Ex Parte Reed et alDownload PDFBoard of Patent Appeals and InterferencesApr 30, 200910987481 (B.P.A.I. Apr. 30, 2009) Copy Citation UNITED STATES PATENT AND TRADEMARK OFFICE ____________ BEFORE THE BOARD OF PATENT APPEALS AND INTERFERENCES ____________ Ex parte MICHAEL A. REED, VICTOR V. GUDAS, KEVIN B. BRODERICK, MARC A. BERNICKY, MICHAEL J. GREENBERG, PHILIP MAZZONE, PHILIP W. URNEZIS, and MICHAEL T. BUNCZEK ____________ Appeal 2009-0192 Application 10/987,481 Technology Center 1700 ____________ Decided:1 May 01, 2009 ____________ Before CHUNG K. PAK, CHARLES F. WARREN, and CATHERINE Q. TIMM, Administrative Patent Judges. PAK, Administrative Patent Judge. DECISION ON APPEAL 1 The two-month time period for filing an appeal or commencing a civil action, as recited in 37 C.F.R. § 1.304, begins to run from the Decided Date shown on this page of the decision. The time period does not run from the Mail Date (paper delivery) or Notification Date (electronic delivery). Appeal 2009-0192 Application 10/987,481 STATEMENT OF THE CASE This is a decision on an appeal under 35 U.S.C. § 134 from the Examiner's final rejection of claims 1 through 31, all of the pending claims in the above-identified application.2 We have jurisdiction pursuant to 35 U.S.C. § 6. This is the second appeal of claimed subject matter directed to “improved chewing gum formulations and methods of manufacturing the same” (Spec. 4, ll. 26-27). In comparison with the claims previously considered in the earlier opinion entered September 22, 2004 in Appeal No. 2004-1799 (Application 09/569,404), the presently appealed claims, as represented by current claims 1 and 11, employ “preblend” in lieu of the previous term “blend”. Details of the appealed subject matter are recited in currently appealed claims 1, 11, 21, and 28 reproduced below: 1. A chewing gum formulation comprising: a water insoluble gum base portion; a water soluble portion; and a liquid preblend comprising a flavor and a vinyl polymer chosen from the group consisting of: polyvinyl acetate; polyvinyl stearate; polyvinyl butyrate; polyvinyl propionate; polyvinyl alkanoates; copolymers of vinylacetate, vinyllaurate, vinylacetate and vinylalkanoates; and polymers of ethylene-vinyl acetate, butylenes-vinylacetate, and other alkenyl- vinylacetates. 11. A liquid flavor preblend comprising a blend of a flavor and a 2 An oral hearing was held on March 18, 2009. We refer to a Transcript of this hearing (hereinafter “Tr”). 2 Appeal 2009-0192 Application 10/987,481 gum base ingredient chosen from the group consisting of: polyvinyl acetate; polyvinyl stearate; polyvinyl butyrate; polyvinyl propionate; polyvinyl alkanoates; copolymers of vinylacetate, vinyllaurate, vinylacetate and vinylalkanoates; and polymers of ethylene-vinyl acetate, butylenes- vinylacetate, and other alkenyl-vinylacetates. 21. A method for producing chewing gum having an extended flavor duration comprising the steps of: preblending a flavor with a vinyl polymer to form a liquid preblend; and adding the liquid preblend to chewing gum ingredients. 28. A method for producing chewing gum having a modified release rate for one of the components comprising the steps of: preblending a flavor, a vinyl polymer and a component chosen from the group consisting of a sweetener and a cooling agent; and adding the preblend to chewing gum ingredients. As evidence of unpatentability of the appealed subject matter, the Examiner proffered the following prior art: Ogawa US 3,826,847 Jul. 30, 1974 Raman US 4,983,404 Jan. 8, 1991 Hartman US 5,173,317 Dec. 22, 1992 Yung Chu US 5,236,721 Aug. 17, 1993 Song US 5,413,799 May 9, 1995 3 Appeal 2009-0192 Application 10/987,481 The Examiner rejected the claims on appeal as follows3: 1) Claims 1 through 31 under the doctrine of res judicata based on the earlier decision entered September 22, 2004 by the Board of Appeals and Interferences (hereafter “the Board”) on Appeal No. 2004-1799 (Application 09/569,404); 2) Claims 1 through 3, 8 through 13, and 16 through 20 under 35 U.S.C. § 102(b) as anticipated by or, in the alternative, under 35 U.S.C. § 103(a) as unpatentable over the disclosure of Raman; 3) Claims 4 through 6, 14, and 15 under 35 U.S.C. § 103(a) as unpatentable over the disclosure of Raman; 4) Claim 7 under 35 U.S.C. § 103(a) as unpatentable over the combined disclosures of Raman and Hartman; 5) Claims 1 through 6 and 8 through 30 under 35 U.S.C. § 103(a) as unpatentable over the combined disclosures of Raman and Song; 6) Claims 7 and 31 under 35 U.S.C. § 103(a) as unpatentable over the combined disclosures of Raman, Song, and Hartman; 7) Claims 1 through 4, 6, 8 through 14, 16, 18 through 24, and 27 through 30 under 35 U.S.C. § 102(b) as anticipated by the disclosure of Yung Chu; 8) Claims 5 and 15 under 35 U.S.C. § 103(a) as unpatentable over the disclosure of Yung Chu; 9) Claims 7 and 17 under 35 U.S.C. § 103(a) as unpatentable over the combined disclosures of Yung Chu and Hartman; 3 To the extent that Appellants have presented substantive arguments for the separate patentability of any individual claims on appeal, we will address them separately consistent with 37 C.F.R. § 41.37(c)(1)(vii) (2005). 4 Appeal 2009-0192 Application 10/987,481 10) Claims 25 and 26 under 35 U.S.C. § 103(a) as unpatentable over the combined disclosures of Yung Chu and Song; and 11) Claim 31 under 35 U.S.C. § 103(a) as unpatentable over the combined disclosures of Yung Chu and Ogawa. Claims 1 through 31 under the doctrine of res judicata based on the earlier decision entered September 22, 2004 by the Board of Appeals and interferences on Appeal No. 2004-1799 (Application 09/569,404). ISSUE Have Appellants identified reversible error in the Examiner’s determination that the doctrine of res judicata applies to current claims 1 through 31 based on the earlier decision entered September 22, 2004, by the Board on Appeal No. 2004-1799 (Application 09/569,404) (hereinafter referred to it as “the earlier Board decision”)? CONCLUSION On this record, we determine that Appellants have identified reversible error in the Examiner’s determination that the doctrine of res judicata applies to current claims 1 through 31 based on the earlier Board decision. FINDINGS OF FACT 1. Appellants submitted an Affidavit and a Supplemental Affidavit executed by Michael A. Reed, one of the inventors in the present Application, on August 8, 2005 and May 11, 2006, respectively to show that the claimed products are patentably different from those taught or suggested by the prior art of record. 5 Appeal 2009-0192 Application 10/987,481 2. These Affidavits were not considered in the earlier Board decision entered September 22, 2004. 3. Appellants also rely on Examples 1 through 3 and 8 through 10 in the Specification, which were not considered in the earlier Board decision entered September 22, 2004. 4. These Examples and Affidavits extensively relied on by Appellants in the Appeal Brief and the Reply Brief raise different questions of patentability than those considered in the earlier Board decision. PRINCIPLES OF LAW Where Appellants submitted new affidavits not considered previously to make a new record, thus presenting different questions of patentability, the doctrine of res judicata does not apply “even if the claims are viewed as identical to those in the prior case.” In re Russell, 439 F.2d 1228, 1230 (CCPA 1971); see also In re Ackermann, 444 F.2d 1172, 1176 (CCPA 1971)(“[When] appellants did sufficiently alter the issues on patentability to be decided by the Patent office,” the rejection on res judicata grounds is improper.) ANALYSIS Appellants relied on two Affidavits and Examples 1 through 3, 5, and 7 through 10 in the Specification to rebut any inference of unpatentability established by the Examiner. These Affidavits and Examples 1 through 3 and 8 through 10 in the Specification were not considered in the earlier Board decision. As is apparent from Appellants’ arguments in the Appeal Brief and Reply Brief, these Affidavits and Examples 1 through 3 and 8 through 10 raise different questions of patentability than those already 6 Appeal 2009-0192 Application 10/987,481 considered in the earlier Board decision. That is, this decision, unlike the earlier Board decision, hinges on, at least in part, the sufficiency of the Affidavits and Examples 1 through 3 and 8 through 10 relied upon by Appellants. Accordingly, we agree with Appellants that the Examiner erred in rejecting claims 1 through 31 on the ground of res judicata based the earlier Board decision regardless of whether the earlier Board decision is directed to the same or different claims. Claims 1 through 3, 8 through 13, and 16 through 20 under 35 U.S.C. § 102(b) as anticipated by or, in the alternative, under 35 U.S.C. § 103(a) as unpatentable over the disclosure of Raman4. ISSUES Have Appellants identified reversible error in the Examiner’s finding that Raman describes a chewing gum formulation identical or substantially identical to that recited in representative claim 1? Have Appellants demonstrated that the chewing gum formulation of representative claim 1 is patentably different from that taught by Raman? 4 Appellants do not argue the limitations of claims 2, 3, 8 through 10, 12, 13, and 16 through 20 (App. Br. 11 and 12 and Reply Br. 2-3). Appellants only argue claims 1 and 11 together (id). See 37 C.F.R. § 41.37(c)(1)(vii) (2007) (“[F]ailure of appellant to separately argue claims which appellant has grouped together [in the Appeal Brief] shall constitute a waiver of any argument that the Board must consider the patentability of any grouped claim separately.”). Therefore, for purposes of this appeal, we limit our discussion to claim 1 consistent with 37 C.F.R. § 41.37(c)(1)(vii). 7 Appeal 2009-0192 Application 10/987,481 CONCLUSIONS On this record, Appellants have not identified reversible error in the Examiner’s finding that Raman describes a chewing gum formulation identical or substantially identical to that claimed. On this record, Appellants also have not demonstrated that the claimed chewing gum formulation is patentably different from that taught by Raman. FINDINGS OF FACT 5. Appellants do not dispute that Raman describes a chewing gum formulation comprising a water insoluble gum base containing an elastomer plasticizer and polyvinyl acetate, a water soluble portion5, and a liquid comprising a terpene resin and a liquid flavor (e.g., methylsalicyclate). (Compare Ans. 3 with App. Br. 11-12 and Reply Br. 2-3; see also col. 7, ll. 15-25, col. 8, ll. 33-43 and col. 9, ll 8-62). 6. Raman does not specifically mention a liquid preblend containing a liquid flavor and polyvinyl acetate in its chewing gum formulation (App. Br. 11 and Reply Br. 2). 7. Appellants do not dispute that Raman employs the claimed liquid flavor which, according to page 5, line 25, to page 7, line 26 of the Specification, dissolves polyvinyl acetate (See the earlier Board decision 4- 5). 5 According to page 10, lines 18-22, of the Specification, the claimed water soluble portion includes the artificial sweeteners, fillers, artificial flavors, and colorants taught at column 9, lines 8-68, of Raman. 8 Appeal 2009-0192 Application 10/987,481 8. The chewing gum formulation taught by Raman and the claimed chewing gum formulation appears to be identical or substantially identical since the chewing gum formulation recited in claim 1 and Raman’s chewing gum formulation have the same ingredients in the same amounts, including the liquid flavor which dissolves polyvinyl acetate present. 9. Appellants rely on an Affidavit, a Supplemental Affidavit, and Examples 1 through 3 and 7 through 10 to show that the claimed chewing gum is patentably different from that taught by Raman due to the introduction of polyvinyl acetate as part of the claimed liquid preblend (App. Br. 11 and 12 and Reply Br. 2-3). 10. It is not clear from the Affidavits and Specification Examples relied upon by Appellants that the allegedly improved flavor is due to the introduction of polyvinyl acetate as part of a liquid preblend as alleged, or unclaimed features, such as the unclaimed amount of polyvinyl acetate (a known flavor restrainer) employed, the unclaimed combination of the ingredients involved, and/or the unclaimed specific method for making the experimental gum formulations. (See Affidavit 1-3 and its exhibits, Supp. Affidavit 1-3, and Spec. 13-14 and 20.) 11. The Affidavits do not identify any process by which the control gum formulas and experimental gum formulas supposedly representative of the claimed gum formulas are made. (See Affidavit 1-3 and its exhibits, and Supp. Affidavit 1-3.) 12. Examples 1 through 3 in the Specification prepare their gum formulations by premixing a specific preblend with a specific gum base in an unidentified mixer prior to making gums by “a conventional process” or 9 Appeal 2009-0192 Application 10/987,481 “conventional mixing process”, while Examples 7 through 10 in the Specification do not identify any process by which the control gum formulations supposedly representative of traditional gums and experimental gum formulations supposedly representative of the claimed gum formulations are made. (See Spec. 13-14 and 20.) 13. The Affidavits and Specification Examples 1 through 3 and 7 through 10 do not identify the amounts of polyvinyl acetate employed in the gum bases of the control gum formulations and experimental gum formulations supposedly representative of the claimed gum formulations. (See Affidavit 1-3 and its exhibits, Supp. Affidavit 1-3, and Spec. 13-14 and 20.) 14. In the Affidavits and Specification Examples 1 through 3 and 7 through 10, the experimental gum formulations supposedly representative of the claimed gum formulations include an additional amount of polyvinyl acetate than the control gum formulations supposedly representative of Raman since the additional amount of polyvinyl acetate was introduced in the experimental gum formulations supposedly representative of the claimed gum formulations through liquid preblends. (See Affidavit 1-3 and its exhibits, Supp. Affidavit 1-3, and Spec. 13-14 and 20; see also Tr. 4.) 15. During the hearing, Appellants acknowledged that the experimental gum formulations supposedly representative of the claimed gum formulations employed include gum bases having 2% more polyvinyl acetate than the gum bases of the control gum formulations supposedly representative of Raman (Tr. 4). 10 Appeal 2009-0192 Application 10/987,481 16. The Affidavits do not identify the specific amounts of the specific ingredients employed to produce the control and experimental gum formulations. (See Affidavit 1-3 and its exhibits and Supp. Affidavit 1-3.) 17. Examples 1 through 3 and 7 through 10 in the Specification employ various amounts of specific ingredients which are not specifically required in claims 1 and 11. 18. The Affidavits do not indicate that the so-called “consumer tests” employed in terms of showing the allegedly improved flavor (i.e., flavor liking, flavor intensity, and extended flavor duration) are the accepted tests in the chewing gum art. PRINCIPLES OF LAW “[E]ven though product-by-process claims are limited by and defined by the process, determination of patentability is based on the product itself.” In re Thorpe, 777 F.2d 695, 697 (Fed. Cir. 1985). “If the product in a product-by-process claim is the same as or obvious from a product of the prior art, the claim is unpatentable even though the prior product was made by a different process.” Thorpe, 777 F.2d at 697. When the claimed and prior art products appear to be identical or substantially identical, the Examiner can require an applicant to prove that the prior art product does not necessarily or inherently possess the characteristics of the claimed product. See In re Best, 562 F.2d 1252, 1255 (CCPA 1977); see also In re Spada, 911 F.2d 705, 708 (Fed. Cir. 1990) (“[W]hen the PTO shows sound basis for believing that the products of the applicant and the prior art are the same, the applicant has the burden of 11 Appeal 2009-0192 Application 10/987,481 showing that they are not.”). As stated in In re Fitzgerald, 619 F.2d 67, 70 (CCPA 1980) (quoting In re Best, 562 F.2d at 1255): [T]he PTO can require an applicant to prove that the prior art products do not necessarily or inherently possess the characteristics of his claimed product. . . . Whether the rejection is based on ‘inherency’ under 35 U.S.C. § 102, on ‘prima facie obviousness’ under 35 U.S.C. § 103, jointly or alternatively, the burden of proof is the same . . . [footnote omitted]. ANALYSES Appellants do not dispute that Raman describes a chewing gum formulation comprising a water insoluble gum base containing an elastomer plasticizer and polyvinyl acetate, a water soluble portion, and a liquid comprising a terpene resin and a liquid flavor (e.g., methylsalicyclate). Although Raman does not introduce polyvinyl acetate into its gum formulation as part of a liquid preblend containing a liquid flavor and polyvinyl acetate, its gum formulation contains all of the claimed ingredients, including the claimed liquid flavor which, according to page 5, line 25, to page 7, line 26 of the Specification, dissolves polyvinyl acetate present in its gum base. Thus, the Examiner has a reasonable basis to find that the chewing gum formulation taught by Raman and the claimed chewing gum formulation are identical or substantially identical since the chewing gum formulation recited in claim 1 and Raman’s chewing gum formulation have the same ingredients in the same amounts in the form of a mixture. The burden is, therefore, shifted to Appellants to prove that Raman’s gum formulation does not necessarily or inherently possess the characteristics of the claimed gum formulation in spite of the fact that they 12 Appeal 2009-0192 Application 10/987,481 both contain the same ingredients in the same amounts. To prove this patentable difference between the claimed gum formulation and Raman’s gum formulation, Appellants rely on the Affidavits of record and Specification Examples 1 through 3 and 7 through 10. However, the Affidavits and Specification Examples relied upon by Appellants have not shown that the chewing gum formulation taught by Raman and the claimed chewing gum formulation are patentably different. It is not clear from the Affidavits and Specification Examples that the allegedly improved flavor, which is said to be not necessarily present in Raman’s chewing gum formulation, is due to the introduction of polyvinyl acetate as part of a liquid preblend as alleged, or unclaimed features, such as the unclaimed amount of polyvinyl acetate employed, the unclaimed combination of the unclaimed ingredients involved, and/or the unclaimed and undisclosed specific method for making the claimed gum formulations. Nor have Appellants established that the tests employed in the Affidavits and Specification Examples in question are the accepted tests in the art. It follows that Appellants, on this record, have not demonstrated that the claimed chewing gum formulation is patentably different from that taught by Raman. Accordingly, we affirm the Examiner’s decision rejecting claims 1 through 3, 8 through 13, and 16 through 20 under 35 U.S.C. § 102(b) as anticipated by or, in the alternative, under 35 U.S.C. § 103(a) as unpatentable over the disclosure of Raman. 13 Appeal 2009-0192 Application 10/987,481 Claims 4 through 6, 14, and 15 under 35 U.S.C. § 103(a) as unpatentable over the disclosure of Rama; and claim 7 under 35 U.S.C. § 103(a) as unpatentable over the combined disclosures of Raman and Hartman. ISSUES The issues here are identical to those raised in connection with Examiner’s decision rejecting claims 1 through 3, 8 through 13, and 16 through 20 under 35 U.S.C. § 102(b) as anticipated by or, in the alternative, under 35 U.S.C. § 103(a) as unpatentable over the disclosure of Raman. CONCLUSIONS On this record, Appellants have not identified reversible error in the Examiner’s finding that Raman describes a chewing gum formulation identical or substantially identical to that claimed. On this record, Appellants also have not demonstrated that the claimed chewing gum formulation is patentably different from that taught by Raman. FINDINGS OF FACT 19. Appellants do not dispute the Examiner’s finding that the determination of “the optimum molecular weight and amount of PVA [as recited in claims 4, 5, 14, and 15] would require nothing more than routine experimentation by one reasonably skilled in this art” and that the claimed “fruit ester (claim 6) is a conventional chewing gum flavor.” (Compare Ans. 4, with App. Br. 14.) 20. Appellants do not dispute the Examiner’s determination that 14 Appeal 2009-0192 Application 10/987,481 [i]t would have been obvious to use a vinyl polymer as claimed by appellant in preparing the chewing gum product in Raman et al, as above modified by Song et al, since such a vinyl polymer is commonly used in conjunction with a terpene resin in preparing chewing gum products, as evidence by Hartman et al (col. 2). (Compare Ans. 4 with App. Br. 14.) PRINCIPLES OF LAW Arguments not made in the Brief are waived. See 37 C.F.R. § 41.37(c)(1)(vii); see also In re Baxter Travenol Labs., 952 F.2d 388, 391 (Fed. Cir. 1991) ("It is not the function of this court to examine the claims in greater detail than argued by an appellant, looking for nonobvious distinctions over the prior art."). ANALYSIS Appellants do not dispute the Examiner’s finding that the determination of “the optimum molecular weight and amount of PVA [as recited in claims 4, 5, 14, and 15] would require nothing more than routine experimentation by one reasonably skilled in this art” and that the claimed “fruit ester (claim 6) is a conventional chewing gum flavor.” Nor do Appellants dispute the Examiner’s determination that [i]t would have been obvious to use a vinyl polymer as claimed by appellant in preparing the chewing gum product in Raman et al since such a vinyl polymer is commonly used in conjunction with a terpene resin in preparing chewing gum products, as evidence by Hartman et al (col. 2). Appellants only rely on the same arguments made in connection with the Examiner’s rejection of claims 1 through 3, 8 through 13, and 16 through 15 Appeal 2009-0192 Application 10/987,481 20 under 35 U.S.C. § 102(b) as anticipated by or, in the alternative, under 35 U.S.C. § 103(a) as unpatentable over the disclosure of Raman. Thus, for the fact findings and reasons set forth in connection with the Examiner’s rejection of claims 1 through 3, 8 through 13, and 16 through 20 based on Raman, we determine that Appellants have not shown any reversible error in the Examiner’s decision rejecting claims 4 through 7, 14, and 15 under 35 U.S.C. § 103(a). Accordingly, we affirm the Examiner’s decision rejecting claims 4 through 6, 14, and 15 under 35 U.S.C. § 103(a) as unpatentable over the disclosure of Raman and claim 7 under 35 U.S.C. § 103(a) as unpatentable over the combined disclosures of Raman and Hartman. Claims 1 through 6 and 8 through 30 under 35 U.S.C. § 103(a) as unpatentable over the combined disclosures of Raman and Song. 6 ISSUES Have Appellants identified reversible error in the Examiner’s determination that the combined disclosures of Raman and Song would have led one of ordinary skill in the art to add polyvinyl acetate as part of a liquid preblend in forming a chewing gum formulation within the meaning of 35 U.S.C. § 103? Have Appellants demonstrated that the claimed subject matter imparts unexpected properties? 6 To the extent that Appellants have presented substantive arguments for the separate patentability of any individual claims on appeal, we will address them separately consistent with 37 C.F.R. § 41.37(c)(1)(vii). 16 Appeal 2009-0192 Application 10/987,481 CONCLUSIONS On this record, Appellants have not identified reversible error in the Examiner’s determination that the combined disclosures of Raman and Song would have led one of ordinary skill in the art to add polyvinyl acetate as part of a liquid preblend in forming a chewing gum formulation within the meaning of 35 U.S.C. § 103. On this record, Appellants have not demonstrated that the claimed subject matter imparts unexpected properties relative to the closest prior art (Raman or Song). FINDINGS OF FACT 21. Song, like Raman, discloses a chewing gum formulation comprising a water insoluble gum base, a water soluble portion, a free fruit flavor corresponding to the claimed liquid flavor, and polyvinyl acetate flavor restrainers (col. 5, ll. 55-68, col. 7, l. 55 to col. 8, l. 31, col. 9, ll. 52-62, col. 10, ll. 29-68 and cols. 12-17, Examples 1-4). 22. Song teaches that its chewing gum formulation has enhanced long lasting flavor (col. 2, ll. 55-62 and col. 5, ll. 1-4). 23. Song teaches that “[t]he effectiveness of the restrainer for providing long-term flavor enhancement increases with the amount of restrainer used” (col. 6, ll. 64-66). 24. Song teaches that “[t]he amount of restrainer required is also dependent on the amount of free fruit flavor whose long-term intensity is being enhanced” (col. 7, ll. 5-7). 25. Song teaches (col. 8, ll. 2-18) that: The restrainer may be added during manufacture of the gum base and included as part of the base, or may be added 17 Appeal 2009-0192 Application 10/987,481 separately during manufacture of the fruit-flavored chewing gum product. It is important that the restrainer be well dispersed in the chewing gum in order to come into contact with, and restrain, as much of the free fruit flavoring agent as possible. Therefore, if the restrainer is difficult to disperse, it is preferable to add the restrainer during manufacture of the gum base, and as early as possible, in order to ensure its maximum ultimate dispersion in the chewing gum. Medium to high molecular weight polyvinyl acetates (M.W. = 30,000-80,000) are examples of restrainer that should be added during manufacture of the gum base, and as early as possible, to obtain their through dispersion and achieve the maximum long-term flavor enhancement. 26. Song teaches (col. 11. ll. 25-46) that: The chewing gum according to the invention is generally manufactured by sequentially adding the various chewing gum ingredients to any commercially available mixer known in the art. After the ingredients have been thoroughly mixed, the gum mass is discharged from the mixer and shaped into the desired form . . . Generally, the ingredients are mixed by first melting the gum base and adding it to the running mixer. The gum base may alternatively be melted in the mixer . . . . . . Flavoring agents are typically added with final part of the bulk portion. The entire mixing process typically takes from five to fifteen minutes, although longer mixing times are sometimes required. Those skilled in the art will recognize that variation of these mixing procedures, or other mixing procedures, may be followed. 27. Song teaches (col. 9, ll. 4-11) that: If the existing gum contains a restrainer, then it may be possible to accomplish the desired flavor enhancement by increasing the amount of the existing restrainer, . . . . If the existing gum does not contain a restrainer, then a suitable restrainer can be added, 18 Appeal 2009-0192 Application 10/987,481 either during manufacture of the gum base or during manufacture of the chewing gum. 28. Song teaches the desirability of employing polyvinyl acetate as its restrainer because of its compatibility with fruit flavor esters. It is believed that esters, like acetates, are very compatible with polyvinyl acetate because of their similar chemical structures. Therefore, polyvinyl acetate is the most preferred restrainer for use in gum base and for a fruit flavored gum product. Fruit flavors are readily absorbed (especially acetates) in polyvinyl acetate and act as a plasticizer for polyvinyl acetate. (See col. 8, ll. 55-62, together with col. 11, l. 66 to col. 12, l. 13). 29. Song teaches that “the intermediate and long-term flavor intensity can be further enhanced by increasing the amount of free flavoring agent in the chewing gum”) (col. 9, ll. 29-31). 30. Appellants rely on the Affidavit and the Supplemental Affidavit of record and Examples 5 and 7 through 10 in the Specification to show that the claimed chewing gum, due to the addition of polyvinyl acetate as part of the claimed liquid preblend, imparts unexpected properties relative the closest prior art (App. Br. 15-16 and Reply Br. 5-6). 31. Appellants have not demonstrated that the allegedly improved flavor is unexpected by one of ordinary skill in the art since Song teaches that the asserted long lasting flavor enhancement is expected from increasing the amount of a restrainer (polyvinyl acetate) employed. 32. It is not clear from the Affidavits and Specification Examples relied upon by Appellants that the allegedly improved flavor is due to the 19 Appeal 2009-0192 Application 10/987,481 introduction of polyvinyl acetate as part of a liquid preblend as alleged, or unclaimed features, such as the unclaimed amount of polyvinyl acetate (a known flavor restrainer) employed, the unclaimed combination of the ingredients involved, and/or the unclaimed specific method for making the gum formulations. (See Affidavit 1-3 and its exhibits, Supp. Affidavit 1-3, and Spec. 13-14 and 20.) 33. The Affidavits do not identify any process by which the control gum formulas supposedly representative of Raman and experimental gum formulas supposedly representative of the claimed gum formulas are made. (See Affidavit 1-3 and its exhibits, and Supp. Affidavit 1-3.) 34. Example 5 states that its fruit flavor gum was made in a continuous mixer by a process similar to Example 6 of U.S. Patent No. 5,543,160 and specifies particular ingredients added at different mixing zones. (See Spec. 16-17). 35. Examples 7 through 10 in the Specification do not identify any process by which the control gum formulations supposedly representative of Raman and experimental gum formulations supposedly representative of the claimed gum formulations are made. (See Spec. 20.) 36. The Affidavits and Specification Examples 5, and 7 through 10 do not identify the amounts of polyvinyl acetate employed in the gum bases of the control gum formulations supposedly representative of Raman and experimental gum formulations supposedly representative of the claimed gum formulations. (See Affidavit 1-3 and its exhibits, Supp. Affidavit 1-3, and Spec. 16-17 and 20.) 20 Appeal 2009-0192 Application 10/987,481 37. In the Affidavits and Specification Examples 5 and 7 through 10, the experimental gum formulations supposedly representative of the claimed gum formulations include an additional amount of polyvinyl acetate more than the control gum formulations supposedly representative of Raman since the additional amount of polyvinyl acetate was introduced in the experimental gum formulations through liquid preblends. (See Affidavit 1-3 and its exhibits, Supp. Affidavit 1-3, and Spec. 16-17 and 20; see also Tr. 4.) 38. During the hearing, Appellants acknowledged that the experimental gum formulations supposedly representative of the claimed gum formulations employed include gum bases having 2% more polyvinyl acetate than the gum bases of the control gum formulations supposedly representative of Raman (15% polyvinyl acetate in the experimental gum formulations versus 13% polyvinyl acetate in the control gum formulations) (Tr. 4). 39. The Affidavits do not identify the specific amounts of the specific ingredients employed to produce the control and experimental gum formulations. (See Affidavit 1-3 and its exhibits and Supp. Affidavit 1-3.) 40. Examples 5 and 7 through 10 in the Specification employ various amounts of specific ingredients which are not required in claims 1, 11, 21, and 28. 41. The Affidavits do not aver that the so-called “consumer tests” employed in terms of showing the allegedly improved flavor (i.e., flavor liking, flavor intensity, and extended flavor duration) are the accepted tests in the chewing gum art. 21 Appeal 2009-0192 Application 10/987,481 PRINCIPLES OF LAW Under 35 U.S.C. § 103, the factual inquiry into obviousness requires a determination of: (1) the scope and content of the prior art; (2) the differences between the claimed subject matter and the prior art; (3) the level of ordinary skill in the art; and (4) secondary considerations, if any. Graham v. John Deere Co., 383 U.S. 1, 17-18 (1966). KSR disapproved a rigid approach to obviousness (i.e., an analysis limited to lack of teaching, suggestion, or motivation). KSR Int’l Co., v. Teleflex Inc., 550 U.S. 398, 419 (2007) (“The obviousness analysis cannot be confined by a formalistic conception of the words teaching, suggestion, and motivation, or by overemphasis on the importance of published articles and the explicit content of issued patents.”). See also DyStar Textilfarben GmbH & Co. Deutschland KG v. C.H. Patrick Co., 464 F.3d 1356, 1367 (Fed. Cir. 2006) (“Our suggestion test is in actuality quite flexible and not only permits, but requires, consideration of common knowledge and common sense”); Alza Corp. v. Mylan Labs., Inc., 464 F.3d 1286, 1291 (Fed. Cir. 2006) (“There is flexibility in our obviousness jurisprudence because a motivation may be found implicitly in the prior art. We do not have a rigid test that requires an actual teaching to combine...”). KSR, 127 S. Ct. at 1740-41 states that: [A]nalysis [of whether the subject matter of a claim would have been prima facie obvious] need not seek out precise teachings directed to the specific subject matter of the challenged claim, for a court can take account of the inferences and creative steps that a person of ordinary skill in the art would employ. 22 Appeal 2009-0192 Application 10/987,481 A showing of unexpected results may be sufficient to overcome a prima facie case of obviousness. In re Dillon, 919 F.2d 688, 692-93 (Fed. Cir. 1990). However, Appellants bear the burden of showing unexpected results. In re Geisler, 116 F.3d 1465, 1469-70 (Fed. Cir. 1997); In re Klosak, 455 F.2d 1077, 1080 (CCPA 1972). As stated in In re Skoner, 517 F.2d 947, 950 (CCPA 1975): Expected beneficial results are evidence of obviousness of a claimed invention . . . [j]ust as unexpected beneficial results are evidence of unobviousness. Such a showing must also be derived from a comparison between the claimed subject matter and the closest prior art. In re Baxter Tranvenol Labs., 952 F.2d 388, 392 (Fed. Cir. 1991); In re De Blauwe, 736 F.2d 699, 705 (Fed. Cir. 1984). The comparison involved must be truly comparative. As stated in In re Dunn, 349 F.2d 433, 439 (CCPA 1965): While we do not intend to slight the alleged improvements, we do not feel it an unreasonable burden on appellants to require comparative examples relied on for non-obviousness to be truly comparative. The cause and effect sought to be proven is lost here in the welter of unfixed variables. Moreover, the showing relied upon must be reasonably commensurate with the scope of protection sought by the claims on appeal. In re Grasselli, 713 F.2d 731, 743 (Fed. Cir. 1983); In re Clemens, 622 F.2d 1029, 1035 (CCPA 1980). The extent of the showing relied upon by Appellants must reasonably support the entire scope of the claims at issue as explained by In re Harris, 409 F.3d 1339, 1344 (Fed. Cir. 2005) below: The Board also correctly reasoned that the showing of unexpected results is not commensurate in scope with the 23 Appeal 2009-0192 Application 10/987,481 degree of protection sought by the claimed subject matter because the elemental composition of CMSX®-486 is at or near the midpoint of the claimed range. While Harris's evidence may show a slight improvement over some alloys, the record does not show that the improved performance would result if the weight-percentages were varied within the claimed ranges. Even assuming that the results were unexpected, Harris needed to show results covering the scope of the claimed range. ANALYSES The content of Raman is discussed above. Song, like Raman, discloses a chewing gum formulation comprising a water insoluble gum base, a water soluble portion, a free fruit flavor corresponding to the claimed liquid flavor, and a flavor restrainer. According to Song, the preferred flavor restrainer, polyvinyl acetate, is preferably added to the water insoluble gum base like that of Raman prior to mixing polyvinyl acetate with the remaining ingredients, including the free fruit flavor, of its chewing gum formulation. Song does not indicate its preference for premixing polyvinyl acetate with the free fruit flavor to form a liquid preblend prior to mixing the fruit flavor and polyvinyl acetate with the remaining gum ingredients to form the gum formulation (the mixture of gum ingredients) taught and/or suggested by Raman and Song. However, Song teaches that polyvinyl acetate, a preferred restrainer, can be added anytime during the manufacture of its gum formulation so long as polyvinyl acetate can be well dispersed. Song also teaches that various mixing procedures may be used so long as the same mixture containing the desired gum ingredients is formed. Further, Song teaches polyvinyl acetate as being highly compatible with the liquid fruit flavor and discloses gum formulations defined by mixtures containing the 24 Appeal 2009-0192 Application 10/987,481 same gum ingredients as those claimed, including polyvinyl acetate and the liquid fruit flavor. Given the above teachings, we determine that one of ordinary skill in the art would have been led to employ various mixing sequences of the known gum ingredients taught and/or suggested by Raman and Song, including premixing the liquid fruit flavor and polyvinyl acetate to form a liquid preblend, with a reasonable expectation of successfully forming the gum formulations taught and/or suggested by Raman and Song within the meaning of 35 U.S.C. § 103(a). From the disclosures of Raman and Song, one of ordinary skill in the art would have had a reasonable expectation that the same or substantially the same mixture would be formed from mixing the same ingredients regardless of the mixing sequences involved. See also In re Burhans, 154 F.2d 690, 692 (CCPA 1946). Appellants rely on the Affidavits and Examples 5 and 7 through 10 in the Specification to rebut any inference of obviousness established by the Examiner. It appears to be Appellants’ position that the claimed mixing sequence imparts an unexpected flavor enhancement to the claimed gum formulation. The Affidavits and Specification Examples 5 and 7 through 10 relied upon by Appellants do not show that the claimed subject matter imparts an unexpected property. Initially, we note that Song teaches that the desired flavor enhancement will follow from employing a greater amount of polyvinyl acetate in gum formulations. As acknowledged by Appellants, the Affidavits and Examples show that the experimental gum formulations supposedly representative of the claimed gum formulations having more 25 Appeal 2009-0192 Application 10/987,481 polyvinyl acetate than the control gum formulations supposedly representative of Raman or Song impart the alleged flavor enhancement over that of the control gum formulations. As such, Appellants have only shown what was expected by one of ordinary skill in the art from the teachings of Song. As stated in Skoner, 517 F.2d at 950: Expected beneficial results are evidence of obviousness of a claimed invention . . . [j]ust as unexpected beneficial results are evidence of unobviousness. Even were we to discount the teachings of Song, it is not clear from the Affidavits and Specification Examples relied upon by Appellants that the allegedly improved flavor is due to the introduction of polyvinyl acetate as part of a liquid preblend as alleged, or unclaimed features, such as the unclaimed amount of polyvinyl acetate employed, the unclaimed combination of the ingredients involved, and/or the unclaimed specific method for making the gum formulations. As stated in Dunn, 349 F.2d at 439: While we do not intend to slight the alleged improvements, we do not feel it an unreasonable burden on appellants to require comparative examples relied on for non-obviousness to be truly comparative. The cause and effect sought to be proven is lost here in the welter of unfixed variables. Finally, Appellants have not demonstrated that the showing in the Affidavits and the Specification Examples relied upon is reasonably commensurate in scope with the degree of protection sought by the claims on appeal. While the showing is limited to mixing specific proportions of specific ingredients in a particular manner, the appealed claims are not so limited. On this record, Appellants have not shown that the alleged flavor 26 Appeal 2009-0192 Application 10/987,481 enhancement can be obtained in the absence of the specific proportions of some of these ingredients employed in the Affidavits and the Specification Examples and/or without the specific mixing techniques employed in the Affidavits and the Specification Examples. Thus, based on the totality of record, including due consideration of Appellants’ arguments and evidence, we determine that the preponderance of evidence weighs most heavily in favor of obviousness regarding the subject matter recited in claims 1 through 6 and 8 through 30 within the meaning of 35 U.S.C. § 103(a). Accordingly, we affirm the Examiner’s decision rejecting claims 1 through 6 and 8 through 30 under 35 U.S.C. § 103(a) as unpatentable over the combined disclosures of Raman and Song. Claims 7 and 31 under 35 U.S.C. § 103(a) as unpatentable over the combined disclosures of Raman, Song, and Hartman ISSUES AND CONCLUSIONS The questions raised here are identical to those raised in connection with the Examiner’s decision rejecting claims 1 through 6 and 8 through 30 under 35 U.S.C. § 103(a) as unpatentable over the combined disclosures of Raman and Song. Thus, the answers remain the same as above. FINDINGS OF FACT 42. Appellants do not dispute the Examiner’s determination at page 5 of the Answer that: It would have been obvious to use a vinyl polymer as claimed by appellant [in claims 7 and 31] in preparing the chewing gum product in Raman et al, as above modified by Song et al, since 27 Appeal 2009-0192 Application 10/987,481 such a vinyl polymer is commonly used in conjunction with a terpene resin in preparing chewing gum products, as evidenced by Hartman et al (col. 2). (Compare Ans. 5 with App. Br. 16-17 and Reply Br. 1-7.) ANALYSIS Appellants do not dispute the Examiner’s determination at page 5 of the Answer that: It would have been obvious to use a vinyl polymer as claimed by appellant [in claims 7 and 31] in preparing the chewing gum product in Raman et al, as above modified by Song et al, since such a vinyl polymer is commonly used in conjunction with a terpene resin in preparing chewing gum products, as evidenced by Hartman et al (col. 2). Appellants rely on the same arguments raised in connection with the Examiner’s decision rejecting claims 1 through 6 and 8 through 30 under 35 U.S.C. § 103(a) as unpatentable over the combined disclosures of Raman and Song. (See App. Br. 16-17 and Reply Br. 1-7.) Thus, for the fact findings and reasons set forth in connection with the Examiner’s rejection of claims 1 through 6 and 8 through 30 under 35 U.S.C. § 103(a) based on the combined disclosures of Raman and Song, we determine that Appellants have not shown any reversible error in the Examiner’s decision rejecting claims 7 and 31 under 35 U.S.C. § 103(a). Accordingly, we affirm the Examiner’s decision rejecting claims 7 and 31 under 35 U.S.C. § 103(a) as unpatentable over the combined disclosures of Raman, Song, and Hartman. 28 Appeal 2009-0192 Application 10/987,481 Claims 1 through 4, 6, 8 through 14, 16, 18 through 24, and 27 through 30 under 35 U.S.C. § 102(b) as anticipated by the disclosure of Yung Chu. ISSUES Have Appellants identified reversible error in the Examiner’s finding that Yung Chu describes the liquid flavor preblend recited in claim 11 within the meaning of 35 U.S.C. § 102(b)? Have Appellants identified reversible error in the Examiner’s finding that Yung Chu describes the chewing gum formulation recited in claim 1 and the method of making the same recited in claims 21 and 28 within the meaning of 35 U.S.C. § 102(b)? CONCLUSIONS On this record, Appellants have not identified reversible error in the Examiner’s finding that Yung Chu describes the liquid flavor preblend recited in claim 11 within the meaning of 35 U.S.C. § 102(b). Appellants also have not identified reversible error in the Examiner’s finding that Yung Chu describes the chewing gum formulation recited in claim 1 and the method of making the same recited in claims 21 and 28 within the meaning of 35 U.S.C. § 102(b). FINDINGS OF FACT 43. Yung Chu describes mixing polyvinyl acetate (PVAC) and a volatile, nonreactive organic solvent with a liquid flavorant agent to form a liquid preblend (col. 2, ll. 60-66 and col. 9, ll. 37-68). 44. Yung Chu describes that a sweetening agent may be part of the liquid preblend (col. 7, ll. 42-45 and col. 8, ll. 28-38). 29 Appeal 2009-0192 Application 10/987,481 45. Yung Chu describes applying (adding) its liquid preblend on a chewing gum base composition and then removing the volatile, nonreactive organic solvent to form a continuous film juxtaposed with the gum base composition (co. 7, ll. 20-33 and col. 9, ll. 37-45). 46. Young Chu describes its chewing gum base compositions as including a water insoluble gum base portion and a water soluble portion such as sweeteners (col. 5, ll. 3-23). 47. Appellants do not rely on the Affidavits of record, and the Specification Examples to rebut the Examiner’s § 102(b) rejection based on Yung Chu. PRINCIPLES OF LAW To properly compare a prior art reference with the claims at issue, the claim must first be correctly construed to define the scope and meaning of each contested limitation. Gechter v. Davidson, 116 F.3d 1454, 1457 (Fed. Cir. 1997). During prosecution of the application, claims are generally given the broadest reasonable interpretation in light of the specification. In re Morris, 127 F.3d 1048, 1053-54 (Fed. Cir. 1997). Although claims are to be interpreted in light of the specification as indicated in Phillips v. AWH Corp., 415 F.3d 1303, 1315 (Fed. Cir. 2005), limitations or embodiments from the specification are not to be read into the claims. See In re Van Geuns, 988 F.2d 1181, 1184-85 (Fed. Cir. 1993). The scope of a disputed term is not limited by the preferred embodiments absent an express disclaimer by Appellants of a broader definition. See In re Bigio, 381 F.3d 1320, 1325 (Fed. Cir. 2004); see also In re ICON Health and Fitness, Inc., 496 F.3d 1374, 1379 (Fed. Cir. 2007) (“[T]he PTO must give claims their 30 Appeal 2009-0192 Application 10/987,481 broadest reasonable construction consistent with the specification. Therefore, we look to the specification to see if it provides a definition for claim terms, but otherwise apply a broad interpretation.”). As a matter of claim construction, the claimed transitional term “comprising” is interpreted as permitting the presence of unclaimed elements and/or steps. In re Baxter, 656 F.2d 679, 686-87 (CCPA 1989) (emphasis added) (“As long as one of the monomers in the reaction is propylene, any other monomer may be present, because the term ‘comprises’ permits the inclusion of other steps, elements, or materials.”) Under 35 U.S.C. § 102(b), a claim is anticipated only if each and every element as set forth in the claims is found, either expressly or inherently, described in a single prior art reference. Verdegall Bros. v. Union Oil Co. of California, 814 F.2d 628, 631-32 (Fed. Cir. 1987). The law of anticipation, however, does not require that the prior art reference teach Appellants’ purpose or utility described in the Specification, but only requires that the claims “read on” something disclosed in the prior art reference. See Kalman v. Kimberly-Clark Corp., 713 F.2d 760, 772 (Fed. Cir. 1983). ANALYSES As a preliminary matter, we note that Appellants argue claims 1, 11, 21, and 28 together (App. Br. 12-13). Moreover, Appellants do not argue the limitations of claims 2 through 4, 8 through 10, 12 through 14, 16, 18 through 20, 22 through 24, 27, and 29 through 30 (id). Therefore, for purpose of deciding this rejection, we select claim 11 consistent with 37 C.F.R. § 41.37(c)(1)(vii). 31 Appeal 2009-0192 Application 10/987,481 As indicated supra, Yung Chu describes mixing a mixture of polyvinyl acetate (PVAC) and a volatile, nonreactive organic solvent with a liquid flavorant agent to form a liquid preblend as an intermediate material to be used in forming a chewing gum formulation. Appellants, by virtue of using the open-ended transitional expression “comprising” in claim 11, permit inclusion of an unclaimed volatile, nonreactive organic solvent, such as that taught by Yung Chu. Thus, we find no reversible error in the Examiner’s finding that Yung Chu describes the claimed liquid preblend, an intermediate material for a chewing gum formulation, within the meaning of 35 U.S.C. § 102(b). In making this finding, we have considered Appellants’ argument directed to Yung Chu’s teaching directed to forming a continuous film of polyvinyl acetate and a liquid flavorant agent. However, prior to forming this continuous film, Yung Chu teaches forming a liquid preblend containing dissolved polyvinyl acetate, the non-reactive organic solvent, and the liquid flavorant agent as required by claim 11. To the extent that claims 1, 21, and 28 must be separately considered, we find that Yung Chu describes premixing a liquid flavorant, a nonreactive organic solvent, polyvinyl acetate, and a sweetener to form a liquid preblend and applying (adding) its liquid preblend on a chewing gum base composition. According to Yung Chu, the nonreactive organic solvent in the liquid preblend is subsequently removed to form a continuous film juxtaposed with the gum base composition. Thus, we find no reversible error in the Examiner’s finding that Yung Chu describes the chewing gum 32 Appeal 2009-0192 Application 10/987,481 formulation recited in claim 1 and the method of making the same recited in claims 21 and 28 within the meaning of 35 U.S.C. § 102(b). In making this finding, we emphasize that claims 1, 21, and 28 do not require their preblends to be mixed with a chewing gum base composition. They only require adding their preblends to a chewing gum base composition in any manner, including that taught by Yung Chu. Claims 5 and 15 under 35 U.S.C. § 103(a) as unpatentable over the disclosure of Yung Chu; Claims 7 and 17 under 35 U.S.C. § 103(a) as unpatentable over the combined disclosures of Yung Chu and Hartman; Claims 25 and 26 under 35 U.S.C. § 103(a) as unpatentable over the combined disclosures of Yung Chu and Song; and Claim 31 under 35 U.S.C. § 103(a) as unpatentable over the combined disclosures of Yung Chu and Ogawa. ISSUES AND CONCLUSIONS Appellants rely on the same arguments advanced in connection with the Examiner’s decision rejecting claims 1 through 4, 6, 8 through 14, 16, 18 through 24, and 27 through 30 under 35 U.S.C. § 102(b) as anticipated by the disclosure of Yung Chu. Thus, the issues and conclusions remain the same as above. FINDINGS OF FACT AND ANALYSES Appellants do not dispute the Examiner’s determination that the prior art references relied upon, namely Yung Chu, Yung Chu and Hartman, Yung Chu and Song, or Yung Chu and Ogawa would have rendered the subject matter specifically recited in claims 5, 7, 15, 17, 25, 26 and 31 obvious 33 Appeal 2009-0192 Application 10/987,481 within the meaning of 35 U.S.C. § 103(a). See App. Br. 16-17 and Reply Br. 1-7. Rather, Appellants rely on the same arguments advanced in connection with the Examiner’s decision rejecting claims 1 through 4, 6, 8 through 14, 16, 18 through 24, and 27 through 30 under 35 U.S.C. § 102(b) as anticipated by the disclosure of Yung Chu. Id. Thus, for the same factual findings and reasons set forth in connection with the Examiner’s decision rejecting claims 1 through 4, 6, 8 through 14, 16, 18 through 24, and 27 through 30 under 35 U.S.C. § 102(b) based on Yung Chu, we affirm the Examiner’s decision rejecting claims 5 and 15 under 35 U.S.C. § 103(a) as unpatentable over the disclosure of Yung Chu; claims 7 and 17 under 35 U.S.C. § 103(a) as unpatentable over the combined disclosures of Yung Chu and Hartman; claims 25 and 26 under 35 U.S.C. § 103(a) as unpatentable over the combined disclosures of Yung Chu and Song; and claim 31 under 35 U.S.C. § 103(a) as unpatentable over the combined disclosures of Yung Chu and Ogawa. ORDER The decision of the Examiner is affirmed. TIME PERIOD No time period for taking any subsequent action in connection with this appeal may be extended under 37 C.F.R. § 1.136(a). AFFIRMED 34 Appeal 2009-0192 Application 10/987,481 ssl K&L GATES LLP P.O. BOX 1135 CHICAGO, IL 60690 35 Copy with citationCopy as parenthetical citation