Opinion ID: 291699
Heading Depth: 1
Heading Rank: 3

Heading: evidentiary support for the findings.

Text: 23 Since Escambia has failed to persuade us that the court applied an incorrect standard of law in making its findings-- a ploy which would have removed those findings from the protection of Rule 52(a) Fed.R.Civ.P.-- we must now examine Escambia's second line of battle. In this phase of the engagement, Escambia recognizes that the factual determinations on which the conclusion of patent validity is based are subject-- just as any other findings of fact-- to the strictures of the clearly erroneous rule. See Metal Arts Co. v. Fuller Co., 389 F.2d 319 (5th Cir. 1968); MICR-Shield Co. v. First Nat'l Bank,404 F.2d 157 (5th Cir. 1968), cert. denied, 394 U.S. 960, 89 S.Ct. 1308, 22 L.Ed.2d 561 (1968). 24 This part of the conflict must be reviewed with Escambia's two basic claims of patent invalidity in mind: (1) the invention was on sale in this country more than one year before the date of invention and thus unpatentable for want of novelty, and (2) obviousness. These must be considered together with one efficient counter-consideration-- that the patent carries a presumption of validity. 25
26 The district court relied very heavily upon the presumption of validity that attaches to patents under 35 U.S.C.A. 282 (1954). Of course, if it can be shown that the Patent Office was not shown or did not consider additional pertinent prior art, the presumption of validity is weakened if it does not disappear altogether, e.g. B.F. Goodrich Co. v. Rubber Latex Products, Inc., 400 F.2d 410 (6th Cir. 1968). In the 'prior art book' prepared and introduced by Escambia, there are six patents relied upon: five of the six were cited in the van Waes application, and the sixth was admitted by one of Escambia's witnesses to be not pertinent. Rather than destroying the presumption of validity, it would seem that it is reinforced by the presence of these citations. Cf. Johns Manville Corp. v. Cement Asbestos Products Co.,supra, and Leach v. Rockwood, 404 F.2d 652 (7th Cir. 1968). 27 A second inquiry must be made, however, concerning prior art not before the Patent Office, and that deals with articles and other types of documentary material which-- if brought to his attention-- might have changed the Patent Examiner's mind about the state of the prior art. We have examined these references contained in the Appendix in the prior art book introduced by Escambia. Since such evidence is documentary, we have conducted our examination de hors the clearly erroneous rule. See, e.g. Armour & Co. v. Wilson & Co., 274 F.2d 143 (7th Cir. 1960). Upon examining the documents in the prior art book, we are not able to say that the district judge erred as a matter of law in Finding of Fact 22 wherein he stated: 28 '22. Although it was known in the published literature prior to April of 1953 that oxidizing agents could be employed to control corrosion of stainless steel apparatus used in reducing environments and that certain oxidizing agents had been successfully employed to maintain passivity of the stainless steel apparatus in the synthesis of urea, the use of oxygen as described in the patent in suit cannot be considered obvious in view of the evidence indicating that: (a) Oxygen is a relatively mild oxidizing agent and the synthesis environment is extremely corrosive; (b) the corrosion phenomenon is known to intensify as temperature and pressures are highly elevated; (c) the prior art references teach the removal of oxygen, and characterize its presence as 'harmful' and teach the removal of the 'oxide film' before using stainless steel in urea apparatus-- all in documents which teach the use of other relatively expensive oxidizing agents such as cupric oxide.' Finding 22 was principally directed to the defense of obviousness, but the finding made therein of the state of the prior art is equally applicable to support the conclusion that the presumption of validity has not lost its vitality. 29 In addition, the district court had the advantage-- as we do not-- of hearing direct testimony which amplified and explained much of the material found in the prior art book. Although we do not base our holding that Finding 22 is correct on this additional testimony, our ruling is certainly reinforced by the presence of such additional evidence. 30
31 Escambia urges the simple factual defense that Stamicarbon's process-- or rather a very similar process (Inventa-Vulcan)-- was on sale in the United States more than one year before the date of the patent in suit. 35 U.S.C.A. 102(b) (1954). The relevant Findings of Fact are numbers 16 and 23 and are as follows: 32 '16. The evidence is not persuasive that the inventive subject matter defined by the claims of the van Waes patent in suit was publicly known or used or on sale by others in this country prior to April 15, 1953. '23. The evidence is not persuasive the Charles Cramer, the Inventa Company, Vulcan-Cincinnati Company (or their predecessors or related companies), or any of them, knew of or were possessed of the inventive subject matter of the claims of the van Waes patent in suit prior to April 15, 1953; it is persuasive that if they, or any one, did have knowledge of such subject matter, it was at all times prior to at least April 15, 1953, maintained as a closely guarded trade secret and as confidential proprietary information undisclosed in any fashion.' 33 These findings while not as specific as they might be are certainly sufficient: they find the ultimate facts-- that the process was not known, was not on sale, and was not in public use. The record evidence to support every finding is apparent. Inventa-Vulcan did not actually make a sale of a plant incorporating its process until 1954, and its process was apparently in the experimental stage in 1952 and 1953. There is correspondence in the record indicating that the Inventa-Vulcan process was not functioning in the desired manner in March 1953. Such evidence adequately supports the court's finding. It has long been recognized that: 34 'If the thing were embryotic or inchoate; if it rested in speculation or experiment; if the process pursued for its development had failed to reach the point of consummation, it cannot avail to defeat a patent founded upon a discovery or invention which was completed; while in the other case there was only progress, however near that progress may have approximated to the end view. The law requires, not conjecture, but certainty.' 35 Coffin v. Ogden, 85 U.S. (18 Wall.) 120, 21 L.Ed. 821 (1874); see also 1 Deller's Walker on Patents, 68 (2d ed. 1964) and cases cited therein. Since there is abundant evidence that the invention relied upon by Escambia as having been on sale did not work, it necessarily follows that the court did not err in holding that no van Waes type process was on sale. Findings 16 and 23 were not clearly erroneous. 36
37 We turn now to the more complex issues of obviousness. We have already discussed the process prescribed by the Supreme Court in Graham v. John Deere, supra, whereby the trial court first makes factual determinations as to the state of the prior art, differences between it and the claim at issue, and the level of ordinary skill prevalent in the pertinent art, and then makes a legal determination of obviousness or non-obviousness based upon these factual determinations. The district court in the instant case followed these procedures. For the most part the findings relating to these factual issues are not attacked on this appeal, so no useful purpose would be served by reviewing the evidence which supports each of them. Suffice it to say that the basic factual determinations on which the conclusion of non-obviousness is reached are found in Findings 8-12, 16-22 and Conclusion of Law 28. Of these, only findings 16 and 22 are specifically charged with being clearly erroneous. Both of these findings have been quoted and we have previously examined the evidence supporting them and found them to be well founded. There is, therefore, nothing in the record which undercuts the factual determinations upon which the district court decided obviousness. 38 Escambia has introduced much evidence to support a conclusion of obviousness, and since obviousness is a much broader concept than lack of novelty, the very evidence which fails to support a lack of novelty defense could support an obviousness defense. Therefore, we are constrained to outline and discuss the evidence which Escambia contends would support a conclusion of obviousness. 39 First, we return to the same articles in the prior art book which we originally examined on the question of novelty. Basically, the processes described in this book teach the use of an oxide of some type while van Waes' patent teaches the use of pure oxygen or air. Even though oxygen was known as a passivator of stainless steel prior to the date of van Waes' invention, it was not known in the particular context of urea manufactured. There is some evidence-- though not entirely satisfactory-- that oxygen had been used to retard corrosion of stainless steel urea manufacture before 1945-- by others than van Waes-- but the bulk of the evidence tend to show that the use of oxygen in this context came as a surprise to those people skilled in the art. When this is joined with the statement in the prior art book that 'years of experience in the corrosion field have resulted in the conclusion that practically every corrosion problem should be regarded as a distinct individual,' we are left with no real basis for holding that the prior art would compel the conclusion that it was obvious to add oxygen to the manufacture of urea to prevent the corrosion of stainless steel. 40 Second, Escambia urges evidence of simultaneous solutions of the corrosion problem by others as evidence of obviousness. Most of these so-called simultaneous solutions occurred in other countries. Such evidence would be admissible on the question of obviousness, although it might not be admissible to prove prior art under 35 U.S.C.A. 102 (1954). The district court found that this evidence was not persuasive on the question of obviousness. There are four instances of simultaneous invention discussed in the briefs. The first has already been alluded to-- it is the Inventa-Vulcan process. The evidence on this point came in by the deposition of Theodore O. Wentworth and generally is to the effect that in 1949 a fortuitous discovery was made linking oxygen with corrosion in the urea process. However, as late as 1953 or 1954-- as has been shown before-- the Inventa-Vulcan process which Wentworth was describing was still being developed and was not perfected. Furthermore, evidence of a fortuitous discovery is not convincing that the solution fortuitously discovered was obvious. 41 The second 'simultaneous invention' comes from Russia. It is a patent which bears the inscription 'manifested on May 4, 1954.' We do not know and are not told, the meaning of this expression in the Russian patent law, but assuming that it is the date of the issuance of the patent-- rather than the date on which the application was filed-- it is more than a year after the effective date of the van Waes patent. We do not believe such is evidence that the solution was obvious. 42 The third is work in England done in the early 1940's. Evidence of this work is based on some articles which deal in very general terms with the reduction or elimination of corrosion in stainless steel vessels by the addition of oxygen. The use of silver vessels in the process is also discussed in the articles. No mention that the process involved is for the manufacture of urea is made in the articles. It is tied to urea by the depositional testimony of an associate of the now deceased scientist who supposedly developed the process. He contends that it should have been obvious to anyone reading the articles that the process involved urea. The difficulty here is, however, that the writer of the articles was attempting to maintain secrecy at the time of his writing. We assume that he did since we are directed to no evidence showing that anyone picked up his hints at the time of the articles. Although when we have the bright illumination of hindsight, we can see it is obvious that he must have been talking about urea, we cannot say that such would have been obvious to a person possessed of ordinary skill in the art on April 15, 1953. 43 And finally, the fourth instance of simultaneous invention took place in Japan where, by depositional evidence, it is shown that considerable work was done in 1951 or 1952-- or before-- dealing with the use of oxygen to prevent corrosion of stainless steel in the synthesis of urea. It appears, however, that this avenue was not pursued to a final solution, and the scientist working in this area switched to a different metal to be used in an oxygen-free atmosphere. It is an understatement to say that there is no indication of obviousness when the general approach is abandoned and another is then pursued. 44 We have considered Escambia's other contentions relating to the obviousness issue and find them to be without merit. 45