Lead Opinion
The senior party, Peeler, Godfrey, and Furby (Peeler),
The Subject Matter
Counts 6 and 8 adequately describe the subject matter:
6. A power transmission fluid consisting essentially of a major portion of a phosphate ester having a tendency to cause cavitation erosion damage, and as an additive effective in reducing such damage, from 0.01 to 10% by weight of a halocarbon containing only halogen atoms and at least one carbon atom having a boiling point below 75 °C, wherein the halogen substituents on said halоcarbon are chlorine, bromine or fluorine or combinations thereof.
8. A method of inhibiting cavitation damage to a hydraulic system utilizing a hydraulic fluid consisting essentially of a major portion of a phosphate ester, which method comprises maintaining in said hydraulic fluid by addition 0.01 to 10% by weight of a halocarbon containing only halogen atoms and at least one carbon atom having a boiling point below 75 °C, wherein the halogen substituents on said halocarbon are chlorine, bromine or fluorine or combinations thereof.
The Evidence
Peeler took no tеstimony and relied on his filing date. Miller submitted testimony in the form of affidavits (by stipulation) from himself, various Monsanto colleagues, and William Black, the Monsanto patent attorney who prepared and filed Miller’s application. Miller’s efforts, culminating in this invention, began in the fall of 1964 when he became aware of serious hydraulic valve leakage in British “Trident” aircraft using Monsanto’s SKYDROL 500A brand hydraulic fluid. He concluded that cavitation
In 1965, in ultrasonic vibrating probe tests, in which a soft metal tip is vibrated at high frequency in a beaker containing SKYDROL 500A and the additive under test and the loss of metal from the tip measured, it was found that water as an additive would reduce cavitation damage substantially. This laboratory finding was confirmed in use in the Trident aircraft. In March 1966 Miller thought of using FREON 11 (the DuPont trademark for trichloromonofluoromethane) as the additive and also other halocarbons, which are fire-resistant and, like water, have high volatility in relation to the base fluid, as anti-cavitation additives. On March 8 Miller instructed a colleаgue (Stainbrook) to conduct ultrasonic vibrating probe tests using FREON 11 as the additive. Stainbrook performed one control run and one run with FREON 11 as the additive on that day. Stainbrook’s affidavit and Miller’s March 14 notebook page indicate that FREON 11 significantly reduced erosion of the probe tip in the experiment. In his notebook entry Miller indicated, “To better assess such additives, we are setting up hermetically sealed sample containers.” The record does not show that hermetically sealed containers were subsequently used by Miller.
On April 5,1966, Miller submitted a “prеliminary disclosure of invention,” which his superiors in the Research Department of Monsanto’s Organic Chemicals Division rated “A (Ready [to file])” on April 18, 1966. Presumably, this disclosure was forwarded to Monsanto’s patent department for action soon thereafter, but the record does not show when this occurred.
From the time when Miller’s invention disclosure was rated “A (Ready)” more than
He was employed by Monsanto on October 14, 1968. He was assigned responsibility for the following areas:
Petroleum Additives
Functional Fluids
Polyphenyl Ethers
Synthetic Lubricants
He was assigned four areas because the three attorneys who had previously handled them had resigned in the previous four months.
He recalls that as of January 1969 he was responsible for:
1) about 60 to 70 pending U.S. Applications
2) over 400 foreign pending applications
3) over 100 active invention disclosures of which
27 were A■ — ready to file
21 were A — not ready to file
He recalls that as of that date, [Miller’s] invention disclosure * * * was in order of filing priority, 31st on the list out of 48 cases.
He generally filed invention disclosures according to their order of priority.
The Board Opinions
The board majority found that Miller had actually reduced the invention of the counts to practice in April 1966 and that he had not abandoned, suppressed, or concealed the invention within the meaning of 35 U.S.C. § 102(g).
The dissenting member disagreed on both the reduction to practice and suppressiоn issues. He concluded that the single probe test using FREON 11 as the additive was insufficient to establish reproducibility of results, citing Conner v. Joris,
* * * I also believe that the patent statutes were not designed to protect a first inventor who slumbers, to the detriment of a second inventor who tries to disclose his invention to the public and this I believe is what we have before us.
He concluded that the delay at Monsanto was “an unreasonable delay analogous to ‘res ipsa loquitur’ transferring the burden of proof to Miller to prove that the inven
OPINION
While we agree with the board majority that Miller proved by a preponderance of the evidence
I
Peeler argues that the one successful vibrating probe test relied upon by Miller to establish an actual reduction to practice was preliminary in nature and failed to show that the invention would work “as intended to work in its practical contemplated use, i. e., as an aircraft hydraulic fluid * * *.” Peeler also urges us to find that a single successful test is insufficient to establish reproducibility of results and that the probe test was an abandoned experiment because Miller lacked conviction of success. Connected with these arguments is Peeler’s contention that Miller is attempting to prove actual reduction to practice nunc pro tunc by relying on an affidavit by his colleague Fairing which, Peeler submits, presents Fairing’s opinion as of 1973, when it was executed, and not at the time of Miller’s reduction to practice in March 1966.
We note that the counts are not directed to aircraft hydrаulic systems, which are special environments with high speed flow and extremes of temperature and pressure causing accelerated wear of valves and other hydraulic system components, but to hydraulic systems generally. Thus Miller need show only that his invention is suitable for reducing cavitation damage in any hydraulic system. See Steinberg v. Seitz,
Low boiling additives have generally exhibited marked damage-reducing tendencies in the ultrasonic probe tests, even though no special precautions were taken to prevent loss of volatiles.
Thus, hermetically sealed containers were not necessary for successful probe tests, and Miller knew it. Miller is not required to prove thаt FREON 11 was known by him to be a commercially practicable additive for use in aircraft in order to establish an actual reduction to practice. Steinberg v. Seitz, supra, and cases cited therein. Miller’s record, unrebutted by Peeler, suffices to show that the vibrating probe test was an adequate means for determining the suitability of FREON 11 as a cavitation damage reducing additive. Peeler has adduced no evidence to show that other tests are necessary. See Campbell v. Wettstein,
We are not disposed to hold that the single probe test was insufficient to show reproduсibility of results. This invention is not in a notoriously unpredictable field like catalytic chemistry. The prior experience with water as an additive created confidence in the efficacy of the probe test. On the basis of all the evidence and the relative simplicity of the invention, see Patterson v. Hauck,
The Fairing affidavit and other evidence also lead us to conclude that Miller does not seek to establish actual reduction to practice nunc pro tunc, which this court held was impossible in Langer v. Kaufman,
Finally, we hold that the March 1966 рrobe test was not an abandoned experiment. Except for Miller’s September 1966 presentation, the record is devoid of any activity with respect to the invention by Miller personally after he filed the invention disclosure. This lack of activity is understandable in light of the realities of corporate research. Once he filed his invention disclosure with his superiors, Miller was finished with the invention. He had other work to do. If Monsanto desired protection for its employee’s invention, any further action was in the hands of people other than Miller. That Stainbrook performed tests in 1967 on additives which the dissenting board member said were outside the scope of the counts is of no moment. There is no evidence that Miller changed his mind about the efficacy of the additives he found. In some eases the passage of a long period between reduction to practice and filing raises an inference that the purported reduction to practice was an abandoned experiment. See, e. g., Bowers v. Valley,
II
Determining whether a de facto first inventor, Miller in this case, should also bе considered the de jure first inventor under § 102 requires resolution of the policy question: which of the rival inventors has the greater right to a patent? Brokaw v. Vogel,
The evidence here is striking in its paucity. There is no evidence that Miller (or Monsаnto) was spurred into filing his application by knowledge of Peeler’s invention; spurring, however, is not an essential element of suppression. Young v. Dworkin, supra. Neither Miller nor anyone else at Monsanto appears to have had any specific intent to suppress or conceal the invention. But proof of specific intent to suppress is not necessary where the time between actual reduction to practice and filing is unreasonable. This unreasonable delay may raise an inference of intent to suppress. Pingree v. Hull,
In our opinion, a four-year delay from the time an inventor is satisfied with his invention and completes his work on it and the time his assignee-employer files a patent application is, prima facie, unreasonably long in an interference with a party who filed first. The circumstances surrounding the delay and Monsanto’s attempted justification thereof serve only to persuade us of the correctness of our оpinion. We make no criticism of Mr. Black; getting Miller’s application filed in the time he did may have been an extraordinary effort. Monsanto, however, can take no comfort in that, since its neglect of Miller’s application for the 2V2 years preceding Mr. Black’s arrival and its failure to replace two of the three attorneys who resigned were at least partial causes of the backlog which greeted Mr. Black.
In its brief, Monsanto attempts to justify its inaction as follows:
Although delay in filing was encountered as set forth in the affidavit of William T. Black * * * the invention disclosure was handled in accordance with established Monsanto practices which is [sic] consistent with normal business practices. At the invention disclosure review meetings, which were conducted approximately semi-annually, Dr. Miller, and his immediate superior, Dr. Richard, consistently urged that a patent application be filed. The fact that the invention disclosure rating was never changed from “A-Ready to file” is indicative of the fact that Miller intended to get an application on file as soon as his patent attorney сould do so.
This excuse is lame on two counts: First, there is no evidence of what Monsanto’s “established practices” were or that the review meetings ever took place. We will not accept statements in briefs as substitutes for evidence. Second, and more importantly, assuming the truth of Monsanto’s assertions, we do not consider this four-year delay to be in accordance with any “normal” business practice that we should accept as part of a sound patent system.
Miller and the board majority rely heavily on the statement, often repeated in varying language by this court, that “Mere delay, without more,
Without including anything else; purely; only; solely; absolute[ly]; wholly. In re Plymouth Motor Corporation, Oust. &*655 Pat.App. [, 18 CCPA 838, 841],46 F.2d 211 , 212 [,8 USPQ 14 , 15 (1931)].
As Mr. Justice Holmes said in Towne v. Eisner,
We conclude that Monsanto’s delay was not “mere delay,” that the delay was excessive, and that as between Peeler and Miller, Peeler has the better right to a patent, on the statutory ground that Miller, through the acts of his assignee, suppressed the invention. The decision of the board is reversed.
REVERSED.
Notes
. Involved on U.S. Patent No. 3,591,506, entitled “Functional Fluids Containing Halocarbons for Preventing Cavitation Damage,” issued July 6, 1971, on an application filed January 4, 1968. The patent is assigned to Chevron Research Company.
. Involved on application serial No. 32,344, filed April 27, 1970, entitled “Functional Fluid Compositions Containing Fluro Alkanes,” which is assigned to Monsanto Company.
. “Cavitation” may be defined as “Formation of gas — or vapor-filled cavities within liquids by mechanical forces; * * *; specifically, the formation of vapor-filled cavities in the interior or on the solid boundaries of vaporized liquids in motion where the pressure is reduced to a critical value without a change in ambient temperature.” McGraw-Hill Dictionary of Scientific and Technical Terms 237 (1974).
. A person shall be entitled to a patent unless—
(g) before the applicant’s invention thereof the invention was made in this country by another who had not abandoned, suppressed, or concealed it. * * *.
. The applicable standard of proof since Miller’s application was copending with the application that matured into Peeler’s patent. Frilette v. Kimberlin,
. Fairing stated that in 1964 he “knew the literature taught that laboratory tests using the vibrating probe method correlate well with thе performance of tested materials in the field,” and referred to an article dated 1956 saying the same thing.
. We reject the argument that the probe test does not establish reduction to practice of method counts 8-10. The test is sufficient to show that adding FREON 11 to SKYDROL 500A is a method of reducing cavitation damage in hydraulic systems.
. It is appropriate to wonder why, if Mr. Black could get to and file Miller’s application in approximately 15 months, the three attorneys whom he replaced could not have completed it in much less time after it was markеd “A (Ready)” in April 1966.
. Furthermore, we cannot believe that anyone, let alone a sophisticated corporation like Monsanto, would consider letting four years pass as a normal or prudent business practice, in light of the encouragement to early filing inherent in 35 U.S.C. § 102(b), for example.
. The addition of “without more” to “mere” seems to be a redundancy of the kind to which lawyers are peculiarly prone.
Concurrence Opinion
(concurring).
I agree that appellee reduced the invention to practice and that, through the acts of his assignee, he suppressed thе invention. Under 35 U.S.C. § 102(g), a second inventor is not entitled to a patent unless the first inventor abandoned, suppressed, or concealed the invention. In an interference the burden of proving abandonment, suppression, or concealment falls on the second inventor, regardless of who filed first. Young v. Dworkin,
This court has consistently held that suppression or concealment, to amount to forfeiture of the right to a patent in favor of a later inventor, must be deliberate or intentional. Pingree v. Hull,
Such delay, however, only gives rise to an inference of intent to suppress. Young v. Dworkin, supra at 1281 n. 3. It shifts the burden to the first inventor to explain the
The majority indulges in dictum which would engraft onto the statute a policy “favoring . . . the party who expeditiously starts his invention on the path to public disclosure ... by filing a patent application.” (Emphasis added.) It implies that the failure to hire a sufficient number of attorneys to deal with a backlog of patent applications results in forfeiture of the patent right to one who has been “expeditious.” However, not even diligence is required after reduction to practice. Bowers v. Valley,
The public policy referred to in Brokaw v. Vogel,
The “expeditious” standard created by the majority is not the standard of deliberate or intentional suppression required by the statute. Nor do the cases cited by the majority support it. In Pingree v. Hull, supra, intent to suppress was found as a result of a five-and-a-half year delay and spurring; similarly, in Young v. Dworkin, supra, intent to suppress was found as a result of a two-and-a-half year delay during which the inventor prepared for commercial production. If the standard prescribed by the statute is to be changed, that is a matter for the Congress. In re McKellin,
. The error of the superfluous comment in footnote 10 of the majority opinion is demonstrated by the statement of the obvious in the opinion itself: “Surely, the word ‘mere’ does not imply a total absence of a limit on the duration of the delay.” The language in Young v. Dworkin was taken from Gallagher v. Smith,
