United Technologies CorporationDownload PDFPatent Trials and Appeals BoardMay 4, 20202019005450 (P.T.A.B. May. 4, 2020) Copy Citation UNITED STATES PATENT AND TRADEMARK OFFICE UNITED STATES DEPARTMENT OF COMMERCE United States Patent and Trademark Office Address: COMMISSIONER FOR PATENTS P.O. Box 1450 Alexandria, Virginia 22313-1450 www.uspto.gov APPLICATION NO. FILING DATE FIRST NAMED INVENTOR ATTORNEY DOCKET NO. CONFIRMATION NO. 15/089,891 04/04/2016 Gary D. Roberge 92855US01; 67097-3357PUS1 8523 54549 7590 05/04/2020 CARLSON, GASKEY & OLDS/PRATT & WHITNEY 400 West Maple Road Suite 350 Birmingham, MI 48009 EXAMINER DELRUE, BRIAN CHRISTOPHER ART UNIT PAPER NUMBER 3745 NOTIFICATION DATE DELIVERY MODE 05/04/2020 ELECTRONIC Please find below and/or attached an Office communication concerning this application or proceeding. The time period for reply, if any, is set in the attached communication. Notice of the Office communication was sent electronically on above-indicated "Notification Date" to the following e-mail address(es): ptodocket@cgolaw.com PTOL-90A (Rev. 04/07) UNITED STATES PATENT AND TRADEMARK OFFICE ____________ BEFORE THE PATENT TRIAL AND APPEAL BOARD ____________ Ex parte GARY D. ROBERGE Appeal 2019-005450 Application 15/089,891 Technology Center 3700 ____________ Before MICHAEL C. ASTORINO, JAMES A. WORTH, and ROBERT J. SILVERMAN, Administrative Patent Judges. ASTORINO, Administrative Patent Judge. DECISION ON APPEAL Pursuant to 35 U.S.C. § 134(a), Appellant1 appeals from the Examiner’s decision to reject claims 1–14 and 16–21. We have jurisdiction under 35 U.S.C. § 6(b). We AFFIRM IN PART. 1 We use the word “Appellant” to refer to “applicant” as defined in 37 C.F.R. § 1.42. The Appellant identifies the real party in interest as United Technologies Corp. Appeal Br. 1. Appeal 2019-005450 Application 15/089,891 2 STATEMENT OF THE CASE Subject Matter on Appeal The Appellant’s invention “relates generally to anti-windmilling systems for a gas powered turbine, and more specifically to an electromagnetic anti-windmilling system.” Spec. ¶ 1. Windmilling refers to the rotation of components of a geared turbofan engine, such as a fan, when an aircraft is on the ground and the engine is shut down. See id. ¶¶ 2–3, 41. Windmilling occurs because crosswinds enter and drive the geared turbofan. See id. ¶¶ 3, 41. Windmilling is undesirable because it can result in wear on internal engine components. See id. ¶¶ 3–4, 41. Claims 1, 14, and 19 are the independent claims on appeal. Claim 1, reproduced below, is illustrative of the claimed subject matter. 1. A gas turbine engine comprising: a compressor having a first compressor section and a second compressor section; a combustor fluidly connected to the compressor; a turbine fluidly connected to the combustor, the turbine having a first turbine section and a second turbine section; a first shaft connecting the first compressor section and the first turbine section; a second shaft connecting the second compressor section and the second turbine section; a fan connected to said first shaft via a geared architecture; said first shaft including at least one magnetic section, and a single electromagnet structure disposed radially outward of said first shaft at an axial location of the at least one magnetic section, relative to an axis defined by the gas turbine engine. Appeal 2019-005450 Application 15/089,891 3 References The prior art relied upon by the Examiner is: Name Reference Date Dooley et al. (“Dooley”) US 7,621,117 B2 Nov. 24, 2009 Sheridan US 7,849,668 B2 Dec. 14, 2010 Rejections To facilitate our analysis, we set forth the grounds of rejection in a different order than the order presented in the Answer and Appeal Brief. The following rejections are before us for review. Final Act. 6–15. Claims 1–13 and 21 are rejected under 35 U.S.C. § 102(a)(l)/(a)(2) as anticipated by Dooley. Claims 14, 16, 17, 19, and 20 are rejected under 35 U.S.C. § 102(a)(l)/(a)(2) as anticipated by Dooley.2 Claims 14, 16, 17, 19, and 20 are rejected under 35 U.S.C. § 103 as unpatentable over Dooley. Claim 18 is rejected under 35 U.S.C. § 103 as unpatentable over Dooley and Sheridan. Claims 19 and 21 are rejected under 35 U.S.C. § 112(b) as indefinite. Claim 21 is rejected under 35 U.S.C. § 112(a) as failing to comply with the written description requirement. 2 The Examiner rejected claims 14, 16, 17, 19, and 20 under 35 U.S.C. § 102(a)(l)/(a)(2) as anticipated by or, in the alternative, under 35 U.S.C. § 103 as obvious over Dooley. Final Act. 12–14. For purposes of this appeal only, we have separated the 35 U.S.C. §§ 102/103 rejection of claims 14, 16, 17, 19, and 20 into two grounds of rejection. Appeal 2019-005450 Application 15/089,891 4 ANALYSIS Anticipated by Dooley Independent Claim 1 and Dependent Claims 2–13 and 21 The Examiner finds that Dooley discloses “[a] gas turbine engine comprising: . . . a single electromagnet structure,” as recited in claim 1. Final Act. 8–9; see Dooley Figs. 1, 3. More specifically, the Examiner finds Dooley’s stator windings 106 correspond to the claimed “single electromagnetic structure,” when construing the term “single” as “only one; not one of several.” Final Act. 9; Ans. 5 (citing Oxford On-line Dictionary, https://en.oxforddictionaries.com/definition/ single). Accordingly, the Examiner finds that stator windings 106 include only one electromagnet structure. The Appellant argues that Dooley’s anti-windmilling system “would be non-functional with only a single stator.” Appeal Br. 7. The Appellant supports this argument by pointing out that “Dooley is directed to an anti- windmilling system that uses electrical power generated by a first electric machine to power a second electric machine” and that “[t]he power provided to the second electric machine generates an opposing rotational force on the shaft, and stops rotation of the shaft.” Id. Put simply, the Appellant asserts that Dooley’s anti-windmilling system includes multiple structures rather than the claimed “single electromagnetic structure.” Id. The Appellant’s argument is persuasive. As an initial matter, the use of the word “single” in the phrase “a single electromagnet structure,” in claim 1, limits the “electromagnet structure” to be exactly one. See Free Motion Fitness, Inc. v. Cybex Int’l, Appeal 2019-005450 Application 15/089,891 5 Inc., 423 F.3d 1343, 1351 (Fed. Cir. 2005) (claimed “single cable” limited to only one cable). Dooley describes a two-in-one electric machine design including rotor 104 and stator 102, where stator 102 includes “independent and separated sets” of windings 106 for channels A, B. Dooley, col. 3, ll. 2–6. Dooley describes “[t]he windings of channel A are confined to the sector of the stator indicated as ‘A’ in FIG. 3, while the windings of channel B are confined to the sector of the stator indicated as ‘B’ in FIG. 3.” Id. at col. 3, ll. 6–10 (emphasis omitted). Dooley explains that “windings [106] are independently operable by controller 40 . . . and preferably may be operated each in a motor and generator modes”; for example, “rotation of rotor 104 may be used to generate electricity in the windings 106 of channel A, while the windings of channel B are turned ‘off.’” Id. at col. 3, ll. 10–14 (emphasis omitted). In another example, Dooley describes “the windings of channel B may be used in a motor or braking mode, driven by power generated by the windings of channel A, to impede rotation of rotor 104.” Id. at col. 3, ll. 17–20 (emphasis omitted). In this case, the Examiner fails to adequately explain –– using evidence and/or technical reasoning –– how “independent and separated sets” of stator windings 106 that are independently operable by a controller and are used to perform different functions correspond to only one electromagnetic structure, i.e., a “single” electromagnetic structure. Appeal 2019-005450 Application 15/089,891 6 Further, the Examiner’s finding relies on a separate definition of the term “single” –– as allegedly interpreted narrowly by the Appellant3 –– as “regarded as distinct from each other or others in a group.” Ans. 5–6 (citing Oxford On-line Dictionary, https://en.oxforddictionaries. com/definition/single). This definition appears to be inconsistent with the Specification as it is unclear why one of ordinary skill in the art would understand the disclosed electromagnetic structure as being distinct from other electromagnetic structures of a group. Indeed, the Specification only describes embodiments with one electromagnetic structure and does not describe a group of electromagnetic structures. See, e.g., Spec. ¶¶ 50–53, Figs. 3–5B (electromagnet 202). Thus, we do not sustain the Examiner’s rejection of independent claim 1 and dependent claims 2–13 and 21 as anticipated by Dooley. Independent Claim 14 and Dependent Claims 16 and 17 Independent claim 14 recites, “[a] method for preventing rotation of a shaft in a gas turbine engine” including “activating an electromagnet within 3 The Appellant asserts that the single electromagnetic structure is illustrated in Figures 3–7 as a “distinct electromagnetic component” and Figures 3 and 4 show “an embodiment of the invention using a single distinct electromagnet that is not part of an electric machine.” Appeal Br. 4–5. Here, we understand the Appellant’s use of the term “distinct” as a characteristic of the Appellant’s invention and not a definition of the term “single.” For example, in the latter case the Appellant uses the phrase “single distinct electromagnet,” and if the term “distinct” were understood as a definition of the term “single,” then phrase “single distinct” would mean “single single,” which appears to be a redundant use of language. Appeal 2019-005450 Application 15/089,891 7 a gas turbine engine in response to a rotation speed of the shaft falling below a speed threshold.” Appeal Br. 13. The Examiner finds that Dooley discloses the “activating” step of claim 14. Final Act. 12. The Examiner supports this finding primarily with Dooley’s description at column 4, lines 17–32. See Ans. 6–7; Final Act. 12. The Examiner explains: The embodiment of Dooley relied upon by the Office uses an external electrical power to provide some or all of the braking torque, after the controller receives signals “from any appropriate sensors in order to determine exactly when providing the electrical power is commended/stopped. For instance, the windmill rotation speed can be compared to a predetermined rotation speed acting as a threshold for initiating and/or ending the supply of electrical power” . . . therefore the claim language of initiating the electrical supply based on a speed below a threshold is anticipated by the broader language of the Dooley disclosure, since the structures as disclosed by Dooley would allow for the initiating and/or ending of electrical power based on a speed above and/or below a threshold. Ans. 6–7 (quoting Dooley, col. 4, ll. 27–32). The Appellant argues that, regardless of the external electrical power embodiment, Dooley’s system “activates (applies the brake) when the rotation speed exceeds a threshold and deactivates the brake when the rotation speed falls below the threshold.” Reply Br. 2 (emphasis added); see Appeal Br. 8. In other words, Dooley’s system operates in an opposite manner than required by the “activating” step of claim 14, i.e., “when the rotation speed exceeds the threshold, the anti-windmilling system activates.” Appeal Br. 9. The Appellant’s argument is persuasive. The Examiner finds that Dooley’s description that “the windmill rotation speed can be compared to a predetermined rotation speed acting as a Appeal 2019-005450 Application 15/089,891 8 threshold for initiating and/or ending the supply of electrical power,” is a broad teaching. Dooley, col. 4, ll. 29–32. This teaching addresses the activation of electrical power based on a threshold rotation speed, but does not teach the specifics as to how the threshold rotation speed is reached when Dooley’s electromagnet (i.e., stator windings 106) is activated. In an external electrical power embodiment, as relied upon by the Examiner, when Dooley’s system activates stator windings 106 to initiate electrical power, the activation would seem to operate a motor or a brake to impede or prevent rotation of the rotor by acting on the rotor in a direction opposite to rotor rotation direction developed by the windmilling effect. In such a scenario, the windmilling effect would have to induce a rotational speed of the rotor to beyond the threshold to activate Dooley’s electromagnet. Additionally, we note that on this record the Examiner fails to explain –– using evidence and/or technical reasoning –– how Dooley discloses the use of a rotational speed threshold in a manner that corresponds to the activating step of claim 14, i.e., activating an electromagnet within a gas turbine engine in response to a rotation speed of the shaft falling below a speed threshold. Thus, we do not sustain the Examiner’s rejection of independent claim 14 and dependent claims 16 and 17 as anticipated by Dooley. Independent Claim 19 and Dependent Claim 20 Similar to claim 1, independent claim 19 recites, “[a]n anti- windmilling system for a gas turbine engine comprising . . . a single electromagnet structure mounted to an engine static structure at a first axial position, relative to an axis of the gas turbine engine.” Appeal Br. 13 Appeal 2019-005450 Application 15/089,891 9 (emphasis added). The Examiner relies on Dooley in a substantially similar manner for the rejection of claim 19 as presented for the rejection of claim 1. See Final Act. 14. For substantially the same reasons we have not sustained the rejection of claim 1, we likewise do not sustain the Examiner’s rejection of independent claim 19 and dependent claim 20 as anticipated by Dooley. Obviousness over Dooley Independent Claim 14 and Dependent Claims 16 and 17 In the alternative, the Examiner rejects independent claim 14 under 35 U.S.C. § 103 as unpatentable over Dooley. Final Act. 12–13. The Examiner determines: Arguendo that Dooley fails to anticipate the claimed invention, the Examiner asserts that while Dooley falls short of using the exact terminology of the Applicant, in the exact way, it would have been obvious to one of ordinary skill in the art to modify the method steps of shutting down the engine and the controller applying the brake to the engine to include the step of the controller initiating the brake in response to a rotation speed of the shaft falling below a speed threshold, with the expected result of braking the turbine engine without damaging the braking system, because Dooley teaches the windmill rotation speed can be compared to a predetermined rotation speed acting as a threshold for initiating and/or ending the supply of electrical power. Id. at 13; see Ans. 6–8. The Examiner’s determination appears to be based on a speculative conclusion, i.e., that it would have been obvious to modify Dooley’s general teaching that rotation speed of the shaft may be used as a parameter that acts as a threshold to activate an electromagnet to meet a more narrow claim recitation of claim 14, i.e., “activating an electromagnet within a gas turbine Appeal 2019-005450 Application 15/089,891 10 engine in response to a rotation speed of the shaft falling below a speed threshold” (Appeal Br. 13, Claims App.). This conclusion, however, is not supported by evidence and/or technical reasoning because it fails to explain why one of ordinary skill in the art would have modified Dooley’s system to operate as required by the activating step of claim 14. See Appeal Br. 9; Reply Br. 2–3. Thus, we do not sustain the Examiner’s alternative rejection of independent claim 14 and dependent claims 16 and 17 under 35 U.S.C. § 103 as unpatentable over Dooley. Independent Claim 19 and Dependent Claim 20 The Examiner also rejects independent claim 19, in the alternative, under 35 U.S.C. § 103 as unpatentable over Dooley. Final Act. 12–13, 14. However, the Examiner fails to rely on Dooley in any manner which would remedy the deficiency in the Examiner’s rejection of claim 19 under 35 U.S.C. § 102. Thus, we do not sustain the Examiner’s alternative rejection of independent claim 19 and dependent claim 20 under 35 U.S.C. § 103 as unpatentable over Dooley. Obviousness over Dooley and Sheridan The Examiner fails to rely on Sheridan in any manner that would remedy the deficiency in the Examiner’s rejection of independent claim 16 as discussed above. Therefore, we do not sustain the Examiner’s rejection of claim 18, which depends from claim 16, under 35 U.S.C. § 103 as unpatentable over Dooley and Sheridan. Appeal 2019-005450 Application 15/089,891 11 Indefiniteness Claim 19 The Examiner rejects independent claim 19 as indefinite because the claimed “the electromagnet structure” lacks antecedent basis. Final Act. 7. The Appellant does not present an argument for this rejection. See Appeal Br. 6. Therefore, we summarily sustain the Examiner’s rejection of claim 19 as indefinite. Claim 21 Claim 21 recites, “[t]he gas turbine engine of claim 1, wherein the single electromagnet structure is not a component of an electric machine.” Appeal Br. 13. The Examiner rejects claim 21 as indefinite because it is unclear how the claimed “single electromagnet structure,” which is a component of an electrical braking machine and/or a gas turbine engine, “is not a component of an electric machine.” See Final Act. 7; Ans. 4–5. The Appellant argues that claim 21 is definite. Appeal Br. 6. The Appellant’s argument is not persuasive. The Appellant submits that the term “electric machine” would be understood by one of ordinary skill in the electrical arts as “a term of art referring to ‘the class of machines that either convert rotational energy into electrical energy and/or convert electrical energy into rotational energy.’” Appeal Br. 4 n.1 (citing https://www.electricaleasy.com/2012/12/what-is- electrical-machine.html defining an electrical machine). However, the asserted understanding of those skilled in the art is narrower than the electricaleasy.com’s definition, which according to the Appellant, “defin[es] Appeal 2019-005450 Application 15/089,891 12 an electrical machine as ‘a device which converts mechanical energy into electrical energy or vice versa.’” Id.; see Ans. 3. Put simply, according to electricaleasy.com, the term “electric machine” refers to the use of mechanical energy, and not just mechanical energy that is rotational. Although the claimed invention is directed to a gas turbine engine that includes rotating components, it is unclear why one of ordinary skill in the art would necessarily limit the definition of the term “electric machine” from electricaleasy.com to mechanical energy that is rotational. Additionally, we note that the Examiner construes the term “electric machine” as “a general term for machines using electromagnetic forces.” Ans. 3–4 (citing https://en. wikipedia.org/wiki/Electric_machine). Turning back to the Examiner’s rejection, the Examiner reasons that claim 21 is indefinite because the single electromagnet structure is a component of an electrical braking machine. The Specification describes an anti-windmilling system, which may be understood as having braking operation. The Specification describes Figures 2–5B as showing anti- windmilling system 110, which includes electromagnet 202 as one of its components. See Spec. ¶¶ 50–53. Other components of anti-windmilling system 110 are magnetic sections 220. Id. ¶¶ 50–53, Figs. 3–5B. When electromagnet 202 activates, it generates electromagnetic field 230. Id. ¶¶ 51–52, Figs. 3–5A. Upon generation of electromagnetic field 230 the nearest magnetic section 220 will have the strongest attraction to electromagnet 202 causing shaft 210 to rotate into an aligned position. Id. ¶¶ 51–52, Fig. 5B. And, “[a]s long as power is continuously provided to the electromagnet 202, the low speed shaft 210 is locked, and the fan 102 (illustrated in Figure 2) is prevented from rotating due to windmilling.” Id. Appeal 2019-005450 Application 15/089,891 13 ¶ 53. In other words, anti-windmilling system 110 uses electromagnet 202 to convert electrical energy into mechanical energy by rotating magnetic section 220 into alignment and by maintaining magnetic section 202 in alignment; i.e., anti-windmilling system 110 is an “electric machine” using the definition provided by the Appellant (see Appeal Br. 4 n.1). Additionally, anti-windmilling system 110 may be understood as a machine that uses electromagnetic forces, i.e., as an “electric machine” using the Examiner’s construction of the term. In sum, electromagnet 202, which is understood as “a single electromagnetic structure,” is a component in anti- windmilling system 110, i.e., an electric machine. Claim 21 depends from independent claim 1. Claim 1 recites, in-part, “[a] gas turbine engine” including a “first shaft including at least one magnetic section, and a single electromagnet structure disposed radially outward of said first shaft at an axial location of the at least one magnetic section, relative to an axis defined by the gas turbine engine.” Appeal Br. 11. In view of the Specification, one of ordinary skill in the art would understand claim 1 as referring to the present invention’s anti-windmilling system. See Appeal Br. 2–3 (describing, in the Summary of Claimed Subject Matter section of the Appeal Brief, “[t]he present invention is directed to an anti-windmilling system for an aircraft using an interaction between an electromagnet and a ferrous component on a shaft to prevent windmilling of the shaft. The application includes [independent claim 1].”). With this understanding, we agree with the Examiner that claim 1 is unclear because the claimed “single electromagnet structure,” may be reasonably understood as a component of an electric machine, and more specifically, an electric braking machine. In view of the foregoing, we agree with the Appeal 2019-005450 Application 15/089,891 14 Examiner’s determination that the subject matter of claim 21 is indefinite. See In re Packard, 751 F.3d 1307, 1311 (Fed. Cir. 2014) (during prosecution a claim is indefinite when it contains words or phrases whose meaning is unclear); Ex parte McAward, 2017 WL 3669566, at *5 (PTAB Aug. 25, 2017) (precedential) (explaining that the USPTO considers a claim indefinite when it “contains words or phrases whose meaning is unclear”). Thus, we sustain the Examiner’s rejection of claim 21 under 35 U.S.C. § 112(b) as indefinite. Further, the Examiner reasons that claim 21 is indefinite because the single electromagnet structure is a component of a gas turbine engine. The Examiner fails to adequately explain on the record –– using evidence and/or technical reasoning –– how a gas turbine engine is an electric machine, i.e., “a device which converts mechanical energy into electrical energy or vice versa.” Accordingly, we do not agree with the Examiner that claim 21 is indefinite for this reason. Written Description Requirement The Examiner rejects claim 21 under 35 U.S.C. § 112(a) because the foregoing recitation fails to comply with the written description requirement. Final Act. 6–7. More specifically, the Examiner finds that “wherein the single electromagnet structure is not a component of an electric machine,” as recited in claim 21 is new matter. Id. at 7. In view of our determination that claim 21 is indefinite, supra, in this case, it follows that the rejection of this claim under 35 U.S.C. § 112(a) must fall because it is necessarily based on a speculative assumption as to the claim’s meaning. See also In re Steele, 305 F.2d 859, 862–63 (CCPA 1962). Therefore, we do not sustain the Appeal 2019-005450 Application 15/089,891 15 Examiner’s rejection of claim 21 under this ground of rejection. It should be understood, however, that our decision in this regard is pro forma and based solely on the indefiniteness of the claimed subject matter set forth below. CONCLUSION In summary: Claims Rejected 35 U.S.C. § Reference(s)/ Basis Affirmed Reversed 1–13, 21 102(a)(1) / (a)(2) Dooley 1–13, 21 14, 16, 17, 19, 20 102(a)(1) / (a)(2) Dooley 14, 16, 17, 19, 20 14, 16, 17, 19, 20 103 Dooley 14, 16, 17, 19, 20 18 103 Dooley, Sheridan 18 19, 21 112(b) Indefinite 19, 21 21 112(a) Written Description 21 Overall Outcome 19, 21 1–14, 16–18, 20 No time period for taking any subsequent action in connection with this appeal may be extended under 37 C.F.R. § 1.136(a)(1)(iv). AFFIRMED IN PART Copy with citationCopy as parenthetical citation