DETAILED ACTION
Notice of Pre-AIA or AIA Status
The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA .
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and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114.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 May 5, 2026 has been entered.
Response to Arguments
Applicant's arguments filed April 6, 2026 have been fully considered but they are not persuasive. Amendments to the current set of claims have changed the scope of the claimed invention, resulting in a modification of the previous prior art rejection using new combinations and new portions of previously used prior art references upon further consideration.
On page 6 of the Remarks section, as indicated by the page number at the bottom of each page, Applicant discusses the Specification objection. The Examiner notes that the references listed in this section are application numbers, not publication numbers, so the objection still stands.
On pages 6-8, Applicant then discusses the previous 102 and 103 prior art rejections to the claims, specifically with regard to independent Claim 1. Applicant summarizes the invention of previous anticipatory reference, now primary reference, Axmann et al., DE 102014015642, (“Axmann”, “Machine Translation of DE102014015642”, published 2016, 28 total pages). Here, Applicant argues that the cited references do not disclose amended independent Claim 1. In particular, Applicant argues that primary reference Axmann would not disclose a configuration of the sterilization container with the inlet and outlet on opposite ends of the container, asserting that the disclosed embodiment demonstrates a two-step process in which a first phase is performed in the interior of the inner container and then a second phase performed in the gap between the inner container and the outer container. Applicant also asserts that modifying such a configuration disclosed in Axmann would involve eliminating the diverting nose 8.1 in this embodiment, which redirects flow of fluid into the gap. The Examiner notes that another embodiment in Axmann, Figure 4, provides a inner body with LED (UV) displays and an outer body with LED (UV) displays in the gap between the outer and inner body. In this embodiment, a gap is maintained, with these LED (UV) arrangements, and the inlet and outlet are disposed on opposite ends. This embodiment teaches doing so to lengthen the duration the fluid spends in said container/gap before exiting. Further, the Examiner notes that an alternative embodiment in Axmann, Figure 2, also demonstrates further concentric arrangements of tubes, each with UV LED arrangements, defining gaps through which fluid flows, with the inlet and outlet disposed at opposite ends, (See Figure 2, See paragraph [0028], Axmann). In both examples, Axmann demonstrates that the inlet/outlet can disclose and read upon the claimed configuration without sacrificing the duration or time necessary to disinfect the treated fluid. For these reasons, the Examiner finds Applicant’s remarks unpersuasive. The remainder of Applicant’s remarks are considered unpersuasive since they do not present any additional arguments against the disclosures already provided.
Specification
The disclosure is objected to because of the following informalities: please also insert the patent publication number and dates of the applications listed in the section “Cross-Reference to Related Applications”.
Appropriate correction is required.
Claim Rejections - 35 USC § 112
The following is a quotation of 35 U.S.C. 112(b):
(b) CONCLUSION.—The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the inventor or a joint inventor regards as the invention.
The following is a quotation of 35 U.S.C. 112 (pre-AIA ), second paragraph:
The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the applicant regards as his invention.
Claims 16-19 and their dependent claims are rejected under 35 U.S.C. 112(b) or 35 U.S.C. 112 (pre-AIA ), second paragraph, as being indefinite for failing to particularly point out and distinctly claim the subject matter which the inventor or a joint inventor (or for applications subject to pre-AIA 35 U.S.C. 112, the applicant), regards as the invention.
Claim 16 recites the limitation “a sensor”. It is not clear if this limitation is the same as “a sensor” in claim 1, or not. Examiner interprets it to be the same.
Claim 16 recites the limitation “a property”. It is not clear if this limitation is the same as “a property” in claim 1, or not. Examiner interprets it to be the same.
Claim 17 recites the limitation “a sensor”. It is not clear if this limitation is the same as “a sensor” in claim 1, or not. Examiner interprets it to be the same.
Claim 17 recites the limitation “a property”. It is not clear if this limitation is the same as “a property” in claim 1, or not. Examiner interprets it to be the same.
Claim 18 recites the limitation “at least one property”. It is not clear if this limitation is the same as “a property” in claim 1, or not. Examiner interprets it to be the same.
Claim 19 recites the limitation “a sensor”. It is not clear if this limitation is the same as “a sensor” in claim 1, or not. Examiner interprets it to be the same.
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 following is a quotation of 35 U.S.C. 103 which forms the basis for all obviousness rejections set forth in this Office action:
A patent for a claimed invention may not be obtained, notwithstanding that the claimed invention is not identically disclosed as set forth in section 102, if the differences between the claimed invention and the prior art are such that the claimed invention as a whole would have been obvious before the effective filing date of the claimed invention to a person having ordinary skill in the art to which the claimed invention pertains. Patentability shall not be negated by the manner in which the invention was made.
The factual inquiries for establishing a background for determining obviousness under 35 U.S.C. 103 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 the examiner presumes that the subject matter of the various claims was commonly owned as of the effective filing date of the claimed invention(s) absent any evidence to the contrary. Applicant is advised of the obligation under 37 CFR 1.56 to point out the inventor and effective filing dates of each claim that was not commonly owned as of the effective filing date of the later invention in order for the examiner to consider the applicability of 35 U.S.C. 102(b)(2)(C) for any potential 35 U.S.C. 102(a)(2) prior art against the later invention.
Claim(s) 1-8 & 12-19 is/are rejected under 35 U.S.C. 103 as being unpatentable over Axmann et al., DE 102014015642, (“Axmann”, “Machine Translation of DE102014015642”, published 2016, 28 total pages), in view of Livne et al., (“Livne”, US 2017/0303555), in further view of Hillman, (US 4,336,223), in further view of Traubenberg et al., (“Traubenberg”, US 6,646,269).
Regarding Claims 1-8 & 12-17, a first embodiment (Embodiment 1) of Axmann discloses a device for sterilizing a fluid flowing through by means of UV radiation, (Abstract, Figure 3), comprising: a container, (Bell 8, See Figure 3, See paragraph [0029]), having an inlet for receiving the fluid, (Inlet 13, See Figure 3, See paragraph [0029]), and having an outlet for discharging the fluid from the container, (Outlet 16, See Figure 3, See paragraph [0029]), wherein an irradiation zone for irradiation of the fluid is provided inside the container, (Bell 8, See Figure 3, See paragraph [0029]), a multiplicity of radiation sources, each of which is configured to emit light having wavelengths in a range of UV radiation, into the irradiation zone, (LEDs 11, 12, See Figure 3, See paragraph [0029]), wherein the irradiation zone is formed as a gap, wherein the container is designed for the fluid to flow through the gap, (Interior of Bell 8 and Gap a over Outside of Truncated Cone 10, See Figure 3, See paragraph [0029]), and wherein the irradiation zone is designed for a gap dimension of the gap to be variable, (See paragraphs [0024], [0028] & [0029]; gap a varies).
Embodiment 1 of Axmann does not explicitly disclose wherein the device is designed to displace a displaceable body in relation to the wall of the container, so that the gap dimension changes uniformly inside the irradiation zone; wherein the inlet and the outlet are provided at opposite ends of the container; a sensor configured to measure a property of the fluid, wherein the radiation sources are arranged both on the wall of the container and on a wall of the displaceable body facing the wall of the container; or wherein the displaceable body is driven based on a measurement signal from the sensor.
Embodiment 2 of Axmann discloses wherein the inlet and the outlet are provided at opposite ends of the container, (Inlet Channel 24 and Drain Channel 26 located on opposite sides of Cylinder 17, See Figure 4, See paragraphs [0030] & [0031], Axmann; or See Figure 2, See paragraph [0028], Axmann), and wherein the radiation sources are arranged both on the wall of the container and on a wall of the displaceable body facing the wall of the container, (LED arrays 19 embedded in flow body 18 (displaceable body), and LED arrays 17 on inside of cylinder (container), See Figure 4, See paragraph [0030], Axmann; or See Figure 2, See paragraph [0028], Axmann).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to have modified the device of Axmann by incorporating wherein the inlet and the outlet are provided at opposite ends of the container and wherein the radiation sources are arranged both on the wall of the container and on a wall of the displaceable body facing the wall of the container as in Embodiment 2 of Axmann because “a continuous lateral relative displacement of the liquid layer formed in the gap…necessarily lengthens the passage though [the] gap” and “simultaneously increases the exposure time of the UVC radiation and enhances the disinfection effect”, (See paragraph [0031], Axmann).
Livne discloses wherein a device is designed to displace a displaceable body in relation to the wall of the container, so that the gap dimension changes uniformly inside the irradiation zone, (See Figures 28, 37, See paragraphs [0032], [0348] & [0349], Livne).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to have modified the device of modified Axmann by incorporating wherein the device is designed to displace a displaceable body in relation to the wall of the container, so that the gap dimension changes uniformly inside the irradiation zone as in Livne for “allowing thereby access to the [container or displaceable body]”, (See paragraph [0032], Livne), for “removal and replacement of different elements…without disassembling the whole unit”, (See paragraph [0251], Livne).
Modified Axmann does not disclose a sensor configured to measure a property of the fluid or wherein the displaceable body is driven based on a measurement signal from the sensor.
Hillman discloses further comprising a sensor which is designed to measure a property of the fluid, (See column 4, lines 21-33, Hillman). Additional features of this embodiment are claim mapped to in the Additional Disclosures section below.
It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to have modified the device of modified Axmann by incorporating further comprising a sensor which is designed to measure a property of the fluid as in Hillman so that “fluid characteristics as well as the condition of the lamps and the intensity of the radiation penetrating the fluid will function to control the fluid flow rate to insure proper sterilization of the fluid”, (See column 12, lines 32-45, Hillman).
Modified Axmann does not disclose wherein the displaceable body is driven based on a measurement signal from the sensor.
Traubenberg discloses wherein the displaceable body is driven based on a measurement signal from the sensor, (See column 1, lines 37-43, See column 8, lines 65-67, column 9, lines 1-26, Traubenberg). Additional features of this disclosure are claim mapped to in the Additional Disclosures section below.
It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to have modified the device of modified Axmann by incorporating wherein the displaceable body is driven based on a measurement signal from the sensor as in Traubenberg because the “exterior of radation source assemblies will become fouled with undesired materials”, (See column 9, lines 1-3, Traubenberg), which then will “urge and translate slidable member” to “operate to remove undesired materials from the exterior of radiation source assemblies in a reciprocal manner”, (See column 9, lines 17-21, Traubenberg).
Additional Disclosures Included:
Claim 2: The device as claimed in claim 1, wherein the gap is formed by walls arranged facing one another, and wherein a distance between the walls is variable, (Gap a between Bell 8 and Truncated Bell 10, See Figure 3, See paragraph [0029], Axmann; gap a varies).
Claim 3: The device as claimed in claim 2, wherein one of a walls arranged facing one another is a wall of the container, (Inherent Wall of Bell 8, See Figure 3, See paragraph [0029], Axmann).
Claim 4: The device as claimed in claim 2, wherein one of the walls arranged facing one another is a wall of a displaceable body which is arranged at least partially inside the container, (Inherent Wall of Truncated Cone Bell 10, See Figure 3, See paragraph [0029], Axmann).
Claim 5: The device as claimed in claim 2, wherein the shapes of the walls arranged facing one another are matched to one another so that the gap between the walls is formed uniformly at least in sections, inside an entire irradiation zone, (Gap a between inherent walls of Bell 8 and Truncated Bell 10, See Figure 3, See paragraph [0029], Axmann).
Claim 6: The device as claimed in claim 4, wherein the gap dimension changes uniformly inside the irradiation zone as in Livne for “allowing thereby access to the [container or displaceable body]”, (See paragraph [0032], Livne), for “removal and replacement of different elements…without disassembling the whole unit”, (See paragraph [0251], Livne).
Claim 7: The device as claimed in claim 6, wherein the displaceable body is mechanically coupled to the displacement unit, for example by the displaceable body being supported movably in a linear guide rail, (Guide Tracks 441/443, See Figures 28, 29A/B, See paragraphs [0348], [0349], Livne).
Claim 8: The device as claimed in claim 6, wherein the displaceable body is magnetically coupled to the displacement unit through the container, (See column 3, lines 12-26, See column 37-51, Traubenberg).
Claim 12: The device as claimed in claim 4, wherein the displaceable body has, at least in sections, a shape of a wedge or cone or a plane wall, (Inherent Wall of Truncated Cone Bell 10, See Figure 3, See paragraph [0029], Axmann).
Claim 13: The device as claimed in claim 12, wherein the plane wall is displaceable through an opening in a wall of the container transversely with respect to the flow direction of the fluid flowing through the gap-shaped irradiation zone and toward an oppositely arranged other wall of the container, wherein the gap-shaped irradiation zone is formed between an end side of the displaceable wall and an oppositely arranged wall, and wherein the gap dimension can be varied by displacement of the displaceable wall, (Inherent Wall of Truncated Cone Bell 10 and its gap with Bell 8 in which gap is variable, Bell 10 is placed through opening in wall/flange of Bell 8, See Figure 3, See paragraph [0029], Axmann).
Claim 14: The device as claimed in claim 1, having a first plane wall, which is displaceable through an opening in a first wall of the container, and having a second plane wall, which is displaceable through an opening in a second wall of the container, wherein the first plane wall and the second plane wall are arranged so that they face one another respectively with respective end sides, and wherein the irradiation zone having the gap dimension is formed between the respective end sides of the two displaceable walls, (Inherent Walls of Truncated Cone Bell 10 and their gap with Bell 8 in which gap is variable, Bell 10 is placed through opening in wall/flange of Bell 8, See Figure 3, See paragraph [0029], Axmann).
Claim 15: The device as claimed in claim 1, wherein the container, the walls, and/or the body consists or consist at least partially of a material that is transparent for the light emitted by the radiation sources, (See paragraph [0029]; two glass layers 10.1 and 10.2 of Cone bell 10, Axmann).
Claim 16: The device as claimed in claim 1, further comprising a sensor which is designed to measure a property of the fluid, (See column 4, lines 21-33, Hillman).
Claim 17: The device as claimed in claim 6, further comprising a sensor designed to measure a property of the fluid, (See column 4, lines 21-33, Hillman), wherein the device is driven as a function of a measurement signal of the sensor, (See paragraph [0024], Axmann; See column 5, lines 42-68, column 6, lines 1-6, Hillman).
Regarding Claims 18 & 19, modified Axmann discloses a method for sterilizing a flowing fluid, comprising: providing a device as claimed in claim 1, (See rejection of Claim 1 above); connecting the inlet of the device to a source of the fluid and connecting the multiplicity of radiation sources to an electrical energy supply source, (Inlet 13 , LEDs 11/12, and power supply, See Figure 3, See paragraph [0029]); delivering the fluid into the container through the inlet, (Fluid through Inlet 13, See Figure 3, Axmann); letting the fluid flow through the irradiation zone and irradiating the fluid with the UV radiation, of the radiation sources, (See paragraph [0029]); and adapting the gap dimension of the irradiation zone to at least one property of the fluid, (See paragraph [0024], Axmann).
Additional Disclosures Included:
Claim 19: The method as claimed in claim 18, additionally comprising: measuring the at least one property of the fluid, with aid of a sensor, (See column 4, lines 21-33, Hillman), and using a measurement signal of the sensor, in order to adapt the gap dimension, (See paragraph [0024], Axmann).
Claim(s) 9 is/are rejected under 35 U.S.C. 103 as being unpatentable over Axmann et al., DE 102014015642, (“Axmann”, “Machine Translation of DE102014015642”, published 2016, 28 total pages), in view of Livne et al., (“Livne”, US 2017/0303555), in further view of Hillman, (US 4,336,223), in further view of Traubenberg et al., (“Traubenberg”, US 6,646,269), in further view of Maarschalkerweerd, (US 5,418,370).
Regarding Claim 9, modified Axmann discloses the device as claimed in claim 6, but does not disclose wherein the displacement unit is designed to allow displacement of the displaceable body by a force of the flowing fluid.
Maarschalkerweerd discloses a displacement unit is designed to allow displacement of the displaceable body by a force of a flowing fluid, (See column 9, lines 6-61; pistons/cylinders drive and are driven by fluid movement).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to have modified the device of modified Axmann by incorporating wherein the displacement unit is designed to allow displacement of the displaceable body by a force of the flowing fluid as in Maarschalkerweerd in order to provide “a desired relatively high flow rate….and hydraulic head losses minimized” and “simplified maintenance”, (See column 8, lines 57-64, Maarschalkerweerd).
Claim(s) 10 is/are rejected under 35 U.S.C. 103 as being unpatentable over Axmann et al., DE 102014015642, (“Axmann”, “Machine Translation of DE102014015642”, published 2016, 28 total pages), in view of Livne et al., (“Livne”, US 2017/0303555), in further view of Hillman, (US 4,336,223), in further view of Traubenberg et al., (“Traubenberg”, US 6,646,269), in further view of Maarschalkerweerd, (US 5,418,370), in further view of Henderson et al., (“Henderson”, US 2017/0225971).
Regarding Claim 10, modified Axmann discloses the device as claimed in claim 9, but does not disclose wherein the displacement unit comprises a bypass for the fluid, and wherein the bypass is designed to convey the fluid to a rear side of the displaceable body facing away from the inlet.
Henderson discloses a displacement unit comprises a bypass for the fluid, and wherein the bypass is designed to convey the fluid to a rear side of the displaceable body facing away from the inlet, (See paragraphs [0060], [0188], [0191]).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to have modified the device of modified Axmann by incorporating a displacement unit comprises a bypass for the fluid, and wherein the bypass is designed to convey the fluid to a rear side of the displaceable body facing away from the inlet as in Henderson in order to “selectively control the passage of liquid through an individual apparatus” and “flow…can be interrupted in order to render the liquid static in the apparatus for period of time” and “can be recommended when the liquid to be treated has had sufficient exposure to UV radiation”, (See paragraph [0192], Henderson).
Claim(s) 11 is/are rejected under 35 U.S.C. 103 as being unpatentable over Axmann et al., DE 102014015642, (“Axmann”, “Machine Translation of DE102014015642”, published 2016, 28 total pages), in view of Livne et al., (“Livne”, US 2017/0303555), in further view of Hillman, (US 4,336,223), in further view of Traubenberg et al., (“Traubenberg”, US 6,646,269), in further view of Lee et al., (“Lee”, US 2015/0239751).
Regarding Claim 11, modified Axmann discloses the device as claimed in claim 4, but does not disclose wherein the body is suspended inside the container by means of damping or restoring elements.
Lee discloses wherein the body is suspended inside the container by means of damping or restoring elements, (See paragraphs [0141] & [0143], Lee).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to have modified the device of modified Axmann by incorporating wherein the body is suspended inside the container by means of damping or restoring elements as in Lee so that it “thus compensates for the abrasion, whereby the airtightness….can be also ensured”, (See paragraph [0141], Lee).
Claim(s) 20 is/are rejected under 35 U.S.C. 103 as being unpatentable over Axmann et al., DE 102014015642, (“Axmann”, “Machine Translation of DE102014015642”, published 2016, 28 total pages), in view of Livne et al., (“Livne”, US 2017/0303555), in further view of Hillman, (US 4,336,223), in further view of Traubenberg et al., (“Traubenberg”, US 6,646,269), in further view of Moore, (US 2020/0317536).
Regarding Claim 20, modified Axmann discloses the method as claimed in claim 18, with an outlet, but does not disclose additionally comprising: returning the fluid to the source or into another reservoir via the outlet.
Moore discloses additionally comprising: returning the fluid to the source or into another reservoir via the outlet, (Water Source 102 and Return Pipe 118 with Water Treatment Component 117, Treatment Area 122, See Figure 1, Moore).
It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to have modified the device of modified Axmann by incorporating additionally comprising: returning the fluid to the source or into another reservoir via the outlet as in Moore because “the need for…water storage has increased with growing potable water consumption and needs”, (See paragraph [0002], Moore), and “insure water provided…met expected values for purity and disinfection”, (See paragraph [0039], Moore).
Conclusion
Any inquiry concerning this communication or earlier communications from the examiner should be directed to JONATHAN M PEO whose telephone number is (571)272-9891. The examiner can normally be reached M-F, 9AM-5PM.
Examiner interviews are available via telephone, in-person, and video conferencing using a USPTO supplied web-based collaboration tool. To schedule an interview, applicant is encouraged to use the USPTO Automated Interview Request (AIR) at http://www.uspto.gov/interviewpractice.
If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Bobby Ramdhanie can be reached at 571-270-3240. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
Information regarding the status of published or unpublished applications may be obtained from Patent Center. Unpublished application information in Patent Center is available to registered users. To file and manage patent submissions in Patent Center, visit: https://patentcenter.uspto.gov. Visit https://www.uspto.gov/patents/apply/patent-center for more information about Patent Center and https://www.uspto.gov/patents/docx for information about filing in DOCX format. For additional questions, contact the Electronic Business Center (EBC) at 866-217-9197 (toll-free). If you would like assistance from a USPTO Customer Service Representative, call 800-786-9199 (IN USA OR CANADA) or 571-272-1000.
/JONATHAN M PEO/Primary Examiner, Art Unit 1779
Prosecution Insights