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 .
Specification
The objection to the title is withdrawn in view of applicants’ submission of a replacement title.
Claim Objections
The objection to claims 3-4 and 15 is withdrawn in view of applicants’ claim amendments.
Claim Rejections - 35 USC § 112
The preceding 35 U.S.C. 112(b) rejections of claims 5, 12, and 14 are withdrawn in view of applicants’ claim amendments.
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.
Claim 14 is 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 pre-AIA the applicant regards as the invention.
Claim 14 recites “the gas or vapor preheater” in l. 2. There is insufficient antecedent basis for this limitation in the claim.
Claim Rejections - 35 USC § 103
The text of those sections of Title 35, U.S. Code not included in this action can be found in a prior Office action.
Claims 1, 5-8, 11-14, 16-17, and 19-20 is/are rejected under 35 U.S.C. 103 as being unpatentable over U.S. Patent Appl. Publ. No. 2015/0361549 to Karlheinz Strobl (hereinafter “Strobl”) in view of U.S. Patent No. 4,047,496 to McNeilly, et al. (“McNeilly”).
Regarding claim 1, Strobl teaches a chemical vapor processing reactor (see the Abstract, Fig. 1 and ¶¶[0032]-[0035] as well as elsewhere throughout the entire reference which teach an analogous embodiment of a CVD reactor (10)) comprising:
a horizontal reaction tube enclosed within an external heater (see Fig. 1 and ¶¶[0032]-[0035] which teach a process tube (16) enclosed within a resistive oven (30));
a gas or vapor preheater positioned within the horizontal reaction tube, the gas or vapor preheater including a plurality of baffles that collectively define a tortuous gas transmission path through the gas or vapor preheater (see Fig. 1 and ¶¶[0032]-[0035] which teach that thermal baffles (48) are positioned within the process tube (16) and, at the very least, cause process gases to take a tortuous path around the baffles (48));
one or more substrates suitable for nanomaterial growth (see Fig. 1 and ¶¶[0032]-[0035] which teach a substrate (26) suitable for nanomaterial growth); and
an exhaust gas collector to remove gas exiting from the flow converter (see Fig. 1 and ¶¶[0032]-[0035] which teach an exhaust port (18) to remove gas exiting from the process tube (16) and, consequently, a flow converter situated therein).
Strobl does not teach a round-to-rectangular flow converter configured to convert gas flowing from the gas or vapor preheater into a rectangular flow, wherein at least one surface of the round-to-rectangular flow converter is heated and transfers heat to process gas flowing through the rectangular flow with the substrate being positioned within the round-to-rectangular flow converter. However, in Figs. 1-3 and col. 5, l. 1 to col. 8, l. 32 McNeilly teaches an analogous embodiment of an epitaxial reactor which includes, inter alia, an elongated housing (2) which includes a flow converter in the form of reaction chamber (31) which is supported by a series of projecting supports (46). The reaction chamber (31) is defined by an elongated and generally enclosed structure which converts the gas flowing therein into a rectangular flow and forces gaseous reactants into a smaller reaction space that is in close proximity with the substrates (43). Moreover, in col. 6, ll. 38-55 McNeilly further teaches that the reaction chamber (31) is formed from a material such as quartz which is transparent to radiation energy in the 1 mm and below range which necessarily means that the reaction chamber (31) absorbs at least some of the radiation which has a wavelength greater than 1 mm and then transmits this as heat to the process gas flowing therethrough. Moreover, since the quartz reaction chamber (31) is transparent to radiation energy with a wavelength of 1 mm and less, it therefore allows this radiation to be directly transferred to the process gases flowing through the reaction chamber (31) and over the substrate (43). Thus, a PHOSITA prior to the effective filing date of the invention would be motivated to include a quartz horizonal reaction chamber within the process tube (16) of Strobl in order to produce a smaller reaction space which both absorbs and transmits radiant energy to the process gases which are forced into closer proximity with the substrate(s) such that laminar flow is produced and a smaller volume of reactant gas is more efficiently heated and utilized.
Regarding claim 5, Strobl does not teach that the round-to-rectangular flow converter includes a first converter baffle having a rectangular opening, a second converter baffle having a rectangular opening, and a pair of parallel walls connecting the first and second converter baffles. However, as noted supra with respect to the rejection of claim 1, in Figs. 1-3 and col. 5, l. 1 to col. 8, l. 32 McNeilly teaches an analogous embodiment of an epitaxial reactor which includes, inter alia, an elongated housing (2) which includes a flow converter in the form of reaction chamber (31) which is supported by a series of projecting supports (46). The reaction chamber (31) is defined in Figs. 1-2 by a first converter baffle plate (37) having rectangular slotted passageway (41) at a left end thereof and a second converter baffle in the form of exhaust hood (26) which has a rectangular opening that connects to the reaction chamber (31). Moreover, the baffle plate (37) and exhaust hood (26) are connected by a pair of parallel walls which define the reaction chamber (31). Thus, a PHOSITA prior to the effective filing date of the invention would be motivated to include first and second converter baffles connected by a pair of parallel walls within the process tube (16) of Strobl in order to produce a smaller reaction space and cause process gases to come into closer proximity with the substrate(s) such that laminar flow is produced and a smaller volume of reactant gas is more efficiently utilized.
Regarding claim 6, Strobl teaches that the one or more substrates is suitable for SiNW growth (see Fig. 1 and ¶¶[0032]-[0035] which teach the inclusion of a substrate (26) with ¶¶[0018]-[0019] and ¶[0046] specifically teaching the use of the substrate (26) for silicon nanowire growth).
Regarding claim 7, Strobl teaches that the one or more substrates is suitable for carbon nanotube growth (see Fig. 1 and ¶¶[0032]-[0035] which teach the inclusion of a substrate (26) with ¶¶[0018]-[0019] and ¶[0045] specifically teaching the use of the substrate (26) for carbon nanotube growth).
Regarding claim 8, Strobl teaches that the one or more substrates includes at least one catalytically active substrate (see Fig. 1 and ¶¶[0032]-[0035] which teach the inclusion of a substrate (26) with ¶¶[0045]-[0047] specifically teaching the inclusion of a catalyst on the substrate (26)).
Regarding claim 11, Strobl teaches a chemical vapor processing reactor (see the Abstract, Fig. 1 and ¶¶[0032]-[0035] as well as elsewhere throughout the entire reference which teach an analogous embodiment of a CVD reactor (10)) comprising:
a horizontal reaction tube enclosed within an external heater (see Fig. 1 and ¶¶[0032]-[0035] which teach a process tube (16) enclosed within a resistive oven (30));
one or more substrates suitable for nanomaterial growth (see Fig. 1 and ¶¶[0032]-[0035] which teach a substrate (26) suitable for nanomaterial growth); and
an exhaust gas collector to remove gas exiting from the flow converter (see Fig. 1 and ¶¶[0032]-[0035] which teach an exhaust port (18) to remove gas exiting from the process tube (16) and, consequently, a flow converter situated therein).
Strobl does not teach a round-to-rectangular flow converter configured to convert gas or vapor flowing from a preheater into a rectangular flow to improve heat distribution over one or more substrates with the substrates being positioned within the round-to-rectangular flow converter.
However, in Figs. 1-3 and col. 5, l. 1 to col. 8, l. 32 McNeilly teaches an analogous embodiment of an epitaxial reactor which includes, inter alia, an elongated housing (2) which includes a flow converter in the form of reaction chamber (31) which is supported by a series of projecting supports (46). The reaction chamber (31) is defined by an elongated and generally enclosed structure which converts the gas flowing therein into a rectangular flow and forces gaseous reactants into a smaller reaction space that is in close proximity with the substrates (43). Moreover, in col. 6, ll. 38-55 McNeilly further teaches that the reaction chamber (31) is formed from a material such as quartz which is transparent to radiation energy in the 1 mm and below range which necessarily means that the reaction chamber (31) absorbs at least some of the radiation which has a wavelength greater than 1 mm and then transmits this as heat to the process gas flowing therethrough. Moreover, since the quartz reaction chamber (31) is transparent to radiation energy with a wavelength of 1 mm and less, it therefore allows this radiation to be directly transferred to the process gases flowing through the reaction chamber (31) and over the substrate (43). Thus, a PHOSITA prior to the effective filing date of the invention would be motivated to include a quartz horizonal reaction chamber within the process tube (16) of Strobl in order to produce a smaller reaction space which both absorbs and transmits radiant energy to the process gases which are forced into closer proximity with the substrate(s) such that laminar flow is produced and a smaller volume of reactant gas is more efficiently heated and utilized.
Strobl also does not teach that the round-to-rectangular flow converter includes a vertically oriented opening which includes one or more vertically oriented substrates. However, absent a showing of unexpected results, rotating the reaction chamber (31) of McNeilly by 90° about its longitudinal axis such that the opening thereto and the substrates positioned therein are vertically oriented is considered a mere rearrangement of parts which does not modify the operation of the device and, hence, is prima facie obvious. It has previously been held that the mere rearrangement of parts without modifying the operation of a device is prima facie obvious. See, e.g., In re Japikse, 181 F.2d 1019, 86 USPQ 70 (CCPA 1950); In re Kuhle, 526 F.2d 553, 188 USPQ 7 (CCPA 1975); see also MPEP 2144.04(VI)(C). This is specifically exemplified by at least Figs. 6-7 and col. 9, l. 40 to col. 10, l. 22 of McNeilly which teaches an analogous embodiment of an epitaxial reactor which includes a plurality of vertically oriented substrates (96) supported by a susceptor (93) with precursor gases flowing through a narrow channel between the susceptor (93) and the walls of the reactor (98). Thus, a PHOSITA prior to the effective filing date of the invention would look to the teachings of McNeilly and would recognize that the reaction chamber (31) and substrates (43) in Figs. 1-3 may be rotated 90° within the process tube (16) of Strobl such that they are vertically aligned with the motivation for doing so being to, for example, provide an alternative configuration in which particulate matter does not settle on the substrate surface due to gravity.
Regarding claim 12, Strobl does not teach that the round-to-rectangular flow converter includes two baffles joined together by two planar walls. However, as noted supra with respect to the rejection of claim 1, in Figs. 1-3 and col. 5, l. 1 to col. 8, l. 32 McNeilly teaches an analogous embodiment of an epitaxial reactor which includes, inter alia, an elongated housing (2) which includes a flow converter in the form of reaction chamber (31) which is supported by a series of projecting supports (46). The reaction chamber (31) is defined in Figs. 1-2 by a first converter baffle plate (37) having rectangular slotted passageway (41) at a left end thereof and a second converter baffle in the form of exhaust hood (26) which has a rectangular opening that connects to the reaction chamber (31). Moreover, the baffle plate (37) and exhaust hood (26) are connected by a pair of parallel walls which define the reaction chamber (31). Thus, a PHOSITA prior to the effective filing date of the invention would be motivated to include first and second converter baffles connected by a pair of parallel walls within the process tube (16) of Strobl in order to produce a smaller reaction space and cause process gases to come into closer proximity with the substrate(s) such that laminar flow is produced and a smaller volume of reactant gas is more efficiently utilized.
Regarding claim 13, Strobl teaches that the one or more vertically oriented substrates includes a plurality of catalytically active foils or mesh structures (see Fig. 1 and ¶¶[0032]-[0035] which teach the inclusion of a substrate (26) with ¶¶[0045]-[0047] specifically teaching the inclusion of a catalytically active film or foil on the substrate (26); see also supra with respect to the rejection of claim 11 in which Figs. 6-7 and col. 9, l. 40 to col. 10, l. 22 of McNeilly teach the use of a plurality of vertically oriented substrates (96) supported by a susceptor (93) with precursor gases flowing through a narrow channel between the susceptor (93) and the walls of the reactor (98); accordingly, a PHOSITA prior to the effective filing date of the invention would look to the teachings of McNeilly and would recognize that the reaction chamber (31) and substrates (43) in Figs. 1-3 may be vertically aligned within the process tube (16) of Strobl in order to, for example, provide an alternative configuration in which particulate matter does not settle on the substrate surface due to gravity).
Regarding claim 14, Strobl teaches that the gas or vapor preheater is positioned within the horizontal reaction tube, the preheater including a plurality of baffles that collectively define a tortuous gas transmission path through the preheater (see Fig. 1 and ¶¶[0032]-[0035] which teach that thermal baffles (48) are positioned within the process tube (16) and, at the very least, cause process gases to take a tortuous path around the baffles (48)).
Regarding claim 16, Strobl teaches that the external heater is configured to heat the plurality of baffles and the one or more substrates by convection and radiation absorption (see Fig. 1, ¶[0020], and ¶[0032] which teach the use of a resistive oven (30) to heat the substrates (26) and thermal baffles (48) which necessarily involves the use of one or more resistive heating elements; see also Fig. 9 and ¶[0061] which teach that hot gases heat the substrate and baffles by convection heating).
Regarding claim 17, Strobl teaches that the external heater includes resistive furnace elements (see Fig. 1, ¶[0020], and ¶[0032] which teach the use of a resistive oven (30) which is necessarily heated by one or more resistive heating elements).
Regarding claim 19, Strobl teaches that the external heater includes resistive furnace elements configured to heat the one or more vertically oriented substrates by convection and radiation absorption (see Fig. 1, ¶[0020], and ¶[0032] which teach the use of a resistive oven (30) to heat the substrates (26) which necessarily involves the use of one or more resistive heating elements; see also Fig. 9 and ¶[0061] which teach that hot gases heat the substrate and baffles by convection heating; see also supra with respect to the rejection of claim 11 in which Figs. 6-7 and col. 9, l. 40 to col. 10, l. 22 of McNeilly teach the use of a plurality of vertically oriented substrates (96) supported by a susceptor (93) with precursor gases flowing through a narrow channel between the susceptor (93) and the walls of the reactor (98); accordingly, a PHOSITA prior to the effective filing date of the invention would look to the teachings of McNeilly and would recognize that the reaction chamber (31) and substrates (43) in Figs. 1-3 may be vertically aligned within the process tube (16) of Strobl in order to, for example, provide an alternative configuration in which particulate matter does not settle on the substrate surface due to gravity).
Regarding claim 20, Strobl teaches that the one or more vertically oriented substrates includes a plurality of catalytically active foils configured for the growth of carbon nanotubes (see Fig. 1 and ¶¶[0032]-[0035] which teach the inclusion of a substrate (26) with ¶¶[0045]-[0047] specifically teaching the inclusion of a catalytically active film or foil on the substrate (26); see also supra with respect to the rejection of claim 11 in which Figs. 6-7 and col. 9, l. 40 to col. 10, l. 22 of McNeilly teach the use of a plurality of vertically oriented substrates (96) supported by a susceptor (93) with precursor gases flowing through a narrow channel between the susceptor (93) and the walls of the reactor (98); accordingly, a PHOSITA prior to the effective filing date of the invention would look to the teachings of McNeilly and would recognize that the reaction chamber (31) and substrates (43) in Figs. 1-3 may be vertically aligned within the process tube (16) of Strobl in order to, for example, provide an alternative configuration in which particulate matter does not settle on the substrate surface due to gravity).
Claims 2 is/are rejected under 35 U.S.C. 103 as being unpatentable over Strobl in view of McNeilly and further in view of International Patent Appl. Publ. No. WO 2020/092816 to Strobl, et al. (“Strobl II”). For ease of reference, U.S. Patent Appl. Publ. No. 2021/0393864, which is the U.S. National stage entry of Strobl II, is used to formulate the present rejection(s).
Regarding claim 2, Strobl and McNeilly do not teach that each baffle of the plurality of baffles includes at least one internal cutout for gas transmission that allows process gas and heat radiation to pass between two adjacent baffles of the plurality of baffles, the internal cutouts collectively defining the tortuous gas or vapor transmission path through the gas or vapor preheater. However, in at least Fig. 9 and ¶¶[0234]-[0240] as well as elsewhere throughout the entire reference Strobl II teaches an analogous embodiment of a horizontal reactor (230) which includes, inter alia, a fluid input (203) and a fluid output (204) with at least two reactor core subcomponents (250) contained therein. The input manifold (203) is provided with an internal flow redistribution baffle (234) which improves flow distribution by providing cutouts in adjacent baffles which produce a tortuous gas transmission path for process gases and radiant heat. Thus, a PHOSITA prior to the effective filing date of the invention would be motivated to provide individual thermal baffles (48) in the apparatus in Fig. 1 of Strobl with internal cutouts for gas transmission that produce a tortuous gas transmission path as taught by Strobl II in order to improve both gas and radiant heat distribution within and through the thermal baffles (48) during growth.
Claims 9-10 is/are rejected under 35 U.S.C. 103 as being unpatentable over Strobl in view of McNeilly and further in view of U.S. Patent Appl. Publ. No. 2013/0244008 to Wardle, et al. (“Wardle”).
Regarding claim 9, Strobl and McNeilly do not explicitly teach that the at least one catalytically active substrate includes a Si wafer covered with spatially isolated catalytic nanoparticles. However, in Fig. 1(a) and ¶¶[0010]-[0012] as well as elsewhere throughout the entire reference Wardle teaches an analogous system and method of producing carbon nanotubes (CNTs) onto a substrate by CVD. In one embodiment the catalyst used is in the form of spatially isolated nanoparticles of about 10 nm in diameter which are supported on a Si substrate and lead to the formation of multi-walled CNTs with a diameter of around 8 nm. Thus, a PHOSITA prior to the effective filing date of the invention would look to the teachings of Wardle and would be motivated to utilize a Si wafer covered with spatially isolated nanoparticles as a substrate for the growth of a plurality of CNTs having the desired diameter and structure for use in a particular application such as, for example, to tailor the permeability of a porous material.
Regarding claim 10, Strobl teaches that the catalyst includes gold, copper, or copper oxide (see ¶¶[0045]-[0046] which teach the use of gold or copper as a catalyst), but does not explicitly teach that the catalyst is in the form of nanoparticles. However, as noted supra with respect to the rejection of claim 9, in Fig. 1(a) and ¶¶[0010]-[0012] as well as elsewhere throughout the entire reference Wardle teaches an analogous system and method of producing carbon nanotubes (CNTs) onto a substrate by CVD. In one embodiment the catalyst used is in the form of spatially isolated nanoparticles of about 10 nm in diameter which are supported on a Si substrate and lead to the formation of multi-walled CNTs with a diameter of around 8 nm. Thus, a PHOSITA prior to the effective filing date of the invention would look to the teachings of Wardle and would be motivated to utilize a Si wafer covered with spatially isolated gold or copper nanoparticles as a substrate for the growth of a plurality of CNTs having the desired diameter and structure for use in a particular application such as, for example, to tailor the permeability of a porous material.
Claim 18 is/are rejected under 35 U.S.C. 103 as being unpatentable over Strobl in view of McNeilly and further in view of U.S. Patent Appl. Publ. No. 2013/0055764 to Wen-Yuan Chang (“Chang”).
Regarding claim 18, Strobl and McNeilly do not teach that the external heater is a rolling furnace. However, in Figs. 2-3 and ¶¶[0022]-[0026] as well as elsewhere throughout the entire reference Chang teaches an embodiment of a crystal growth system (1) which includes a top cover (102), a body (104), and a bottom portion (106). As shown specifically in Figs. 3A-C the top cover (102) and body (104) are capable of being raised while at least the top cover (102) is also shifted to a maintain zone (110) via a shifting mechanism (108) which includes, inter alia, a plurality of wheels (1086) which travel along a first transporting element (1082). In this manner it is possible to easily remove the ingot generated within the crucible (1062) once crystal growth has completed. Thus, a PHOSITA prior to the effective filing date of the invention would look to the teachings of Chang and would be motivated to affix the resistive oven (30) which surrounds the process tube (16) in Fig. 1 of Strobl to a transport device such as the shifting mechanism (108) of Chang in order to facilitate rolling the resistive oven (30) onto and off of the process tube (16) such that it may be more readily accessed for routine maintenance.
Response to Arguments
Applicants’ arguments filed August 17, 2026, have been fully considered but they are not persuasive.
Applicants argue that McNeilly is directed to a cold-wall epitaxial reactor in which the reaction chamber is formed from a material selected so that radiant heat energy passes through the chamber walls without appreciable absorption and, consequently, McNeilly does not teach or suggest a flow converter which is heated and transfers heat to the process gas. See applicants’ 8/17/2026 reply, pp. 7-9. Applicants’ argument is noted, but appears to be based upon features which are not specifically claimed. Although the claims are interpreted in light of the specification, limitations from the specification are not read into the claims. See In re Van Geuns, 988 F.2d 1181, 26 USPQ2d 1057 (Fed. Cir. 1993). Claim 1 merely recites that at least one surface is heated and that heat is transferred to the process gas while claim 11 merely recites that heat distribution over the substrates is improved. Since col. 6, ll. 38-55 of McNeilly specifically teaches that that the reaction chamber (31) may be formed from quartz and that this absorbs radiation energy with a wavelength greater than 1 mm this therefore means that at least some thermal energy is absorbed which therefore meets the claim. This appears to be acknowledged by applicants at l. 4 in the first paragraph on p. 8 of the August 17, 2026, reply which states that radiant heat energy passes through “without appreciable absorption.” Although there isn’t appreciable absorption there is some absorption which therefore meets the claim. Then the reaction chamber (31) of McNeilly facilitates the transfer of radiation energy to the process gases via partial absorption within the quartz walls and/or by permitting the radiation to pass through the quartz walls such that it is absorbed by and, hence, is transferred to the process gases. Thus, in providing the claim with its broadest reasonable interpretation the reaction chamber (31) reads upon the structure of the flow converter as recited in amended claims 1 and 11.
Conclusion
Applicants’ amendment necessitated the new ground(s) of rejection presented in this Office action. Accordingly, THIS ACTION IS MADE FINAL. See MPEP § 706.07(a). Applicant is reminded of the extension of time policy as set forth in 37 CFR 1.136(a).
A shortened statutory period for reply to this final action is set to expire THREE MONTHS from the mailing date of this action. In the event a first reply is filed within TWO MONTHS of the mailing date of this final action and the advisory action is not mailed until after the end of the THREE-MONTH shortened statutory period, then the shortened statutory period will expire on the date the advisory action is mailed, and any nonprovisional extension fee (37 CFR 1.17(a)) pursuant to 37 CFR 1.136(a) will be calculated from the mailing date of the advisory action. In no event, however, will the statutory period for reply expire later than SIX MONTHS from the mailing date of this final action.
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/KENNETH A BRATLAND JR/Primary Examiner, Art Unit 1714
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