Ex Parte NiknezhadDownload PDFPatent Trial and Appeal BoardJun 28, 201612828143 (P.T.A.B. Jun. 28, 2016) Copy Citation UNITED STA TES p A TENT AND TRADEMARK OFFICE APPLICATION NO. FILING DATE 12/828,143 06/30/2010 22145 7590 06/30/2016 KLEIN, O'NEILL & SINGH, LLP 16755 VON KARMAN AVENUE SUITE 275 IRVINE, CA 92606 FIRST NAMED INVENTOR Sidney Niknezhad 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. 1129-038.101 6268 EXAMINER FOSTER, NICHOLAS L ART UNIT PAPER NUMBER 3675 NOTIFICATION DATE DELIVERY MODE 06/30/2016 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): KOS_Docketing@koslaw.com PTOL-90A (Rev. 04/07) UNITED STATES PATENT AND TRADEMARK OFFICE BEFORE THE PATENT TRIAL AND APPEAL BOARD Ex parte SIDNEY NIKNEZHAD Appeal 2014-003652 Application 12/828,143 Technology Center 3600 Before GEORGE R. HOSKINS, LISA M. GUIJT, and MARK A. GEIER, Administrative Patent Judges. GUIJT, Administrative Patent Judge. DECISION ON APPEAL STATEMENT OF THE CASE Sidney Niknezhad (Appellant) 1 appeals under 35 U.S.C. § 134(a) from the Examiner's decision to reject claims 1-22. An oral hearing was conducted on June 24, 2016. We have jurisdiction under 35 U.S.C. § 6(b). We AFFIRM-IN-PART. 1 Appellant identifies the real party in interest as Bal Seal Engineering, Inc. Appeal Br. 2. Appeal2014-003652 Application 12/828,143 THE CLAIMED SUBJECT MATTER2 Claims 1, 9, and 16 are the independent claims on appeal. Claim 1, reproduced below, is illustrative of the subject matter on appeal. 1. A seal assembly comprising a locking ring and a singularly formed seal body comprising two cavities each defined in part by a sealing lip for sealing against a surface; wherein the two sealing lips each includes a tip that points in an opposite direction from one another; and wherein a spring comprising a plurality of coils is located in at least one of the two cavities. THE REJECTIONS 3 Claim 5 stands rejected under 35 U.S.C. § 112, first paragraph, for failing to comply with the written description requirement. Claims 1 and 3 stand rejected under 35 U.S.C. § 102(b) as anticipated by Balsells '904 (US 5,979,904; iss. Nov. 9, 1999). Claims 1-22 stand rejected under 35 U.S.C. § 102(b) as anticipated by Balsells '838 (US 6,161,838; iss. Dec. 19, 2000), or alternatively, under 35 U.S.C. § 103(a) as unpatentable over Balsells '838. Claim 2 stands rejected under 35 U.S.C. § 103(a) as unpatentable over Balsells '904 or Balsells '838. 2 Appellant's Claims Appendix as included in the Appeal Brief is incorrect, in that it presumes a proposed amendment to claim 5, which accompanied the Appeal Brief on August 12, 2013, would be entered. As explained by the Examiner, the Amendment was not proper under 37 C.F.R. § 41.33(b}- (c). See Adv. Act. (dated Aug. 23, 2013). Therefore, it is not admitted. Accordingly, the claims, as amended on November 28, 2012, are the claims subject to appeal. Therefore, quotations to the claims refer to the Amendment dated November 28, 2012 ("Amendment"). 3 Figures 1---6 have been objected to by the Examiner, however, the objection is not subject to this appeal. See Ex parte Frye, 94 USPQ2d 1072, 1078 (BP AI) (precedential) (for a discussion of petitionable matters versus appealable matters). 2 Appeal2014-003652 Application 12/828,143 OPINION Claim 5-35 US.C. § 112,firstparagraph Claim 5 depends from independent claim 1. The Examiner finds that claim 5 recites "a locking ring" in addition to the locking ring recited in claim 1, and determines that because the Specification does not disclose more than one locking ring, claim 5 fails to comply with the written description requirement of 35 U.S.C. § 112, first paragraph. Final Act. 4. Appellant attempted to amend the recitation in claim 5 of "a locking ring" to "the locking ring," however, that amendment is not admitted. Adv. Act. (dated Aug. 23, 2013). Because Appellant does not present any arguments in response to the Examiner's rejection, we summarily sustain this rejection. See Appeal Br. 8-33; Reply Br. 4--19. Claims 1 and 3 -Anticipation by Balsells '904 Regarding independent claim 1, the Examiner finds, inter alia, that inside flange 18 of the body portion of seal ring 12, as disclosed in Balsells '904, corresponds to one of the claimed sealing lips, and that "the unlabeled portion proximate reference line 24" of the body portion of seal ring 12, as disclosed in Balsells '904, corresponds to the other claimed sealing lip, and that both of these structures from Balsells '904 "are capable of being installed and/or used such that they contact a surface." Final Act. 5; Ans. 3- 4. In particular, the Examiner finds that the unlabeled portion proximate reference line 24 is "shaped as a lip" (Ans. 4), and that "[the] lip (proximate 24) may be installed such that it contacts a radial wall of a housing, given a step shaped shaft may contact the shaft, or given sufficient pressure acting 3 Appeal2014-003652 Application 12/828,143 on it, would expand in order to contact a constant diameter shaft" (Final Act. 5). 4 Appellant argues that the Examiner's findings are unsupported, speculative, and/or incorrect. Appeal Br. 10-14. Appellant submits that Balsells '904 describes the unlabeled portion proximate reference line 24 as "smooth cylindrical exterior surface 24," such that (sealing) contact "would require installing the seal assembly off-axis or slanted or forming a seal with a side surface that is NOT a sealing lip." Id. at 9, 10 (citing Balsells '904, col. 3, 11. 34--35). Moreover, Appellant contends that contact alone is not enough-"a surface that merely touches a shaft or surface without more is not considered a sealing lip." Reply Br. 7. Appellant also submits that Balsells '904 does not ascribe any sealing functions to this portion, nor does Balsells '904 disclose any biasing force that would allow this portion of the seal ring body to be capable of functioning as a seal within seal assembly 10. Appeal Br. 11; Reply Br. 7. Appellant concludes that (1) the Examiner's finding that the unlabeled portion proximate reference line 24 could contact a radial wall of a housing to form a seal is incorrect, because such a configuration would not result in the unlabeled portion proximate reference line 24 (a bottom surface of seal body 14 with a tapered comer) contacting (or sealing against) the radial (vertical) wall (Appeal Br. 11); (2) the Examiner's finding that the use of a step shaped shaft could create a surface 4 The Examiner alternatively finds that the claim limitation "sealing lip for sealing against a surface" is a recitation of intended use "given little patentable weight." Ans. 3. However, the sealing function of the lip is required by the use of the claim term "sealing lip" and not by the recitation of intended use "for sealing against a surface." Therefore, the sealing function of the lip is entitled to patentable weight. 4 Appeal2014-003652 Application 12/828,143 for sealing contact with the unlabeled portion proximate reference line 24 is speculative and would result in undesirable high friction (id. at 12-13); and (3) the Examiner's finding that pressures could expand the unlabeled portion proximate reference line 24 to cause sealing contact with a surface is incorrect because, for example, pressure would also act from below the unlabeled portion proximate reference line 24 (id. at 13-14). We agree with Appellant that Balsells '904 lacks sufficient support for the Examiner's finding that the unlabeled portion proximate reference line 24 of the body portion of seal ring 12 is disclosed as a sealing lip, as claimed. The Examiner's finding that such portion of surface 24 may contact another surface is not a finding that such surface 24 is in sealing contact with another surface. Balsells '904 describes flanges 18, 20 as sealing against a shaft and housing, respectively, but is silent with respect to any sealing contact between the smooth cylindrical exterior surface 24 of body portion 14 of seal ring 12 and any other surface. Balsells '904, col. 3, 11. 42--46. In addition, the Examiner's finding that the unlabeled portion proximate reference line 24 is capable of sealing, for example, against a hypothetical radial wall or stepped shaft, or in certain pressurized environments, is based on unfounded assumptions and speculation concerning structures not expressly disclosed in Balsells '904. Moreover, the unlabeled portion proximate reference line 24 is not disclosed in Balsells '904 as being capable of sealing. The structure of Balsells '904 would have to be modified by or supplemented with some other undisclosed structure in order for such portion of surface 24 to be a sealing lip. Therefore, we cannot find by a preponderance of the evidence that the unlabeled portion proximate reference line 24 is a sealing lip. 5 Appeal2014-003652 Application 12/828,143 Accordingly, we do not sustain the Examiner's rejection of independent claim 1 as anticipated by Balsells '904, and claim 3 depending therefrom. Claims 1-22-Anticipation by Balsells '838 Independent claim 1 and dependent claims 2-8 Regarding independent claim 1, the Examiner finds, inter alia, that seals 498, 500 of Balsells '838 disclose "a singularly formed seal body," as claimed, because when installed, seals 498, 500 "are a single functional piece." Final Act. 6 (citing Balsells '838, Fig. 32). The Examiner also finds that seals 498, 500 of Balsells '83 8 are "singularly formed" because the claim term "singularly formed" includes "a body [] regardless of how many distinct pieces [are] formed into one single unit." Ans. 8. Appellant argues that claim 1, which requires "a singularly formed seal body," is not anticipated by two separate seal bodies, as disclosed by Balsells '838. Appeal Br. 18 (citing Balsells '838, col. 4, 11. 20-24, see also id., Figs. 32, 33); Reply Br. 12-13. Moreover, Appellant submits that the claim term "singularly formed" cannot be interpreted to mean one single unit formed from distinct pieces. Reply Br. 12-13. In support, Appellant points to the Specification, which states that "seal body 13 is singularly made or formed, i.e., a unitary formed body" (Spec. i-f 24) and that "seal body 13 may be singularly formed ... or made from two or more components and assembled into an integral unit" (Spec. i-f 25 (emphasis added)). Id. at 13. Appellant concludes that because the Specification distinguishes between a singularly formed body and one made from two or more components, the claim term "singularly formed" cannot be interpreted to mean one single unit formed from distinct pieces as proposed by the Examiner. Id. 6 Appeal2014-003652 Application 12/828,143 We agree with Appellant. During examination, claims are given their broadest reasonable construction consistent with the specification. In re Am. Acad. of Sci. Tech Ctr., 367 F.3d 1359, 1364 (Fed. Cir. 2004). Here, the Specification makes clear that forming the seal body singularly means making the seal body as a unitary body, as opposed to making the seal body from two or more components assembled into an integral unit. Spec. iii! 24, 25. Because the Examiner's finding requires the claimed seal body to be formed from seals 498, 500 of Balsells '838, which are not a unitary unit but two components assembled together into an integral unit, the Examiner's finding lacks support. In addition, that seals 498, 500 may function together when placed end-to-end does not transform them into a singularly formed seal, as claimed. Accordingly, we do not sustain the Examiner's rejection of independent claim 1 and claims 2-8 depending therefrom as anticipated by Balsells '838. Independent claim 9 and dependent claims 10-15 The Examiner finds, inter alia, that Balsells '83 8 discloses forming a seal body comprising two cavities each defined in part by a sealing lip, as required by claim 9. Final Act. 9 (citing Balsells '838, Fig. 32). The Examiner further finds that Balsells '83 8 discloses engaging a locking ring to the seal body so that the locking ring defines part of one of the two cavities. Id. (citing Balsells '838, Fig. 32). First, Appellant argues that although Balsells '83 8 "shows two locking rings forming part of two cavities, claim 9 recites ... a single locking ring 'defines part of one of the two cavities."' Appeal Br. 20. The Examiner correctly responds that because claim 9 uses the transitional term 7 Appeal2014-003652 Application 12/828,143 "comprising," claim 9 does not limit the structure of the claimed seal assembly to a single locking ring, but rather allows structures (such as a second locking ring) in addition to the claimed locking ring, as long as at least one locking ring meets the recitations of claim 9. Ans. 9. Notably, claim 9 does not recite "a single locking ring" but only "a locking ring." Thus, Appellant's argument is not commensurate in scope with the subject matter claimed. In addition, Appellant does not apprise us of error in the Examiner's finding that at least one of the locking rings, as shown in Figure 32 of Balsells '838, defines part of one of the two cavities, as required by claim 9. Second, Appellant argues that Figure 32 of Balsells '838 "does not disclose 'forming a seal body comprising two cavities each defined in part by a sealing lip."' Appeal Br. 20. Rather, Appellant contends that Balsells '838 discloses two seal bodies each having a single cavity. Id. Appellant contends that "by reciting 'a seal body comprising two cavities each defined in part by a sealing lip,' claim 9 describes a body with two sealing lips in a different manner than reciting the words 'singularly formed seal body' recited in claim 1," but that "[the] end result [is] nonetheless the same." Reply Br. 13. Although claim 1 requires the seal body to be "singularly formed," claim 9 only requires "forming a seal body" and does not further limit the formation of the seal body as singularly formed or made from two or more components that are assembled into an integral unit, as discussed supra with respect to claim 1. Further, an ordinary definition of the claim term "form," consistent with the Specification, is "to serve to make up or constitute" (WEBSTER'S THIRD NEW INT'L DICTIONARY 893 (1993)), and as noted supra, 8 Appeal2014-003652 Application 12/828,143 the Specification discloses that "seal body 13 may be singularly formed ... or made from two or more components and assembled into an integral unit" (Spec. i-f 25 (emphasis added)); see also Spec. i-f 36 ("[V]arious seal bodies may be formed using multiple components, ... while still maintaining a double direction seal characteristic."). Thus, we are not apprised of error in the Examiner's finding that together seals 498, 500 of Balsells '838 are two components that serve to make up or constitute a seal body, and therefore disclose "forming a seal body," as recited in claim 9. Accordingly, we sustain the Examiner's rejection of independent claim 9. Appellant chose not to present separate arguments for the patentability of claims 10-15, which depend from claim 9, and therefore, we also sustain the Examiner's rejection of dependent claims 10-15. Independent claim 16 and dependent claims 17-22 Regarding independent claim 16, the Examiner finds, inter alia, that seals 498, 500 of Balsells '838 "when installed ... are integrally formed," and therefore disclose "an integrally formed seal body," as recited in claim 16. Final Act. 10. Appellant argues that claim 16 requires that "the seal is constructed of a single piece." Appeal Br. 21. Appellant further contends that "[ t ]he integration or integrally formed components are between the first material and the second material, which the claim language clarifies as between the seal body and the locking ring." Reply Br. 14. Claim 16 recites, in relevant part, "[a] seal assembly comprising an integrally formed seal body made of a first material ... ; [and] a locking ring ... made of a second material and attached to the seal body .... " Amendment 5. Thus, we do not agree with Appellant's interpretation of claim 16, stated supra, that "integrally formed" defines the relationship 9 Appeal2014-003652 Application 12/828,143 between the seal body and locking ring, which are limited to "being attached." Rather, the claim term "integrally formed" modifies the seal body. We also do not agree with Appellant's contention, stated supra, that the claim term "integrally formed" means that the seal body is "constructed of a single piece." An ordinary definition of the term "integral," in light of the Specification, is "of, relating to, or serving to form a whole" (WEBSTER'S THIRD NEW INT'L DICTIONARY 1173 (1993)). Thus, we are not apprised of error in the Examiner's finding that seals 498, 500 of Balsells '838 serve to form a whole seal body. Appellant also argues that claim 16 requires a single locking ring, which is not anticipated by the disclosure in Balsells '83 8 of two locking rings. Appeal Br. 21-22. We disagree for the reasons stated supra with respect to claim 1, noting independent claim 16 also uses the transitional term "comprising." Accordingly, we sustain the Examiner's rejection of independent claim 16. Appellant chose not to present separate arguments for the patentability of claims 18-22, which depend from claim 16, and therefore, we also sustain the Examiner's rejection of dependent claims 18-22. Dependent claim 17 Regarding dependent claim 17, the Examiner finds Balsells '83 8 discloses, in Figure 32, "the locking ring has several notches and has multiple portions that can be considered cantilevered" (Final Act. 11) and further that "each locking ring has a cantilever beam and [] a notch for receiving [an] inner end of the ring" (Ans. 10). Appellant argues that Figure 32 "shows two different locking rings," but "does not disclose a notch or a cantilever beam on the locking ring located adjacent a notch, nor is any 10 Appeal2014-003652 Application 12/828,143 analogous feature shown." Appeal Br. 22. Appellant contends that Balsells '83 8 "discloses a locking ring with a gap formed between the housing and the outer edge of the cantilever portion of the locking ring," which is "outside of the scope of claim 17." Reply Br. 15. Claim 1 7 recites, "wherein the locking ring comprises a cantilever beam and a notch." Amendment 5. Claim 1 7 does not require the cantilever beam to be adjacent to the notch, as argued by Appellant, and Appellant does not specify with any particularity why the cantilever beams of each locking ring in Figure 32 of Balsells '838, which appear to have a notch or indentation in their surfaces, does not meet the limitations of claim 1 7. Thus, we are not apprised of error in the Examiner's finding that Figure 32 of Balsells '83 8 depicts at least one notch and a cantilever beam. Accordingly, we sustain the Examiner's rejection of claim 17. Claims 1-22 - Obviousness over Balsells '838 Independent claim 1 and dependent claims 2---8 Regarding independent claim 1, the Examiner finds that Balsells '83 8 discloses the limitations of claim 1, except that Balsells '83 8 "fails to specifically disclose that the seal body is made of only one continuous unitary piece of material." Final Act. 14. The Examiner reasons that it would have been obvious "to have made the two piece seal body of Balsells ['838] [as] a singular unitary body as it has been held that the use of a one piece structure instead of a multi-piece structure is merely a matter of obvious design choice." Final Act. 15 (citation omitted). Appellant argues that "the two seals [of Balsells '83 8] are sequentially mounted inside the chamber to reduce friction and drag[,] and to facilitate assembly," and that 11 Appeal2014-003652 Application 12/828,143 [i]f the two separate seals were to be installed as a single unit, then the surface contact of the locking ring of the first seal press fit against the gland housing and the surface contact of the locking ring of the second seal press fit against the gland housing would generate too high of a force to simultaneously push the two seal units inside the sealing chamber. Appeal Br. 26 (citing Balsells '838, col. 2, 11. 32-38 ("[a] separable metal retainer provides means for fixing the plastic ring [(or seal body)] and spring within the housing bore and around the shaft with the separable metal retainer having a surface of revolution having a radius suitable for press fitting into the housing.")). Appellant maintains that "once a 'press fit' is formed between the metal retainer or locking ring and the gland housing, it is extremely difficult to push the seal further into the housing to mount the second seal," and that "[a]s such, individual seals are used to facilitate mounting the stack of two or more spring energized seals into the gland." Id. at 28. The Examiner responds that "there is no evidence that [the] seal assembly [of Balsells '838] has to be in two pieces because it would be impossible to install otherwise" and that "one could merely push harder during installation." Ans. 11. The Examiner reasons that friction fit, stronger static sealing, and the elimination of human error due to fewer pieces are all well-known trade-offs that make the Examiner's proposed modification an obvious design choice. Id. Based on the preponderance of the evidence before us, we agree with Appellant. The Examiner proposes modifying seals 498, 500 of Balsells '838 (which are described as abutting and which each have a metal retainer) to be "a singularly formed seal body," resulting in a singularly formed seal body secured by two metal retainers. In other words, the Examiner's 12 Appeal2014-003652 Application 12/828,143 modification does not also eliminate one of the metal retainers. Because Balsells '83 8 recognizes that a critical function of the metal retainers is "for fixing the plastic ring [(or seal body)] within the housing bore and around the shaft ... [by] press fitting" (Balsells '838, col. 2, 11. 32-35), we are persuaded by Appellant's argument that the Examiner's design choice rationale, which is based on using a one-piece structure instead of a multi- piece structure, is conclusory and falls short of providing rational reasoning as to why a person skilled in the art would be motivated to modify seal bodies 498, 500, to create a seal assembly having a singularly formed seal body and two retaining rings, and thus, impacting the installation of the now single seal cartridge by press fitting. Accordingly, we do not sustain the Examiner's rejection of independent claim 1 and claims 2-8 depending therefrom as unpatentable over Balsells '838. 5 Independent claim 9 and dependent claims 10-15 Regarding independent claim 9, although the Examiner finds that Balsells '83 8 "fails to specifically disclose that the seal body is made of only one continuous unitary piece of material" (Final Act. 17), claim 9 only requires "forming a seal body," as discussed supra. Moreover, because we 5 The Examiner separately stated a rejection of claim 2 (which depends from independent claim 1) under 35 U.S.C. §103(a) as unpatentable over Balsells '83 8, wherein the Examiner apparently applied the findings as stated in the rejection of claim 1 as anticipated by Balsells '838. Final Act. 13-14. Because we do not sustain the Examiner's rejection of claim 1 as anticipated by Balsells '838, as discussed supra, and because the Examiner's reliance on Balsells '838 for rejecting claim 2 does not cure the deficiencies in the Examiner's findings with respect to claim 1, we also do not sustain the Examiner's rejection of claim 2 as unpatentable over Balsells '838. 13 Appeal2014-003652 Application 12/828,143 sustain the Examiner's rejection of claim 9 as anticipated by Balsells '838, we also sustain the Examiner's rejection of claim 9 as unpatentable over Balsells '838, anticipation being the epitome of obviousness. In re McDaniel, 293 F.3d 1379, 1385 (Fed. Cir. 2002). Appellant does not present separate arguments for the patentability of claims 10-15 depending from independent claim 9 (Appeal Br. 32), and therefore, we also sustain the Examiner's rejection of claims 10-15 as unpatentable over Balsells '838. Independent claim 16 and dependent claims 17-22 Regarding independent claim 16, although the Examiner finds that Balsells '83 8 "fails to specifically disclose that the seal body is made of only one continuous unitary piece of material" (Final Act. 19), claim 16 only requires "an integrally formed seal body," as discussed supra. Moreover, because we sustain the Examiner's rejection of claim 16 as anticipated by Balsells '838, we also sustain the Examiner's rejection of claim 16 as unpatentable over Balsells '83 8, anticipation being the epitome of obviousness. In re McDaniel, 293 F.3d at 1385. Appellant does not present separate arguments for the patentability of claims 17-22 depending from independent claim 16 (Appeal Br. 32), and therefore, we also sustain the Examiner's rejection of claims 17-22 as unpatentable over Balsells '838. Claim 2 - Obviousness over Balsells '904 Claim 2 depends from independent claim 1. Because we do not sustain the Examiner's rejection of claim 1 as anticipated by Balsells '904, as discussed supra, and because the Examiner's reliance on Balsells '904 for rejecting claim 2 does not cure the deficiencies in the Examiner's findings with respect to claim 1, we also do not sustain the Examiner's rejection of claim 2 as unpatentable over Balsells '904. 14 Appeal2014-003652 Application 12/828,143 DECISION The Examiner's decision to reject claim 5 under 35 U.S.C. § 112, first paragraph, is AFFIRMED. The Examiner's decision to reject claims 1 and 3 under 35 U.S.C. § 102(b) as anticipated by Balsells '904 is REVERSED. The Examiner's decision to reject claims 1-8 under 35 U.S.C. § 102(b) as anticipated by Balsells '838 is REVERSED. The Examiner's decision to reject claims 9-22 under 35 U.S.C. § 102(b) as anticipated by Balsells '838 is AFFIRMED. The Examiner's decision to reject claim 2 under 35 U.S.C. § 103(a) as unpatentable over Balsells '904 is REVERSED. The Examiner's decision to reject claims 1-8 under 35 U.S.C. § 103(a) as unpatentable over Balsells '838 is REVERSED. The Examiner's decision to reject claims 9-22 under 35 U.S.C. § 103(a) as unpatentable over Balsells '838 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). See 37 C.F.R. § 1.136(a)(l )(iv). AFFIRMED-IN-PART 15 Copy with citationCopy as parenthetical citation