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 .
Status of the Application
This Office action is in response to the amendment of July 15, 2026 which amended claims 1, 3-14, 16-22, 24 and 25; added new claims 26-29 and canceled claim 15.
Specification
The amendments have overcome the previously set forth objection to the specification.
Claim Objections
The Amendments to the claims have overcome the previously set forth objections to the claims.
Claim Interpretation
The amendments to the claims have resulted in the removal of invocation of a means plus function interpretation under 35 USC 112(f).
Claim Rejections - 35 USC § 112
The Amendments to the claims have overcome the previously set forth rejections under 35 USC 112(b).
Claim Rejections - 35 USC § 102
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 the appropriate paragraphs of 35 U.S.C. 102 that form the basis for the rejections under this section made in this Office action:
A person shall be entitled to a patent unless –
(a)(1) the claimed invention was patented, described in a printed publication, or in public use, on sale, or otherwise available to the public before the effective filing date of the claimed invention.
Claim(s) 1-6, 8-13, 17, 19, 20, 24, 27 and 28 is/are rejected under 35 U.S.C. 102a1 as being anticipated by Moody Jr. et al (USPN 3,811,805, hereafter Moody).
With regards to claim 1, Moody discloses a machine (see Fig. 1) for expanding or compressing (see Title) compressible media, comprising a machine casing (20, 22, 24, 28), at least one screw rotor (16,18), which is arranged in a screw rotor bore (the inside surface of 24) in the machine casing and which extends between a low pressure side (the lower side of Fig. 1) and a high pressure side (the upper side of Fig. 1) of the screw rotor bore and which cooperates with the compressible medium, wherein by rotating about a screw rotor axis, the at least one screw rotor conveys the substantially gaseous medium either from the low pressure side to the high pressure side by compressing it (see title), or from the high pressure side to the low pressure side by expanding it, wherein said at least one screw rotor is mounted on both sides in the machine casing by way of a respective bearing set (40 in the upper plate 22 and the similar sleeve bearing around the shaft in plate 28), wherein each bearing set has at least one radially acting bearing (i.e., the bearings 40 in the upper plate 22 and the similar sleeve bearing around the shaft in plate 28) and at least one of the bearing sets has at least one axially acting bearing (see the balance piston 74 and the chamber 64 that is supplied high pressure oil to bias the piston 74 upwards, thus broadly being a hydrodynamic axial bearing) that supports the at least one screw rotor (16) to counter an axial displacing movement of said at least one screw rotor from its operating position in the direction of the low pressure side (by biasing the piston 74 upwards in Fig. 1 it counters axial movement in the direction of the low pressure side), wherein a motor/generator unit (30/32) is coupled (via key 34) to the at least one screw rotor, wherein the at least one screw rotor is axially supported by a lubricant support film (labeled in the annotated figure below and note the discussion of col. 4 at lines 63-66) provided between an end wall surface (134; labeled in the annotated figure) limiting said screw rotor bore and the high pressure end face (146; labeled in the annotated figure) of said at least one screw rotor in order to prevent the high pressure end face from making contact to the end wall surface (injecting high pressure in between the high pressure end face of the rotor and the end wall will bias the rotor to prevent contact as claimed), and wherein the lubricant support film is maintained between said high pressure end face and said end wall surface by a lubricant supply (labeled in the annotated figure and shown as the end opening of passage 148 in Fig. 3 which connects to the groove 150).
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With regards to claim 2, Moody discloses the machine according to claim 1, wherein the lubricant support film is maintained by supplying lubricant to a support area (represented by the dashed line labeled in annotated Fig. 2 and Support Area 1) which is arranged between said high pressure end face of said respective screw rotor and said end wall surface and between an innermost diameter (labeled in the annotated figure above) of the high pressure end face and a radially outwardly arranged circular border line (labeled in the annotated figure above).
With regards to claim 3, as understood, Moody discloses the machine according to claim 2, wherein said circular border line (labeled in annotated Figs. 2 & 3) is arranged radially outward from said innermost diameter (labeled in annotated Fig. 3) of said high pressure end face and no further radially outward than a radially innermost root (labeled in annotated Fig. 3) of the screw contour of at least one of said screw rotor.
With regards to claim 4, Moody discloses the machine according to claim 2, wherein said innermost diameter (labeled in annotated Fig. 3) of said high pressure end face is defined by an outer diameter of a pin section (38; labeled in annotated Fig. 3) of said at least one screw rotor, said pin section extending beyond said high pressure end face (labeled in annotated Fig. 2 above).
With regards to claim 5, Moody discloses the machine according to claim 2, wherein said lubricant support film (labeled in annotated Fig. 2) within said support area is maintained by a supply of lubricant to said support area through at least one supply opening (labeled in annotated Fig. 3) of said lubricant supply.
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With regards to claim 6, Moody discloses the machine according to claim 5, wherein said at least one supply opening (labeled in annotated Fig. 3) of said lubricant supply unit is arranged in the high-pressure end face (labeled in annotated Fig. 3) of said at least one screw rotor.
With regards to claim 8, Moody discloses the machine according to claim 5, wherein said at least one supply opening is facing the support area (clearly shown in Fig. 2).
With regards to claim 9, Moody discloses the machine according to claim 5, wherein said at least one supply opening extends (labeled in annotated Fig. 3 above) to an area radially inward of and adjacent to said circular border line (the labeled extension extends to and thru this area).
With regards to claim 10, Moody discloses the machine according to claim 5, wherein said at least one supply opening is arranged partially outside said support area (Support Area 2 labeled in annotated Fig. 3) adjacent to or overlapping (the extended supply opening in Fig. 3 overlaps with circular border line 2 in annotated Fig. 3) with said circular border line.
With regards to claim 11, Moody discloses the machine according to claim 5, wherein said at least one supply opening has a longitudinal shape (see Fig. 3).
With regards to claim 12, Moody discloses the machine according to claim 5, wherein said at least one supply opening extends between (see the extended supply opening label in annotated Fig. 3) said circular border line (labeled in the annotated Fig. 3 as “circular border line”) and said inner most diameter (labeled in annotated Fig. 3).
With regards to claim 13, as understood, Moody discloses the machine according to claim 2, wherein lubricant is supplied to said lubricant support film in the support area at least at a pressure corresponding to the high pressure (the pressure supplied from the oil pump 80, 82 in Fig. 1) at the high pressure opening (labeled in the annotated Fig. 2).
With regards to claim 17, as understood, Moody discloses the machine according to claim 1, wherein said lubricant supply unit comprises a channel (148 in Fig. 2) extending to at least one supply opening.
With regards to claim 19, Moody discloses the machine according to claim 17, wherein said channel (148) extends through said at least one screw rotor (16) to the supply opening arranged in said high pressure end face (the top face of Figs. 1 & 2) of said at least one screw rotor.
With regards to claim 20, Moody discloses the machine according to claim 1, wherein said lubricant supply comprises a lubricant reservoir (chamber 64) comprising an accumulation of lubricant therein and wherein said lubricant accumulation is connected (via axial passages 68 and 66) to a channel (148) extending to at least one supply opening.
With regards to claim 24, Moody discloses the machine according to claim 1, wherein said lubricant supply comprises a lubricant pump (gear pump 80,82 that supplies oil to the accumulator 66, and passages 68, 66 to the channel 148).
With regards to claim 27, Moody discloses the machine according to claim 1, wherein the lubricant support film biases the at least one screw rotor in a direction from the high pressure side toward the low pressure side (the lubricant support film acts upon the high pressure side and thus would act in a direction from the high pressure side towards the low pressure side.
With regards to claim 28, Moody discloses the machine according to claim 27, wherein the lubricant support film biases the at least one screw rotor such that the at least one axially acting bearing is biased in the direction of the low-pressure side (the axial bearing and the low-pressure side are both in a direction downwards from or below the high pressure side and thus the bias direction of the force acting on the axial bearing is in the direction of the low-pressure side, i.e., downwards in Fig. 1).
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) 1-6, 8-13, 17, 19, 20, 24, 26, , 27 and 28, 29 is/are rejected under 35 U.S.C. 103 as being unpatentable over Shaw (USPN 4,181,474) in view of Moody.
With regards to claim 1, Shaw discloses a machine for compressing compressible media (see Fig. 1), comprising a machine casing (12, 14, 16), at least one screw rotor (30), which is arranged in a screw rotor bore (38) in the machine casing and which extends between a low pressure side (top of the rotor) and a high pressure side (lower end of the rotor) of the screw rotor bore and which cooperates with the compressible medium (via inlet 54 and outlet 56), wherein by rotating about a screw rotor axis, the at least one screw rotor conveys the substantially gaseous medium (see the abstract for example which discusses oil entrained in the gaseous compressed fluid) from the low pressure side to the high pressure side by compressing it, wherein said at least one screw rotor is mounted on both sides in the machine casing by way of a respective bearing set (suction side bearing set 46, see Fig. 2; and discharge side bearings set44, see Figs. 7A-7C, 9 & 10), wherein each bearing set has at least one radially acting bearing and at least one of the bearing sets has at least one axially acting bearing (each bearing set includes multiple tapered bearings which each axially and radially support the shaft; therefore one of the bearings in a set can be assigned to be radial and another of the set can be assigned to be axial; further Figs. 7A-7C, 9 and 10 disclose axial bearings 85, 83, 87, 352) that supports the at least one screw rotor to counter an axial displacing movement of said at least one screw rotor from its operating position in the direction of the low pressure side, wherein a motor unit 36 is coupled to the at least one screw rotor, wherein the at least one screw rotor is axially supported by a lubricant film (in gap C, see col. 5 lines 9-15 which note that the discharge high pressure gas, already described as having oil therein, enters the gap) provided between an end wall surface (82 in Fig. 7A & 9) limiting said screw rotor bore and the a high pressure end face (84 in Fig. 7A & 9) of said at least one screw rotor in order to prevent a high pressure end face from making contact to the end wall surface, and wherein the lubricant support film is maintained between said high pressure end face and said end wall surface by a lubricant supply (the oil supply begins at the sump area O of the casing and continues thru filter 240 and passages 242, 243 and 247). In col. 12 lines 9-64 it is described that (see col. 12 lines 9-33) the oil maybe distributed to areas needing lubrication via passages in the hollow shaft and the casing which are not disclosed.
Shaw does not disclose that the machine may be used as an expander where the gas enters from the high pressure side to the low pressure side by expanding it and turns thus turns a motor/generator, or particularly state that the film provides a support function.
As set forth in the rejections under 35 USC 102 above Moody et al disclose a machine for expanding and compressing a fluid that is driven by or drives a motor/generator unit. Further as noted above Moddy teaches that the lubricant supply may provide the lubricant (via shaft passage 66 and passage 148) under pressure to provide a support film located between the high pressure end face and said end wall surface.
At the time of the effective filing date of the instant application it would have been obvious to make the Shaw device operable as both a compressor and an expander so that at the time when compressed gas is not required high pressure gas can be used to generate electrical energy as taught by Moddy et al. Further it would have been obvious to provide passages as taught by Moody et al as a well-known mechanism of directing the oil to areas requiring lubrication as discussed but not disclosed in Shaw.
With regards to claims 2-6, 8-13, 17, 19, 20 and 24, as noted above Moody et al discloses these features and it would have been obvious to incorporate them into the combination in order to optimize the lubrication and the axial support and biasing of the rotors and the bearings.
With regards to claim 26, Shaw discloses wherein the at least one axially acting bearing comprises a mechanical thrust bearing (see Fig. 7A-C, 9 & 10 at 85, 87, 352).
With regards to claim 27, Shaw in view of Moody et al discloses machine according to claim 1, wherein the lubricant support film biases the at least one screw rotor in a direction from the high pressure side toward the low pressure side (the support film provided in the gap C taught in Figs. 7A-C, 9 and 10 of Shaw perform as claimed).
With regards to claim 28, Shaw in view of Moody et al discloses machine according to claim 27, wherein the lubricant support film biases the at least one screw rotor such that the at least one axially acting bearing is biased in the direction of the low-pressure side (the support film provided in the gap C taught in Figs. 7A-C, 9 and 10 of Shaw perform as claimed).
With regards to claim 29, Shaw in view of Moody et al discloses machine according to claim 1, wherein in Shaw the at least one axially acting bearing comprises a rolling-element axial bearing (see fig. 7B-C (element 114), Fig. 9 (element 87), and Fig. 10 (element 352)).
Claim(s) 7 and 18 is/are rejected under 35 U.S.C. 103 as being unpatentable over Moody in view of McHugh (USPN 4,438,339).
With regards to claim 7, as set forth above Moody discloses the invention substantially as claimed but does not disclose that said at least one supply opening of said lubricant supply unit is arranged in the end wall surface.
McHugh discloses a similar rotary fluid machine (see Fig. 3) that includes an axial thrust bearing (46) in the form of a hydrodynamic thrust bearing (see Fig. 4) having supply openings (62, 63) of a lubricant supply unit (58, 62, 60, 63) arranged in end wall surfaces (the opposite side walls of the casing 50).
At the time of the effective filing date of the application it would have been obvious to one of ordinary skill in the art to either substitute or else add supply openings arranged in the end wall surface defining the lubricant support film, as taught by McHugh, instead of, or in addition to, the rotor supply openings of Moody since rotor provided and end wall provided supply openings are recognized as equivalence for their use in the hydrodynamic thrust bearing art and selection of either of these known equivalents to axial support the rotary structure would be within the level of ordinary skill in the art (Note MPEP 2144.06). Further, it has been held that mere duplication of essential working parts of a device involves only routine skill in the art. St Regis Paper Co. v. Bemis Co., 193 USPQ 8.
With regards to claim 18, McHugh discloses the passages 62 on each side of the shaft/pin extending from the hydrodynamic thrust bearing 46 and receiving oil from the pump 58. The passages 62 are channels that extend through said machine casing to the at least one supply opening (the inner end of the channels opening to the chamber 54) arranged in said respective end wall surface.
Claim(s) 14, 16 and 21-23, as understood, is/are rejected under 35 U.S.C. 103 as being unpatentable over Moody in view of McHugh as applied to claims 7, 18 and 20 above, and further in view of Butterworth (USPN 4,780,061).
With regards to claims 21-23, Moody in view of McHugh disclose the invention substantially as claimed as set forth in the rejection of claims 7 and 20 above but does not disclose wherein (re Cl. 21) said lubricant accumulation is exposed to the high pressure of the gaseous medium at the high pressure opening; wherein (re Cl. 22) a lubricant accumulation is arranged in a lubricant separator; and wherein (re Cl. 23) said lubricant separator is arranged in said machine casing.
Butterworth discloses a similar motor driven screw (26) machine having a casing (20, 16, 14, 12) having bearing arrangements (72) and wherein (re Cl. 21) a lubricant accumulation (34) is exposed to the high pressure (via the gas inside separator 12 and 30) of the gaseous medium at the high pressure opening (28); wherein (re Cl. 22) a lubricant accumulation (34) is arranged in a lubricant separator; and wherein (re Cl. 23) said lubricant separator is arranged in said machine casing (inside casing member 12).
At the time of the effective filing date it would have been obvious to one of ordinary skill in the art to orient the screw machine as taught by Butterworth and substitute an lubrication system including the separator and the accumulation within the casing to allow the high-pressure discharge gas to power the circulation of the oil through the closed lubrication circuit (48, 56, 70, 74, 76; see fig. 3) to supply the lubricant for the bearings. Thus eliminating the need for the mechanically driven oil pump 80, 82 of Moody and simplifying the overall structure while eliminating costly pump parts. Further, by locating the separator, accumulator and the lubrication circuit within the casing a self-contained and protected unit is created with no external connections (such as via lower plate 90 of Moody). Creating a more durable long lasting structure.
With regards to claims 14 and 16, Moody does not specifically indicate or disclose the position of the high-pressure opening. In the structure made obvious by the combination of Moody, McHugh and Butterworth the end wall such as taught by Butterworth has a high-pressure opening 28 in the end wall and this end wall when combined with McHugh would include multiple supply channels and openings, such as 62, on each side of the shaft/bearing pin section. This combination would result in supply openings having placement as shown in the annotated Fig. 1 of Butterworth as shown below. With regards to claims 14 and 16, the Supply Opening 62 of the annotated drawing would be on the opposite side to the high-pressure opening and opposite side of the pin relative to the high-pressure opening.
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Claim(s) 25 is/are rejected under 35 U.S.C. 103 as being unpatentable over Moody in view of Sjholm et al (USPN 5,246,357).
With regards to claim 25, as set forth above Moody discloses the invention substantially as set forth in claim 1, including two screws (16 and 18) but does not disclose that the screw rotor is provided with supports acting on the respective pin section in directions away from the high-pressure side towards the low-pressure side.
Sjholm et al disclose a similar screw machine having a screw rotor 86 that is provided with supports (labeled in the annotated drawings below) acting on the respective pin section in directions away from the high-pressure side towards the low-pressure side.
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At the time of the effective filing date it would have been obvious to one of ordinary skill in the art to include a support unit, as taught by Sjholm et al to the discharge end of the screw rotor pin in order to provide additional support and preload so that the axial placement of the rotor relative to the end wall.
Response to Arguments
Applicant's arguments filed July 15, 2026 have been fully considered but they are not persuasive. With regards to the Moody et al reference that applicant argues that in Moody et al the oil balance piston of Moody et al cannot be considered an “axially acting bearing that supports the at least one screw rotor” since it is an oil-balancing arrangement. The Examiner respectfully disagrees. Because that claim very broadly set forth an “axially acting bearing that supports” the rotor the support hydraulic support forces provided by the oil balancing piston arrangement con be considered as an axially acting bearing that supports the rotor under a broadest reasonable interpretation since the forces generated thereby perform the function as claimed. It is noted that when the axially acting bearing is provided by more structural limits the bearing does not read on those claims but given the broad claiming of this limitation Moody et al read on this limitation as claimed.
With regards to the amended claims which have been broadened by removing the means plus function 112(f) interpretation of the “lubricant supply units” to be just a “lubricant supply” the claims, along with new claims 26-29, have been rejected in view of the teachings of the Shaw reference in combination with the Moddy et al reference. In view of the fact that the amendments changed the scope of the originally rejected claims by broadening them this office action has been made final.
Conclusion
Applicant's 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.
Any inquiry concerning this communication or earlier communications from the examiner should be directed to CHARLES G FREAY whose telephone number is (571)272-4827. The examiner can normally be reached Mon - Fri: 8:00 - 5:00.
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If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Essama Omgba can be reached at (469)295-9278. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
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/CHARLES G FREAY/ Primary Examiner, Art Unit 3746
CGF
August 8, 2026
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