Notice of Pre-AIA or AIA Status
The present application is being examined under the pre-AIA first to invent provisions.
Continued Examination Under 37 CFR 1.114
A request for continued examination under 37 CFR 1.114, including the fee set forth in 37 CFR 1.17(e), was filed in this application after final rejection. Since this application is eligible for continued examination under 37 CFR 1.114, and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114. Applicant's submission filed on 09/16/2026 has been entered.
Claim Rejections - 35 USC § 103
In the event the determination of the status of the application as subject to AIA 35 U.S.C. 102 and 103 (or as subject to pre-AIA 35 U.S.C. 102 and 103) is incorrect, any correction of the statutory basis (i.e., changing from AIA to pre-AIA ) for the rejection will not be considered a new ground of rejection if the prior art relied upon, and the rationale supporting the rejection, would be the same under either status.
The text of those sections of Title 35, U.S. Code not included in this action can be found in a prior Office action.
The factual inquiries for establishing a background for determining obviousness under pre-AIA 35 U.S.C. 103(a) are summarized as follows:
1. Determining the scope and contents of the prior art.
2. Ascertaining the differences between the prior art and the claims at issue.
3. Resolving the level of ordinary skill in the pertinent art.
4. Considering objective evidence present in the application indicating obviousness or nonobviousness.
This application currently names joint inventors. In considering patentability of the claims under pre-AIA 35 U.S.C. 103(a), the examiner presumes that the subject matter of the various claims was commonly owned at the time any inventions covered therein were made absent any evidence to the contrary. Applicant is advised of the obligation under 37 CFR 1.56 to point out the inventor and invention dates of each claim that was not commonly owned at the time a later invention was made in order for the examiner to consider the applicability of pre-AIA 35 U.S.C. 103(c) and potential pre-AIA 35 U.S.C. 102(e), (f) or (g) prior art under pre-AIA 35 U.S.C. 103(a).
1. Claims 1-3 and 7-12 are rejected under pre-AIA 35 U.S.C. 103(a) as being unpatentable in view of U.S. Patent No. 6,527,181 to Kleeberg et al. in view of U.S. Patent Application Publication No. 2020/0101458 to Croquette et al.
Kleeberg et al. teaches a system for detecting visual identifying information on a lid of a container 1 that, as shown in Fig. 1, includes an annular skirt structure having an upper portion and a side portion, with the upper portion of the annular skirt having at least first and second portions having visual identifiers having portions of a bar code 2 and a quite zone 4. (column 6, lines 44-53)
Kleeberg et al. teaches that the visual identifiers enable automatic detection, recognition and identification of objects, like e.g. sample bottles for spectroscopic analysis, and allow for supplying containers to an NMR spectrometer via a transport system. (Abstract; column2, lines 44-46).
In this regard, Kleeberg et al. teaches that the bar codes contain machine-readable information. (column 1, lines 58-60).
Kleeberg et al. further teaches using a standard bar code reading means for reading out the inventive bar code. (column 4, lines 36-38)
Kleeberg et al. does not teach that annular skirt depends from the top surface of the closure and extends away from the top surface in a direction substantially perpendicular to the top surface as newly recited in claim 1, wherein the annular skirt includes a first portion having a first visual identifier and a second portion having a second visual identifier.
Croquette et al teaches a cap 152 on a sample holder 151 (“collection container”) that has an identification module 154 on a side of the cap that is interpreted as a skirt as show in Fig. 3A. [0038]-[0039]
The identification module includes identification indicia 155 that can be in the form of a barcode 155A and/or a color array 155B. [0039]
Croquette et al. teaches that the sample identification module is readable as a sample container gripper passes over the sample container, indicating that the identification module can be machine-read. [0105]
It would have been obvious to one of ordinary skill in the art at the time the invention was made to modify Kleeberg et al. to provide the first and second portions of the bar code that provide visual identifiers on the sides of the lid that extend away from the top surface of the lid in a direction substantially perpendicular to the top surface as taught by Croquette et al. in addition to identifiers on the top of the cap, or as an alternative arrangement of the visual identifiers that allow for optical detection from the side of the lid.
Arranging the bar code reader of Kleeberg et al. in view of Croquette et al. to read the identification indicator on the side of the cap would have been obvious to one skilled in the art since, as noted above, both Kleeberg et al. and Croquette et al. teach mechanical reading means.
I.) Regarding applicant’s claim 1, as noted above Kleeberg et al. in view of Croquette et al. renders all the elements of claim 1 obvious.
Therefore, Kleeberg et al. in view of Croquette et al. renders claim 1 obvious.
II.) Regarding applicant’s claim 2, as noted above Kleeberg et al. renders claim 1 obvious from which claim 2 depends.
Claim 2 recites that the first visual identifier and second visual identifier form a visually distinct pattern relative to each other.
In Kleeberg et al. in view of Croquette et al. the first visual identifier and second visual identifier form a visually distinct pattern relative to each other as noted by the bar codes taught by Kleeberg et al. and the color array of Croquette et al.
Therefore, Kleeberg et al. in view of Croquette et al. renders claim 2 obvious.
III.) Regarding applicant’s claim 3, as noted above Kleeberg et al. in view of Croquette et al. render claim 1 obvious from which claim 3 depends.
Claim 3 recites that the first visual identifier is a first color, and the second visual identifier is a second color, the second color being different from the first color.
In Kleeberg et al. in view of Croquette et al. the first visual identifier and second visual identifier of the bar code include different colors, including black and white as taught by Kleeberg et al. or the color array of Croquette et al.
Therefore, Kleeberg et al. in view of Croquette et al. renders claim 3 obvious.
IV.) Regarding applicant’s claim 7, as noted above Kleeberg et al. in view of Croquette et al. renders claim 1 obvious from which claim 7 depends.
Claim 7 recites that the top surface and the first portion of the annular skirt have the same visual identifier.
Kleeberg et al. teaches visual identifiers on the top of the lid.
In Kleeberg et al. in view of Croquette et al. it would have been obvious to one of ordinary skill in the art at the time the invention was made to include the visual identifiers of Kleeberg et al. on the top of the lid and/or with the identifier of Croquette et al. on the side of the lid to allow for optical identifying of the visual identifiers from either or both of the top and sides of the lid.
Therefore, Kleeberg et al. in view of Croquette et al. renders claim 7 obvious.
V.) Regarding applicant’s claim 8, as noted above Kleeberg et al. in view of Croquette et al. renders claim 1 obvious from which claim 8 depends.
Claim 8 recites that the second portion is printed over at least a portion of the first portion.
In Kleeberg et al. in view of Croquette et al. the annular skirt structure can arbitrarily be construed as having any portions interpreted as being first and second portions, therefore allowing printing of the visual identifiers on portions of the annular skirt that are first and second portions.
Therefore, Kleeberg et al. in view of Croquette et al. render claim 8 obvious.
VI.) Regarding applicant’s claim 9, as noted above Kleeberg et al. in view of Croquette et al. renders claim 1 obvious from which claim 9 depends.
Claim 9 recite that the first portion is the base material of the closure.
As noted above, in Kleeberg et al. in view of Croquette et al. the annular skirt structure can arbitrarily be construed as having any portions interpreted as being first and second portions, including a first portion that is the base material of the lid.
Therefore, Kleeberg et al. in view of Croquette et al. render claim 9 obvious.
VII) Regarding applicant’s claim 10, as noted above Kleeberg et al. in view of Croquette et al. renders claim 1 obvious from which claim 10 depends.
Claim 10 recites that the first portion and the second portion are co-formed.
In Kleeberg et al. in view of Croquette et al. the annular skirt is formed as one piece and therefore the first and second portions of the annular skirt are co-formed
Therefore, Kleeberg et al. in view of Croquette et al. renders claim 10 obvious.
VIII.) Regarding applicant’s claim 11, as noted above Kleeberg et al. in view of Croquette et al. renders claim 1 obvious from which claim 11 depends.
Claim 11 recites that the first portion includes a first region adjacent the top surface and a second region adjacent the bottom surface of the annular skirt, and the second portion is disposed between the first region of the first portion and the second region of the first portion.
As noted above, in Kleeberg et al. in view of Croquette et al. the annular skirt structure can arbitrarily be construed as having any portions interpreted as being first and second portions, including a first portion that includes a first region adjacent the top surface and a second region adjacent the bottom surface of the annular skirt, and the second portion disposed between the first region of the first portion and the second region of the first portion.
Therefore, Kleeberg et al. in view of Croquette et al. renders claim 11 obvious.
IX.) Regarding applicant’s claim 12, as noted above Kleeberg et al. in view of Croquette et al. renders claim 1 obvious from which claim 12 depends.
Claim 12 recites that the first portion includes a first region adjacent a first depending sidewall and a second region adjacent a second depending sidewall, and the second portion is disposed between the first region of the first portion and the second region of the first portion.
In Kleeberg et al. in view of Croquette et al. the annular skirt structure can arbitrarily be construed as having any portions interpreted as being first and second depending sidewall portions, including a first depending sidewall and a second region adjacent a second depending sidewall, and the second portion is disposed between the first region of the first portion and the second region of the first portion. Note, applicant’s first and second depending sidewalls are not identified in applicant’s drawings.
Therefore, Kleeberg et al. in view of Croquette et al. render claim 12 obvious.
2. Claim 6 is rejected under 35 USC 103 as being unpatentable over Kleeberg et al. in view of Croquette et al. as applied to claim 1 and further in view of U.S. Patent Application Publication No. 2001/0021356 to Konrad.
I.) Regarding applicant’s claim 6, as noted above Kleeberg et al. in view of Croquette et al. renders claim 1 obvious from which claim 6 depends.
Claim 6 recites a stopper at least partially disposed within the annular skirt, wherein at least one of the annular skirt and the stopper are configured for closing a container.
Kleeberg et al. in view of Croquette et al. does not teach a stopper at least partially disposed within the annular skirt, wherein at least one of the annular skirt and the stopper are configured for closing a container.
Konrad teaches a stopper 28 disposed within the annular skirt structure as shown in Fig. 6.
It would have been obvious to one of ordinary skill in the art to modify Kleeberg et al. in view of Croquette et al. to configure the closure to include a stopper disposed within the annular side of the cap as taught by Konrad as a known manner of sealing a container.
Therefore, Kleeberg et al. in view of Croquette et al. and Konrad render claim 6 obvious.
3. Claims 4, 5 and 13 are rejected under pre-AIA 35 U.S.C. 103(a) as being unpatentable over Kleeberg et al. in view Croquette et al. as applied to claim 1 above and further in view of U.S. Patent Application Publication No. 2005/0003521 to O’Connor et al.
I.) Regarding applicant’s claim 4, as noted above Kleeberg et al. in view of Croquette et al. renders claim 1 obvious from which claim 4 depends.
Claim 4 recites that either the first visual identifier or the second visual identifier comprises one or more fluorescent compounds having a characteristic fluorescent spectra.
Kleeberg et al. in view of Croquette et al. does not teach that either the first visual identifier or the second visual identifier comprises one or more fluorescent compounds having a characteristic fluorescent spectra.
O’Connor teaches that identification markers may be optical markers, such as optical bar codes or fluorescent markers. [0051]
It would have been obvious to one of ordinary skill in the art at the time the invention was made to modify Kleeberg in view of Croquette et al. to substitute the bar codes with fluorescent markers as taught by O’Connor et al. and include a fluorescence excitation light source and a detector to image the fluorescent bar codes as a simple substitution of one known element for another to obtain predictable results. (MPEP 2143(I)(B))
Therefore, Kleeberg et al. in view of Croquette et al. and O’Connor renders claim 4 obvious.
II.) Regarding applicant’s claim 5, as noted above Kleeberg et al. in view of Croquette et al. renders claim 1 obvious from which claim 5 depends.
Claim 5 recites that the first visual identifier comprises a first fluorescent compound having a characteristic fluorescent spectra and the second visual identifier comprises a second fluorescent compound having a characteristic fluorescent spectra, the second fluorescent compound being different from the first fluorescent compound.
Kleeberg et al. in view of Croquette et al. does not teach that the first visual identifier comprises a first fluorescent compound having a characteristic fluorescent spectra and the second visual identifier comprises a second fluorescent compound having a characteristic fluorescent spectra, the second fluorescent compound being different from the first fluorescent compound.
As noted above, O’Connor teaches that identification markers may be optical markers, such as optical bar codes or fluorescent markers. [0051]
It would have been obvious to one of ordinary skill in the art at the time the invention was made to modify Kleeberg in view of Croquette et al. to substitute the bar codes with fluorescent markers as taught by O’Connor et al. including different fluorescent compounds having different characteristic fluorescent spectra and include a fluorescence excitation light source and a detector to image the fluorescent bar codes as a simple substitution of one known element for another to obtain predictable results. (MPEP 2143(I)(B))
Therefore, Kleeberg et al. in view of Croquette et al. and O’Connor renders claim 5 obvious.
III.) Regarding applicant’s claim 13, as noted above Kleeberg et al. in view of Croquette et al. renders claim 1 obvious from which claim 13 depends.
Claim 13 recites a fluorescence excitation light source and a detector.
Kleeberg et al. in view of Croquette et al. does not teach a fluorescence excitation light source and a detector.
As noted above, O’Connor teaches that identification markers may be optical markers, such as optical bar codes or fluorescent markers. [0051]
It would have been obvious to one of ordinary skill in the art at the time the invention was made to modify Kleeberg et al. in view of Croquette et al. to substitute the bar codes with fluorescent markers as taught by O’Connor et al. and include a fluorescence excitation light source and a detector to image the fluorescent bar codes as a simple substitution of one known element for another to obtain predictable results. (MPEP 2143(I)(B))
Therefore, Kleeberg et al. in view of Croquette et al. and O’Connor renders claim 13 obvious.
3. Claim 14 is rejected under pre-AIA 35 U.S.C. 103(a) as being unpatentable over Kleeberg et al. in view of Croquette et al. as applied to claim 1 above and further in view of International Patent Application Publication No. WO2009117032 to Agrawal et al.
I.) Regarding applicant’s claim 14, as noted above Kleeberg et al. in view of Croquette et al. renders claim 1 obvious from which claim 14 depends.
Claim 14 recites that the system includes an automatic decapper.
Kleeberg et al. in view of Croquette et al. does not teach an automatic decapper.
Agrawal et al. teaches that for handling large numbers of samples it is also preferred to use cappers and decappers to easily tighten the caps and remove them from a multitude of bottles or vials used to process the samples. [0023]
It would have been obvious to one of ordinary skill in the art at the time the invention was made to modify Kleeberg in view of Croquette et al. to include a decapper as taught by Agrawal et al. for purposes of accessing the contents of containers used in the system.
Therefore, Kleeberg et al. in view of Croquette et al. and Agrawal et al. renders claim 14 obvious.
Response to Arguments
Applicant’s arguments with respect to claims 1-14 have been considered but are moot because the new ground of rejection that relies upon Croquette et al. as necessitated by applicant’s amendments to the claims, which include reciting a visual identifier system configured to read an annular skirt. Croquette at al. teaches providing a visual identifier on the side (skirt) of a cap that can be machine-read.
Conclusion
Any inquiry concerning this communication or earlier communications from the examiner should be directed to MICHAEL S. GZYBOWSKI whose telephone number is (571)270-3487. The examiner can normally be reached M-F 8:30-5:00.
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/M.S.G./Examiner, Art Unit 1798
/CHARLES CAPOZZI/Supervisory Patent Examiner, Art Unit 1798
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