Ex Parte Enz et alDownload PDFPatent Trials and Appeals BoardFeb 28, 201914763017 - (D) (P.T.A.B. Feb. 28, 2019) Copy Citation UNITED STA TES p A TENT AND TRADEMARK OFFICE APPLICATION NO. FILING DATE 14/763,017 07/23/2015 106306 7590 03/04/2019 DIEDERIKS &WHITELAW, PLC 13885 Hedgewood Dr., Suite 317 Woodbridge, VA 22193-7932 FIRST NAMED INVENTOR Jeffrey F Enz 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. 7779US02 2070 EXAMINER TRAN, LIEN THUY ART UNIT PAPER NUMBER 1793 NOTIFICATION DATE DELIVERY MODE 03/04/2019 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): mail@dwpatentlaw.com gmi.mail@dwpatentlaw.com PTOL-90A (Rev. 04/07) UNITED STATES PATENT AND TRADEMARK OFFICE BEFORE THE PATENT TRIAL AND APPEAL BOARD Exparte JEFFREYF. ENZ, DANA DRONEN, and ANDREA KLOSTERMANN Appeal2018-003415 Application 14/763,017 Technology Center 1700 Before KAREN M. HASTINGS, JAMES C. HOUSEL, and N. WHITNEY WILSON, Administrative Patent Judges. HOUSEL, Administrative Patent Judge. DECISION ON APPEAL 1 Appellant2 appeals under 35 U.S.C. § 134(a) from the Examiner's decision rejecting claims 1-26. We have jurisdiction over the appeal under 35 U.S.C. § 6(b). We AFFIRM. 1 Our Decision refers to the Specification ("Spec.") filed July 23, 2015, Appellant's Appeal Brief ("Appeal Br.") filed October 3, 2017, the Examiner's Answer ("Ans.") dated December 13, 2017, and Appellants' Reply Brief ("Reply Br.") filed February 8, 2018. 2 Appellant is the Applicant, General Mills, Inc., which is identified in the Appeal Brief as the real party in interest (Appeal Br. 4). Appeal2018-003415 Application 14/763,017 STATEMENT OF THE CASE The invention relates to a shelf-stable baked brownie (Spec. 1: 1 7). Appellant discloses that the brownie has a moisture level of about 16% and is formed from a batter comprising 11-14 wt% flour, 40-50 wt% sweetener, 14.5-16.5 wt% whole egg, shortening, and, optionally cocoa, wherein the sweetener includes sucrose, com syrup, and fructose, present in a ratio of 2.5-3.5/0.5-1.5/0.05---0.15 (id. at 1: 18-21 ). Appellant further discloses that the moisture content is carefully managed by product design in order to achieve brownies with extended shelf life (id. at 2:31-32). Appellant also discloses that undesirable sugar and fat recrystallization is also inhibited by product design (id. at 3: 1-2). Claim 1, reproduced below from the Claims Appendix to the Appeal Brief, is illustrative of the subject matter on appeal. The limitations at issue are italicized. 1. A shelf stable, baked, brownie formed from a batter, the batter compnsmg: 11-14 wt% flour; 40-50% sweetener comprising sucrose, com syrup and fructose, present in a ratio of 2.5-3.5/0.5-1.5/0.05-0.15; 14.5-16.5% whole egg; and shortening, the baked brownie having a moisture level of about 16%. Independent claim 18 recites a brownie batter having similar ingredients and amounts as the batter recited in claim 1. REFERENCES The Examiner relies on the following prior art references: Narayanaswamy Boldon US 6,228,403 B 1 US 6,391,366 Bl 2 May 8, 2001 May 21, 2002 Appeal2018-003415 Application 14/763,017 Karwowski Cristadoro US 2010/0303991 Al US 2010/0310749 Al REJECTIONS December 2, 2010 December 9, 2010 The Examiner maintains, and Appellants request our review of, the following grounds of rejection under 35 U.S.C. § I03(a): 1. Claims 1, 2, 4--17, and 25 as unpatentable over Narayanaswamy in view of Cristadoro and Karwowski; 2. Claim 3 as unpatentable over Narayanaswamy in view of Cristadoro and Karwowski, and further in view of Boldon; and 3. Claims 18-24 and 26 as unpatentable over Narayanaswamy in view of Cristadoro and Boldon. ANALYSIS For purposes of this appeal, to the extent that the claims on appeal are separately argued, we will address them separately consistent with 3 7 C.F .R. § 4I.37(c)(l)(iv) (2017). Claim 1 Appellant does not argue claims 1, 3, 4, 7-12, and 25 or Rejections 1 and 2 separately. We select claim 1 as representative in addressing Appellant's arguments. Claims 3, 4, 7-12, and 25 stand or fall with claim 1. The Examiner finds that Narayanaswamy discloses a brownie baked from a batter comprising about 10-40% flour, about 25-70% sugar, about 0- 5% egg solids, and about 0-20% fat, wherein the sugar can be sucrose, with up to 30% com syrup, and that ordinary granulated sugars may be used including fructose (Ans. 4). In addition, the Examiner finds that Narayanaswamy discloses that the batter may include about 1-8% humectant (id.). The Examiner further finds that Narayanaswamy discloses 3 Appeal2018-003415 Application 14/763,017 that the batters have a moisture content of about 5-20% which is provided primarily by liquid eggs, which provides a whole egg content within the range recited in claim 1 (id.). The Examiner acknowledges that Narayanaswamy fails to teach the moisture content of the baked brownie and the recited proportions of sucrose, com syrup, and fructose (Ans. 4). However, the Examiner finds that Cristadoro discloses moisture-retaining baked goods including a humectant sugar such as fructose (id.). The Examiner concludes that it would have been obvious to use fructose in addition to sucrose and com syrup in Narayanaswamy's brownie batter in order to serve as both a sweetener and a humectant because N arayanaswamy teaches that sucrose, com syrup, and fructose may be included as the sweetener and the batter may include 1-8% humectant, and because Cristadora teaches that fructose is a humectant sugar (id. at 5). With regard to the relative proportions of sucrose, com syrup, and fructose, the Examiner determines that it would have been obvious to vary the amount/proportion of these sugars as a matter of taste preference (sweetness) (id.). The Examiner also finds Karwowski teaches that brownies generally have moisture contents less than about 20% (Ans. 4). The Examiner concludes that it would have been obvious to bake Narayanaswamy's batter to obtain a brownie having a moisture content normally found in brownies as taught in Karwowski (id. at 5). In addition, the Examiner finds that the ordinary artisan would have expected Narayanaswamy's brownie to have a long shelf life because it is made from the same ingredients as recited in claim 1 (id.). In support of the obviousness of the claimed product, the Examiner cites In re Levin, 178 F.2d 945, 948 (CCPA 1949): 4 Appeal2018-003415 Application 14/763,017 new recipes or formulas for cooking food which involve the addition or elimination of common ingredients, or for treating them in ways which differ from the former practice, do not amount to invention merely because it is not disclosed that, in the constantly developing art of preparing no one else ever did the particular thing upon which the applicant asserts his right to patent. In all such cases, there is nothing patentable unless the applicant by a proper showing further establishes a coaction or cooperative relationship between the selected ingredients which produces a new, unexpected, and useful function. Appellant argues that Narayanaswamy is not directed to a shelf-stable, baked brownie, but instead is directed to a shelf-stable brownie batter (Appeal Br. 7). Appellant asserts that although Narayanaswamy's batter could be baked to make brownies, such brownies are intended for immediate consumption or refrigeration (id.). As such, Appellant contends that the Examiner fails to provide any evidence that Narayanaswamy's brownies would be shelf-stable (id.). This argument is not persuasive of reversible error. Products must be distinguished from the prior art on the basis of structure, and where there is reason to believe that the structure of the prior art inherently possesses a claimed property, the burden shifts to Appellant to show that the claimed property patentably distinguishes the claimed product from the prior art product. See In re Schreiber, 128 F.3d 1473, 1478 (Fed. Cir. 1997); In re Spada, 911 F.2d 705, 708 (Fed. Cir. 1990); In re Hallman, 655 F.2d 212, 215 (CCPA 1981); In re Best, 562 F.2d 1252, 1254-56 (CCPA 1977). Cf In re Crish, 393 F.3d 1253, 1259 (Fed. Cir. 2004). As the Examiner finds, Narayanaswamy discloses both the brownie batter and the baked brownie product (Ans. 8). We note that Appellant claims both the baked brownie product ( claim 1) and the brownie batter ( claim 18). Moreover, as the Examiner finds, Narayanaswamy's batter and brownie are made from the 5 Appeal2018-003415 Application 14/763,017 same ingredients as recited in the claims and, therefore, would possess the same properties as Appellant's batter and brownies (Ans. 8). Further, as to shelf-stability, we note Appellant discloses that the inventive brownies "are shelf stable for at least 1 month at room temperature after packaging, in some embodiments at least 3 months, and in other embodiments at least 6 months, and in other embodiments up to 9 months" (Spec. 2:22-25). Thus, shelf-stability within the meaning of this application is at least 1 month at room temperature after packaging. Appellant fails to establish either by persuasive technical reasoning or an evidentiary showing that Narayanaswamy's brownies are not shelf-stable within this meaning. Appellant further argues that the Examiner's conclusion that it would have been obvious to vary the amounts and proportions of sucrose, com syrup, and fructose as a matter of taste preference, at best, seems to address the total amount of sweetener rather than the particular ratio of these sweeteners (Appeal Br. 7). In addition, Appellant asserts that because Narayanaswamy is not looking to make a shelf-stable brownie, there is no motivation to modify Narayanaswamy to vary the amount and proportions of sucrose, com syrup, and fructose to arrive at the claimed ratio of sweeteners found by the Inventors to be critical to shelf-stability (id. at 8). Appellant also argues that the Examiner fails to set forth any reasoning why the ordinary artisan would deviate from Narayanaswamy's teaching of a humectant preferably being sorbitol, xylitol, mannitol, glycerin, glycerol, propylene glycol, and mixtures thereof (Appeal Br. 8). In other words, Appellant contends that the Examiner has not established any reason to modify Narayanaswamy's batter and brownie to include fructose as a humectant as taught by Cristadoro (id.). 6 Appeal2018-003415 Application 14/763,017 These arguments are also not persuasive of reversible error. A preponderance of the evidence supports the Examiner's determination that it would have been obvious to vary the amounts and proportions of sucrose, com syrup, and fructose as a matter of taste preference to arrive at the claimed ratios of these sweeteners. Narayanaswamy teaches that the brownie batter and, therefore, resulting brownie may include 25-70% of a mix of sweeteners including sucrose, up to about 30% com syrup, and fructose (Narayanaswamy 3:50-62). Thus, Narayanaswamy teaches a range of sweeteners, 25-70%, that encompasses the claimed range of 40-50%, as well as a range of com syrup, up to about 30%, that encompasses the claimed range of 20-30%. "[W]here there is a range disclosed in the prior art, and the claimed invention falls within that range, there is a presumption of obviousness." Iron Grip Barbell Co., Inc. v. USA Sports, Inc., 392 F.3d 1317, 1322 (Fed. Cir. 2004). Narayanaswamy also teaches that the batter may include about 1-8% of any commonly employed humectant ingredient (id. at 5:58---63). Although Narayanaswamy prefers non-sugar-based humectants, Cristadoro teaches known humectants include both sugar-based and non-sugar-based ingredients, wherein sugar-based humectants include fructose (Cristadoro ,r 17). Thus, one of ordinary skill in the art would have found it obvious to use 1-8% fructose as the humectant in Narayanaswamy as a known humectant. An express teaching need not be present in the art to support the substitution of one element for another element used for the same purpose. In re Fout, 67 5 F .2d 297, 301 (CCP A 1982). Further, the substitution of one known element for another is obvious when the combination yields no more than a 7 Appeal2018-003415 Application 14/763,017 predictable result, as here (KSR Int'! Co. v. Teleflex Inc., 550 U.S. 398,416 (2007)). Where the prior art discloses a range, and the claimed invention falls within that range, the burden shifts to Appellant to establish that ( 1) the prior art taught away from the claimed invention, In re Geisler, 116 F.3d 1465, 1471 (Fed. Cir. 1997); (2) there were new and unexpected results relative to the prior art, In re Woodruff, 919 F.2d 1575, 1578 (Fed. Cir. 1990); or (3) there are other pertinent secondary considerations, Galderma Laboratories v. L.P. Tolmar, Inc., 737 F.3d 731 (Fed. Cir. 2013). Here, Appellant contends that the claimed ratio of sweeteners is critical because "it leads to the shelf stability of the product," as demonstrated in the Specification, Table 2 and page 5, lines 12-18 (Appeal Br. 7; see also Reply Br. 2). Thus, Appellant urges that even if it was known that adjusting the overall amount of sugars in a batter affects its sweetness, "it was not known that adjusting the ratio of sucrose, com syrup and fructose would have an effect on the shelf stability of the batter" (Appeal Br. 7; Reply Br. 3--4). Also, Appellant contends that the Examiner has not established that the ratio of sucrose, com syrup, and fructose was known to be a result-effective variable (Reply Br. 2- 3). Appellant's arguments and evidence are not persuasive that the claimed ratio of sweeteners is critical to achieve the claimed shelf-stable brownie. As discussed above, claim 1 merely requires that the brownie is shelf-stable for at least 1 month at room temperature after packaging. The Examiner determines that "[t]here is nothing in [T]able 2 that conclusively shows that the claimed ratio [ of sweeteners] is critical to the shelf life [ of the brownie]" (Ans. 9). We agree. Indeed, we note that Comparative Examples 8 Appeal2018-003415 Application 14/763,017 A---C, in addition to Appellant's inventive Example, all achieve a shelf- stability well in excess of 1 month at room temperature after packaging (Spec. Table 2 and 13:7-17). Moreover, Appellant fails to demonstrate how a single example with a single ratio of sucrose, fructose, and a specific com syrup is commensurate in scope with the range of amounts recited in claim I. See In re Peterson, 315 F.3d 1325, 1329-31 (Fed. Cir. 2003); see also In re Grasselli, 713 F.2d 731, 743 (Fed. Cir. 1983); In re Clemens, 622 F.2d 1029, 1035 (CCPA 1980); In re Hyson, 453 F.2d 764, 786 (CCPA 1972). We further note Comparative Examples B and C achieve different shelf stabilities in spite of having similar ratios of sucrose to com syrup. This result tends to undercut Appellant's argument that sweetener ratio is critical to shelf-stability. As to Appellant's argument that the ratio of sweeteners has not been shown to be a result-effective variable, we note that Narayanaswamy teaches sucrose and com syrup amounts that encompass the claimed relative amounts, that fructose may be included as part of the sweetener, and that about 1-8% of any commonly used humectant may be added to the batter. We further note that Cristadoro teaches known humectants include non- sugar-based humectants such as those specifically named in Narayanaswamy, and sugar-based humectants such as fructose. Thus, there is sufficient support for the Examiner's conclusion that it would have been obvious to include 1-8% fructose in Narayanaswamy's batter, which amount significantly overlaps the claimed amount of fructose. Finally, the Examiner determines that varying sucrose, com syrup, and fructose, within the ranges taught by Narayanaswamy would have been obvious as a matter of taste preference. A person of ordinary skill in the art would readily recognize and 9 Appeal2018-003415 Application 14/763,017 consider obvious from Narayanaswamy that these amounts could be varied within the disclosed ranges and that doing so would vary the taste and texture profile of the final product, and especially with regard to the amount and type of sweeteners included so as to achieve the desired taste. Appellant fails to identify error in either the Examiner's findings or reasoning supporting this conclusion. Appellant next argues that Narayanaswamy fails to disclose the moisture content of any brownie baked from its batter, whereas Cristadoro teaches a brownie having a moisture content of 25--40% (Appeal Br. 9). Appellant also contends that Karwowski fails to teach the particular ingredients and the specific moisture content for brownies (id.). Appellant urges that the Examiner fails to demonstrate that Narayanaswamy's batter could be modified so as to result in a brownie having the claimed moisture content and fails to provide motivation to modify Cristadoro's teaching regarding moisture content or to look to Karwowski for a specific moisture content of about 16% (id.; see also Reply Br. 5). Appellant's argument misapprehends the Examiner's rejection which relies on Narayanaswamy's teaching of the moisture content of the brownie batter and Karwowski' s teaching that the moisture content of brownies and related baked products is less than about 20% (Ans. 4--5). The Examiner relies on Cristadoro only for its teaching regarding known sugar-based and non-sugar-based humectants (id.; see also id. at 11 ("Cristadoro is not relied upon for the teaching of the moisture content")). Narayanaswamy teaches that the brownie batter has a moisture content of about 5-20%, which is primarily provided by liquid eggs (Narayanaswamy 2:22 and 5:35--45). Karwowski teaches that brownies, among other baked products, generally 10 Appeal2018-003415 Application 14/763,017 have a moisture content less than about 20% (Karwowski ,r 77). Because these moisture content ranges encompass the claimed moisture content of about 16%, there is a presumption of obviousness. See Iron Grip Barbell, 392 F.3d at 1322. We note Appellant does not argue that the prior art teaches away from the claimed moisture content of 16% and fails to provide any evidence that this moisture content provides unexpected results. As to Levin, Appellant argues that this decision is inapplicable to the present case because it predates Graham v. Deere, 383 U.S. 1 (1966) and the Examiner relies on dicta within Levin, rather than its holding (Appeal Br. 10). Initially, we note that the Examiner establishes a prima facie case of obviousness by a preponderance of the evidence without the necessity to rely on Levin. Further, we find no inconsistency between the principle the Examiner highlights in citing Levin and the obviousness analysis set forth in Graham and confirmed in KSR. Levin is limited to the art of cooking food, and more particularly, to new recipes or formulas for cooking food which involve the addition or elimination of common ingredients, or for treating them in ways which differ from the prior art. However, Levin expresses the practical reality in this art that, absent evidence of a new and unexpected result of a coaction or cooperative relationship between the selected ingredients, recipes including new combinations of common ingredients would have been prima facie obvious. This principle is consistent with Graham as a recognition that the scope and content of the prior art of food science is both old and vast, where differences often exist only in the selection of different, yet known, ingredients, and the level of ordinary skill in the art is such that the properties, characteristics, and functions of these known ingredients ( and often their coactions) are also known. 11 Appeal2018-003415 Application 14/763,017 Likewise, in KSR, the Supreme Court emphasized "the need for caution in granting a patent based on the combination of elements found in the prior art," and discussed circumstances in which a patent might be determined to be obvious. KSR, 550 U.S. at 415. In particular, the Supreme Court emphasized that "the principles laid down in Graham [ v. John Deere Co., 383 U.S. 1 (1966)] reaffirmed the 'functional approach' of Hotchkiss [v. Greenwood, 52 U.S. 248 (1850)]," and reaffirmed principles based on its precedent that "[t]he combination of familiar elements according to known methods is likely to be obvious when it does no more than yield predictable results." Id. at 415 and 416. Accordingly, we sustain the Examiner's obviousness rejection of claims 1, 3, 4, 7-12, and 25. Claim 2 Claim 2 depends from claim 1 and further requires a com syrup having a DE (dextrose equivalent) of 42. Appellant argues that the Examiner fails to provide a reason why the ordinary artisan would choose a com syrup with a DE of 42, rather than adjusting another sweetener or choosing a different DE value when attempting to adjust the brownie's sweetness (Appeal Br. 11). This argument is not persuasive of reversible error in the Examiner's rejection of claim 2. The fact that there may be multiple ways to adjust the sweetness of Narayanaswamy's brownies does not alone negate the obviousness of each of those ways. In re Fulton, 391 F.3d 1195, 1201 (Fed. Cir. 2004). Furthermore, the Examiner responds that the DE of com syrup is an indication of its degree of sweetness and concludes that the ordinary artisan would have found it obvious to select a com syrup of a particular DE 12 Appeal2018-003415 Application 14/763,017 depending on the desired sweetness intensity (Ans. 12). Further the Examiner notes that this rationale is the motivation for selecting any particular DE (id.). Appellant does not assert that a com syrup having a DE of 42 is not known and does not argue or present evidence that a DE of 42 produces new and unexpected results. Accordingly, we sustain the Examiner's obviousness rejection of claim 2. Claims 5 and 6 Claim 5 depends from claim 1 and further requires that the ratio of sucrose, com syrup, and fructose be 3/1/0.1. Claim 6 similarly depends from claim 1 and further requires that the sweetener includes 70-80% sucrose, 20-30% com syrup, and 0.5-5% fructose. Appellant argues that even if it was known that adjusting the overall or total amount of sugars affects sweetness, it was not known that adjusting the ratio of sucrose, com syrup, and fructose would have an effect on shelf- stability of the batter (Appeal Br. 11-12). This argument is substantially the same as raised regarding claim 1, which was not found persuasive. Therefore, for the same reasons given above and in the Examiner's Answer, this argument is likewise not persuasive of reversible error with regard to the obviousness rejection of claims 5 and 6. Claim 13 Claim 13 depends from claim 1 and further requires that the baked brownie has a density of about 1 glee. Appellant argues that because the Examiner does not point to any teaching in the prior art regarding density, the Examiner's conclusion that the claimed density would have been obvious is insufficient (Appeal Br. 12- 13 Appeal2018-003415 Application 14/763,017 13). This argument is not persuasive of reversible error. As the Examiner finds, Narayanaswamy teaches ranges for ingredients in the brownie batter (Ans. 13). The Examiner also finds that brownie texture and density varies over these ranges, and the producing the desired texture and density would have been within the ordinary skill in the art by varying the ingredients over the disclosed ranges (id.). Moreover, the Examiner finds that because these ingredients and amounts, and the process of baking the brownie, are the same as claimed, obtaining a brownie with the recited density would have been obvious to those of ordinary skill in the art (id.). Appellant does not refute, or otherwise address, these findings. Accordingly, we sustain the Examiner's obviousness rejection of claim 13. Claims 14-16 Claims 14--16 depend, directly or indirectly, from claim 1 and further require a brownie shelf life of at least 1, 3, or 6 months, respectively. Appellant argues that Narayanaswamy clearly does not disclose the same product because it does not disclose the claimed ratio of sweeteners (Appeal Br. 13). This argument is substantially the same as raised against the Examiner's rejection of claim 1, which was not persuasive of reversible error. Therefore, for the same reasons as given above, we sustain the Examiner's obviousness rejection of claims 14--16. Claim 17 Claim 1 7 depends from claim 1 and further requires that the batter comprises 12-13 wt% flour, 43--44% sweetener, and 15% whole egg. Appellant repeats the argument that the Examiner fails to provide specific teachings in the prior art for, or any reason to select, the claimed amounts and ratios (Appeal Br. 14). This argument is substantially the same 14 Appeal2018-003415 Application 14/763,017 as raised against the Examiner's rejection of claim 1, which was not persuasive of reversible error. Therefore, for the same reasons as given above, we sustain the Examiner's obviousness rejection of claim 17. Claim 18 Appellant does not argue claims 18, 19, 21-24, and 26 separately. We select claim 18 as representative in addressing Appellant's arguments. Claims 19, 21-24, and 26 stand or fall with claim 18. Independent claim 18 recites a brownie batter substantially the same as in claim 1. Appellant's arguments against the rejection of this claim are substantially the same as raised against the Examiner's rejection of claim 1, which were not persuasive of reversible error. Therefore, for the same reasons as given above, we sustain the Examiner's obviousness rejection of claims 18, 19, 21-24, and 26. Claim 20 Claim 20 depends from claim 18 and further requires that the ratio of sucrose, com syrup, and fructose be 3/1/0.1. Appellant argues that even if it was known that adjusting the overall or total amount of sugars affects sweetness, it was not known that adjusting the ratio of sucrose, com syrup, and fructose would have an effect on shelf- stability of the batter (Appeal Br. 16). This argument is substantially the same as raised regarding claim 1 ( and claims 5 and 6), which was not found persuasive. Therefore, for the same reasons given above and in the Examiner's Answer, this argument is likewise not persuasive of reversible error with regard to the obviousness rejection of claim 20. 15 Appeal2018-003415 Application 14/763,017 DECISION Upon consideration of the record, and for the reasons given above and in the Appeal and Reply Briefs, the decision of the Examiner rejecting claims 1-26 under 35 U.S.C. § 103(a) 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). AFFIRMED 16 Copy with citationCopy as parenthetical citation