In Re Derek Anthony Costello and Robert McClean

717 F.2d 1346, 219 U.S.P.Q. (BNA) 389, 1983 U.S. App. LEXIS 13664
CourtCourt of Appeals for the Federal Circuit
DecidedSeptember 20, 1983
DocketAppeal 83-567
StatusPublished
Cited by17 cases

This text of 717 F.2d 1346 (In Re Derek Anthony Costello and Robert McClean) is published on Counsel Stack Legal Research, covering Court of Appeals for the Federal Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
In Re Derek Anthony Costello and Robert McClean, 717 F.2d 1346, 219 U.S.P.Q. (BNA) 389, 1983 U.S. App. LEXIS 13664 (Fed. Cir. 1983).

Opinion

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’ coworkers 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. § 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, pur *1348 suant 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. § 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 Cerei-jo, 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) copen-dency 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 *1349 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. § 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.

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717 F.2d 1346, 219 U.S.P.Q. (BNA) 389, 1983 U.S. App. LEXIS 13664, Counsel Stack Legal Research, https://law.counselstack.com/opinion/in-re-derek-anthony-costello-and-robert-mcclean-cafc-1983.