Borror v. Herz

666 F.2d 569, 213 U.S.P.Q. (BNA) 19
CourtCourt of Customs and Patent Appeals
DecidedDecember 10, 1981
DocketAppeal Nos. 81-532, 81-533
StatusPublished
Cited by16 cases

This text of 666 F.2d 569 (Borror v. Herz) is published on Counsel Stack Legal Research, covering Court of Customs and Patent Appeals primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Borror v. Herz, 666 F.2d 569, 213 U.S.P.Q. (BNA) 19 (ccpa 1981).

Opinion

NIES, Judge.

These appeals are from the decisions of the Patent and Trademark Office Board of Patent Interferences (board) awarding priority of invention in both interferences to [571]*571Herz et al. (Herz), the senior party.1 The board held that where no justification was given for the absence of the inventor’s testimony, the party’s case for priority, based on actual reduction to practice, could not be established. We reverse.

Background

The counts in both interferences are directed to the use of novel silver halide complexing agents or solvents in photographic processing compositions or processes. The particular type of photographic process involved is a diffusion transfer system in which the silver halide solvent is used to complex and transfer the unexposed silver halide from the photoexposed layer to the image-receiving layer where the complexed silver is precipitated to form an image.

Senior party Herz took no testimony and relied on their filing date of September 6, 1974. Junior party, Borror and Greenwald in ’656, and Greenwald in ’657 (referred to jointly by the board and herein as “Polaroid”), introduced the testimony of three witnesses and various exhibits as proof of actual reduction to practice of the various counts no later than the period of May to July 1973. Polaroid did not depose the inventor Greenwald in either case or offer any explanation for failure to do so. Polaroid’s witnesses were Dr. Borror, who was Greenwald’s supervisor and is the coinventor in one case; David Evans, a chemist, who was Greenwald’s laboratory assistant and actually prepared' the novel solvents and transmitted them to the testing laboratory; and Edward Johnson, the supervisor in the testing laboratory where tests of the solvents were performed for the purpose of evaluating their usefulness.

Herz’s principal attack on the sufficiency of Polaroid’s evidence of priority was directed to the failure of inventor Greenwald to testify. The board agreed that “serious implications” must be drawn from this omission, stating that they knew “of no authority which allows for the unexplained absence of the inventor’s testimony where the issue is the inventor’s claim to prior invention pursuant to 35 U.S.C. § 102(g), without some unfavorable inference being drawn.” Finding a need for an inventor’s testimony to, lay the “background or framework” for the “corroborating” testimony by other witnesses, and that “in the absence of the inventor’s testimony there is nothing to corroborate,” the board reasoned:

The unexcused failure to produce the inventor deprives an opponent of his inviolable right of cross-examination .... The inventor’s contemporaneous state of mind regarding the invention is an important consideration in reaching a decision regarding reduction to practice, as, for example, with regard to his conviction of success.

On this basis the board held:

Here we find no satisfactory explanation for the failure of Dr. Greenwald to testify and, indeed, Polaroid does not purport to have offered one. Though, at the time the testimony was taken, Dr. Greenwald was no longer employed by Polaroid, this is not offered as an excuse; nor, in the absence of a bona fide attempt to take his testimony, could it suffice. Insofar as the record is concerned, no attempt was made to depose him. Under the circumstances, we rule that this failure to present evidence creates a negative inference: “that the ... witness, if brought, [572]*572would have exposed facts unfavorable to the party.” II Wigmore on Evidence, §§ 285, 286.
* * * * * *
In ’657 where Dr. Greenwald is named as the sole inventor, neither conception nor reduction to practice can, in our view, be established from the record before us. A key concern in determining whether a party’s record makes out a reasonable case for a prior reduction to practice by a preponderance of the evidence is “consistency among the individual components of evidence.” [Citation omitted.] If we assume, as we must, that Dr. Greenwald’s testimony would have exposed facts unfavorable to Greenwald, such consistency, or cohesiveness, cannot be found. No “background or framework” has been laid which can be “corroborated” and Herz et al., who are presumed to be the first inventors, 37 CFR 1.257(a), have been denied the opportunity to hear the inventor’s version of “the circumstances under which the invention was made” and to cross-examine as to consistency and cohesiveness of Greenwald’s case for priority. We conclude, therefore, that in the absence of Dr. Greenwald’s testimony, or a reasonable explanation for its absence, Greenwald cannot, and has not, made out a case for priority by a preponderance of the evidence.

In ’656, despite the testimony of coinventor Borror, the testimony of Greenwald was deemed necessary, Greenwald being the “active” inventor and, thus, the one who “would best lay the foundation from which the circumstances surrounding the invention could be determined.” The lack of Greenwald’s testimony, without reasonable excuse therefor, was held to “defeat” the junior party’s case for priority.

The board then concluded by stating:

Had Dr. Greenwald testified, however, and his testimony was not inconsistent with that of the other three witnesses, an actual reduction to practice would have been reasonably established from the evidence in both interferences.

All other Herz objections to the evidence were rejected as well as Herz’s allegations of fraud on the part of Polaroid.2 In both interferences, priority was awarded to senior party Herz.

OPINION

The question raised on appeal is whether appellants’ case is fatally defective for failure, without explanation, to present testimony of the inventor Greenwald. It is clear from the above quoted portion of the board’s opinion that, but for the absence of such testimony, priority of invention would have been awarded to Polaroid. The award of priority to Herz resulted only because the board believed that the absence of inventor testimony defeated Polaroid’s case as a matter of law.

Because the inventor was not called and no explanation or excuse for his absence was given, the board ruled that a negative inference must be drawn, to the effect that, had he been called, he would have contradicted the testimony of other witnesses. Since a party’s case must be evaluated for consistency among- the evidentiary components and since consistency could not be found because of the negative inference, the junior party, in the board’s view, could not and did not prove priority by a preponderance of the evidence.

If consistency can never in any case be established where there is such a negative inference, the board has created a per se rule that a party cannot prove priority unless either the inventor is a witness or the absence of his testimony is adequately excused. The authorities and the underlying principles do not support so rigid a construction of the evidentiary rules. Foundation

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Bluebook (online)
666 F.2d 569, 213 U.S.P.Q. (BNA) 19, Counsel Stack Legal Research, https://law.counselstack.com/opinion/borror-v-herz-ccpa-1981.