268 F.

2d 839
122 U.S.P.Q. 302

RAYBESTOS-MANHATTAN, INC., Plaintiff, Appellant,

United States Court of Appeals First Circuit.

Melvin R. Jenney, Boston, Mass., with whom Lee J. Gary, Chicago, Ill.,
Kenway, Jenney, Witter & Hildreth, Boston, Mass., and Gary, Desmond &
Parker, Chicago, Ill., were on brief, for appellant.
John B. Cuningham, New York City, with whom William A. Godfrey,
Gerald W. Griffin, Michael A. Kondzella, William F. Kilgannon, New
York City, Bulkley, Richardson, Godfrey & Burbank, Spring-field, Mass.,
and Cooper, Dunham, Dearborn & Henninger, New York City, were on
brief, for appellee.
Before MAGRUDER, Chief Judge, and WOODBURY and HARTIGAN,
Circuit judges.
HARTIGAN, Circuit Judge.

This is an appeal from a judgment of the United States District Court for the
District of Massachusetts granting the defendant's motion for summary
judgment and awarding the defendant $5,000 as attorney's fees.

The plaintiff, a New Jersey corporation, is the owner of Patent No. 2,525,310
and brought an action for its infringement against the defendant, a
Massachusetts corporation. The defendant filed a counterclaim for a declaratory
judgment and also, as one of the usual defenses, denied that its process was an
infringement of the patented process. The defendant subsequently filed a
motion for summary judgment which was eventually granted by the district
judge following the filing of numerous affidavits and counter affidavits, the

filing of interrogatories and their answers by both parties, and the submission of
a report by an impartial expert who was appointed by the district judge for
advice on certain technical issues.
3

The plaintiff's patent was applied for November 30, 1944 and was issued on
October 10, 1950. It relates to the production of fibre base plastics or more
specifically 'to a new and improved method for the production of thermosetting
resin impregnated cellulose fibre web sheet material.' Claim 2 of the patent
which is typical is as follows:

'The method of producing pater base plastic sheet meterial capable of being
heat molded and laminated at a low pressure which comprises uniformly
impregnating a cellulose fibre web with an aqueous solution of a water soluble
phenol formal-dehyde resin to provide in the web a residual resin solids content
of from about 30% to about 60% by weight, drying the impregnated web by
gradually heating it to a temperature of approximately 190 degrees F., to 212
degrees F., while continuously alternating the application of heat to the
opposed surfaces of the web and terminating the heat drying when the moisture
content of the web has been reduced to about 4% to 8% and with the resin in
the 'A' stage and in the condition of a readily fusible viscous plastic.'

The accused process was employed not for the manufacture of plastic sheets to
be laminated together but rather for plastic sheets to be used individually for
battery separators after being cured, ribbed and cut to size. It is stated in the
specifications of the patent that the invented process resulted in a uniform
distribution of resin throughout the fibre base so as to provide a resin content of
about 30% to 60%, and that these resin impregnated sheets were capable of
being molded and laminated in shaped forms under heat and low pressure so as
to provide a product of high strength and density free from tendency to
delamination.

The district judge found that the words of the claim limiting the moisture
content of the web to 'about 4% to 8%' and limiting the heating to 'a
temperature * * * of approximately 190 degrees F. to 212 degrees F.' were
absolute limitations. (170 F.Supp. 526).

He further found that the Karl Fischer test was the most accurate means of
ascertaining the moisture content. Moisture content was conceded by the
plaintiff to be the content of water. The plaintiff in its brief raises no point as to
the accuracy of the Karl Fischer method for determination of water content and
we, therefore, assume the district court was correct in finding that this was the

most accurate test. The Karl Fischer test as applied to the defendant's battery
separators revealed that they contained from 1.2% to 2.9% of water content.
8

The district court further found that the defendant's process resulted in
temperatures reading from 220 degrees F. to 235 degrees F. The district court
then said that insofar as the plaintiff offered no evidence to show that the Karl
Fischer test was in accurate or that there was any other method of obtaining
temperatures than that employed by the court appointed expert, that there was
no genuine issue of material fact and that the defendant's process consequently
did not infringe the plaintiff's patent.

The plaintiff in this appeal attacks the district court's granting of summary
judgment on two principal grounds. The first ground is that the reliance by the
district judge solely on the Karl Fischer test in determining the amount of
moisture in the defendant's product was erroneous. The second ground is that
the plaintiff was entitled to a range of equivalents with reference to the
moisture content and temperature limits set forth in its claims.

10

The inventor of the plaintiff's patent, Izador J. Novak, in an affidavit stated that
in determining the amount of moisture required for his process he relied on the
'standard' desiccation method and at that time did not know of the Karl Fischer
method, which involved the addition of a reagent containing iodine to a
quantity of methanol in which was placed a sample of the substance tested. The
plaintiff asserts that the district court erred in applying a test which was not
known to those skilled in the art at the time the application for the patent was
filed. The district judge, on the other hand, stated that '* * * the answer is that
plaintiff's patent is silent as to any test for determining the claimed range of
water content; that the Karl Fischer method is an accurate test; and that if some
other test was implied by the patent claims then that other test should have been
explicitly cited.' He cited Helene Curtis Industries v. Sales Affiliates, 2 Cir.,
1954,233 F.2d 148, certiorari denied 1956, 352 U.S. 879, 77 S.Ct. 101, 1
L.Ed.2d 80; Allen Bradley Co. v. Erie Resistor Corporation, 3 Cir., 1939,104
F.2d 150 as authority for so holding.

11

We are of the opinion that the district court, under the circumstances presented
here, was required to make a finding as to what test would be employed at the
time of the patent application to determine the amount of moisture resulting
from the process in question, by a person skilled in the art to which the
application pertained. This is an objective standard and does not depend on the
subjective intent of the inventor. Moreover, it does not cause the patent to mean
one thing at the time of its issuance and another at some later date upon the
discovery of a more accurate test.

12

We note that the patent in the Helene Curtis Industries case, supra, was for the
discovery that certain critical limits existed for the use of mercaptans in hair
waving, the general use of mercaptans in hair waving having been previously
disclosed. It was a prerequisite to the patentability of this discovery that these
limits established points at which some result differed in kind and not merely in
degree from the results achieved by the prior art. The language of the court as
to the use of post invention techniques related solely to the determination as to
whether these necessary critical limits did in fact establish points at which
results differed in kind. In the instant case the question is where the limits are
set, and not, assuming it is known where the limits are, whether they are critical
or not. Furthermore there does not seem to be any evidence in the record before
us as to whether the plaintiff's patent was of a generic nature or was of a limited
nature comparable to that in issue in the Helene Curtis Industries case.

13

Allen Bradley Co. v. Erie Resistor Corporation, supra (104 F.2d 151), also does
not lend support to the district court's ruling. There the court held that the
words 'substantially graphitizing temperature' were to be interpreted in light of
what that phrase meant at the time the patent application in question was filed.
The alleged infringer's process employed temperatures about fifty per cent of
those necessary at the time of the patent application but these later discovered
limits could not be utilized to extend the patentee's monopoly to an area which
it did not cover initially. Similarly in the instant case, the utilization of a
definition of moisture content not recognized at the date of the patent
application cannot be used either to limit or extend the scope of a patent as the
patent must be interpreted in light of the skill of the art to which it pertains at
the date of application.

14

We also disagree with the district court's conclusion that from the evidence
before it the plaintiff was not entitled as a matter of law to any range of
equivalents as far as the moisture content and temperature were concerned. The
use of the qualifying words 'about' and 'approximately' with reference to
moisture content and temperature would seem to be a signal that some range of
equivalents was claimed. However, there is no indication that the district court
gave any significance to the use of these words. It has been held in Graver Tank
& Mfg. Co. v. Linde Air Products Co., 1950, 339 U.S. 605, 608, 70 S.Ct. 854,
856, 94 L.Ed. 1097 that the doctrine of equivalents '* * * operates not only in
favor of the patentee of a pioneer or primary invention, but also for the patentee
of a secondary invention consisting of a combination of old ingredients which
produced new and useful results * * *' 'What constitutes equivalency must be
determined against the context of the patent, the prior art, and the particular
circumstances of the case.' If the patent is a pioneer or primary invention it
generally is entitled to a wide range of equivalents. See Miller v. Eagle

Manufacturing Co., 1894, 151 U.S. 186, 207, 14 S.Ct. 310, 38 L.Ed. 121.
15

On the other hand, if the patent file wrapper history indicates that certain
limitations were necessary in order for the patent to be granted the range of
equivalency would be minimal. See Schriber-Schroth Co. v. Cleveland Trust
Co., 1940, 311 U.S. 211, 312 U.S. 654, 61 S.Ct. 235, 85 L.Ed. 132. But from
the record before us it does not appear that any substantial evidence on the
scope of the patent or its file wrapper history was submitted to the district court
or that the district court even considered this issue when granting the
defendant's motion for summary judgment.

16

Thus, because of the lack of any evidence as to the utilization of the Karl
Fischer test by those skilled in the art at the time of application for the patent
and the lack of evidence from which a finding as to the range of equivalency
could be made, and the consequent failure to resolve these issues, the granting
of the defendant's motion for summary judgment was error. It follows that the
district court's allowance of attorney's fees to the defendant must also be
vacated.

17

A judgment will be entered vacating the judgment of the district court and
remanding the case for further proceedings consistent with this opinion.

18

MAGRUDER, Circuit Judge (Retired) (concurring).

19

Although I agree with the majority opinion that the plaintiff may be entitled to
some range of equivalents on the Novak patent No. 2,525,310 owned by it, I
cannot assign this as a reason for reversing the judgment below.

20

With regard to the water content of the web, the patent teaches a reduction to
'about 4% to 8% by weight'; this marks out an area of some five percentage
points, which in the context of the process involved is quite indefinite. It is
therefore difficult for me to understand 'about' as further expanding these
nebulous limits of terminal water content. Rather, it more logically may be read
as a flag signaling the description's inherent vagueness. It may be that a content
of 3.8% or 8.2% would constitute infringement, on the doctrine of equivalents,
but the patent can certainly not claim much more than that.

21

The limitation as to the temperature to which the web is heated seems to be

these drying drums in from normal room temperature to about 212 degrees F.,
and the drying is terminated before the temperature of the paper can rise
higher'. This language, specifying not one temperature but a range of 22
degrees, even more indefinite than the moisture description, does not claim a
significant range of equivalents. Moreover, the upper boundary emphasized by
the language I have italicized is meaningful as the boiling or evaporation point
of water, which the plaintiff concedes is the moisture element the patent refers
to. In other words, the patent teaches heating water content up to, but not over,
the boiling point. A process involving a temperature of 220 to 235 degrees
Fahrenheit is pretty clearly not covered by the patent.
22

In any event, the question of equivalents, that is, whether the doctrine was
applicable to this patent, was never really before the district court for decision,
because it accepted moisture content figures of one to two per cent water1 or 14
to 17 per cent total volatiles, and temperature readings of 220 degrees F. to 235
degrees F., as describing defendant's process-- those figures, if they must be
accepted, would as a matter of law put the defendant's process outside the range
of any possible equivalents.

23

On the other hand, however, I agree with the majority that there is a substantial
issue of fact as to the test implied by the moisture content limitations of the
patent, for the reasons which Judge Hartigan has well discussed. Also, I am not
satisfied that there is no remaining issue of fact as to the maximum temperature
of defendant's web; temperature was not treated as an alternative ground by the
district court, which based its decision almost exclusively on the moisture
content. On these limited grounds, I concur in the result reached by the
majority opinion.

This lies within the prior claims of the Weber patent, No. 1,960,176