Prosecution Insights
Last updated: April 19, 2026
Application No. 18/011,199

Heat Exchange Flat Tube and Heat Exchanger

Non-Final OA §102§103
Filed
Dec 19, 2022
Examiner
PULLIAM, CHRISTYANN R
Art Unit
2178
Tech Center
2100 — Computer Architecture & Software
Assignee
Zhejiang Dunan Artificial Environment Co. Ltd.
OA Round
1 (Non-Final)
41%
Grant Probability
Moderate
1-2
OA Rounds
5y 4m
To Grant
65%
With Interview

Examiner Intelligence

Grants 41% of resolved cases
41%
Career Allow Rate
96 granted / 232 resolved
-13.6% vs TC avg
Strong +24% interview lift
Without
With
+23.9%
Interview Lift
resolved cases with interview
Typical timeline
5y 4m
Avg Prosecution
142 currently pending
Career history
374
Total Applications
across all art units

Statute-Specific Performance

§101
8.1%
-31.9% vs TC avg
§103
43.5%
+3.5% vs TC avg
§102
19.9%
-20.1% vs TC avg
§112
23.3%
-16.7% vs TC avg
Black line = Tech Center average estimate • Based on career data from 232 resolved cases

Office Action

§102 §103
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 . 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 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. Claims 1-2, 4-5, 7-10, 12, 14, 16, 18 and 20 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Nagoshi et al. (Translation of WO2017169411A1), hereinafter referred to as Nagoshi. [AltContent: arrow][AltContent: arrow][AltContent: arrow][AltContent: textbox (Sections)] [AltContent: connector][AltContent: connector][AltContent: connector][AltContent: connector] PNG media_image1.png 126 354 media_image1.png Greyscale Nagoshi Figure 5 Regarding Claim 1, Nagoshi discloses a heat exchange flat tube, comprising: a first plate body (6); a second plate body (7), which is disposed opposite to the first plate body (shown in figure 9, wherein the laminated plates are shown being connected), a fluid channel is formed between the second plate body and the first plate body (shown in figure 9), and the fluid channel is provided with an inlet (8a, shown in figure 14) and an outlet (8b, shown in figure 14); and a throttling structure (10b), which is disposed between the first plate body and the second plate body (shown in figure 3, wherein the bypass passage (10b) is formed between the two corresponding plates), wherein the throttling structure communicates with the fluid channel (shown in figures 3 and 14), the throttling structure is located at the inlet (shown in figures 3 and 14), and the throttling structure comprises a plurality of bent sections which communicate in sequence (shown in annotated figure 5, wherein the bypass channel (10b) has a flow channel that contains a plurality of sections) . Regarding Claim 2, Nagoshi further discloses the throttling structure comprises a first throttling groove (groove that forms the bypass channel (10b) on the first plate fin (6)), and the first throttling groove is disposed on the first plate body (shown in figure 3, wherein the bypass channel is formed by grooves on opposing plates). Regarding Claim 4, Nagoshi further discloses wherein the first plate body (6) comprises a first main plate (“P” portion of the plate fin (6), as shown in figures 2 and 14) and a first throttling plate (“H” portion of the plate fin (6), as shown in figures 2 and 14), the first throttling plate is disposed at an end of the first main plate (shown in figures 2 and 14), and the first throttling groove is disposed on the first throttling plate (the formation of the bypass channel (10b) is shown in figure 3); the second plate body comprises a second main plate and a second throttling plate (shown in figures 2 and 14), and the second throttling plate is disposed at an end of the second main plate (the formation of the bypass channel (10b) in both plates is shown in figure 3); wherein the second main plate and the first main plate are oppositely disposed (shown in figure 3), and the second throttling plate and the first throttling plate are oppositely disposed (shown in figures 3 and 14), so that a first throttling channel is formed by the first throttling groove and the second throttling plate (shown in figures 3 and 14). Regarding Claim 5, Nagoshi further discloses the first throttling opening of the first throttling groove is located on a side portion of the first main plate (shown in figure 3, being the opening of the bypass channel (10b) that leads into the header opening 8a). Regarding Claim 7, Nagoshi further discloses the throttling structure further comprises a second throttling groove (groove that forms the bypass channel (10b) on the second plate fin (7)), the second throttling groove is disposed on the second plate body (shown in figure 3), the second throttling groove is located in the inlet (8a, shown in figure 14), the second throttling groove communicates with the fluid channel (shown in figures 3 and 14), and the second throttling groove and the first throttling groove are oppositely disposed (shown in figure 3), so that a second throttling channel is formed by the second throttling groove and the first throttling groove (shown in figures 3 and 14). [AltContent: textbox (Circulation Direction)][AltContent: arrow][AltContent: textbox (Outlet)][AltContent: arrow][AltContent: arrow] PNG media_image2.png 152 198 media_image2.png Greyscale [AltContent: textbox (Outlet Direction)]Nagoshi Figure 14 Regarding Claim 8, Nagoshi further discloses a first preset angle is formed between a circulation direction of the flow outlet of the first throttling groove (groove that forms the bypass channel (10b) on the first plate fin (6)) and a circulation direction in the fluid channel (shown in annotated figure 4 above); and a second preset angle is formed between a circulation direction of a flow outlet of the second throttling groove (groove that forms the bypass channel (10b) on the second plate fin (7)) and the circulation direction in the fluid channel (shown in annotated figure 4 above). Regarding Claim 9, Nagoshi further discloses the fluid channel is a U-shaped channel (shown in figure 14), the inlet and the outlet are located at the same end of the heat exchange flat tube (shown in figure 14) and disposed at an interval (shown in figure 14), and the throttling opening of the first throttling groove is disposed towards a side close to the inlet (shown in figure 14). Regarding Claim 10, Nagoshi discloses a heat exchanger (shown in figure 1), comprising a heat exchange flat tube, which is the heat exchange flat tube as claimed in claim 1 (see rejection of Claim 1 above). Regarding Claim 12, Nagoshi further discloses the throttling structure further comprises a second throttling groove (groove that forms the bypass channel (10b) on the second plate fin (7)), the second throttling groove is disposed on the second plate body (shown in figure 3), the second throttling groove is located in the inlet (8a, shown in figure 14), the second throttling groove communicates with the fluid channel (shown in figures 3 and 14), and the second throttling groove and the first throttling groove are oppositely disposed (shown in figure 3), so that a second throttling channel is formed by the second throttling groove and the first throttling groove (shown in figures 3 and 14). Regarding Claim 14, Nagoshi further discloses the fluid channel is a U-shaped channel (shown in figure 14), the inlet and the outlet are located at the same end of the heat exchange flat tube (shown in figure 14) and disposed at an interval (shown in figure 14), and the throttling opening of the first throttling groove is disposed towards a side close to the inlet (shown in figure 14). Regarding Claim 16, Nagoshi further discloses the throttling structure comprises a first throttling groove (groove that forms the bypass channel (10b) on the first plate fin (6)), and the first throttling groove is disposed on the first plate body (shown in figure 3, wherein the bypass channel is formed by grooves on opposing plates). Regarding Claim 18, Nagoshi further discloses wherein the first plate body (6) comprises a first main plate (“P” portion of the plate fin (6), as shown in figures 2 and 14) and a first throttling plate (“H” portion of the plate fin (6), as shown in figures 2 and 14), the first throttling plate is disposed at an end of the first main plate (shown in figures 2 and 14), and the first throttling groove is disposed on the first throttling plate (the formation of the bypass channel (10b) is shown in figure 3); the second plate body comprises a second main plate and a second throttling plate (shown in figures 2 and 14), and the second throttling plate is disposed at an end of the second main plate (the formation of the bypass channel (10b) in both plates is shown in figure 3); wherein the second main plate and the first main plate are oppositely disposed (shown in figure 3), and the second throttling plate and the first throttling plate are oppositely disposed (shown in figures 3 and 14), so that a first throttling channel is formed by the first throttling groove and the second throttling plate (shown in figures 3 and 14). Regarding Claim 20, Nagoshi further discloses the throttling structure further comprises a second throttling groove (groove that forms the bypass channel (10b) on the second plate fin (7)), the second throttling groove is disposed on the second plate body (shown in figure 3), the second throttling groove is located in the inlet (8a, shown in figure 14), the second throttling groove communicates with the fluid channel (shown in figures 3 and 14), and the second throttling groove and the first throttling groove are oppositely disposed (shown in figure 3), so that a second throttling channel is formed by the second throttling groove and the first throttling groove (shown in figures 3 and 14). 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 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 of this title, 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. Claims 6, 15 and 19 are rejected under 35 U.S.C. 103 as being unpatentable over Nagoshi et al. (Translation of WO2017169411A1) as applied in Claims 1-2, 4-5, 7-10, 12, 14, 16, 18 and 20 above and in further view of Oikawa et al. (Translation of JPH0942882A), hereinafter referred to as Oikawa. Regarding Claims 6 and 19, although Nagoshi further discloses a first bent part (shown in figure 14, being the portion of the plate containing the bypass channel (10b) on the top plate, see also figure 3 for reference) is disposed at a side portion of the first main plate (shown in figures 3 and 14), a second bent part (shown in figure 14, being the portion of the plate containing the bypass channel (10b) on the bottom plate, see also figure 3 for reference) is disposed at a side portion of the second main plate (shown in figures 3 and 14), the second bent part and the first bent part are oppositely disposed to form a clamping part (shown in figures 3 and 14, being the portion of the plates clamped together around the header opening (8) and bypass channel (10b)), Nagoshi fails to disclose a clamping opening which is cooperated with the clamping part is disposed on a flow collecting pipe and the clamping part is clamped at the clamping opening to enable the first throttling groove to be inserted into the flow collecting pipe. Oikawa, also drawn to a heat exchanger for multiple working fluids, teaches a clamping opening (shown in figures 3-4, being the respective openings of the first and second tanks (4 and 5) that receives the tongue portions (21b)), which is cooperated with the clamping part (portion of the plate pair that is received within the opening of the tank (4)) is disposed on a flow collecting pipe (4) and the clamping part is clamped at the clamping opening to enable a first throttling channel to be inserted into the flow collecting pipe (shown in figures 3-4, wherein the tongue portion (21b) is inserted into a tank (4) and sealed to mitigate leakage from said connection). The rationale to support a conclusion that the claim would have been obvious is that the substitution of one known element for another yields predictable results to one of ordinary skill in the art. If any of these findings cannot be made, then this rationale cannot be used to support a conclusion that the claim would have been obvious to one of ordinary skill in the art. Per MPEP 2143-I, a simple substitution of one known element for another, with a reasonable expectation of success supports a conclusion of obviousness. In the instant case, the simple substitution is related to substituting headers formed by separate components that are fluidly linked to plate pairs with headers internally formed by the plate pairs; further the prior art to Oikawa teaches that both header configurations are well known and capable of distributing working fluid through the heat exchanger. Therefore, since modifying the prior art to Nagoshi with having headers formed by separate components, can easily be made without any change in the operation of the heat exchanger device; and in view of the teachings of the prior art to Oikawa there will be reasonable expectations of success, it would have been obvious to have modified the invention of Nagoshi by having headers formed by separate components in order to provide a means to remove a single plate pair for maintenance or repair. Alternately, Nagoshi discloses the claimed invention except that the heat exchanger comprises headers internally formed by the plate pairs instead of headers formed by separate components. Oikawa shows that headers being formed by separate components is an equivalent structure known in the art. Therefore, because these two header configurations were art recognized equivalents at the time the invention was made, one of ordinary skill in the art would have found it obvious to substitute headers internally formed by the plate pairs for headers formed by separate components. Regarding Claim 15, Nagoshi further discloses the fluid channel is a U-shaped channel (shown in figure 14), the inlet and the outlet are located at the same end of the heat exchange flat tube (shown in figure 14) and disposed at an interval (shown in figure 14), and the throttling opening of the first throttling groove is disposed towards a side close to the inlet (shown in figure 14). Allowable Subject Matter Claims 3, 11, 13, 17 are objected to as being dependent upon a rejected base claim, but would be allowable if rewritten in independent form including all of the limitations of the base claim and any intervening claims. Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to PAUL ALVARE whose telephone number is (571)272-8611. The examiner can normally be reached Monday-Friday 0930-1800. 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, Len Tran can be reached on (571) 272-1184. 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. /PAUL ALVARE/Primary Examiner, Art Unit 3763
Read full office action

Prosecution Timeline

Dec 19, 2022
Application Filed
Jan 11, 2025
Non-Final Rejection — §102, §103
Apr 16, 2025
Response Filed

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Study what changed to get past this examiner. Based on 5 most recent grants.

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Prosecution Projections

1-2
Expected OA Rounds
41%
Grant Probability
65%
With Interview (+23.9%)
5y 4m
Median Time to Grant
Low
PTA Risk
Based on 232 resolved cases by this examiner. Grant probability derived from career allow rate.

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