Prosecution Insights
Last updated: September 17, 2026
Application No. 18/381,465

ULTRAVIOLET FLUID STERILIZATION DEVICE

Non-Final OA §102§103§112
Filed
Oct 18, 2023
Examiner
TAI, XIUYU
Art Unit
1773
Tech Center
1700 — Chemical & Materials Engineering
Assignee
Hergy International Corp.
OA Round
1 (Non-Final)
59%
Grant Probability
Moderate
1-2
OA Rounds
4m
Est. Remaining
99%
With Interview

Examiner Intelligence

Grants 59% of resolved cases
59%
Career Allowance Rate
605 granted / 1030 resolved
-6.3% vs TC avg
Strong +49% interview lift
Without
With
+49.2%
Interview Lift
resolved cases with interview
Typical timeline
3y 3m
Avg Prosecution
40 currently pending
Career history
1053
Total Applications
across all art units

Statute-Specific Performance

§101
0.8%
-39.2% vs TC avg
§103
45.5%
+5.5% vs TC avg
§102
15.2%
-24.8% vs TC avg
§112
30.4%
-9.6% vs TC avg
Black line = Tech Center average estimate • Based on career data from 1030 resolved cases

Office Action

§102 §103 §112
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 § 112 The following is a quotation of 35 U.S.C. 112(b): (b) CONCLUSION.—The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the inventor or a joint inventor regards as the invention. The following is a quotation of 35 U.S.C. 112 (pre-AIA ), second paragraph: The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the applicant regards as his invention. Claims 4 and 11 are rejected under 35 U.S.C. 112(b) or 35 U.S.C. 112 (pre-AIA ), second paragraph, as being indefinite for failing to particularly point out and distinctly claim the subject matter which the inventor or a joint inventor (or for applications subject to pre-AIA 35 U.S.C. 112, the applicant), regards as the invention. Claims 4 and 11 recite the limitation of “the flow inlet of the upper lid”. Each of the claims does not define any inlet for the upper lid. Thus, it is not clear what this limitation is regarded. Appropriate correction/clarification is required. Claim Rejections - 35 USC § 102 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 1-7 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Collins et al (PG-PUB US 2020/0308025). Regarding claim 1, Collins et al disclose a UV disinfection system (ABSTRACT). The apparatus comprises (1) a chamber 34 having an inlet 28, an outlet 42, and an opening at the bottom of the chamber 34 to allow UV radiation passing therethrough (i.e., a box …, and a window…, Figures 2-5, paragraphs [0020] - [0021] & [0024]); (2) a transparent quartz window 38 to fit and seal the opening at the bottom of the chamber 34 (i.e., a light-transmitting plate …, paragraph [0022]); and (3) a UV light module 46 comprising at least one UV LED 48 coupled to the window 38 and a mounting structure 54 for the at least one UV LED 48, wherein the module 46 is threaded to the bottom of the chamber 34 (i.e., a lamp holder module …, wherein the lamp holder module is detachably …, and UV LED …, Figures 2-5, paragraphs [0025] & [0027]). Collins teaches that a UV light ray 58 radiates water 32 flowing from the inlet 28 to the outlet 42 (Figures 2-5, paragraphs [0023] & [0029]). Regarding claim 2, Collins teaches that an angled input channel 36/76 within the chamber 34 is provided for guiding water into different passages, wherein the input channel 36 comprises a flow inlet coincident with the inlet 28/72 and a flow outlet in fluid communication with the outlet 42/82 (Figures 2 & 5, paragraphs [0022] & [0050]). Regarding claim 3, Collins teaches that the channel 36/76 comprises an inner cylinder and an outer cylinder for causing spiral action to water to be treated (Figures 2 & 5, paragraphs [0022] & [0050]). Regarding claim 4, Collins teaches that the outer cylinder having a hollow portion is coupled to a removably sealed module 60 at the top of the chamber which may function as an upper lid and the cavities of the inner cylinder and the outer cylinder are coupled to the module 60 and the inlet 28 (Figures 2 & 5, paragraphs [0022], [0032], & [0050]). Regarding claim 5, Collins teaches that the chamber is UV reflective (paragraphs [0006] & [0030]). Regarding claim 6, Collins teaches that the at least one UV LED 48 is mounted on a circuit board 54 and coupled to the window 38 (Figure 3, paragraph [0027]). Regarding claim 7, Collins teaches that the window is coated with a reflective layer (paragraph [0028]). Claim Rejections - 35 USC § 103 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. Claims 8-13 are rejected under 35 U.S.C. 103 as being unpatentable over Collins et al (PG-PUB US 2020/0308025) in view of Rozenberg et al (PG-PUB US 2014/0166590). Regarding claim 8, Collins et al disclose a UV disinfection system (ABSTRACT). The apparatus comprises (1) a chamber 34 having an inlet 28, an outlet 42, and an opening at the bottom of the chamber 34 to allow UV radiation passing through (i.e., a box …, and a window…, Figures 2-5, paragraphs [0020] - [0021] & [0024]); (2) a transparent quartz window 38 to fit and seal the opening at the bottom of the chamber 34 (i.e., a light-transmitting plate …, paragraph [0022]); and (3) a UV light module 46 comprising one or more UV LED 48 coupled to the window 38 and mounted on a circuit board 54 (i.e., a lamp holder module …, a control board…, and a plurality of UV LEDs …, Figures 2-5, paragraphs [0025] & [0027]). Collins teaches that a UV light ray 58 radiates water 32 flowing from the inlet 28 to the outlet 42 (Figures 2-5, paragraphs [0023] & [0029]). Collins teaches one or more UV LEDs 48 and each UV LED 48 mounted on the respective circuit board 54 (Figure 2, paragraphs [0025] & [0027]), but does not specifically teach each UV LED coupled to the respective windows that is coincident to the opening at the bottom of the chamber. However, Rozenberg et al disclose a UV disinfection system (ABSTRACT). Rozenberg teaches that the apparatus comprises a chamber 110 having an inlet 114 and an outlet 116 and a plurality of UV LEDs 120, wherein the UV LEDs 120 may be provided outside of the conduit with a respective window in a respective opening at the bottom of the chamber 110 (Figure 1, paragraphs [0019] – [0021]). The teaching of Rozenberg shows that utilizing a plurality of UV LEDs with the respective window at the respective bottom opening of the chamber is an equivalent configuration for light source arrangement within a UV disinfection system. Therefore, it would be obvious for one having ordinary skill in the art to utilizing a plurality of UV LEDs with the respective window at the respective opening of the chamber because it is an art-recognized equivalent. Moreover, Collins teaches one or more UV LEDs (paragraph [0025]). Therefore, it would be obvious for one having ordinary skill in the art to utilize a plurality of UV LEDs with the respective circuit board and the respective windows that is coincident to the respective openings on the bottom of the chamber because it has been held that mere duplication of the essential working parts of a device involves only routine of skill in the art. St. Regis Paper Co. v. Bemis, 193 USPQ8. Regarding claim 9, Collins teaches that an angled input channel 36/76 within the chamber 34 is provided for guiding water into different passages, wherein the input channel 36 comprises a flow inlet coincident with the inlet 28/72 and a flow outlet in fluid communication with the outlet 42/82 (Figures 2 & 5, paragraphs [0022] & [0050]). Regarding claim 10, Collins teaches that the channel 36/76 comprises an inner cylinder and an outer cylinder for causing spiral action to water to be treated (Figures 2 & 5, paragraphs [0022] & [0050]). Regarding claim 11, Collins teaches that the outer cylinder having a hollow portion is coupled to a removably sealed module 60 at the top of the chamber which may function as an upper lid and the cavities of the inner cylinder and the outer cylinder are coupled to the module 60 and the inlet 28 (Figures 2 & 5, paragraphs [0022], [0032], & [0050]). Regarding claim 12, Collins teaches that the chamber is UV reflective (paragraphs [0006] & [0030]). Regarding claim 13, Collins teaches that the window is coated with a reflective layer (paragraph [0028]). Conclusion Claims 1-13 are rejected. Any inquiry concerning this communication or earlier communications from the examiner should be directed to XIUYU TAI whose telephone number is (571)270-1855. The examiner can normally be reached Mon.-Fri. 9:00-5:00. 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, Luan Van can be reached at 571-272-8521. 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. /XIUYU TAI/Primary Examiner, Art Unit 1795
Read full office action

Prosecution Timeline

Oct 18, 2023
Application Filed
Aug 11, 2026
Non-Final Rejection mailed — §102, §103, §112 (current)

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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
59%
Grant Probability
99%
With Interview (+49.2%)
3y 3m (~4m remaining)
Median Time to Grant
Low
PTA Risk
Based on 1030 resolved cases by this examiner. Grant probability derived from career allowance rate.

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