Costello, In re, 83-567

Citation717 F.2d 1346,219 USPQ 389
Decision Date20 September 1983
Docket NumberNo. 83-567,83-567
PartiesIn re Derek Anthony COSTELLO and Robert McClean. Appeal
CourtUnited States Courts of Appeals. United States Court of Appeals for the Federal Circuit

Richard L. Schwaab, Alexandria, Va., argued for appellant.

Gerald H. Bjorge, Washington, D.C., argued for appellee. With him on brief were Joseph F. Nakamura, Sol. and Fred E. McKelvey, Associate Sol., Washington, D.C.

Before MILLER, Circuit Judge, SKELTON, Senior Circuit Judge, and SMITH, Circuit Judge.

EDWARD S. SMITH, Circuit Judge.

This is an appeal from the December 5, 1979, decision of the U.S. Patent and Trademark Office (PTO) Board of Appeals (board) sustaining two rejections under section 103 of claims 1, 4-10, 12, 13, and 17-20 of application serial No. 488,900, filed July 22, 1974. The invention relates to "foam-skin" communication cable insulation. The principal reference relied on is Cereijo, U.S. patent No. 3,914,357, filed January 4, 1973. We affirm the rejections.

I.

On April 12, 1971, appellants filed application serial No. 132,968 for "Communication Cable Having Dual Insulated Conductors" (the original application). Appellants failed to respond to an office action and the original application was abandoned on October 19, 1972. No attempt has been made to revive the original application.

Shortly thereafter, during the period December 5-7, 1972, three of appellants' co-workers at Northern Telecom Ltd. (Northern) presented a paper on foam-skin telephone cable insulation at the 21st International Wire and Cable Symposium in Atlantic City, New Jersey. 1 The authors of that paper filed with the PTO a declaration under 37 C.F.R. Sec. 1.132 2 on June 20, 1978, stating that the subject matter of that publication is believed to be the invention of appellants and was disclosed to the authors by appellants while all were employed at Northern.

On January 4, 1973, Cereijo, et al., filed application serial No. 321,082 for "Method of Monitoring the Application of Cellular Plastic Insulation to Elongated Conductive Material." That application issued October 21, 1975, as Cereijo, U.S. patent No. 3,914,357, the principal reference. Appellants filed application serial No. 488,900 (the second application), which was accorded an effective filing date of March 9, 1973, pursuant to section 120. 3 The second application is substantially similar to the original application. The second application, however, was not co-pending with the original application nor does it reference the original application. 4

Cereijo discloses but does not claim the invention that is the subject matter of the second application. Claims 1, 4-10, 12, 13, and 17-20 of the second application were rejected under 35 U.S.C. Sec. 103 in view of Cereijo, or Cereijo taken with Moody. 5

Because the requirements of section 120 had not been satisfied, the board refused to recognize the filing of the original application as a constructive reduction to practice of the invention. The remainder of the evidence 6 was found insufficient to establish invention by appellants prior to the effective date of Cereijo. The board noted that, even if the original application was considered to establish conception of the invention, appellants failed to prove diligence.

II.

This appeal presents the question whether appellants are entitled to rely on an application, abandoned prior to the effective date of a reference, as a constructive reduction to practice to overcome that reference, where appellants later filed a substantially identical application which is not entitled under section 120 to the date of the abandoned application.

Appellants contend that the totality of the evidence establishes prior invention by them. Having eliminated Gouldson, which has an effective date prior to that of Cereijo, appellants allege that they have, ipso facto, antedated Cereijo as well. Appellants allege that the relevant disclosure of Cereijo is actually their own invention. Finally, appellants argue that, without exception, the mere act of filing a patent application has long been considered a constructive reduction to practice.

The Solicitor contends that while the original application established prior conception of the invention, it did not operate as a constructive reduction to practice. Further, diligence has not been shown. Relying on public policy arguments based on section 120, the Solicitor asserts that appellants should derive no benefit from their abandoned application.

III.

In section 120, Congress set forth two requirements that an applicant must satisfy in order for a later filed application to be accorded the same effect as if it were filed on the same date as an earlier application by the same inventor disclosing the same invention. Those conditions are (1) copendency of the applications, and (2) reference in the later filed to the earlier filed application.

Even if an applicant is unable to secure an effective filing date previous to the effective date of a prior art reference under section 120, the applicant may overcome a reference by evidence of prior invention. A prior art reference that is not a statutory bar may be overcome by two generally recognized methods. "The most common way to 'antedate' a reference is to submit an affidavit satisfying the requirements of Rule 131." 7 (Footnotes omitted.) Rule 131, however, is only one way of overcoming a reference that is not a statutory bar. An applicant may also overcome a reference by showing that the relevant disclosure is a description of the applicant's own work. 8 The pertinent inquiry is under 35 U.S.C. Sec. 102(e). 9 Appellants can overcome a reference by showing that they were in possession of their invention prior to the effective date of the reference. "The real issue is whether all the evidence, including the references, truly shows knowledge by another prior to the time appellants made their invention or whether it shows the contrary." 10 (Emphasis in original.)

Rule 131 governs whether an applicant has proved a date of invention "before" the effective date of the reference. 11 Appellants urge this court to find prior invention on the basis of evidence that does not satisfy either the substantive requirements of Rule 131 or the standard of proof required to eliminate the reference. We decline to do so for the reasons set forth below.

The effective date of Cereijo is January 4, 1973, prior to the effective filing date of the second application (March 9, 1973). Therefore, Cereijo is properly cited as prior art under section 102(e). In order to overcome Cereijo appellants must either (1) comply with the substantive requirements of Rule 131, or (2) establish that the relevant disclosure is of their own work.

A.

Rule 131 requires proof of either "reduction to practice prior to the effective date of the reference, or conception of the invention prior to the effective date of the reference coupled with due diligence from said date to a subsequent reduction to practice or to the filing of the application." 12

Appellants actually reduced the invention to practice in Canada. The invention has never been actually reduced to practice in the United States.

Appellants' principal contention is that the filing of the later abandoned original application constitutes a constructive reduction to practice of the invention. Appellants cite no authority, nor can they, to support their argument. It has long been settled, and we continue to approve the rule, that an abandoned application, with which no subsequent application was copending, cannot be considered a constructive reduction to practice. It is inoperative for any purpose, save as evidence of conception. 13

While the filing of the original application theoretically constituted a constructive reduction to practice at the time, the subsequent abandonment of that application also resulted in an abandonment of the benefit of that filing as a constructive reduction to practice. The filing of the original application is, however, evidence of conception of the invention. Appellants were able to reduce the invention to writing. That writing therefore constitutes documentary evidence that appellants had conceived of the invention as of the filing date. 14 As the board found, however, appellants did not establish diligence in reducing the invention to practice. Appellants do not contest that finding. Thus, the evidence is not sufficient to antedate Cereijo under Rule 131.

B.

Appellants submitted an affidavit under Rule 132 to establish that Gouldson discloses appellants' own invention. Appellants argue that, having "antedated" Gouldson which has an effective date prior to that of Cereijo, appellants have ipso facto antedated Cereijo. Appellants' proof that Gouldson discloses appellants' own work does not enable appellants to step into Gouldson's shoes with respect to the date of publication of the Gouldson article as the date of invention. Only Gouldson is eliminated as a reference by the showing that Gouldson describes appellants' invention. Appellants did not antedate Gouldson. Appellants' evidence, at best, establishes conception and communication of the invention to Gouldson, et al., prior to the date of publication. This has no relation at all to appellants' attempt to antedate the principal reference, Cereijo.

C.

Finally, appellants argue that two Bell Laboratories articles that reference Gouldson, and the fact that Cereijo discloses the invention as prior art rather than as part of his invention, establish prior invention by appellants. Appellants have submitted no affidavit or declaration to establish that the relevant disclosure of Cereijo is of appellants' invention.

It is not sufficient that the relevant disclosure is recognized as prior art. In order to sustain their claim, appellants must adduce evidence that appellants invented the relevant items in the disclosure. 15 Appellants have not done so.

IV.

In summary, in order to overcome a prior art reference under...

To continue reading

Request your trial
41 cases
  • Huawei Techs., Co. v. Samsung Elecs. Co.
    • United States
    • U.S. District Court — Northern District of California
    • 25 Septiembre 2018
    ...with which no subsequent application was copending, cannot be considered a constructive reduction to practice." In re Costello , 717 F.2d 1346, 1350 (Fed. Cir. 1983). In response, however, Huawei does not rely on the '683 Provisional.Instead, it cites to evidence of Motorola's computer simu......
  • Evans Medical Ltd. v. American Cyanamid Co.
    • United States
    • U.S. District Court — Southern District of New York
    • 10 Junio 1998
    ...disclosed prior to the application. Specialty Composites v. Cabot Corp., 845 F.2d 981, 990 n. 9 (Fed.Cir.1988); In re Costello, 717 F.2d 1346, 1349 (Fed.Cir.1983); In re Katz, 687 F.2d 450, 454-55 (Cust.&Pat.App.1982); In re DeBaun, 687 F.2d 459, 462 (Cust.&Pat.App. 1982).24 Thus, if Montar......
  • Automotive Technologies v. Siemens Vdo Automotive
    • United States
    • U.S. District Court — Eastern District of Michigan
    • 30 Octubre 2009
    ...a reference by showing that [it was] in possession of [its] invention prior to the effective date of the reference." In re Costello, 717 F.2d 1346, 1349 (Fed.Cir.1983). While courts are not always precise regarding the specific statute or legal authority, an inventor can "swear behind" alle......
  • Avocent Huntsville Corp. v. Clearcube Technology, CIVA CV03S2875NE.
    • United States
    • U.S. District Court — Northern District of Alabama
    • 12 Julio 2006
    ...(holding that "an application issued to the same inventive entity cannot be prior art under section 102(e)") (quoting In re Costello, 717 F.2d 1346, 1349 (Fed.Cir.1983) ("An applicant may also overcome a reference by showing that the relevant disclosure is a description of the applicant's o......
  • Request a trial to view additional results

VLEX uses login cookies to provide you with a better browsing experience. If you click on 'Accept' or continue browsing this site we consider that you accept our cookie policy. ACCEPT