Ex Parte Bashir et alDownload PDFPatent Trial and Appeal BoardJul 25, 201612988737 (P.T.A.B. Jul. 25, 2016) Copy Citation UNITED STA TES p A TENT AND TRADEMARK OFFICE APPLICATION NO. FILING DATE 12/988,737 12/21/2010 102091 7590 07/27/2016 Cantor Colburn LLP - SABIC Americas 20 Church Street Hartford, CT 06103 FIRST NAMED INVENTOR Zahir Bashir UNITED STATES DEPARTMENT OF COMMERCE United States Patent and Trademark Office Address: COMMISSIONER FOR PATENTS P.O. Box 1450 Alexandria, Virginia 22313-1450 www .uspto.gov ATTORNEY DOCKET NO. CONFIRMATION NO. 10139-US-PCT 3934 EXAMINER WOLLSCHLAGER, JEFFREY MICHAEL ART UNIT PAPER NUMBER 1742 NOTIFICATION DATE DELIVERY MODE 07/27/2016 ELECTRONIC Please find below and/or attached an Office communication concerning this application or proceeding. The time period for reply, if any, is set in the attached communication. Notice of the Office communication was sent electronically on above-indicated "Notification Date" to the following e-mail address( es): usptopatentmail @cantorcolburn.com PTOL-90A (Rev. 04/07) UNITED STATES PATENT AND TRADEMARK OFFICE BEFORE THE PATENT TRIAL AND APPEAL BOARD Ex parte ZAHIR BASHIR, 1 Ian Macmillian Ward, Glen Peter Thompson, and Anthony Paul Unwin Appeal2015-000012 Application 12/988,737 Technology Center 1700 Before BEYERL YA. FRANKLIN, MARK NAGUMO, and KAREN M. HASTINGS, Administrative Patent Judges. NAGUMO, Administrative Patent Judge. DECISION ON APPEAL Zahir Bashir, Ian Macmillian Ward, Glen Peter Thompson, and Anthony Paul Unwin ("Sabic") timely appeal under 35 U.S.C. § 134(a) from the Final Rejection2 of claims 1, 3-9, 13, 14, 19, 22-27, and 29. 3 We have jurisdiction. 35 U.S.C. § 6. We affirm. 1 The real party in interest is identified as Sabic Innovative Plastics IP B.V. ("Sabic"). (Appeal Brief, filed 28 March 2014 ("Br."), 2.) 2 Office action mailed 28 October 2013 ("Final Rejection"; cited as "FR"). 3 Remaining copending claims 18 and 28 have been indicated allowable by Examiner (FR 8) and are not before us. Appeal2015-000012 Application 12/988,737 A. Introduction4 OPfNION The subject matter on appeal relates to a process for preparing an opaque and glossy film from a thermoplastic polyester composition (Spec. 1, 11. 1-2). Suitable polyesters used in the process include at least one crystallizable polyester, e.g., polyethylene terephthalate ("PET") (id. at 5, 11. 8-28). According to the '737 Specification, the "opaque film" obtained from the process is "a film that is not transparent or [is] impenetrable to human sight, and which has a white or whitish colour if made from a thermoplastic polyester composition of natural colour" (id. at 2, 11. 2-5). Such films are said to have a density in the range of 500-1300 kg/m3 (id. at 13, 11. 1-2). "The reduced density and opaque appearance appear to have resulted from small voids that are formed during the drawing process in the film" (id. at 13, 11. 1-5). The claimed process comprises a first step of extruding the thermoplastic polyester composition through a slot die, followed by quenching (rapidly cooling) the extruded material to form a substantially amorphous film having a crystallinity of at most 5% (id. at 3, 11. 24--34). Next, the amorphous film is heated to a drawing temperature in the range from T g to (T g + 50) °C while drawing the film at a rate of at least 1 m/min in a longitudinal direction to a draw ratio in the range of 5.1 to 5.7 to form 4 Application 12/988,737, Process for Making Opaque Polyester Film, filed 20 October 2010, is the national stage under 35 U.S.C. § 371 of PCT /EP2009/002986, filed 20 April 2009, and claims the benefit of EP 08007913.0, filed 24 April 2008. We refer to the '"737 Specification," which we cite as "Spec." 2 Appeal2015-000012 Application 12/988,737 an oriented film showing stress-whitening (id. at 4, 11. 1-2; 5, 11. 10-15). The amorphous film can be heated by, for example, immersing the amorphous film in a liquid heating bath to the desired draw temperature (id. at 9, 11. 8-20). In order to control variations in the draw ratio, the amorphous film can be guided first over a set of feed rollers and then over a set of draw rollers operated at higher speed than the feed rollers with heating of the film (id. at 1, 11. 1---6). Alternatively, the amorphous film can pass through, for instance, a water bath at 82 °C, between the feed and draw rollers (id. at 17, 1. 30, to 18, 1. 1 ). The process concludes with heat-setting the oriented stress-whitened film (id. at 4, 11. 1-2; 5, 11. 10-15). The film is advantageously used, for example, for packaging or lamination (id. at 3, 11. 8-11; 13, 11. 15-20). According to the Specification, a further advantage is that the process results in a glossy opaque film without the use of opacifying agents or void-inducing additives, i.e., the film contains no significant amounts of pigment or other mineral particles or dispersed incompatible polymers acting as initiators for voiding (id. at 4, 11. 17-30). The Specification reveals that the film "has very good mechanical properties; typically its tensile properties, like tensile strength and modulus, are similar to those of a corresponding transparent film made from the same polyester composition with a conventional drawing process" (id. at 13, 11. 5- 11 ). 3 Appeal2015-000012 Application 12/988,737 Representative Claim 1 reads: A process for making an opaque and glossy film from a thermoplastic polyester composition, comprising the steps of a) extruding the polyester composition through a slot die, and quenching to form a substantially amorphous film having a crystallinity of at most 5%; b) heating the amorphous film to a drawing temperature in the range from Tg to (Tg + 50) °C while applying a draw ratio in the range of 5.1 to 5. 7 in longitudinal direction, and a drawing rate of at least 1 m/min to form an oriented film showing stress-whitening; and c) heat-setting the oriented stress-whitened film; wherein the thermoplastic polyester composition comprises 95 mass% or more of at least one crystallisable polyester derived from at least one aliphatic diol and at least one aromatic dicarboxylic acid; wherein the composition is free of barium sulphate; and wherein the composition is free of pigments, mineral particles, and dispersed incompatible polymers, which act as m1trntors for voiding. (Claims App., Br. 12; emphasis added.) The Examiner maintains the following grounds of rejection: 5 A. Claims 1, 3-9, 13, 14, 19, 22-27, and 29 stand rejected under 35 U.S.C. § 103(a) in view of Swallow. 6 Al. Claims 1, 3-9, 13, 14, 19, 22-27, and 29 stand rejected under 35 U.S.C. § 103(a) in view of the 5 Examiner's Answer mailed 18 June 2014 ("Ans."). 6 John Cuthbert Swallow, Improvements in or relating to the Production of Artificial Films, GB 609,797 (1948). 4 Appeal2015-000012 Application 12/988,737 combined teachings of Swallow, Murschall, 7 and Quintens. 8 B. Discussion Findings of fact throughout this Opinion are supported by a preponderance of the evidence of record. Initially, we find that Sabic has presented substantive arguments for patentability primarily on the basis of limitations in claims 1 and 22. The remaining claims stand or fall with claims 1 and 22, although we also briefly address Sabic's arguments regarding claims 23, 24, and 27,post. Sabic does not dispute the Examiner's findings regarding recited steps a) and c) of a process for preparing a polyester based film (Br. 5, 11. 10-19, emphasis added). In particular, the Examiner finds, and Sabic does not contest, that Swallow describes a process for preparing a film, involving the step of extruding a polyester, such as a PET formed from terephthalic acid or ester forming derivatives thereof and glycol, e.g., ethylene glycol, through a slot die, followed by quenching the film to form an amorphous film (FR 3, 11. 1- 5; 5, 11. 8-11, citing Swallow, 2, 11. 100-107 and 1, 11. 43-70). The film produced from Swallow's process is said to be useful for packaging applications (id. at 2, 11. 4--10). 7 Ursula Murschall, et al., Opaque, White UV-Stabilized Low-Flammability film with low transparency made from a crystallizable thermoplastic, U.S. Patent Application Publication 2003/0017317 Al (2003). 8 Dirk Quintens, et al., Non-Transparent Microvoided Axially Stretched film, production process therefor and process for obtaining a transparent pattern therein, WO 2008/040670 Al (2008). 5 Appeal2015-000012 Application 12/988,737 We consider first the arguments focusing on drawing step b) ("heating the amorphous film to a drawing temperature in the range from T g to (Tg + 50) °C while applying a draw ratio in the range of 5.1 to 5.7 in longitudinal direction, and a drawing rate of at least 1 m/min to form an oriented film showing stress-whitening"). The Examiner finds that Swallow teaches heating an amorphous PET film to a "temperature ranging from 60°C to within 30°C of the melt temperature" (FR 3, 11. 6-7; 5, 11. 13-14, citing Swallow 1, 11. 70-71 and 79- 84). The Examiner finds that Swallow also exemplifies drawing the amorphous PET film in a heating bath at 70°C (FR 3, 1. 11; 5, 1. 18, citing Swallow, 3, 11. 75-76). The Examiner finds, and Sabic does not dispute, that the temperature range taught by Swallow encompasses or overlaps the recited drawing temperature range from T g to (T g + 50) °C. The Examiner finds, and Sabic does not dispute, that Swallow teaches in its laboratory- scale example (e.g.; an extrusion rate of 60 g/min) that the quenched amorphous film is fed into a drawing machine in which the two pairs of pinch rolls are operating at speeds of 120 and 600 revolutions per minute (FR 3, 11. 22-24, 11. 1; 6, 11. 7-9, citing Swallow, 3, 11. 69-75). The Examiner concludes, and Sabic does not contest, that these teachings would have suggested the recited drawing rate limitation of at least 1 m/min. (Id. at 4, 11. 4---6; 6, 11. 10-14). The Examiner finds Swallow teaches that "longitudinally drawing the heated film such that the drawing tension causes the film to become opaque" (FR 3, 11. 7-9, citing Swallow, 3, 11. 24--38). The Examiner concludes that Swallow suggests "stretching the film to the extent required to achieve good tensile strength and a desired opacity" (FR 3, 11. 11-15; 5, 11. 18-20, citing 6 Appeal2015-000012 Application 12/988,737 Swallow 3, 11. 30-38and11. 29--38). In the words of the Examiner, Swallow discloses that "the 'shearing forces' may cause opacity to form at 'a high degree of draw, e.g. about 400% of the original length"' (FR 3, 11. 14, to 18; 5, 11. 24--26, 1. 1, citing Swallow, 3, 11. 29--38). The Examiner finds that "about 400% of the original length" suggest[s] a draw ratio of 5.0: 1 (id.) with evidentiary support from Hutson9 (FR 9, 11. 14--18, citing Hutson, [0041] and [0044]) and Underwood10 (Adv. 11 2,11. 12-14, citing Underwood, Example 1 ). Specifically, Hutson defines percent elongation of a laminate film in relation to draw ratio, where "Percent elongation = (Increase in sample length x 100)/0riginal length," or "Percent elongation= (Draw ratio - 1) x 100" (Hutson [0040]-[0044]). This finding is further supported by Underwood, which discloses that when a film is stretched to 900% of its original length in a machine direction by drawing the film vertically upward from a pair of counter rotating squeeze rolls, its draw ratio is 10 (Adv. 2, 11. 12-14, citing Underwood, Example 1). Based on these disclosures, the Examiner concludes that "about 400% of the original length" exemplified in Swallow is said to be a draw ratio of 5.0: 1 (FR 3, 11. 14--18; 5, 11. 24--26). The Examiner also finds that Swallow exemplifies a final opaque film having a draw ratio of 4.9: 1 (FR 3, 11. 10-12; 5, 11. 17-19, citing Swallow 3, 9 Randell 0. Hutson et al., Absorbent Article with Double-Sided Soft and Elastic Components, U.S. Patent Application Publication 2003/0105446 Al (2003). 10 William Underwood et al., Method for forming uniaxially oriented films and the product formed thereby" U.S. Patent 3, 179,326 (1965). 11 Advisory Action mailed 7 January 2014 ("Adv."). 7 Appeal2015-000012 Application 12/988,737 11. 78-79). The Examiner further finds that Swallow's drawing machine's roll speeds of 120 and 600 revolutions/min would have suggested a draw ratio of "about 5" (id. at 3, 11. 19-21; 6, 11. 3---6). 12 The Examiner finds that Swallow's exemplified draw ratio of 4.9 and suggestion of "about 5.0" is close enough to the recited lower limit draw ratio of 5.1 that "one skilled in the art would have expected them to have the same properties" (FR, para. bridging 9-10). The Examiner concludes that "[o ]ne having ordinary skill would have readily determined the amount of stretching required to achieve a film having required properties (e.g.[,] tensile strength, opacity and thickness) in view of the teaching of Swallow." (FR 3, 11. 13-15; 5, 11. 20- 22.) The Examiner also relies on Murschall and Quintens in combination with Swallow to suggest the recited draw ratio, temperature and rate of the claimed drawing step b ). The Examiner finds that Murschall teaches a polyester film drawing process analogous to the drawing process described by Swallow and by Sabic (FR 6, 11. 14--15, citing Murschall [0104]). Murschall teaches longitudinally stretching a quenched amorphous film to a heating temperature of T g + 10 K to T g + 60 K at a stretching ratio of 2 to 6 (Murschall [O 104]-[O105]) with an objective to obtain an opaque film having desired mechanical properties suitable for various applications, including laminated materials (id. at [0007]). The Examiner finds that Quintens teaches that the drawing rate has an impact on opacity of a stretched film, and exemplifies a rate of 4 m/min 12 The Examiner inserts the roller speeds of the drawing machine taught by Swallow into the formula, draw ratio= (Draw roller speed)/( feed roller speed) (Spec. 17, 11. 14--20), to determine the draw ratio of about 5. 8 Appeal2015-000012 Application 12/988,737 (FR 6, 11. 18-20; citing Quintens 17, 11. 41--42, Table 2, Table 23). Similar to Swallow and Murschall, Quintens teaches using a stretching ratio of 2 to 6 to obtain a film having higher opacity (id. at 17, 11. 46-40). Quintens further teaches that such film is used for packaging applications (id. at 32, 11. 20- 31 ). On this basis, the Examiner concludes that it would have been prima facie obvious to one having ordinary skill in the art to have combined the teachings of Swallow with Murschall and Quintens to arrive at the recited draw ratio, temperature, and rate for the purposes of achieving polyester based films having desired opacity at an economically feasible production speed. (FR, para. bridging 6 and 7). Sabic urges that Swallow "do[ es] not disclose or suggest the feature of using a draw ratio in the range of 5.1 to 5.7, much less using such a draw ratio in combination with [the] claimed drawing temperature and drawing rate to form an oriented film showing stress-whitening" (Br. 5, 11. 15-19). More particularly, Sabic argues that: (1) Para. [0068] of the published application does not state "a draw ratio of 4.9: 1 [is] to be considered to be a draw ratio of 5.0: 1" (id. at 6, 11. 7-9); nor is (2) a high degree of draw, e.g., about 400% of the original length, equivalent to a draw ratio of 5: 113 (id. at 6, 11. 23-25; 7, 11. 1-3). Moreover, Sabic argues that whether the draw ratio taught or suggested by Swallow is 4.9 or 5.0, those draw ratios still fall outside of the 13 Sabic argues that Paragraphs [0041]-[0044] of U.S. Patent Application 2003/0105446 ("US '446") and U.S. Patent 3,179,326, as relied upon by Examiner, do not show support for "when the degree of draw is 400% of the original length, this is a draw ratio of 5: 1." (Br. 6, 7). 9 Appeal2015-000012 Application 12/988,737 recited range of 5.1 to 5.7 (id.). Sabic further relies on Figs. 1 and 2 of the '737 Specification to show that "when the draw ratio is lower than 5.1, an opaque film is not obtained, when the draw ratio is greater than 6.0, the film breaks, and when a draw ratio is 5 .1 to 5. 7, the process produces desired opaque white film in stable and reproducible manner" (id. at 7, 11. 14--16). These arguments are not persuasive of harmful error in the appealed rejection in view of Swallow alone. Swallow teaches that, as drawing tensions are applied to the surfaces of films and reach the interiors of films by shearing forces, appreciable heating occurs during drawing which cause opacity of the film if a high degree of draw, e.g., about 400% of the original length, is attempted (Swallow 3, 11. 29--38). Swallow also demonstrates that an opaque film is obtained using a draw ratio of 4.9: 1 with two pairs of pinch rolls of drawing machine running at speeds of 120 and 600 revolutions per minute (id. at 3, 11. 69--81 ). These films, like the claimed films, are said to be particularly well suited as wrapping materials; e.g.; for moisture proof packages (id. at 2, 11. 3-10). Hence, the drawing process taught by Swallow also achieves an opaque film suitable for packaging purposes. Sabic contends further that "there is no motivation for one skilled in the art to modify the drawing temperature, drawing rate of the process disclosed in [Swallow] in view of teachings of Quintens and Murschall." Sabic urges that Swallow is not concerned with controlling transparency or opacity of the film-rather, Swallow is concerned with low water absorption, low moisture permeability, high electrical resistivity, resistan[ ce] to abrasion, and resistan[ ce] to high temperature and frequency electrical heating properties of the films" (Br. 10, 11. 16-19). Sabic further urges that "[a]lthough a range of2 to 6 overlap[s] with the claimed range of 5.1 to 5.7, 10 Appeal2015-000012 Application 12/988,737 Murschall et al. do not disclose any specific process having a draw ratio falling within the claimed range." (Id. at 10, 11. 24--25). In particular, Sabic argues, "[t]he draw ratio of the exemplified process disclosed in Murschall[] was 3.1, 2.9, and 3.3 respectively," citing paras. [0135], [0136], and [0137] ofMurschall. Moreover, in Sabic's view, "a preferred range of 2.5 to 4.5 taught by Murschall is directionally away from the claimed range of 5 .1 [to] 5. 7" (id. at 11, 11. 3--4 ). Sabic argues that Quin tens does not cure the deficiencies of Swallow since Quintens do not disclose any specific drawing ratio (id. at 11, 11. 10-12). These contentions are not convincing of harmful error in the appealed rejection over Swallow and the additional references. As mentioned above, Swallow teaches as drawing tensions are applied to the surfaces of films and reach the interiors of films by shearing forces, appreciable heating occurs during drawing which cause opacity of the film if a high degree of draw is attempted (Swallow 3; 11. 29--38; emphasis added). Swallow; like Murschall and Quintens, is interested in obtaining a final opaque film. Thus, there is motivation for one skilled in the art to modify the drawing temperature and rate of the process disclosed in Swallow in view of teachings of Quintens and Murschall. Regarding Murschall's draw ratio, these arguments are not persuasive of reversible error in the appealed rejection. The existence of other possible "results" arising from the prior art does not make any particular result unreasonable or otherwise non-obvious. Cf In re Mouttet, 686 F.3d 1322, 1334 (Fed. Cir. 2012) ('just because better alternatives exist in the prior art does not mean that an inferior combination is inapt for obviousness purposes"); Merck & Co., Inc. v. Biocraft Laboratories, Inc., 874 F.2d 804, 11 Appeal2015-000012 Application 12/988,737 807 (Fed. Cir. 1989) ("in a section 103 inquiry, the fact that a specific [embodiment] is taught to be preferred is not controlling, since all disclosures of the prior art, including unpreferred embodiments, must be considered." (internal quote and citation omitted)). Moreover, Quintens, like Murschall, teaches that using a stretching (draw) ratio of 2 to 6 results in a film having higher opacity (Quintens 17, 11. 46-40). Additionally, in an attempt to rebut the prima facie case of obviousness, Sabic directs us to Figs. 1 and 2 ofthe'737 Specification, and argues that draw ratio of 5.1 to 5.7 presented in Figs. 1 and 2 produces surprising or "unexpected" results, i.e., a desired opaque white film, over Swallow and Murschall. (Br. 7, para. bridging 10-11.) Sabic urges that, "[a Jn Appellant can rebut a prima facie case of obviousness by presenting comparative test data showing that the claimed invention possesses unexpectedly improved properties or properties that the prior art does not have" (id. at 7; 11. 8-10). However, Sabic has failed to direct us to any credible evidence establishing that these results would have been unexpected. They have failed to provide a side-by-side comparison between the claimed invention and the closest prior art holding all variables constant except for the novel features of the claimed invention. See In re Baxter Travenol Labs., 952 F.2d 388, 392 (Fed. Cir. 1991) ("results must be shown to be unexpected compared with the closest prior art"). Moreover, the showing is not commensurate in scope with the claims on appeal. They have failed to direct us to credible evidence establishing that the results presented in Figs. 1 and 2 are representative of the broad 12 Appeal2015-000012 Application 12/988,737 range of film compositions and process conditions encompassed by the claims on appeal. Finally, Sabic submits that Swallow does not disclose or suggest films having the recited densities of 500---1300 kg/m3 (claims 22, 23) and 800--- 1200 kg/m3 (claim 24); tensile strengths of at least 250 MPa (claim 23) and at least 300 (claim 24); surface gloss at 60° of at least 50 GU (claim 27); and haze value of at least 80% (claim 27) (Br. 7, 11. 22-28). Specifically, Sabic argues that, as discussed at page 13, lines 1---6, of the Specification as filed, the film obtained with the claimed process is glossy, opaque, and has density in the range of 500---1300 kg/m3 and such reduced density and opaque appearance appear to have resulted from small voids that are formed during the drawing process in the film (id. at 8, 11. 9-13). On the other hand, according to Sabic, Swallow discloses obtaining opacity by crystallization (id. at 8, 1. 14 ). Sabic urges that it is known to a person skilled in the art that crystallization increases density of the films; and thus; the opaque film disclosed in Swallow cannot attain a density lower than the density recited in claims 22-24 and 27 (id. at 8, 11. 15-18, 9, 11. 23-29). The Examiner finds that Swallow alone or in combination with Quintens and Murschall "teaches and/or suggests the method steps of claim 1 and employs the materials set forth in claim 1. As such, it follows logically and from a technical basis that the same claimed physical properties would be achieved/be present in the product produced by the method of Swallow[]." (FR 8, 11. 3-9.) The Examiner also finds "no persuasive evidence of record to suggest the practice of the method suggested by the combination would have had a density outside of the claimed range." (Id. at 8, 11. 16-18.) In other words, Sabic fails to direct us 13 Appeal2015-000012 Application 12/988,737 to any evidence showing a detailed close comparison of the drawing process between the prior art and claimed invention to show that the process taught by Swallow alone or in combination with Quintens and Murschall will not result in a film having the claimed properties. See In re Geisler, 116 F. 3d 1465, 1470 (Fed. Cir, 1997) (attorney argument is not the kind of factual evidence that is required to rebut a prima facie case of obviousness); see also In re de Blauwe, 736 F.2d 699, 705 (Fed. Cir. 1984) ("Mere argument or conclusory statements in the specification does not suffice."). The Examiner has shown that Swallow teaches a process similar to the process claimed by Sabic, that results in opaque PET films useful for packaging. The Examiner has also come forward with evidence from Swallow, Quintens, and Murschall indicating that the differences in the draw ratios used by Swallow and those used in the claimed process would have been obvious. Although Sabic' s arguments regarding the density of the opaque films are not unreasonable; they depend on Swallow's characterizations of the mechanism leading to opacity. The difficulty with Sabic' s arguments is the absence of experimental characterization of the density or microstructure of the opaque films made by Swallow. In particular, the films presented in Specification Fig. 1, characterized as "initiation," 14 which Sabic appears to urge are like Swallow's films, have not been shown to be reasonable comparisons to Swallow's opaque PET films. 14 According to the Specification, initiation is observed when a transition from a transparent into a glossy white film. (Spec. 18, 11. 8-9.) 14 Appeal2015-000012 Application 12/988,737 It is well-settled that "[w]here ... the claimed and prior art products are identical or substantially identical, or are produced by identical or substantially identical processes, the PTO can require an applicant to prove that the prior art products do not necessarily or inherently possess the characteristics of his claimed product." In re Best, 562 F.2d 1252, 1255 ( CCP A 1977) (citation omitted). The court in Best explained that the fairness of this burden shift "is evidenced by the PTO's inability to manufacture products or to obtain and compare prior art products." Id. (footnote omitted). On the present record, we conclude that Sabic has not demonstrated harmful error in the appealed rejections. C. Order It is ORDERED that the rejection of claims 1, 3-9, 13, 14, 19, 22-27, and 29 is affirmed. No time period for taking any subsequent action in connection with this appeal may be extended under 37 C.F.R. § 1.136(a)(l)(iv). AFFIRMED 15 Copy with citationCopy as parenthetical citation