Nakayama v. Banner

588 F.2d 1336, 200 U.S.P.Q. (BNA) 266
CourtCourt of Customs and Patent Appeals
DecidedDecember 14, 1978
DocketNos. 78-620—78-623
StatusPublished
Cited by1 cases

This text of 588 F.2d 1336 (Nakayama v. Banner) 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
Nakayama v. Banner, 588 F.2d 1336, 200 U.S.P.Q. (BNA) 266 (ccpa 1978).

Opinion

PER CURIAM.

Petitioners seek writs of mandamus directing the Commissioner of Patents and Trademarks to: (1) exclude all or part of respondents’ Rule 204(e) supplemental showings from consideration in interference Nos. 99,254, 99,255, and 99,256; and (2) restrict respondents in interference No. 99,541 to their effective filing date. The petitions are denied.

Background

1. Interference Nos. 99,254, 99,255, and 99,256

Ernsthausen et al. (Ernsthausen) filed three applications — serial Nos. 440,531, 440,-532, and 441,736 — copying claims from Nakayama et al.’s (Nakayama’s) patent No. 3,716,742, issued February 13, 1973. Each application and accompanying Rule 205 statement1 referred to parent applications. Ernsthausen simultaneously filed papers in the form of Rule 204(c) affidavits.2 In the first office action on each application, the examiner required duplicate copies of the [1339]*1339affidavits, without which the application could not “be forwarded for declaration of interference.” Upon filing of the duplicates, interference Nos. 99,254, 99,255, and 99,256 were declared (corresponding to application serial Nos. 440,531, 440,532, and 441,736), and the Patent and Trademark Office (PTO) Board of Patent Interferences (board) ordered junior party Ernsthausen, pursuant to Rule 228,3 to show cause why judgment should not be rendered against him, on the ground that the showing under Rule 204(c) was insufficient to prima facie entitle him to an award of priority with respect to the effective filing date of the Nakayama patent.

In interference No. 99,254, Ernsthausen filed three additional affidavits pursuant to Rule 228, one, by Miller, describing an additional reduction to practice. As his showing in excuse of the affidavit’s earlier omission, Ernsthausen stated that (1):

Ernsthausen submitted 37 CFR 1.204(c) affidavits without formal requirement of the Patent Office and should not be prejudiced by this action. These affidavits were prepared to preserve evidence which was being lost by the passage of time and the departure from the employ of the assignee of Ernsthausen of members of the group having knowledge of the development of the invention. This should not be treated as a waiver of Ernsthausen’s rights under 35 USC 120. Once those affidavits were taken it was thought they should be filed to avoid criticism at some later date that they were stale and therefore, unacceptable. Thus, Ernsthausen preserved evidence by the filing of the affidavits prematurely but should not be penalized for such early filing by any refusal to permit any augmenting showing by either amplifying affidavits or supplemental affidavits,

and (2):

[T]he affidavits submitted under 37 CFR 1.228 together with their exhibits are justified as an aid to the Board’s understanding and in the main merely explain that which was believed to be state-of-the[-]art. Thus the reason for submitting additional affidavits and exhibits it to explain that state-of-the-art which was believed to be known to the Patent Office at the time of the original affidavits.

The board found earlier omission of the affidavits generally to be excused by Ernsthausen’s response, and the lateness of the Miller affidavit specifically to be excused by Ernsthausen’s reason (2). The board held, having considered the original and additional affidavits, that Ernsthausen had made a prima facie showing of an actual reduction to practice of the count prior to Nakayama’s filing date.

In interference No. 99,255, Ernsthausen filed four additional affidavits, including one by Miller describing an additional reduction to practice, and numerous exhibits. In addition to reasons (1) and (2) set forth in interference No. 99,254, Ernsthausen stated as a showing in excuse that: (3) an additional reduction to practice “was discovered in developing a description of the state-of-the-art.” The board found the delay of the affidavits and exhibits generally [1340]*1340to be excused by reason (2), and that of the Miller affidavit specifically to be excused by reason (3). It therefore considered unnecessary a ruling on the sufficiency of reason (1). Upon consideration of Ernsthausen’s affidavits and exhibits, the board found Ernsthausen had made a prima facie showing of an actual reduction to practice of at least one of the two counts prior to Nakayama’s filing date.

In interference No. 99,256, Ernsthausen filed three additional affidavits and two exhibits. As his showing in excuse of their earlier omission Ernsthausen explained that “the attached additional affidavits were not considered as necessary at the time the original affidavits were filed in view of the fact that they refer to prior art only.” The board accepted Ernsthausen’s excuse, and found the affidavits and exhibits sufficient to show prima facie an actual reduction to practice of at least one of the two counts prior to Nakayama’s filing date.

In all three interferences, Nakayama petitioned the Commissioner to reverse the board’s denial of summary judgment and order the board to enter summary judgment on the merits, alleging that a showing under Rule 228 must be verified, and that the board erred in accepting Ernsthausen’s unverified showings. The Commissioner denied all three petitions, stating:

A review of the record in this case does not demonstrate that the board has abused its discretion or committed any error in accepting Ernsthausen’s unverified showing. Counsel for Ernsthausen indicated that he believed the Office officials reviewing the § 1.204(c) affidavits would know the state of the art. Such is not always in [sic] the case in interference matters. Accordingly, there was ample basis for the decision of the board accepting Ernsthausen’s supplemental showing. [Footnote omitted.]

Alleging insufficiency of Ernsthausen’s Rule 228 showings in excuse, Nakayama petitions this court for issuance of a writ of mandamus, ordering the Commissioner either:

(1) to exclude Ernsthausen’s entire supplemental 204(c) showing from consideration and to redetermine, on the basis only of the original 204(c) showing and of Ernsthausen’s still-pending motion for the benefit of the filing date of his grandparent application, whether the interference should be allowed to proceed or summary judgment should be entered against the junior applicant, or, at least,
(2) to exclude from consideration those portions of Ernsthausen’s supplemental 204(c) showing the omission of which from the original showing was not justified by Ernsthausen’s second and third excuses and to redetermine, on the basis of the original showing, the appropriate parts of the supplemental showing, and the still-pending motion, whether the interference should be allowed to proceed.

2. Interference No. 99,541

On March 15,1977, Byrum et al. (Byrum), the junior party in interference No. 99,541, filed a preliminary statement (statement) with the PTO and notified Shirouchi et al. (Shirouchi) of the filing, as required by Rule 215.4 On March 28, Byrum’s attorneys [1341]

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Bluebook (online)
588 F.2d 1336, 200 U.S.P.Q. (BNA) 266, Counsel Stack Legal Research, https://law.counselstack.com/opinion/nakayama-v-banner-ccpa-1978.