Paper No. 1
`Filed: February 22, 2016
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`ARKEMA AND ARKEMA FRANCE
`
`Petitioner
`
`V.
`
`HONEYWELL INTERNATIONAL INC.
`
`Patent Owner
`
`.
`
`PGR2016—O0O1 1
`
`Patent No. 9,157,017
`
`‘PETITION FOR POST-GRANT REVIEW
`
`1 of 97
`
`Arkema Exhibit 1006
`
`

`
`TABLE OF CONTENTS
`
`Table of Authorities ................................................................................................ .. vi
`
`List of Exhibits ........................................................................................................ .. x
`
`I.
`
`Introduction ................................................................................................... .. 1
`
`II. Mandatory Notices Under 37 C.F.R. § 42.8 ................................................. .. 3
`
`A.
`
`B.
`
`Real Parties—in-Interest ....................................................................... .. 3
`
`Related Matters ................................................................................... .. 3
`
`1.
`
`2.
`
`Related U.S. Litigation and Reexamjnations ........................... .. 3
`
`The European Opposition to EP 1 716 216 .............................. .. 6
`
`D.
`
`Service Information ............................................................................ .. 8
`
`111.
`
`Payment of Fees ............................................................................................ .. 8
`
`IV.
`
`Time for Filing Petition ................................................................................ .. 9 '
`
`V.
`
`Grounds for Standing .................................................................................... .. 9
`
`VI.
`
`Statement of Precise Relief Requested for Each Claim Challenged .......... .. 10
`
`VII. The Proposed Alternative Grounds are Not Redundant ............................. .. 11
`
`VIII. The ’0l7 Patent ........................................................................................... .. 11
`
`A.
`
`Background of the Technology ........................................................ .. 11
`
`1.
`
`2.
`
`3.
`
`4.
`
`Vapor—Compression Refrigeration Systems ........................... .. 12
`
`Environmental Regulations and Evolution of AAC
`Refrigerants .................
`......................................................... .. 15
`
`Toxicity of Refrigerants ......................................................... .. 17
`
`AAC Refrigeration Lubricants ............................................... .. 17
`
`B.
`
`The Disclosure of the ’0l7 Patent .................................................... .. 19
`
`2 of97
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`

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`C.
`
`Examination of the ’017 Patent ........................................................ .. 20
`
`D.
`
`The ’O17 Patent Claims .................................................................... .. 21
`
`E.
`
`F.
`
`Person of Ordinary Skill in the Art................................................... .. 23
`
`Proposed Constructions .................................................................... .. 24
`
`1.
`
`2.
`
`3.
`
`4.
`
`“an automobilevapor compression air conditioning
`system usable with refrigerant l,1,1,2—tetrafluoroethane
`(HFC-134a)” ........................................................................... .. 24
`
`“low toxicity refrigerant suitable for use in automobile
`air conditioning” ..................................................................... .. 24
`
`“no substantial acute toxicity as measured by inhalation
`exposure to mice and rats” ..................................................... .. 26
`
`“a capacity relative to HFC—l34a of about 1 and a
`Coefficient of Performance (COP) relative to HFC-134a
`of about 1” .............................................................................. .. 27
`
`5 .
`
`“stable” ................................................................................... .. 27
`
`IX.
`
`The ’017 Patent Has an Effective Filing Date of March 26, 2014 ............. .. 28
`
`A.
`
`B.
`
`C.
`
`D.
`
`Honeywell’s Description of Its Alleged Invention During
`Prosecution of the ’Ol7 Patent .......................................................... .. 30
`
`The Prior Applications Do Not Describe HFO-1234yf Plus
`PAG for AAC ................................................................................... .. 31
`
`1.
`
`2.
`
`The AAC application is at best a wish or plan for further
`development ........................................................................... .. 32
`
`The specifically claimed invention—AAC Plus HFO-
`l234yf Plus PAG——is simply not disclosed ........................... .. 36
`
`The Prior Application Does Not Enable HFO—1234yf Plus PAG
`for AAC ............................................................................................ .. 40
`
`Incorporation by Reference Does Not Provide the Missing
`Support .............................................................................................. .. 43
`
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`

`
`E.
`
`Conclusion ........................................................................................ .. 44
`
`Claims 1-20 of the ’017 Claims are Obvious Over Inagaki in view of
`Tapscott, Uemura, and Magid..................................................................... .. 44
`
`A.
`
`Heat Transfer Composition Components — Claim 12 is
`Representative................................................................................... .. 45
`
`1.
`
`2.
`
`3.
`
`4.
`
`5.
`
`Refrigerant - Inagaki Teaches Using HFO-1234yf in
`AAC Systems. .....................
`................................................. .. 46
`
`Lubricant - Uemura Suggests Using PAGs with
`HFO-1234yf. ...................................
`..................................... .. 53
`
`Refrigerant - “at least about 50% by weight” ........................ .. 58
`
`Refrigerant properties ............................................................. .. 58
`
`AAC System Properties - COP and Capacity at 150 °F
`Condenser Temperature ......................................................... .. 63
`
`B.
`
`C.
`
`Independent Claims 1, 6, and 19 and Dependent Claim 7 ............... .. 66
`
`The Remaining Dependent Claims ................................................... .. 67
`
`1.
`
`2.
`
`3
`
`4
`
`5.
`
`6
`
`7.
`
`Claims 2, 11, and 14: About 30% to About 50% PAG .......... .. 67
`
`Claims 3, 8, 15, and 20: At Least About 70% HFO-
`1234yf..................................................................................... .. 68
`
`Claims 4, 9, 16, and 20: No Substantial Acute Toxicity ........ .. 69
`
`Claims 5, 10, 17, and 20: GWP Less Than About 150 .......... .. 69
`
`Claim 13: One Liquid Phase from -30 °C to +50 °C ............. .. 70
`
`Claim 18: Refrigerant Consisting of HFO-1234yf ................ .. 71
`
`Claim 20: Toxicity, GWP, and 70% F-1234yf ..................... .. 71
`
`D.
`
`Honeywell’s Alleged Unexpected Results Were Not
`Unexpected ....................................................................................... .. 72
`
`1.
`
`HFO-1234yf’s Miscibility with PAGs was Expected ............ .. 73
`
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`2.
`
`HFO—1234yf’s Low Flammability was Expected .................. .. 75
`
`XI. Conclusion .................................................................................................. .. 76
`
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`

`
`TABLE OF AUTHORITIES
`
`Page(s)
`
`Federal Cases
`
`In re ’3 I 8 Patent Infringement Litig.,
`583 F.3d 1317 (Fed. Cir. 2009) ........................................................................ .. 43
`
`In re Aller,
`220 F.2d at 456 ........................................................................................... .. 58, 68
`
`Allergan, Inc. v. Apotex1nc.,
`754 F.3d 952 (Fed. Cir. 2014) .................................................................... .. 71, 75
`
`Anascape, Ltd. v. Nintendo ofAm. Inc.,
`601 F.3d 1333 (Fed. Cir. 2010) ........................................................................ .. 28
`
`In re Applied Materials, Inc.,
`692 F.3d 1289 (Fed. Cir. 2012) ........................................................................ .. 68
`
`Ariad Pharms., Inc. v. Eli Lilly and Co.,
`598 F.3d 1336 (Fed. Cir. 2010) (en banc) ................................................. .. 31, 38
`
`Biogen, Inc. v. Berlex Labs, Inc.,
`318 F.3d 1132 (Fed. Cir. 2003) ........................................................................ .. 25
`
`Brenner v. Manson,
`383 U.S. 519 S.Ct. 1033, 16 L.Ed.2d 69 (1966) .............................................. .. 31
`
`Centocor Ortho Biotech, Inc. v. Abbot Labs,
`636 F.3d 1341 (Fed. Cir. 2011) ................................................................. ..passim
`
`In re Curtis,
`354 F.3d 1347 (Fed. Cir. 2004) ........................................................................ .. 29
`
`Deering Precision Instruments, L.L. C. v. Vector Distrib. Sys., Inc.,
`347 F.3d 1314 (Fed. Cir. 2003) ........................................................................ .. 26
`
`In re Farrenkopf,
`713 F.2d 714 (Fed. Cir. 1983) .......................................................................... .. 72
`
`6 of97
`
`vi
`
`

`
`Galderma Labs, L.P. v. Tolmar, Inc.,
`737 F.3d 731 (Fed. Cir. 2013), cert. denied, 134 S. Ct. 2740, 189
`L. Ed. 2d 768 (2014) ........................................................................................ .. 67
`
`Ex Parte Gary L. Bennis,
`APL 2007-1788, 2007 WL 2161581, at *4 (July 27, 2007) ............................ .. 27
`
`Inguran, LLC v. Premium Genetics (UK) Ltd.,
`PRG2015-00017, Institution Decision, Paper 8, 9 (PTAB Dec. 22,
`2015)................................................................................................................. .. 28
`
`In re Kao,
`639 F.3d 1057 (Fed. Cir. 2011) ........................................................................ .. 72
`
`Kennametal, Inc. v. Ingersoll Cutting Tool Co.,
`780 F.3d 1376 (Fed. Cir. 2015) ........................................................................ .. 72
`
`KSR Int’l Co. v. Teleflex Inc.,
`550 U.S. 398 (2007) ................................................................................... .. 61, 67
`
`LNP Eng ’g Plastics, Inc. v. Miller Waste Mills, Inc.,
`275 F.3d 1347 (Fed. Cir. 2001) ........................................................................ .. 26
`
`Merck & Co. v. Teva Pharm. USA, Inc.,
`395 F.3d 1364 (Fed. Cir. 2005) ........................................................................ .. 27
`
`In re Mouttet,
`686 F.3d 1322 (Fed. Cir. 2012) ........................................................................ .. 52
`
`Ohio Willow Wood Co. v. Alps South, LLC,
`735 F.3d 1333 (Fed. Cir. 2013) .................................................................. .. 46, 72
`
`In re Peterson,
`315 F.3d 1325 (Fed. Cir. 2003) ........................................................................ .. 67
`
`Pfizer, Inc. v. Apotex, Inc.,
`480 F.3d 1348 (Fed. Cir. 2007) ........................................................................ .. 58
`
`Phillips v. AWH Corp.,
`415 F.3d 1303 (Fed. Cir. 2005), cert. denied, 546 U.S. 1170 (2006)
`(en banc) ........................................................................................................... .. 26
`
`7of97
`
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`
`

`
`P0wer0asis, Inc. v. T—Mobile USA, Inc.,
`522 F.3d 1299 (Fed. Cir. 2008) ........................................................................ .. 28
`
`Rasmusson v. SmithKline Beecham Corp.,
`413 F.3d 1318 (Fed. Cir. 2005) .................................................................. .. 29, 43
`
`Regents of the Univ. of Ca. v. Eli Lilly & C0.,
`119 F.3d 1559, 1566 (Fed. Cir. 1997) .............................................................. .. 31
`
`In re Ruschig,
`379 F.2d 990 (C.C.P.A. 1967) ................................................................... .. 37, 39
`
`S. Alabama Med. Sci. Found. v. Gnosis S.P.A.,
`808 F.3d 823 (Fed. Cir. 2015) ......................
`
`.................................................. .. 72
`
`SAP Am., Inc. v. Arunachalam,
`IPR2014-00414, Paper 11, 11-16 (PTAB Aug. 18, 2014) ............................... .. 29
`
`Tronzo v. Biomet, Inc.
`156 F.3d 1154 (Fed. Cir. 1998) ........................................................................ .. 28
`
`Univ. Of Rochester v. G.D. Searle & C0.,
`358 F.3d 916 (Fed. Cir. 2004) .......................................................................... .. 31
`
`Wm. Wrigley Jr. Co. v. Cadbury Adams USA LLC,
`683 F.3d 1356 (Fed. Cir. 2012) ........................................................................ .. 46
`
`Federal Statutes
`
`35 U.S.C. ............................................................................................................... .. 10
`
`35 U.S.C. § 102(b) (2012) ............................................................................... .. 10, 11
`
`35 U.S.C. § 102(e) (2012) .........................................................................
`
`.......... .. 57
`
`35 U.S.C. § ]O3(a) (2012) ..................................................................................... .. 10
`
`35 U.S.C. § 112 (2011) ......................................................................................... .. 28
`
`35 U.S.C. § 119-121 (2011) .................................................................................. .. 28
`
`35 U.S.C. § 321 ..................................................................................................... .. 28
`
`35 U.S.C. § 321-329 ................................................................................................ .. 3
`
`8of97
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`

`
`35 U.S.C. § 321(c) ................................................................................................... .. 9
`
`America Invents Act, Pub. L. No. 112-29, § 3(n)(1), 125 Stat. 284,
`293 (2011) .............................................................................................. .. 9, 28, 29
`
`America Invents Act, Pub. L. No. 112-29, § 6(f)(2)(A), 125 Stat. ....................... .. 28
`
`Regulations
`
`37 C.F.R. § l.57(d) ................................................................................................ ..43
`
`37 C.F.R.§ 1.115 .................................................................................................. .. 30
`
`37 C.F.R. § 42.8 ...................................................................................................... .. 3
`
`37 C.F.R. § 42.15(a) ................................................................................................ .. 8
`
`A 37 C.F.R. § 42.200(b) .............................................................................................. 24
`
`37 C.F.R. § 42.200 et seq. ....................................................................................... .. 3
`
`37 C.F.R. § 42.202 .................................................................................................. .. 9
`
`37 C.F.R. § 42.202(a) ............................................................................................ .. 28
`
`37 C.F.R. § 42.203(a) .............................................................................................. .. 8
`
`37 C.F.R. § 42.204(a) .............................................................................................. .. 9
`
`9of97
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`

`
`LIST OF EXHIBITS
`
`
`
`U.S. Patent NO. 9,157,017 to Singh et al.
`
`Declaration of J. Steven Brown, Ph.D.
`
`
`
`
`
` Exhibit 1001
`
`Exhibit 1002
`1 Exhibit 1003
`
`Exhibit 1004
`
`Declaration of William J. Brock, Ph.D.
`
`Exhibit 1005
`
`Arkema Inc. and Arkema France v. Honeywell Int ’l, Inc.,
`IPR2016-00643, Petition for IPR (February 22, 2016)
`
`
`
`
`
`
`
`Exhibit 1006
`
`
`
`Arkema Inc. and Arkema France v. Honeywell Int '1, Inc.,
`PGR2016—000l2, Petition for PGR (February 22, 2016)(“PGR2”)
`
`U.S. Patent No. 4,755,316 to Magid et al.
`
`Exhibit 1009
`
`U.S. Patent NO. 8,065,882 to Singh et al.
`
`
`
`
`
`
`
`Exhibit 101 1
`
`
`
`Exhibit 1007
`
`
`
`
`Exhibit 1008
`
`
`
`Exhibit 10 10
`
`B. Minor & M. Spatz, HF0-1 234yfLow GWP Refrigerant
`Update, INT’L REFRIGERATION & AIR CONDITIONING CONF.,
`Paper 937 (2008)
`
`
`
`
`
`Reserved
`
`Japanese Patent App. Publication NO. JP H4-110388 to Inagaki
`et al., dated April 10, 1992 (English Translation)
`
`S. Uemura et al., Characteristics of HFC Refrigerants, INT’L
`REFRIGERATION & AIR CONDITIONING CONF. 385 (1992)
`
`
`
` Exhibit 101 5
`Robert E. Tapscott, Tropodegradable Fluorocarbon
`
`Replacements for Ozone-Depleting and Global-Warming
`Chemicals, 101 J. FLUORINE CHEMISTRY 209 (2000)
`
`
`
`
`U.S. Patent No. 6,176,102 to Novak et al.
`
`U.S. Patent NO. 6,300,378 to Tapscott
`
`U.S. Patent No. 7,279,451 to Singh et al.
`Reserved
`
`
`
`
`
`
`
`
`Exhibit 10 1 2
`
`Exhibit 10 1 3
`
`Exhibit 10 14
`
`
`
`Exhibit 1 01 6
`
`Exhibit 1 017
`
`Exhibit 1 01 8
`
`Exhibit 1019
`
`Exhibit 1020
`
`
`
`Exhibit 1022
`
`Exhibit 1021
`
`10 of 97
`
`x
`
`

`
`
`U.S. Patent No. 7,534,366 to Singh et al.
`U.S. Patent No. 8,033,120 to Singh et al.
`
`
`
`February 10, 1997 (English Translation)
`
`Exhibit 1023
`
`Exhibit 1024
`
`
`
`
`
`
`
`_
`
`
`
`
`Exhibit 1030
`
`Exhibit 1031
`
`Exhibit 1032
`
`Exhibit 1033
`
`Exhibit 1034
`
`Exhibit 1035
`
`
`
`
`
`
`
`WO 2004/037913 to Sin h et al.
`Transcript of Oral Proceedings in Appeal No. T0860/12—3.3.10
`of EPO Opposition of EP 1 716 216 B1 to Singh et al., dated
`September 22, 2015
`
`U.S. Patent No. 7,396,965 to Mukhopadhyay et al.
`
`U.S. Patent No. 7,560,602 to Van Der Puy et al.
`
`Japanese Patent App. Publication No. JP 5—85970 to Omure ‘et
`al., dated April 6, 1993 (English Translation)
`
`U.S. Provisional Patent Application No. 60/421,263, filed
`October 25, 2002
`
`Exhibit 1036
`
`U.S. Provisional Patent Application No. 60/421,435, filed
`October 25, 2002
`
`Exhibit 1037
`U.S. Patent Application No. 10/694,272, filed October 27, 2003
`
`
`
`
`Exhibit 1038
`
`
`
`
`U.S. Patent Application No. 10/694,273, filed October 27,
`2003
`
`
`
`
`
`
`
`Exhibit 1039
`
`Exhibit 1040
`
`Exhibit 1041
`
`Amendment dated October 24, 2007 in U.S. Patent Application
`No. 10/694,273
`U.S. Patent Application No. 10/695,212, filed October 27, 2003
`
`U.S. Patent Application No. 10/837,525, filed April 29,
`2004
`
`Exhibit 1042
`
`
`
`Exhibit 1043
`
`Application Data Sheet for U.S. Patent Application No.
`10/837,525, filed April 29, 2004
`
`
`
`
`U.S. Patent Application No. 11/847,192, filed August 29,
`2007
`
`ll of97
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`

`
`2013
`
` U.S. Patent Application No. 13/844,206, filed March 15,
`
`
`
`
`
`U.S. Patent Application No. 14/225,5 88, filed March 26,
`2014
`
`
`
`
`
`
`Application Data Sheet for U.S. Patent Application No.
`14/225,588, filed March 26, 2014
`
`Preliminary Amendment in U.S. Patent Application No.
`14/225,588, filed March 26, 2014
`
`
`
`
`
`Exhibit 1044
`
`Exhibit 1045
`
`Exhibit 1046
`
`Exhibit 1047
`
`Exhibit 1048
`
`Reserved
`
`Exhibit 1049
`
`
`
`Amendment dated August 29, 2014 in U.S. Patent
`Application No. 14/225,588, filed March 26, 2014
`
`Exhibit 1050
`
`Amendment dated December 19, 2014 in U.S. Patent
`Application No. 14/225,588, filed March 26, 2014
`
`bxhtbtt 1051
`bxhtbht 1052
`
`Exhibit 1053
`
`
`
`
`
`Reserved
`
`Exhibit 1054
`
`Reserved
`
`
`
`Exhibit 1055
`
`Action Closing Prosecution in Reexam Control No. 95/000,576
`of U.S. Patent No. 7,279,451, dated May 25, 2012
`
`
`
`
`
`
`
`
`
`
`
`
`bxhtbtt 1056
`Exhibit 1057
`
`
`
`
`
`Declaration of Raymond Thomas originally filed in Reexam
`Control No. 95/001,783, dated October 15, 2012; submitted in
`the Prosecution History of U.S. Patent No. 9,157,017 on August
`29, 2014
`
`
`
`
`
`
`Exhibit 1059
`No. 95/002,030 (dated December 24, 2012); and filed in the
`Prosecution History of U.S. Patent No. 9,157,017 on August 29,
`2014
`
`
`
`
`
`
`Declarationof Rajiv Ratna Singh filed submitted for Reexam
`Control No. 95/002,030 (dated December 24, 2012); and filed in
`the Prosecution Histor of U.S. Patent No. 9,157,017 on Au ust
`
`
`
`
`
`
`hxhtbtt tbbb
`
`Exhibit mm
`Exhibit 1062
`
`
`
`
`Declaration of Donald B. Bivens submitted in Reexam Control
`
`12 of 97
`
`xii
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`Exhibit 1058
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`

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`
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`
`
`
`
`
`
`
`
`
`Complaint in Civil Action No. 2: 10-cv-02866-WY in U.S.
`District Court for Eastern District of Pennsylvania
`
`
`
`
`
`Exhibit 1074
`
`Reserved
`
`Exhibit 1075
`
`Order, D.I. 100 in C.A. 2:10-cv-02886-CD], dated September 25,
`2013
`
`Exhibit 1076
`Exh1bit1077
`Exhibit 1078
`
`IDS Transmittal Letter and IDS dated March 26, 2014 in U.S.
`
`Patent Application No. 14/225,588, filed March 26, 2014
`
`Exhibit 1°79
`Exhibit 1080
`
`
`
`SAE INTERNATIONAL, FACTS COOPERATIVE RESEARCH
`PROGRAM, www.sac.orgzstandardsdev/tsb/cooQerative/summar_y—
`z11tref.[gdfglast visited 02/18/2016}
`
`
`
`
`M.W. Spatz, Update on a Low GWP Refrigerant: Fluid H, SAE
`2007 ALTERNATIVES REFRIGERANT SYSTEMS SYMPOSIUM (July
`
`17-19, 2007)
`
`Exhibit 108 1
`
`
`
`13 of 97
`
`xiii
`
`
`— 29, 2014
`Exhibit 1063
`First Action Closing Prosecution in Reexam Control No.
`
`95/002,030 of U.S. Patent No. 8,065,882, dated December 13,
`Exhib" 1°64
`E*““°“ ‘O65
`E"““’“ ‘°66
`Exhibit 1067
`Exhibit 1068
`
`2013
`
`
`
`
`
`
`
`
`HOneywell’s Submission in EPO Opposition of EP 1 716
`216 B1 to Singh et al., dated December 20, 2010
`
` Exhibit 1069
`
` Exhibit 1070
`
`EPO Revocation Decision in EPO Opposition of EP 1 716
`216 B1 to Singh et al., dated April 13, 2012
`
`Mexichem Amanco Holdings S.A. de C. V. v. Honeywell Int’l,
`Inc., IPR2013-00576, Paer 21 (PTAB Ma 8, 2014)
`
`
`
`Reserved
`
`
`
` Exhibit 1071
`
`
`
`Exhibit 1072
`
`Exhibit 1073
`
`
`Reserved
`
`
`

`
`
`
`
`
`
`
`
`Mark Spatz & Barbara Minor, HF0-1234yf Low GWP
`Refrigerant: A Global Sustainable Solution for Mobile Air
`Conditioning, SAE 2008 ALTERNATE REFRIGERANT SYSTEMS
`SYMPOSIUM (June 10-12, 2008), blips://www.cheInOurs.com/
`Rcfrigerants/en US/assets/downloads/SmartAutOAC/
`
`MAC SAE08 HFO l234yf.pdf
`
`Mark Spatz & Barbara Minor, HF0-1234yf Low GWP
`Refrigerant Update Honeywell/DuPone Joint Collaboration,
`International Refrigeration and Air Conditioning Conference at
`Purdue (July 14-17, 2008)
`
`
`
`
`
`Exhibit 1082
`
`HONEYWELL, HONEYWELL ANNUAL REPORT (2007)
`
`
`
`Exhibit 1083
`
`Exhibit 1084
`
`Exhibit 1085
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`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`SAE INTERNATIONAL, SAE CRPI 234: Industry Evaluation
`of Low Global Warming Potential Refrigerant HF0-
`1234yf (Dec. 9, 2008),
`http://www.saeorg/standardsdev/tsb/cooperativel
`cg; l 234su1nmary.pdf
`
`Exhibit 1086
`
`
`
`Patent Owner’s Response to the First Office Action Mailed
`September 5, 2014 in U.S. Patent Application NO. 13/844,206,
`dated November 4, 2014
`
`
`Exhibit 1087
`
`
`
`Exhibit 1088
`
`
`
`
`
`
`Exhibit 1089
`
`
`
`Exhibit 1090
`
`David P. Wilson & Mary Koban, HF0-I 234yf Industry Update,
`EPA Rl234YF COMMERCIALIZATION MEETING (Feb. 6, 2009)
`
`SAE INTERNATIONAL, SAE CRPI234: Industry Evaluation of
`Low Global Warming Potential Refrigerant HF0-1 234yf, (Nov.
`10, 2009), http://www.sac.Org/standardsdev/tsb/cooperative/
`crp1234-3.pdf
`
`Press Release, SAE International, SAE International
`
`Releases Test Results of the Low GWP Refrigerant for
`Mobile Air-Conditioning (Nov. 10, 2009),
`httQS2//WWW.S£lC.Ol‘g/I1CWS/ 1 109/
`
`Christian Puhl, Refrigeration Oils for Future Mobile A/C
`Systems, VDA Winter Meeting Saalfelden (2009)
`
`HONEYWELL, HFO l234YF PRODUCT BROCHURE (Sept. 2010)
`Exhibit 1091
`
`
`
`Exhibit 1092
`Press Release, General Motors, GM First to Market
`
`
`
`
`
`Greenhouse Gas—Friendly Air Conditioning Refrigerant
`in U.S. (July 23, 2010),
`htt
`://media.vm.com/media/us/cn/ m/home.detail.html/
`
`
`
`14 of 97
`
`xiv
`
`

`
`Exhibit 1093
`
`content/Pages/news/us/en/2010/July/0723 refriaeranth
`t_rr11
`
`
`
`
` Press Release, SAE International, Cadillac XTS First U.S.
`
`Car with R—I234yfA/C (Feb. 14, 2012),
`http://articles.sae.org/l0663/
`
`Exhibit 1094
`
`ACDelco, New R-I234yfA/C Refrigerant Makes Its U.S.
`Debut, TECHCONNECT (Sept. & Oct. 2012)
`
`
`
`
`
`Exhibit 1095
`
`
`
`Press Release, Honeywell, Honeywell Announces Major
`Investments to Increase HF0—I234yf Production in the United
`States (Dec. 10, 2013), https://honcywc1l.com/News/Pagcs/
`Honeywel1-Announces-Maior-Investments-TmIncrease-HFO-
`1234 f—Production—In-The~United-States.as x
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Exhibit 1096
`
`Elliot Maras, MA CS: Chrysler reports R-1234yf results in
`Jeep, VEHICLE SERV. PROS (Jan. 2014),
`http://www.vehicleservicepros.com/news/1 1296735/ma
`cs-Chrysler-reports-r-1 234yf-resu1ts-in- jeep—cherOl<ee
`
`Exhibit 1097
`
`RANDOM HOUSE WEBsTER’s COLLEGE DICTIONARY (2000)
`
`Exhibit 1099
`
`778:”ca§0..
`Exhibit 1098
`
`
`
`O.J. Nielsen et al., Atmospheric Chemistry of CF3CF= CH2:
`Kinetics and Mechanisms of Gas-Phase Reactions with Cl
`
`
`Atoms, OH Radicals, and O3, 439 CHEM. PHYS. LETTERS 18
`(2007)
`
`Exhibit 1100
`
`R. C. DOWNING, FLUOROCARBON REFRIGERANTS HANDBOOK
`
`(1988)
`
`Exhibit 1101
`
`
`
`DuPont, 0pteon® Refrigerant Has Low GWP,
`http://www.dupont.cOm/inclustries/automotive/thermaL
`manaement—hvac/articles/hvac-sustainabilit .html
`
`
`
`
`S. Jin & H. Pega, Refrigerant and Lubricant Distribution in MAC
`S stem, 6 SAE INT. J. PAssEN. CARS - MECH. SYST. 1013 (2013)
`C. Zilio, The Refrigerant RI234yf in Air Conditioning Systems,
`36 ENERGY 6110 (2011)
`WORLD METEOROLOGICAL ORGANIZATION, SCIENTIFIC
`
`ASSESSMENT OF OZONE DEPLETION: 2002 (2002)
`
`xv
`
`
`
`
`Exhibit 1102
`
`Exhibit 1103
`
`Exhibit 1104
`
`Exhibit 1 105
`
`
`
`
`15 of 97
`
`
`
`
`
`
`
`
`
`

`
`Exhibit 1106
`
` AM. NAT’L STANDARDS INST., ASHRAE GUIDELINE 3-1996:
`
`
`REDUCING EMISSION OF HALOGENATED REFRIGERANTS IN
`
`REFRIGERATION AND AIR-CONDITIONING EQUIPMENT AND
`
`SYSTEMS (1996)
`
`
`
`AM. NAT’L STANDARDS INST., ASHRAE STANDARD 97-1999:
`
`13111111111 1107
`Exhibit 1108
`
`
`
`Exhibit 1 109
`
`
`
`
`
`
`
`
`
`Exhibit 11 10
`2013: DESIGNATION AND SAFETY CLASSIFICATION OF
`
`
`
`REFRIGERANTS (2013)
`
`
`SEALED GLASS TUBE METHOD TO TEST THE CHEMICAL STABILITY
`OF METHODS FOR USE WITHIN REFRIGERANT SYSTEMS (1999)
`
`
`AM. NAT’L STANDARDS INST., ASHRAE STANDARD 147-2002:
`
`
`
`REDUCING THE RELEASE OF HALOGENATED REFRIGERANTS IN
`
`REFRIGERATION AND AIR-CONDITIONING EQUIPMENT AND
`
`SYSTEMS (2002)
`
`AM. NAT’L STANDARDS INST., ASHRAE STANDARD 34-
`
`
`
`James M. Calm & David A. Didion, Trade-Ofifi in Refrigerant
`Selections: Past, Present, and Future, ASHRAE/NIST
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Exhibit 1 1 13
`
`Exhibit 11 14
`
`
`
`REFRIGERANTS CONF. (Oct. 6-7, 1997)
`
`
`
`DJ. Bateman, Current Development Status of HFC-I 34a for
`Automotive Air Conditioning, SAE TECHNICAL PAPER SERIES
`(1990)
`
`
`
`
`
`Ramesh K. Shah, Automotive Air-Conditioning Systems-
`Historical Developments, the State of Technology, and Future
`Trends, 30 HEAT TRANSFER ENGINEERING 720 (2009)
`
`
`
`EX1111111 1115
`EX11111‘ 1116
`
`Exhibit 11 17
`
`
`
`
`
`Exhibit 11 18
`
`
`W.L. Brown, The Development of Lubricants for Automotive A/C
`Systems, INT’L COMPRESSOR ENGINEERING CONF., Paper 1247
`(1998)
`
`Paul L. Matlock et al., Polyalkylene Glycols, in SYNTHETIC
`LUBRICANTS AND HIGH-PERFORMANCE FUNCTIONAL FLUIDS (2d
`
`
`
` Exhibit 1119
`
`ed. 1999)
`
`16 of 97
`
`xvi
`
`

`
`
`
`Michael B. Pate et a1., Miscibility of Lubricants with Refrigerants
`(July 1993)
`
`Exhibit 1120
`
`Reserved
`
`
`
`
`
`
`M. B. Pate & S.C. Zoz, Critical Solution Temperatures for Ten
`Dtflerent Non—CFC Refrigerants with Fourteen Difierent
`Lubricants, INT’L REFRIGERATION & AIR CONDITIONING CONF.,
`
`
`
`
`
`Paper 285 (1994)
`
`
`
`Claudio Zilio et al., Simulation of R-1 234yf in a Typical
`Automotive System, THIRD IIR CONF. ON THERMOPHYSICAL
`PROPS. & TRANSFER PROCESSES OF REFRIGERANTS, Paper 128
`(2009)
`
`
`
`Vladimir L. Orkin et a1., Rate Constants for the Reactions of OH
`with HFC-245cb ( CH3CFZCF3) and Some Fluoroalkenes
`
`
`
`
`
`
`
`(CH2CHCF3, CH2CFCF3, CFZCFCF3, and CF2CF2),
`
`PHYSICAL CHEMISTRY 9118 (1997)
`
`
`Reserved
`
`Mark O. McLinden, Development of the REFPROP Database
`and Transort Proerties of Refri; erants (Jul 1998)
`
`Exhibit 1127
`
`BRUCE E. POLING ET AL., THE PROPERTIES OF GASES AND LIQUIDS
`
`
`
`
`
`
`
`
`
`(5th ed. 2001)
`
`
`
`Marcia L. Huber & James F. Ely, A Predictive Extended
`Corresponding States Model for Pure and Mixed Refrigerants
`
`
`Including an Equation of State for RI34a, 17 INT’L J.
`
`REFRIGERATION 18 (1994)
`
`M. Preissner et a1., Suction Line Heat Exchangerfor R134A
`Automotive Air- Conditioning System, INT’L REFRIGERATION &
`
`AIR CONDITIONING CONF., Pa er 494 (2000)
`
`Donald B. Bivens & Barbara H. Minor, Fluoroethers and Other
`
`Next—Generation Fluids, ASHRAE/NIST REFRIGERANTS CONF.
`
`Exhibit 1121
`
`Exhibit 1122
`
`Exhibit 1123
`
`Exhibit 1124
`
`Exhibit 1 125
`
`Exhibit 1126
`
`Exhibit 1128
`
`Exhibit 1129
`
`Exhibit 1130
`Exhibit 1131
`Exhibit 1132
`
`Exhibit 1133
`
`
`
`
`
`
`
`
`
`122 (Oct. 1997)
`
`Honghyun Cho et a1., Performance Characteristics of an
`Automobile Air Conditioning System with Internal Heat
`Exchanger Using Refrigerant R1234yf, 61 APPLIED THERMAL
`ENGINEERING 5 63 (2013)
`
`Exhibit 1134
`
`J. Navarro-Esbri ’, Experimental Analysis ofR1 234yf as a Drop-
`In Replacementfor R134a in a Vapor Compression System, 36
`
`17 of 97
`
`xvii
`
`
`
`
`
`

`
`Exhibit 1 135
`
`Reserved
`
`INT’L J. REFRIGERATION 870 (2013)
`
`Exhibit 1136
`
`Denis Clodic & Young Soo Chang, Characteristics and
`
`
`- PerformancesofNewRefrigerants, ADEMETECHNICALDAY-
`
`
`Exhibit 1 137
`
`ROBERT C. REID ET AL., THE PROPERTIES OF GAsEs AND LIQUIDS
`
`PARIS (Se t. 23, 1999)
`
`(4th ed. 1987)
`
`Exhibit 1138
`
`U.S. Patent No. 3,884,828 to Butler
`
`
`
`Exhibit 1139
`
`Dow CORNING, ACUTE VAPOR INHALATION TOXICITY OF TX-52
`
`(Submitted to EPA Dec. 17, 1991)
`
`Exhibit 1140
`
`Reserved
`
`Exhibit 1141
`
`Reserved
`
`Exhibit 1142
`
`Reserved
`
`Exhibit 1143
`
`Reserved
`
`
`
`
`
`
`Exhibit 1144
`
`Reserved
`
`
`
`
`
`
`
`
`
`
`
`Exhibit 1 145
`
`Reserved
`
`
`
`Reserved
`
`Exhibit 1146
`
`
`
`
`
`Exhibit 1147
`
`Reserved
`
`
`
`
`
`
`Exhibit 1148
`Exhibit 1149
`
`
`
`Japanese Patent App. Pub. No. JP 4-110388 to Inagaki et
`al.
`
`E""“’“‘”°
`Exhibit 1151
`Exhibit 1152
`Mexichem Amanco Holdings S.A. de C. V. v. Honeywell
`
`
`International, Inc., IPR2013-00576, Paper 50 (PTAB Feb. 26,
`
`2015)
`
`Exhibit 1153
`
`
`Exhibit 1154
`
`
`Exhibit 1155
`
`
`
`
`
`of U.S. Patent NO. 8,033,120, dated September 14, 2012
`Action Closing Prosecution in Reexam Control No. 95/002,189
`of U.S. Patent No. 7,534,366, dated Ma 27, 2014
`
`
`
`Exhibit 1157
`
`
` Exhibit 1 158
`
`
`18 of 97
`
`xviii
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`
`
`

`
`AAC
`
`GLOSSARY
`
`Automobile air conditioning
` Application data sheet
`
`T
`
`
`j 1
`
`,l,1—trifluoropropene, HFO—1243zf, or HFC-1243zf
`
`
`
`19 of 97
`
`xix
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`
`
`POE
`
`POSA
`
`Polyol ester
`
`
`
`Person of ordinary skill in the art
`
`

`
`U.S. Patent No. 9,157,017
`
`I.
`
`Introduction
`
`By at least 2008, the automotive industry targeted HFO—1234yf as a
`
`commercially-viable, low global—warming-potential refrigerant for automotive air-
`
`conditioning. Following extensive industry studies and numerous publications
`
`showing that HFO—1234yf possessed excellent performance properties, low
`
`toxicity, miscibility in common polyalkylene glycol lubricants, and good system
`
`compatibility, the Society for Automotive Engineers announced that “HFO-1234yf
`
`can be used as the global replacement refrigerant in future mobile air conditioning
`
`systems.” European automakers then introduced HFO—1234yf/PAG lubricant
`
`automotive A/C systems as early as 2011, and in the U.S. manufacturers followed
`
`beginning in 2012. By the end of 2013, there were nearly half a million cars on the
`
`road using HFO—1234yf, including from Ford, Opel, and Mazda.
`
`Honeywell then tried to claim these industry-wide standards as its own. On
`
`March 26, 2014, it filed the application that led to U.S. Patent No. 9,157,017 (Ex.
`
`1001, “the ’017 patent”) with claims specifically directed to the prior industry
`
`consensus of HFO-1 234yf/PAG lubricant for automobile air conditioning (“AAC”)
`
`systems. However, these claims were unsupported by Honeywe1l’s priority
`
`applications, which disclose no such composition or its use. The ’017 patent
`
`claims therefore have an effective filing after March 16, 2013, and are subject to
`
`post—grant review.
`
`20 of 97
`
`

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`U.S. Patent No. 9,157,017
`
`This Petition establishes that all claims of the ’O17 patent are unpatentable
`
`over prior art the PTO did not have or did not fully consider during prior
`
`examination. Rather than being directed to nonobvious subject matter, the claims
`
`of the ’Ol7 patent relate to heat transfer compositions for AAC systems consisting
`
`essentially of a known refrigerant—HFO-1234yf—and known polyalkylene glycol
`
`(“PAG”) lubricants. However, refrigerants in AAC systems have been the subject
`
`of studies and regulations for at least the past 30 years, and the increasingly
`
`stringent regulations led directly to the claimed subject matter. Indeed, in a recent
`
`reexamination of a related patent, claims covering the present combination of
`
`HFO—1234yf refrigerant and PAG lubricant were found unpatentable.
`
`The desirability of refrigerants having low ODP and GWP properties was
`
`widely known in the automotive industry well before the October 2002, filing of
`
`the earliest parent to the ’017 patent. HFO—1234yf was an obvious choice. The
`
`prior art shows HFO—1234yf as a zero—ODP alternative that performed equal to or
`
`better than R-12 at typical AAC operating conditions. The fluoroalkene class of
`
`refrigerants, which includes HFO—1234yf, was identified as particularly promising
`
`due to their exceedingly short atmospheric lifetimes and corresponding low GWPS.
`And, PAG lubricants were the standard lubricants used in almost all iAAC systems
`
`and compatible with hydrofluorocarbon refrigerants like