Opinion ID: 751602
Heading Depth: 1
Heading Rank: 2

Heading: co-inventorship

Text: 10 Patent issuance creates a presumption that the named inventors are the true and only inventors. See Hess v. Advanced Cardiovascular Sys., Inc., 106 F.3d 976, 980, 41 USPQ2d 1782, 1785-86 (Fed.Cir.), cert. denied, --- U.S. ----, 117 S.Ct. 2459, 138 L.Ed.2d 216 (1997). Inventorship is a question of law, which this court reviews without deference. See Sewall v. Walters, 21 F.3d 411, 415, 30 USPQ2d 1356, 1358 (Fed.Cir.1994). However, this court reviews the underlying findings of fact which uphold a district court's inventorship determination for clear error. See Hess, 106 F.3d at 980. 11 A patented invention may be the work of two or more joint inventors. See 35 U.S.C. § 116 (1994). Because [c]onception is the touchstone of inventorship, each joint inventor must generally contribute to the conception of the invention. Burroughs Wellcome Co. v. Barr Lab., Inc., 40 F.3d 1223, 1227-28, 32 USPQ2d 1915, 1919 (Fed.Cir.1994). Conception is the 'formation in the mind of the inventor, of a definite and permanent idea of the complete and operative invention, as it is hereafter to be applied in practice.'  Hybritech, Inc. v. Monoclonal Antibodies, Inc., 802 F.2d 1367, 1376, 231 USPQ 81, 87 (Fed.Cir.1986) (quoting 1 Robinson on Patents 532 (1890)). An idea is sufficiently definite and permanent when only ordinary skill would be necessary to reduce the invention to practice, without extensive research or experimentation. Burroughs Wellcome, 40 F.3d at 1228. 12 The conceived invention must include every feature of the subject matter claimed in the patent. See Sewall, 21 F.3d at 415. Nevertheless, for the conception of a joint invention, each of the joint inventors need not make the same type or amount of contribution to the invention. 35 U.S.C. § 116. Rather, each needs to perform only a part of the task which produces the invention. On the other hand, one does not qualify as a joint inventor by merely assisting the actual inventor after conception of the claimed invention. See Sewall, 21 F.3d at 416-17; Shatterproof Glass Corp. v. Libbey-Owens Ford Co., 758 F.2d 613, 624, 225 USPQ 634, 641 (Fed.Cir.1985) (An inventor 'may use the services, ideas and aid of others in the process of perfecting his invention without losing his right to a patent.'  (quoting Hobbs v. U.S. Atomic Energy Comm'n., 451 F.2d 849, 864, 171 USPQ 713, 724 (5th Cir.1971))). One who simply provides the inventor with well-known principles or explains the state of the art without ever having a firm and definite idea of the claimed combination as a whole does not qualify as a joint inventor. See Hess, 106 F.3d at 981 (citing O'Reilly v. Morse, 56 U.S. (15 How.) 62, 111, 14 L.Ed. 601 (1853)). Moreover, depending on the scope of a patent's claims, one of ordinary skill in the art who simply reduced the inventor's idea to practice is not necessarily a joint inventor, even if the specification discloses that embodiment to satisfy the best mode requirement. See Sewall, 21 F.3d at 416. 13 Furthermore, a co-inventor need not make a contribution to every claim of a patent. See 35 U.S.C. § 116. A contribution to one claim is enough. See SmithKline Diagnostics, Inc. v. Helena Lab. Corp., 859 F.2d 878, 888, 8 USPQ2d 1468, 1476 (Fed.Cir.1988). Thus, the critical question for joint conception is who conceived, as that term is used in the patent law, the subject matter of the claims at issue. 14 35 U.S.C. § 256 provides that a co-inventor omitted from an issued patent may be added to the patent by a court before which such matter is called in question. To show co-inventorship, however, the alleged co-inventor or co-inventors must prove their contribution to the conception of the claims by clear and convincing evidence. See Hess, 106 F.3d at 980. However, an inventor's testimony respecting the facts surrounding a claim of derivation or priority of invention cannot, standing alone, rise to the level of clear and convincing proof. Price v. Symsek, 988 F.2d 1187, 1194, 26 USPQ2d 1031, 1036 (Fed.Cir.1993). The rule is the same for an alleged co-inventor's testimony. See Hess, 106 F.3d at 980. Thus, an alleged co-inventor must supply evidence to corroborate his testimony. See Price, 988 F.2d at 1194. Whether the inventor's testimony has been sufficiently corroborated is evaluated under a rule of reason analysis. Id. at 1195. Under this analysis, [a]n evaluation of all pertinent evidence must be made so that a sound determination of the credibility of the [alleged] inventor's story may be reached. Id. 15 Corroborating evidence may take many forms. Often contemporaneous documents prepared by a putative inventor serve to corroborate an inventor's testimony. See id. at 1195-96. Circumstantial evidence about the inventive process may also corroborate. See Knorr v. Pearson, 671 F.2d 1368, 1373, 213 USPQ 196, 200 (CCPA 1982) ([S]ufficient circumstantial evidence of an independent nature can satisfy the corroboration rule.). Additionally, oral testimony of someone other than the alleged inventor may corroborate. See Price, 988 F.2d at 1195-96.
16 The district court determined that Choi contributed to the conception of the subject matter of claim 33. Claim 33 (with emphasis to highlight relevant elements) reads: 17 A surgical instrument for providing communication through an anatomical organ structure, comprising: 18 means having an abutment member and shaft longitudinally accommodatable within an outer sleeve, longitudinal movement of said shaft inside said sleeve being limited by contact of said abutment member with said sleeve, said shaft having a distal end with a distal blade surface tapering into a sharp distal point, said distal blade surface being perforated along one side by an aperture, for puncturing an anatomical organ structure when subjected to force along the longitudinal axis of said shaft; 19 means having a blunt distal bearing surface, slidably extending through said aperture, for reciprocating through said aperture while said abutment member is in stationary contact with said sleeve; 20 means positionable between said puncturing means and said reciprocating means for biasing a distal section of said reciprocating means to protrude beyond said aperture and permitting said distal section of said reciprocating means to recede into said aperture when said bearing surface is subject to force along its axis ...; and 21 means connectible to the proximal end of said puncturing means for responding to longitudinal movement of said reciprocating means relative to said puncturing means and creating a sensible signal having one state upon recision of said distal section of said reciprocating means into said aperture and another state upon protrusion of said distal section of said reciprocating means from said aperture. 22 To determine whether Choi made a contribution to the conception of the subject matter of claim 33, this court must determine what Choi's contribution was and then whether that contribution's role appears in the claimed invention. If Choi in fact contributed to the invention defined by claim 33, he is a joint inventor of that claim. 23 Figures 18 and 19 of the '773 patent illustrate an embodiment of claim 33. These figures show a trocar blade with an aperture through which a blunt rod can extend. When the trocar blade penetrates the inner wall of a cavity, a spring releases the rod, which juts out past the end of the trocar blade and prevents the blade from cutting further. The embodiment also includes a structure that gives the surgeon aural and visual signals when the blade nears penetration. 24 The district court found that Yoon conceived of the use of a blunt probe. However, the court found that Choi conceived of and thereby contributed two features contained in the embodiment shown in figures 18 and 19: first, Choi conceived of locating the blunt probe in the trocar shaft and allowing it to pass through an aperture in the blade surface; second, Choi conceived of the means ... for ... creating a sensible signal. 1 25 If Choi did indeed conceive of locating the blunt probe in the shaft and allowing it to pass through an aperture in the blade surface, he contributed to the subject matter of claim 33. Claim 33 requires that the distal blade surface be perforated along one side by an aperture and requires the shaft to be longitudinally accommodatable within [the] outer sleeve. Properly construed, claim 33 includes the elements that Choi contributed to the invention according to the district court's findings. 26 In making this finding, the district court relied extensively on Choi's testimony. Choi testified that the idea of extending the blunt probe through an aperture in the trocar blade itself was his idea. To corroborate this testimony, Choi produced a series of sketches he created while working with Yoon. One sketch shows a probe inside the shaft of a trocar blade, extending through an opening in the side of the end of the blade. 27 To rebut Choi's showing, Yoon presented a drawing dated July 1973, which disclosed elements of claim 33. The district court determined, however, that Dr. Yoon had altered this drawing. In fact, according to the district court, it had originally depicted a device from an entirely different patent. Due to its suspicious origins, the trial court rejected it as unreliable. 28 The court also discounted Yoon's testimony for lack of credibility. Indeed the record supports the trial court's conclusion that Yoon altered and backdated documents to make it appear that he had independently invented trocars, shields, and electronics. Moreover, Yoon's trial testimony clashed with his earlier deposition testimony. For instance, before learning of Choi's role in the case, Yoon falsely testified at his deposition that (1) he had worked with Choi as early as 1975 and (2) the sketches at issue in this case had been drawn completely by him. However, the two did not meet until 1980, and when later questioned about authorship of the documents, Yoon replied, If I said [that] at that time, then maybe I was confused. The district court justifiably discounted Yoon's testimony. 29 In sum, after full consideration of the relevant evidence, the district court determined that Choi conceived part of the invention recited in claim 33. This court detects no cause to reverse this determination.
30 The district court also determined that Choi contributed to the conception of the subject matter of claim 47. Claim 47 (with emphasis to highlight relevant elements) reads: 31 A surgical instrument for providing communication through an anatomical organ structure, comprising: 32 means having an elongate shaft exhibiting a longitudinal axis and terminating in a sharp, distal end, for puncturing the cavity wall of an anatomical organ structure; 33 means borne by said puncturing means distal end for converting counterforce exerted by said cavity wall against said distal end into transmissible energy; 34 means connected to said converting means for conveying said transmissible energy toward the proximal end of said puncturing means;means having an interior bore coaxially aligned with the longitudinal axis of said shaft for receiving said puncturing means proximal end; 35 means for biasing said puncturing means proximal end to withdraw into said interior bore; 36 means interposed between said puncturing means proximal end and said interior bore assuming a normally protruding position for determining [sic: detaining 2 ] said puncturing means proximal end extended from said interior cavity in opposition to said biasing means. 37 To determine whether Choi made a contribution to the conception of the subject matter of claim 47, this court must determine what Choi's contribution was and then construe the claim language to determine if Choi's contribution found its way into the defined invention. 38 Figures 34, 35, and 36 illustrate the invention in claim 47. In these embodiments, a cocked spring pulls the trocar back into a protective sheath as soon as the blade has punctured the inner wall. Release of the detaining means triggers the retracting spring action. The two detaining means disclosed in the specification are (1) a detent 3 extending radially outward from the trocar through a hole in the sheath and (2) a rod extending horizontally from the proximal end of the trocar that butts against an off-center, but slidable, bar with a hole in its center. In the case of the detent detaining means, when a sensor detects that the trocar blade has pierced the wall of a cavity, the plunger of a solenoid pushes the detent out of the hole in the sheath. In the case of the rod detaining means, the solenoid plunger positions the bar so that the hole in its center aligns with the rod. 39 The district court concluded that Yoon generally invented the retractable trocar, but that Choi invented both of the detaining means disclosed in the specification. In addition to oral testimony of the parties, the district court cited Choi's sketches, one of which clearly shows the rod detaining means. However, the sketch in which the district court would find the detent detaining means appears to work differently than the embodiment described in the '773 patent. Instead of a detent that extends radially outward through a hole in the sheath, the sketch illustrates the use of the solenoid plunger itself as a detent, extending radially inward through a hole in the sheath. Thus, the record does not show that Choi contributed to the detent detaining means. Therefore, this court affirms the district court's finding that Choi contributed the rod detaining means, but determines that the trial court clearly erred in finding that Choi contributed the detent detaining means. 40 In this instance, however, claim 47 recites a means ... for [detaining]. The use of the word means gives rise to a presumption that the inventor used the term advisedly to invoke the statutory mandates for means-plus-function clauses. York Prods., Inc. v. Central Tractor Farm & Family Ctr., 99 F.3d 1568, 1574, 40 USPQ2d 1619, 1623 (Fed.Cir.1996). Although the presumption is not conclusive, see, e.g., id. (construing means in claim without reference to section 112, paragraph 6), the means language here invokes the interpretation regimens of section 112, paragraph 6. Thus applying section 112, paragraph 6 to interpret this claim, the language adopted the two structures in the specification to define the means for detaining. 41 Choi showed contribution to one of these alternative structures. The contributor of any disclosed means of a means-plus-function claim element is a joint inventor as to that claim, unless one asserting sole inventorship can show that the contribution of that means was simply a reduction to practice of the sole inventor's broader concept. See Sewall, 21 F.3d at 416 (holding that the designer of one disclosed means was not a joint inventor). Although the district court found that Yoon first conceived of a retractable trocar generally, Yoon did not show that Choi's contribution was simply a reduction to practice of the broader concept of using any detaining means commensurate with the scope of claim 47. Thus, Choi showed entitlement to the status of co-inventor for this claim as well.
42 As corroboration for his testimony of co-invention, Choi proffers sketches of his work. These sketches were in Yoon's possession since their creation. The parties do not dispute, however, that Choi in fact created the sketches. Instead, Yoon contends that he first disclosed the invention to Choi, who then made the sketches to illustrate what he learned from Yoon. Absent sufficient corroboration, inventorship would turn solely on a credibility contest between Yoon and Choi. The district court, however, found sufficient corroboration. 43 Taken together, the alleged co-inventor's testimony and the corroborating evidence must show inventorship by clear and convincing evidence. This requirement is not to be taken lightly. Under the rule of reason standard for corroborating evidence, Holmwood v. Sugavanam, 948 F.2d 1236, 1238-39, 20 USPQ2d 1712, 1714 (Fed.Cir.1991), the trial court must consider corroborating evidence in context, make necessary credibility determinations, and assign appropriate probative weight to the evidence to determine whether clear and convincing evidence supports a claim of co-inventorship. 44 Accordingly, there need not be corroboration for every factual issue contested by the parties. For example, in Price, the junior party in an interference proceeding proffered drawings of his conceived invention, his affidavit that he had conceived the invention before the critical date, and an affidavit from a third person stating that she had seen one of the drawings before that time. However, the junior party lacked corroborating evidence that it was he who had created the drawings because the third party could not attribute the drawings to him. This court held that all of the evidence put forth should have been considered and acknowledged that an inventor can conceivably prove prior conception by clear and convincing evidence although no one piece of evidence in and of itself establishes the prior conception. Price, 988 F.2d at 1196. 45 In this case, Choi's sketches show the invention. The parties agree that Choi made the sketches. The contest involves whether Choi conceived of the material in the sketches or merely drew what Yoon conceived. The district count noted many circumstantial factors further corroborating Choi's conception claim: (1) Yoon's need for a person with expertise in electronics; (2) Choi's background in electronics, (3) Yoon's proposal that he and Choi should work together to develop new products, including safety trocars, (4) their informal business relationship, (5) the length of time they worked together, (6) the absence of any pay to Choi for his work, (7) the similarity between Choi's sketches and the patent figures, and (8) the letter in which Choi stated that he could no longer be a member of Yoon's business. Additionally, U.S. Surgical introduced expert testimony that some of the sketches dealt with sophisticated concepts that only an electrical engineer or technician would understand. Consequently, the district court found that Choi was presenting ideas to Yoon as the sketches were drawn, rather than the other way around. 46 On appeal, this court declines to reweigh the evidence. Instead, this court determines that the record shows that corroboration evidence in this case satisfies the rule of reason. Thus, this court must only further assess whether the district court's factual conclusions, given the clear and convincing evidence standard, were clearly erroneous. Here, given the sketches, Choi's testimony, and the established circumstances, in contrast with Yoon's testimony, expressly found to lack credibility by the trial court, this court discerns no clear error. 47 In reaching this determination, this court has also considered alleged inconsistencies in Choi's testimony. In August 1992, U.S. Surgical's counsel first sent Choi a copy of the '773 patent. Choi circled figures and claims describing that which he claimed to have contributed. Choi circled some claims that he does not now assert to have had a role in inventing. He also did not circle claims he now claims to have co-invented. However, the district court could have reasonably found that a layman, untrained in the language of the patent law, may reasonably err in interpreting claim language. Moreover, Choi might well have confused the legal distinction between conception (which justifies a finding of inventorship) and reduction to practice (which does not). In any event, this court affirms the district court's holding that Choi was a co-inventor of claims 33 and 47. 4