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`Docket No.: H0003965DIV1D
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`(PATENT)
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`In re Patent Application of:
`Rajiv R. Singh et al.
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`Application No.: 14/225,588
`Attorney Docket: H0003965DIV1E
`Filed:03/26/2014
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`Confirmation No.: 2687
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`Art Unit: 1761
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`For: COMPOSITIONS CONTAINING FLUORINE
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`Examiner: Hardee
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`SUBSTITUTED OLEFINS AND METHODS
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`AND SYSTEMS USING SAME
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`Electronically Filed
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`Mail Stop: Amendments
`Commissioner for Patents
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`P. O. Box 1450
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`Alexandria, VA 22313-1450
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`RESPONSE TO OFFICE ACTION MAILED MAY 29, 2014
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`Dear Madam:
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`This is submitted in response to the Office Action having a mailing date of May 29, 2014,
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`having a period for response set to expire on August 29, 2015. No fees are believed to be required
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`in connection with this communication. To the extent any other fee is required in connection with
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`the reply submitted herewith, please charge all such fees to Deposit Account No. 50-1943.
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`0 Amendments to the claims begin on page 2
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`0 Remarks begin on page 7.
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`Arkema Exhibit 1049
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`AMENDMENTS TO THE CLAIMS
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`1. — 20. (Canceled)
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`21. (Previously presented)
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`A method for producing an automobile air conditioning system for
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`use with 2, 3, 3, 3—tetrafluoropropene (HFO—1234yf) comprising:
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`(a) providing an automobile vapor compression air conditioning system usable with refrigerant
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`1,1,1,2—tetrafluoroethane (HFC—l34a) and having at
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`least one compressor and at
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`least one
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`condenser; and
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`(b) providing a heat transfer composition in said system, said heat transfer composition consisting
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`essentially of:
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`(i) at least about 50% by weight of a refrigerant consisting essentially of HFO—1234yf ; and
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`(ii) lubricant consisting essentially of polyalkylene glycol(s), and
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`wherein (1) said condenser is operable with said refrigerant in a temperature range that includes
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`150OF and (2) said system when operating at a condenser temperature of 150OF achieves a capacity
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`relative to HFC—l34a of about 1 and a Coefficient of Performance (COP) relative to HFC—l34a of
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`about 1.
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`22. (Previously presented)
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`The method of claim 21 wherein said lubricant is present in the heat
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`transfer composition in an amount of from about 30% to about 50% by weight.
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`23. (Previously presented)
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`The method of claim 21 wherein said HFO—1234yf is present in the
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`heat transfer composition in an amount of at least about 70% by weight.
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`24. (Previously presented)
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`The method of claim 21 wherein said refrigerant has no substantial
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`acute toxicity as measured by inhalation exposure to mice and rats.
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`25. (Previously presented)
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`The method of claim 24 wherein said refrigerant has a Global
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`Warming Potential (GWP) of not greater than about 150.
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`26. (Previously presented)
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`A method of conditioning the air
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`in an automobile using an
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`automobile air conditioning system including at least one compressor, at least one condenser and at
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`least one evaporator, said method comprising:
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`(a) utilizing in said system a heat transfer composition consisting essentially of:
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`(i) at
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`least about 50% by weight of a refrigerant consisting essentially of 2, 3, 3, 3-
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`tetrafluoropropene (HFO—l234yf); and
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`(ii) lubricant consisting essentially of polyakylene glycol(s); and
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`(b) removing heat from said HFO—l234yf by condensing said refrigerant in said condenser when
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`said condenser is operating over a temperature range that that includes about l50°F.
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`27. (Previously presented)
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`The method of claim 26 wherein said refrigerant achieves in said
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`system a capacity relative to HFC—l34a of about 1 and a Coefficient of Performance (COP) relative
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`to HFC—l34a of about 1.
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`28. (Previously presented)
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`The method of claim 26 wherein said lubricant is present in the heat
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`transfer composition in an amount of from about 30% to about 50% by weight.
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`29. (Previously presented)
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`The method of claim 27 wherein said HFO—l234yf is present in the
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`heat transfer composition in an amount of at least about 70% by weight.
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`30. (Previously presented)
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`The method of claim 29 wherein said refrigerant has no substantial
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`acute toxicity as measured by inhalation exposure to mice and rats.
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`31. (Previously presented)
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`The method of claim 30 wherein said refrigerant has a Global
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`Warming Potential (GWP) of not greater than about 150.
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`32. (Currently amended)
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`A stable heat
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`transfer composition for use in an automobile air
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`conditioning system of the type having a condenser operating in a temperature range that includes
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`about l50°F, said heat transfer composition consisting essentially of:
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`(i) at
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`least about 50% by weight of a refrigerant consisting essentially of 2, 3, 3, 3-
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`tetrafluoropropene (HFO—l234yf); and
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`(ii) lubricant consisting essentially of polyakylene glycol(s),
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`wherein said refrigerant under the conditions of said condenser operating at about l50°F in said
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`automobile air conditioning system has a capacity relative to HFC—l34a of about 1 and a Coefficient
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`of Performance (COP) relative to HFC—l34a of about 1, and wherein said heat transfer composition
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`is stable in Contact with aluminum, steel and copper.
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`33. (Previously presented)
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`The heat transfer composition of claim 32 wherein said heat transfer
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`composition has one liquid phase over the temperature range of from about —30°C to about +50°C.
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`34. (Previously presented)
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`The heat transfer composition of claim 32 wherein said lubricant is
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`present in the heat transfer composition in an amount of from about 30% to about 50% by weight.
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`35. (Previously presented)
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`The heat transfer composition of claim 32 wherein said HFO—l234yf
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`is present in the heat transfer composition in an amount of at least about 70% by weight.
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`36. (Previously presented)
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`The heat transfer composition of claim 35 wherein said refrigerant has
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`no substantial acute toxicity as measured by inhalation exposure to mice and rats.
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`37. (Previously presented)
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`The heat transfer composition of claim 36 wherein said refrigerant has
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`a Global Warming Potential (GWP) of not greater than about 150.
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`38. (Previously presented)
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`The heat transfer composition of claim 37 wherein said refrigerant
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`consists of HFO—l234yf.
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`39. (Previously presented)
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`A method for providing a system for cooling air in an automobile
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`comprising:
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`(a) providing in the automobile a vapor compression air conditioning system having at least one
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`compressor and at least one condenser; and
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`(b) providing in said system a heat transfer composition consisting essentially of:
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`(i) at
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`least about 50% by weight of a refrigerant consisting essentially of 2, 3, 3, 3-
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`tetrafluoropropene (HFO—l234yf); and
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`(ii) lubricant consisting essentially of polyakylene glycol(s), and
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`wherein (1) said condenser is operable with said refrigerant in a temperature range that includes
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`l50OF and (2) said system operating at a condenser temperature of l50OF achieves a capacity
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`relative to HFC—l34a of about 1 and a Coefficient of Performance (COP) relative to HFC—l34a of
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`about 1.
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`40. (Previously presented)
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`The method of claim 39 wherein (A)
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`said refrigerant has no
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`substantial acute toxicity as measured by inhalation exposure to mice and rats; (B) has a Global
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`Warming Potential (GWP) of not greater than about 150; and (C) said HFO—l234yf is present in the
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`heat transfer composition in an amount of at least about 70% by weight.
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`Reconsideration of the present application in View of the above amendments and following
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`REMARKS
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`remarks is respectfully requested.
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`I.
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`STATUS OF THE CLAIMS
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`As a result of this amendment, claims 21 — 40 are pending. Claim 32 has been amended to
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`recite that the heat transfer composition is a stable heat transfer composition when in Contact with
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`aluminum, steel and copper. Support for this amendment is found in the present specification at
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`page 24, lines 15 — 20. No other claims have been amended. No new claims are added and no
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`claims are canceled.
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`II.
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`CLAIM REJECTIONS UNDER 35 USC 103
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`The Examiner has rejected the claims as being obvious over JP 4—110388 to Inagaki (hereinafter
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`“Inagaki”) in View of Bivens. The Examiner has also rejected the claims as being obvious over RU
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`2,073,058 (hereinafter “RU058”) in view of Bivens. The Examiner’s rejection of the claims is respectfully
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`traversed.
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`III.
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`SUMMARY OF THE CLAIMED SUBJECT MATTER
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`Claims 21 — 31 and 39 — 40 are directed to methods of producing or providing an automobile air
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`conditioning system (claims 21 — 25 and 39 — 40), or to conditioning the air in automobile by using an
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`automobile air conditioning system (claims 26 — 31). Claims 32 — 38 are directed to stable heat transfer
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`compositions for use in automobile air conditioning systems. All of the methods and compositions require
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`a heat transfer composition in which the refrigerant consists essentially of 2, 3, 3, 3—tetrafluoropropene
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`(HFO—1234yf) and in which the lubricant consists essentially of polyalkylene glycol(s) (PAG). As
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`explained in detail below, the present invention is thus directed to a specific heat transfer application,
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`namely automobile air conditioning, having a combination of stringent and unique technical requirements,
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`including numerous properties and characteristics that are not predictable. The claims as now pending
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`provide the unexpected advantage of being able to meet all of those requirements while at the same time
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`providing systems, methods and compositions that have a substantially reduced global warming impact
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`relative to prior systems, methods and composition. The automobile air conditioning industry had
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`unsuccessfully sought such a solution for at least a decade, and prior to the present invention those skilled
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`in the art were of the general opinion that such a solution could not be found. After a decade of concerted
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`industry effort, applicant’ s proceeding contrary to accepted wisdom and as a result were the first to provide
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`the solution defined by the present claims. As a direct result of the ability of this solution to achieve all of
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`the rigorous and unique demands of environmentally friendly automobile air conditioning systems, methods
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`and compositions, the invention as now claimed has achieved tremendous commercial success.
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`IV.
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`THE CLAIMED SUBJECT MATTER IS PATENTABLE
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`A. Automobile Air Conditioning Is A Separate Field
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`The field of automotive air conditioning is a distinct technical field within the broader, general field
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`of heating and cooling applications. As such, automotive air conditioning has specific technical
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`requirements as compared to other heating and cooling applications, including stationary air conditioning.
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`As discussed in more detail below, these specific technical features include but are not limited to:
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`(l) strict prohibitions on use of toxic refrigerant materials due to the confined, sealed, low volume
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`air space which is intended to be occupied by humans and which is exposed to potential refrigerant leakage;
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`(2) strict restrictions on compressor size due to small engine compartment space and weight
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`restrictions to enable improved gas mileage, thus placing restrictions on refrigerant capacity and COP;
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`(3) the ability to effectively and efficiently operate at high condenser temperatures to ensure
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`effective operation in high ambient temperature conditions in the heat—trapping engine compartment; and
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`(4) restrictions on refrigerant flammability due to the confined, sealed, low volume air space that is
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`exposed to potential refrigerant leakage; and
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`(5) high stability in View of the need for the use of flexible hoses.
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`Thus a person of ordinary skill in the art would not simply expect that a material used as a
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`refrigerant in applications other than automotive air conditioning would be useful in automobile air
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`conditioning.
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`A detailed description of the essential requirements of automobile air—conditioning were provided
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`by an expert in the field of automobile air—conditioning systems, Professor Denis Clodic, Professor at the
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`Ecole des Mines de Paris and Assistant Manager of the Centre for Energy Studies, in a Report dated
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`December 1995 and entitled “Etude sur la climatisation automobile.” (see Exhibits M and N to Singh
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`Declaration dated March 30, 2013 in connection with Reexamination 95/002,189 (hereinafter “Singh
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`DecMarch30”). As describe by Dr. Clodic in 1995, automobile air conditioning systems are mounted in
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`the confined space existing under the hood or bonnet of an automobile as shown below. The accompanying
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`pressure—enthalpy diagram shows the changes of state and of pressure taking place as the heat transfer fluid
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`moves through each part of the system, from the exit (A) of the evaporator, through the compressor, the
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`condenser, the receiver and the expansion valve (B to D), and back to the evaporator.
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`Automotive air conditioners must be able to provide cooling over a very wide range of operating
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`conditions, as determined by fluctuations in the driving cycle, involving variation in engine and driving
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`speeds, and variations in ambient temperature across the global market for which automobiles are designed.
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`The cooling capacity required varies widely, from 200W up to 7000W (e. g., in urban conditions) (see page
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`18, paragraph 6). This has a number of important implications. First, the refrigerant fluid must be able to
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`condense over a wide range of condenser temperatures, as determined by external conditions (e. g., hot
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`summer temperature, hot geographical locations) and/or driving conditions (idling as compared to highway
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`driving), including at temperatures up to and in excess of 65°C. In this regard it is necessary to recognize
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`the importance of effective operation at the high end of the external temperature range since this represents
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`the condition at which effective air conditioning is most desired by the user of the automobile. In other
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`words, an automobile air conditioner which does not work during the hottest season of the year or in the
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`hottest geographical region of use is of no real value at all. Secondly, the refrigerant fluid must be able to
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`withstand very high compressor discharge temperatures, for instance, in the range of 66—93°C for R— 12.
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`The unique design of an automobile air conditioning system, with the condenser located at the front
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`of the radiator within the engine compartment, contributes to the higher condensing temperature of the
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`refrigerant gas seen in automotive air conditioners, as compared to the condensing temperatures seen in
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`other refrigeration systems. In order to effectively cool the vehicle cabin it is necessary for the condenser
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`to transfer heat into the hot engine compartment, which may be up to about 20°C higher than the external
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`air temperature. The temperature of the engine compartment also depends on how the vehicle is being
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`driven and would be hotter when the car is idling, for example, in an urban environment on a hot summer’s
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`day, with condenser—heated exhaust air being recirculated back to the inlet of the condenser, and heat
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`radiating from hot road surfacing. Thus, at outside air temperatures of 40°C and higher, it is considered a
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`design criteria that the temperature within the engine compartment will reach 60°C or higher. If the
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`condenser is to transfer heat into the engine compartment, and provide the necessary cooling, the
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`condensing temperature must be higher than the combination of ambient air, air heated by hot road surfaces
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`and engine recirculation air than enters the front face of the condenser (see pages 24, 26 and 27.).
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`In contrast, in stationary (or residential) air conditioning, and in heat pumps, the condenser is
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`located outside the building and the evaporator inside the building. Thus, to achieve effective heat transfer
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`to the outside air, the condensing temperature merely needs to be higher than that of the outside air.
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`Indeed, best results are achieved when the temperature of the outside air is low, but even in hot weather the
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`condensing temperature in such systems would rarely exceed around 55°C, and this is significantly below
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`that required for automobile air conditioning.
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`To reflect the effects of variation in temperature and/or engine speed, automobile air conditioning
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`systems are conventionally tested under a wide range of operating conditions. Three sets of operating
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`conditions, or cycles, are described in Clodic’s 1995 Report (see page 24). The first of these, Fl, relates to
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`operation at a stabilised speed of 120 km/h on a motorway with total air renewal, and different
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`condensation temperatures of 38°C and 50°C. The second cycle, F2, is described as an “urban cycle” with
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`the engine idling at low speed, and in this condition the condensing temperature is quoted as 65°C.
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`Indeed, at the bottom of page 26, above the table, Clodic observes that for external temperatures of 40°C,
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`which is in no way the maximum external temperature that might be encountered by an automobile,
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`required condensation temperatures can reach 65 °C.
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`The unique design and environment of an automotive air conditioning system also necessitates the
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`use of different equipment to that used in other refrigeration systems. As mentioned above, in automobile
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`air conditioning systems, the condenser is located in front of the radiator, the evaporator behind the
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`dashboard, and the compressor mounted on the engine. Due to the vibrations experienced in a moving
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`vehicle, and in particular the relative motion between the compressor mounted on the engine and the other
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`components of the system which are mounted on the car body, the components of automobile air
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`conditioning systems must be connected by flexible hoses rather than the rigid (and breakable) metal tubing
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`used in stationary air—conditioning systems. (see page 18, paragraphs 4 and 5). Thus, the refrigerant used in
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`automobile air conditioning must be compatible with the equipment with which it is to be used; it must be
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`chemically stable, and not interact negatively with any of the materials from which the equipment is made.
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`The flexible hoses, made of rubber or plastics, tend to be much more sensitive to chemical interaction, and
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`thus have more difficult compatibility requirements, than the metal hosing used in stationary systems.
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`Automobile air conditioning also imposes very strict constraints directed to safety. This is because
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`of the unique configuration and environment of automobile air conditioning systems, including: i) close
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`proximity to the engine which typically contains gasoline or diesel, and ii) the air being circulated in a
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`small, confined, relatively sealed space containing humans, generally not encountered in other cooling and
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`heating applications. Thus, automobile air conditioning systems create specific flammability and toxicity
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`constraints distinct from and much more stringent than other heating and cooling applications.
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`All these specific characteristics of an automobile air conditioning system emphasise that
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`automotive air conditioning is a distinct, select, technical field. All these specific characteristics also
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`necessarily have a significant impact on the properties required, and increase the difficulty and
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`unpredictability of choosing an effective heat transfer fluid for use in an automotive air conditioning
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`system. It is readily apparent, therefore, that a skilled artisan would not conclude that a heat transfer fluid
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`disclosed as suitable for heating or cooling generally would necessarily, or obviously, be suitable for use in
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`automobile air conditioning.
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`B. Automobile Air Conditioning Has A Strict Set of Unique Requirements
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`With the above—described unique aspects associated with automobile air conditioning methods and
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`systems in mind, the claimed subject matter is based on the decision by the present inventors to proceed in
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`a direction opposite to the conventional teachings in a very unpredictable art and the subsequent unexpected
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`discovery that of highly advantageous methods, systems and compositions for automobile air condition.
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`The inventive selections made by the present inventors include: (1) deciding to pursue, notwithstanding the
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`low likelihood of success, automobile air conditioning methods, systems and compositions that would
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`satisfy all of the existing requirements of automobile air conditioning systems but in a dramatically lowered
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`environmental impact; (2) selecting HFO—l234yf from among the haloolefin notwithstanding the accepted
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`belief that haloolefins as a class were toxic and reactive; and (3) selecting a lubricant that is stable and
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`sufficiently miscible with HFO—l234yf to be used in automobile air conditioning systems. The decision of
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`the inventors to make these selection resulted in novel methods, system and compositions for the
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`conditioning of air in automobiles, and these selections were not only contrary to the teachings in the prior
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`art, they produced unexpectedly superior results. For example, as explained in more detail hereinafter, the
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`selections made by the present inventors achieve the full matrix of properties listed below:
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`(1) excellent heat transfer performance for the cooling of air, to the point of being a drop—in or near drop—in
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`replacement for automobile air conditioning systems based on the global warming refrigerant HFC— l34a;
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`(2) chemical stability between the refrigerant and lubricant, and between the refrigerant and materials
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`forming the automobile air conditioning system;
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`(3) unexpectedly low acute toxicity, and acceptably low toxicity for use in automobile air conditioning
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`systems;
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`(4) acceptably low flammability for use in automobile air conditioning systems;
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`(5) acceptable and effective refrigerant/lubricant miscibility for use without an oil seperator;
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`(6) dramatically superior Global Warming Potential (GWP) compared to existing refrigerants; and
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`(7) an Ozone Depletion Potential (ODP) close to zero.
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`Prior to the present invention, those skilled in the art simply had no basis for making the selections
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`the inventors here made. Furthermore, and just as importantly, those skilled in the art also had no basis for
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`an expectation or reason to believe that methods, systems and compositions for the safe, effective and
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`environmentally friendly cooling of air in automobiles could be found at all, much less by selecting as the
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`refrigerant a specific compound from the halogenated olefin class and lubricant from the class of PAG
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`lubricants.
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`Importantly, applicants have surprisingly found that the invention as now claimed permits the use of
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`methods, systems and compositions that satisfy at once all of the requirements (1) through (7). The ability
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`to achieve this combination of characteristics and features was not possible according to anything taught or
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`suggested in the prior art, but yet it is the basic and novel aspect of the present claims, which all relate to
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`the use in automobile air conditioning of a heat transfer composition consisting essentially of HFO—
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`l234yf and PAG lubricant. As explained in detail below, this invention is not only unsuggested by the
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`prior art, the prior art actually teaches away from the invention and provides no basis for a reasonable
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`expectation that all seven of the above characteristics could be obtained in an automobile air conditioning
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`system, much less that they could be achieved using the combination that applicants now claim.
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`C. Prima Facie Obviousness Can Not Be Established On the Basis of Either Inagaki or RU058
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`The Examiner has relied on Inagaki and on RU058 as primary references in combination with
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`Bivens in rejecting the pending claims. However, neither of these primary references teaches or in any way
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`suggests any method, system or composition capable of being sucesfully used in connection with
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`automobile air conditioning. The Examiner addresses this deficiency only by noting that automobile air
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`conditioning is “a notoriously common use of the heat transfer compositions.” (Office Action at page 7).
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`However, applicants respectfully submit that this is improper circular logic.
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`It was certainly not
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`“notoriously common” that halogentated olefins were used in automobile air conditioning, as is evidenced
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`by the fact there is not a single prior art reference that discloses using a halogenated olefin in automobile air
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`conditioning, much less the specific compound HFO—l234yf required by the claims. Clearly, neither
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`Inagaki nor RU05 8 contain any mention or suggestion of the use of any material in automobile air
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`conditioning. This is not surprising because, as explained below, the prior art considered halogenated
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`olefins to be toxic and reactive, two features that would logically preclude their use in automobile air
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`conditioning.
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`A prima facie case is also not possible because there is no suggestion in either Inagaki or in RU05 8
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`to specifically select a refrigerant which “consists essentially of ’ the compound HFO—l234yf. In fact,
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`RU058 cannot even be properly cited against these claims because its purpose would be destroyed if it were
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`modified to correspond to the claimed subject matter. RU05 8 is directed to a multicomponent refrigerant
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`which requires the presence of tetrafluoroethane and a hydrocarbon in amounts which equal or exceed, on a
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`molar basis, the amount of unsaturated compound. Thus, removing these components would negate the
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`very purpose of the invention described in RU05 8, which precludes it use as primary reference. In re
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`Gordon, 733 F.2d 900 (Fed. Cir. 1984) (holding that if a proposed modification of a prior art reference
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`would be understood by a person skilled in the art to render that reference unsatisfactory for its intended
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`purpose, then there is no suggestion or motivation to make the proposed modification). Furthermore, the
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`claims preclude the presence of such large amounts of each of these components because they would defeat
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`the basic and novel feature of the present invention. For example, large concentrations of tetrafluoroethane
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`would negate the environmental advantage achieved by the present invention and the hydrocarbon would
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`defeat the low flammability advantage of the present invention. Similarly, there is nothing in Inagaki to
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`suggest a refrigerant which excludes the presence of other components said to be useful by Inagaki. For
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`example, Inagaki mentions that the refrigerant can comprise “at least one compound” within the stated
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`formula, which includes compounds which were highly toxic, unstable and/or flammable, and that such
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`“compounds” should be mixed with “one or more compounds” compounds, which are high global
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`warming, in order to achieve performance advantages (see the passage bridging pages 5 and 6). There is
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`simply nothing in Inagaki to suggest that a refrigerant should be limited to HFO—l234yf so as to exclude
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`such compounds in order to ensure that the seven features described above can be achieved
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`D. The Prior Art Teaches Away from The Use of Halogenated Olefins Because of Reactivity
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`and Toxicity
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`When the prior art is considered as a whole, it actually teaches away from the use of any
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`halogenated olefin in any application in which the refrigerant could be exposed to humans located in a
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`small confined space, as in the case of an automobile, because in the event of a leak because those material
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`as a class were perceived to represent a substantial toxicity hazard. Thus, before the present invention,
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`HFOs had not been adopted as a refrigerant for any commercial refrigeration application because they were
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`perceived to a level of reactivity and toxicity that precluded their use in such applications.
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`(see Singh
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`Declaration dated July 3, 2012 in connection with Reexamination 95/000,576 (hereinafter “Singh Dec. July
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`13, 2012,” para. 12 and 13). In fact, haolgented olefins in general were specifically limited to a maximum
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`of 40 ppm in saturated refrigerants that were previously used, and several patents were granted for method
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`so removing such toxic material from saturated refrigerants. See for example, Singh Dec. July 13, 2012.
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`In fact, the person skilled in the art would have been correct in many instances in thinking that
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`toxicity would be an insurmountable problem with the use of fluorinated olefins, including many within the
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`the teaching of Inagaki. For example, if the compound of Example 1 of Inagaki, namely, 1,1,1,-
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`trifluoropropene had been selected for use in automobile air conditioning, it would have created an
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`unacceptable hazard because of its toxicity. See Declaration of Donald Bivens Dated 12/24/2012 in
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`connection with 95/002,030 (hereinafter “Bivens”). Similarly, if the compound HFO—1225zc, which is one
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`of the unsaturated compounds according to the teachings of Inagaki, it would also have created an
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`unacceptable hazard because of its toxicity (see the discussion below regarding the unexpectedly low
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`toxicity of HFO—1234yf). Thus, a person skilled in the art would need a basis for making a selection of a
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`low—toxicity fluoroolefin, and one that also satisfied the other six requirements described above, in order to
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`have a reasonable expectation of arriving at the subject matter now claimed. No basis for making this
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`selection exists in the prior art.
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`E. Bivens Does Not Overcome The Deficiencies in Inagaki and RU058, Nor Does It Suggest
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`Combining HFO-1234yf with PAG Lubricant
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`Like Inagaki and RU05 8, Bivens fails to suggest the use of any composition for use in automobile
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`air conditioning, nor does it in any way suggest the use of any unsaturated compound, much less HFO—
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`1234yf, for any purpose. Thus, Bivens cannot overco