Satoshi Nomura et al.Download PDFPatent Trials and Appeals BoardMay 13, 202013989291 - (D) (P.T.A.B. May. 13, 2020) Copy Citation UNITED STATES PATENT AND TRADEMARK OFFICE 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 APPLICATION NO. FILING DATE FIRST NAMED INVENTOR ATTORNEY DOCKET NO. CONFIRMATION NO. 13/989,291 05/23/2013 Satoshi Nomura 2368.P0007US 4116 23474 7590 05/13/2020 FLYNN THIEL, P.C. 2026 RAMBLING ROAD KALAMAZOO, MI 49008-1631 EXAMINER WIBLIN, MATTHEW ART UNIT PAPER NUMBER 3745 NOTIFICATION DATE DELIVERY MODE 05/13/2020 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): DOCKET@FLYNNTHIEL.COM PTOL-90A (Rev. 04/07) UNITED STATES PATENT AND TRADEMARK OFFICE BEFORE THE PATENT TRIAL AND APPEAL BOARD Ex parte SATOSHI NOMURA, MASANORI AKIZUKI, and HIROSHI KANEMITSU Appeal 2019-002874 Application 13/989,291 Technology Center 3700 Before JOHN C. KERINS, DANIEL S. SONG, and MICHAEL L. HOELTER, Administrative Patent Judges. SONG, Administrative Patent Judge. DECISION ON APPEAL STATEMENT OF THE CASE Pursuant to 35 U.S.C. § 134(a), Appellant1 appeals from the Examiner’s decision to reject claims 2, 3, and 6. We have jurisdiction under 35 U.S.C. § 6(b). We AFFIRM. 1 We use the word Appellant to refer to “applicant” as defined in 37 C.F.R. § 1.42(a). Appellant identifies the real party in interest as Taiho Kogyo Co., Ltd. Appeal Br. 1. Appeal 2019-002874 Application 13/989,291 2 CLAIMED SUBJECT MATTER The claims are directed to a swash plate type compressor. Claim 3, reproduced below, is illustrative of the claimed subject matter: 3. A swash plate compressor comprising: a shaft; a swash plate that rotates around the shaft; a piston having a spherical indent portion that moves in a reciprocating fashion with the rotation of the swash plate; a shoe having a flat portion which slides on the swash plate and a spherical surface portion which slides on the spherical indent portion of the piston; and a coating layer comprising a resin formed on a surface of the swash plate, the coating layer having spiral or concentric shaped grooves provided therein having a center approximately at the center of the swash plate, wherein the top of each of the spiral or concentric shaped grooves makes contact with the shoe only at a line extending across the top of each of the grooves and the diameter of the flat portion of the shoe is no more than 9.5 mm and the pitch of a concentric protrusion formed between the grooves satisfies the following relationship where L is the length of the concentric protrusions that contact the flat portion of the shoe and N is the number of concentric protrusions that contact the flat portion of the shoe. Appeal 2019-002874 Application 13/989,291 3 REFERENCES The prior art relied upon by the Examiner is: Name Reference Date Hattori US 4,568,252 Feb. 4, 1986 Sugawara US 5,896,803 Apr. 27, 1999 Kanayama US 6,921,205 B2 July 26, 2005 OPINION The Examiner rejects claims 2, 3, and 6 under pre-AIA 35 U.S.C. § 103(a) as being unpatentable over Sugawara in view of Hattori and Kanayama. Non-Final Act. 6. The Appellant argues all of the claims together, and thus, we select claim 3 as representative with claims 2 and 6 standing or falling with claim 3. See 37 C.F.R. § 41.37(c)(1)(iv). As to claim 3, the Examiner finds that Sugawara discloses the invention substantially as claimed, but fails to disclose the shoe diameter or the diameter of the flat portion of the shoe, and thus, fails to disclose the recited diameter of the flat portion being less than 9.5 mm. Non-Final Act. 7. The Examiner also finds that Sugawara fails to disclose a coating layer having the recited grooves and protrusions, or the protrusions making a line contact with the flat portion of the shoe with a pitch such that the cumulative length of the protrusions is greater than 300 mm as recited. Non-Final Act. 7–8, 9. The Examiner correctly finds that Hattori discloses a swash plate type compressor with a shoe diameter of 13.5 mm, and a flat portion diameter that is preferably 60–80% of the shoe diameter, which results in a flat portion diameter of 8.1–10.8 mm, thereby disclosing diameters that are “no more than 9.5 mm” as recited. Non-Final Act. 8, citing Hattori, col. 3, ll. 52–53; col. 4, ll. 56–60. The Examiner also correctly finds that Hattori Appeal 2019-002874 Application 13/989,291 4 teaches that the disclosed diameter range reduces friction and power consumption while improving durability through better lubrication of the sliding surfaces. Non-Final Act. 8, citing Hattori, col. 7, ll. 21–27. Based thereon, the Examiner concludes that it would have been obvious to a person of ordinary skill in the art to have modified Sugawara in view of Hattori “by providing a shoe diameter of 13.5 mm,” which results in the flat portion diameter claimed, “for the purpose of enabling reducing the friction and consequently power economizing and improving the durability through better lubrication of the sliding surfaces.” Non-Final Act. 8–9. As to the coating, the Examiner finds that Kanayama discloses a coating layer for reducing friction having a plurality of spiral or concentric shaped grooves and protrusions with the top of the protrusions contacting the shoe along a line contact, and “a pitch distance” of 0.05–1.00 mm between neighboring concentric shaped grooves. Non-Final Act. 10; see Kanayama, Figs. 1(a)–2(c); col. 1, ll. 5–19; col. 3, ll. 1–4. The Examiner concludes that it would have been obvious to one of ordinary skill in the art to have further modified the device of Sugawara/Hattori “by applying a grooved coating layer to the swashplate surface, as taught by Kanayama, for the purpose of reducing swashplate/piston foot friction.” Non-Final Act. 10. The Examiner notes that such modification results in a cumulative protrusion length of at least 1417.07 mm when the diameter of the flat portion is 9.5 mm as encompassed in the range disclosed in Hattori, and when the pitch distance is 0.05 mm as disclosed in the range of Kanayama. Non-Final Act. 10; see also Ans. 6–9. The Appellant initially argues that Sugawara does not disclose numerous limitations recited in claim 3. Appeal Br. 4; Reply Br. 2. However, as discussed above, the Examiner has conceded that Sugawara Appeal 2019-002874 Application 13/989,291 5 does not disclose such limitations and has relied on Hattori and Kanayama for such teachings. Thus, the Appellant unpersuasively argues Sugawara separately. “Non-obviousness cannot be established by attacking references individually where the rejection is based upon the teachings of a combination of references.” In re Merck, 800 F.2d 1091, 1097 (Fed. Cir. 1986); In re Keller, 642 F.2d 413, 425 (CCPA 1981). The Appellant also argues that Sugawara “does not disclose that the shoe is only contacted by the swash plate at only the flat portion (d1) of the shoe and not the entire surface thereof.” Appeal Br. 4. However, it is not apparent that the claim requires this exclusive contact at the flat portion. Nevertheless, as the Examiner correctly points out, Figures 1 and 2 of Sugawara show such contact by the flat portion 16 of the piston shoe, and Sugawara describes, in this regard, that “the annular surface 17 formed between the rounded edge 14 and flat surface 16 provides a wedge gap 17a which facilitates intrusion of lubricant oil between the bottom surface 12 and flat surface 8 of the swash plate 4 during operation of the compressor.” Sugawara, col. 6, ll. 40–50; Figs. 1, 2; see also Ans. 3. The Appellant further argues that “the Sugawara reference teaches away from employing a line contact as used in the present invention instead of a flat surface” because, in its discussion of prior art, Sugawara discusses a prior art device having a convex surface as being undesirable in that it results in the summit portion of the convex surface having higher bearing pressure and failure. Reply Br. 2, citing Sugawara, col. 2, ll. 25–34; see also id. at 4. According to the Appellant, this discussion in Sugawara teaches away from using line contact as claimed considering “a line contact has the same disadvantages because the line contacted surface generates a higher bearing pressure as compared with a flat surface.” Reply Br. 2, 4. Appeal 2019-002874 Application 13/989,291 6 We disagree, and see little correlation between a single summit of a convex surface and a plurality of line surfaces recited by the claims. Kanayama, which post-dates Sugawara, clearly establishes that providing a plurality of line surfaces for contact with the flat surface of the shoe was well-known at the time of the Appellant’s invention, and discloses that such construction further reduces friction. Therefore, this argument is unpersuasive. The Appellant also argues that Kanayama discloses that its ridge portions are easily worn due to high contact surface pressure to allow for “good proper initial running-in property.” Appeal Br. 5–6, citing Kanayama, col. 3, ll. 49–64. Based thereon, the Appellant argues that “although the initial state of the ridge portions are such that they have a peak, the ridge portions are designed so that they will be worn down to a planar shape during normal operation.” Appeal Br. 5–6, citing Kanayama, col. 3, ll. 49–64. In that regard, the Appellant provides a drawing of what Kanayama would presumably look like in “normal run-in state.” Appeal Br. 6. Thus, the apparent argument is that the ridge portions of Kanayama do not contact the shoe “only at a line” as recited. This line of argument is also unpersuasive. As the Appellant acknowledges and as discussed above, Kanayama discloses a plurality of protrusions, the top of which contact the shoe along a line contact. Kanayama, Figs. 1(a)–2(c); see also Ans. 5 (“the claimed limitation[] is disclosed by the depicted ‘top of each of the . . . grooves’ aka ‘protrusions’ aka ‘ridges’ of Fig. 2.”). It is immaterial that such line contact is only temporary because of wear. Cf. In re Mullin, 481 F.2d 1333, 1335–36 (CCPA 1973) (an intermediate product can anticipate a claimed device even if the intermediate product is merely a stage in the final product of a non- Appeal 2019-002874 Application 13/989,291 7 anticipatory product). In addition, although not necessary for our decision, we do not find credible the Appellant’s implied assertion that the protrusions of the claimed invention is not subject to wear. 2 The Appellant further argues that the test data presented in the Specification is sufficient to rebut any prima facie case of obviousness. Appeal Br. 7. According to the Appellant, “Figures 5 and 6 in the present specification show the criticality of the claimed cumulative length” of at least 300 mm at which “no seizure occurred even after applying a load of 1700N or more” whereas seizure occurred with a cumulative length less than 300 mm. Appeal Br. 7. The Appellant also refers to Figures 5 and 7 as showing unexpectedness and “criticality of the diameter flat portion being at least 9.5 mm” in reducing wear depth, friction coefficient, and notes that a “comparative shoe having a flat part diameter of 11.5 mm, which falls within the general disclosure of Hattori, clearly had a higher friction coefficient and was inferior to that of the present invention.” App. Br. 7–9; see also Reply Br. 3–4; Spec. Figs. 5–7. We are not persuaded by these arguments. We initially question the value of the experimental data provided in the Specification, which is based on a very small number of data samples. Our understanding is that three swash plate samples were tested in the experimental data shown in each of Figure 5 and Figure 6. See Spec. ¶¶ 15–16. Our understanding as to the experimental data shown in Figure 7 is that it is based on testing of four 2 Indeed, the Specification’s reference to reduction in “wear depth” in Figures 5 and 6 undermines both the Appellant’s reliance on wear of Kanayama’s “normal run-in state” to distinguish Kanayama, and the Appellant’s implied assertion that the protrusions of the claimed invention are not subject to wear. Appeal 2019-002874 Application 13/989,291 8 samples having different diameter flat portions. See Spec. ¶ 17. With such small sample sizes, the probative value of the experimental data is questionable. In addition, we do not view the evidence provided in the Specification as establishing criticality. Criticality may be shown by establishing that the claimed range achieves unexpected results relative to the prior art range. In re Woodruff, 919 F.2d 1575, 1578 (Fed. Cir. 1990) (“The law is replete with cases in which the difference between the claimed invention and the prior art is some range or other variable within the claims. . . . These cases have consistently held that in such a situation, the applicant must show that the particular range is critical, generally by showing that the claimed range achieves unexpected results relative to the prior art range.”). The claimed invention “may still not be patentable if the modification was within the capabilities of one skilled in the art, unless the claimed ranges ‘produce a new and unexpected result which is different in kind and not merely in degree from the results of the prior art.’” In re Huang, 100 F.3d 135, 139 (Fed. Cir. 1996) (citation omitted). As to the assertion of criticality of the claimed cumulative length, we note that the claim merely places a lower limit on the required cumulative length such that it must be at least 300 mm. The Examiner has shown that when the coating taught in Kanayama is applied to the flat portion diameter in the range disclosed in Hattori, the recited cumulative length of at least 300 mm results. It would not have been unexpected to one of ordinary skill in the art familiar with mechanical engineering principles, that having larger cumulative length, i.e., greater surface area of contact between the flat surface of the shoe and the swash plate, while maintaining grooves for lubrication, would increase the load capability and its resistance to seizing. Appeal 2019-002874 Application 13/989,291 9 The converse would also not have been unexpected to one of ordinary skill. Likewise, reduction in wear depth would have also been expected by one of ordinary skill considering the increased surface contact area that results from the increased cumulative length. In our assessment, the data provided in the Specification merely indicates that the Appellant discovered, through experimentation, an optimum value of a result effective variable, which is within the skill of one of ordinary skill in the art. See In re Boesch, 617 F.2d 272, 276 (CCPA 1980); In re Aller, 220 F.2d 454, 456 (CCPA 1955). As to the assertion of unexpected reduction in friction coefficient by decreasing the diameter of the flat portion, the Appellant does not adequately explain how this reduction in friction is unexpected. As already discussed, Hattori establishes that the flat portion diameter should preferably be 60–80% of the shoe diameter of 13.5 mm, which results in a flat portion diameter of 8.1–10.8 mm, thereby disclosing 8.1–9.5 mm that satisfies the claimed limit of “no more than 9.5 mm,” and thus, teaches to one of ordinary skill that the diameter of the flat portion is a result effective variable in reducing friction. As to the asserted criticality of the recited upper limit on the flat portion diameter to “no more than 9.5 mm,” the Appellant argues that the “comparative shoe having a flat part diameter of 11.5 mm, which falls within the general disclosure of Hattori, clearly had a higher friction coefficient and was inferior to that of the present invention.” App. Br. 8. However, as noted, the preferred embodiment disclosed in Hattori results in a flat portion diameter of 8.1–10.8 mm, thereby disclosing 8.1–9.5 mm that satisfies the claimed limit. Although the resultant range of Hattori includes diameters that are outside of the claimed range, the Appellant merely further optimized this range to narrow the upper limit of the diameter to 9.5 mm. In Appeal 2019-002874 Application 13/989,291 10 other words, we again view this evidence as indicating that the Appellant merely discovered through experimentation, an optimum value of a result effective variable, which is within the skill of the art. See In re Boesch, 617 F.2d 272, 276 (CCPA 1980); In re Aller, 220 F.2d 454, 456. Therefore, in view of the above, the Appellant appears to have determined, through experimentation, what Appellant believes to be optimal ranges for the parameters of cumulative length of the protrusions, and diameter of the flat portion of the shoes. Such optimization of previously recognized result effective variables does not render the claimed invention patentable. Accordingly, we affirm the Examiner’s rejection of claim 3, and claims 2 and 6 fall therewith. CONCLUSION The Examiner’s rejection is affirmed. DECISION SUMMARY In summary: Claims Rejected 35 U.S.C. § Reference(s)/Basis Affirmed Reversed 2, 3, 6 103(a) Sugawara, Hattori, Kanayama 2, 3, 6 TIME PERIOD FOR RESPONSE 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)(1)(iv). AFFIRMED Copy with citationCopy as parenthetical citation