In re Wertheim

646 F.2d 527, 209 U.S.P.Q. (BNA) 554
CourtCourt of Customs and Patent Appeals
DecidedApril 9, 1981
DocketAppeal No. 80-603
StatusPublished
Cited by18 cases

This text of 646 F.2d 527 (In re Wertheim) 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
In re Wertheim, 646 F.2d 527, 209 U.S.P.Q. (BNA) 554 (ccpa 1981).

Opinion

RICH, Judge.

This appeal is from the decision of the Patent and Trademark Office (PTO) Board of Appeals (board) affirming the final rejection under 35 U.S.C. § 103 of claims 37, 38, and 44 in application serial No. 96,285, filed by Wertheim and Mishkin (Wertheim) December 8, 1970, entitled “Drying Method.” We reverse.

At the outset, we note the prolonged, if not tortuous, prosecution of the present application. During the past decade, this application has appeared before us once before, In re Wertheim, 541 F.2d 257, 191 USPQ 90 (1976) (Wertheim I), and has been involved in an aborted interference, No. 99,688, with a reference patent used in the instant rejection, United States Patent No. 3,482,990 to Pfluger. Only two of the original forty-three claims are now before us, dependent claims 37 and 38, original claim 2 having been rewritten as independent claim 44, the principal claim on appeal.

The Invention

While the present and related inventions were described in Wertheim I, we give a synopsis of the claimed process, which is for freeze-drying coffee extract. Hot water is percolated through roasted and ground coffee beans to produce an aqueous coffee extract. After concentrating the extract to a point where its solids content is between 35% and 60%, it is charged with a gas to yield a foam. The pressure of the foam environment is regulated to be at least atmospheric pressure so as to avoid evaporative cooling, i. e., thermal loss resulting from vaporization of the aqueous portion of the extract. In the preferred embodiment of claim 37, the foam density is maintained between 0.4 grams per cubic centimeter (gm/cc) and 0.8 gm/cc. Finally, the foam is frozen at the regulated pressure and freeze-dried in a conventional manner. During these “cold” steps, the foam temperature allegedly must be maintained below the eutectic temperature of the extract, i. e., the lowest possible constant-melting point of the mixture to avoid the loss of flavoring compounds through evaporation.

Applications and References

Since both appellants’ case and the effective date of one of the references depend on earlier filing dates, we provide the chrono[529]*529logical table below prior to discussing the reference disclosures and the rejection.

The References

The primary reference, cited by the examiner under 35 U.S.C. § 102(e), is the Pfluger patent which issued on the last of a series of four applications, as shown above. The patent discloses a foam/freeze-dried coffee process for retaining volatile aromatics during the foaming and freezing steps. Improved retention of these compounds is supposedly achieved by avoiding evaporative cooling of a concentrated coffee extract. The Pfluger patent, like appellants’ application, calls for maintaining the foam below its eutectic temperature. Claim 2 of the Pfluger patent was copied by appellants for interference purposes and is claim 44 on appeal.

The Pfluger application chain developed as follows: Pfluger IV was designated a continuation of Pfluger III,1 which was designated a continuation-in-part (CIP) of Pfluger II, which was designated a CIP of Pfluger I.

Pfluger I did not support all of the limitations of the claims copied from the Pfluger patent. Specifically, it did not disclose concentrating the extract to a solids content of between 35% and 60% prior to foaming. Express disclosure of this limitation did not occur until Pfluger III. It also did not expressly disclose always creating the foamed extract at at least atmospheric pressure, a limitation first found in Pfluger II.

The Sivetz publication is a secondary reference which discloses a non-foamed, freeze-dried coffee process. The vacuum drying of this process results in flaked coffee. The alleged advantage of this type of instant coffee is its excellent solubility in water. However, Sivetz states that “even under ideal freeze-drying conditions, the volatiles of coffee aroma and flavor are not retained any better, if as well, as in spray drying.” It goes on to recommend less than 60% water content, and therefore a greater than 40% solids content, in any extract to be freeze-dried.

Flosdorf is an earlier publication also disclosing freeze-drying methods. It states that for economic reasons, one must produce freeze-dried coffee from extracts containing 40% to 50% solids.

The Rejection

In Wertheim I, this court held that interference claims 2 (now 44), 37, and 38 of appellants’ still pending application were entitled to the benefit of the Swiss Wertheim application. Approximately eleven months later the PTO declared Interference No. 99,688 between the present application and the Pfluger patent. Appellants were designated senior party because of their Swiss filing date. Pfluger was made junior party.

After considering four motions by Pfluger, the Primary Examiner moved sua sponte to dissolve the interference and granted his own motion. In support of his decision, he stated that the claims copied by Wertheim were unpatentable under 35 U.S.C. § 102(e) and/or 35 U.S.C. § 103 over the Pfluger I and II disclosure in view of Sivetz.

Ex parte prosecution was resumed and the claims on appeal were rejected. The [530]*530great-grandparent of the Pfluger patent, Pfluger I, was said to be “carried forward” into the patent. The missing limitation in Pfluger I was supposedly found in Sivetz. Essentially, the rejection was based on, and was a modification of, the grounds stated in the dissolution decision. Appeal was then taken to the board.

After admitting in his Answer that the 1961 Pfluger application “fails to set forth specifically the values of the solids content within the range set forth in the Wertheim claims (35 to 60%),” the examiner said:

The question which must be considered and answered is what one with ordinary skill in the art would derive from the following teaching on page 3 of the 1961 Pfluger application:
In many applications such foaming can be considerably increased by concentrating the solution or suspension to a relatively high solids content prior to incorporation of air or other gas such as nitrogen therein by whipping.
The answer to the question presented is that it would be prima facie obvious to those with the ordinary skill in the art [to] which the subject matter relates to preconcentrate to the values set forth in the Wertheim claims. This conclusion is reached by the following reasoning.
A patent specification is directed to those skilled in the art. Clearly, the data in the 1961 disclosure is not limited to the specific values set forth in the examples. The 1961 Pfluger disclosure teaches “concentrating * * * to a relatively high solids content” (page 3).

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Bluebook (online)
646 F.2d 527, 209 U.S.P.Q. (BNA) 554, Counsel Stack Legal Research, https://law.counselstack.com/opinion/in-re-wertheim-ccpa-1981.