 

whioh awlicant 1e seeking tc protec1: in bis method claima require e. 

certain reoitl'l.l of structure for the sake ot clearneee but thi11 doe• not 

prealude the idea ot change• ruid yariationa in the mechanical instrumentalU1••• In support ot anplic'l.D.t' • contention. in tllie regA.rd., it i• 

de1ired to add to the record several eaee• listed ae follow•: 

Haseltine Corp. v. ·wndermuth, 34 F. R. (2nd) 635 

Ex pa.rte Van Kirk, Pe.t .... o. l,6fB,796 

Ez pa.rte Trinks, l'f u.s. ?at. Q. 139, Pat. 1,902 1 531 

Century Eleo. Co. T. Westinghouee E. Ktg. Co., 1914 C.D. 267 1 

207 o.G. 1249 ; 191 F.R. 350, Pat. 611,91&. 

Reconaideration 1B requested of clai1H l to 4, 6 to 10 t1nd 18, 

also clnirrie 11 to 16 tor t·eaeona fully set out L the foregoing ~reu:'lent. 

'l'he cri ticiam of Claims 11 to 16 on t.he ground t11st they include indefinite 

and functional 11m.i te.tione is thouebt t.o be entirely unwarranted einee &ll 

theN olaime recite ample struet'"re to l!Jllpport awry tu.notional st%\tement 

there included. .~pplicant 1vu~ endenvo!"ed in the foregoing argument to show 

10 
REF ID:A272831 

that the phra.11ng emplo1ed. to designlt.t• the CiJther key 'tr&n11m1tter or 

oiph~r ke7 tranlll'!litter mechan1111n 1• not in ~ sense arbitra17. on 

the aontrar7. the tenH Rre well known in the a.rt snd are fully suppone4 

in the diaalosu.ra of this caee. 

ClaiM~ l '7 to :' fo hl!I ve been amended to oYercome the r.zaminer' • 

object-ion RB to the 1nfereb.t1al inclusion ot the "connection• ". 

The er! ticima •1th regard to cln.1ina 18, f'.l, 22, 21, 24 and. 

It 1• belle"Yed that there is.ample authority tor ueirg the 

word. "a1'11Jtograph ~ to deBignata the maobln•, and th18 point "iu1.11 been 

treated Rt length in ~ preceding par2'graph. 

Further and f'a:worabl• action 18 courtaoualy eol1c1 tad 1n 

the light of the foregoing. 

v.·uuam F. Frledmaa 

/ .. ·~ ·. ·· ... ,· ~;. IJI I ,.:;·-"( .,. • •. ...i.1 ' ·..; •! 

/" -::: .. ·~ ,.,,. ... _ 

:.~· l . :. "'.;.-.::~ ·, ! ....... ~· ". . \ 

11