Prosecution Insights
Last updated: April 19, 2026
Application No. 18/413,396

Systems and Methods for Heating Water Using Heat Pump Water Heaters Having Natural Convection Evaporator Heat Exchangers

Non-Final OA §102§103
Filed
Jan 16, 2024
Examiner
OSWALD, KIRSTIN U
Art Unit
3763
Tech Center
3700 — Mechanical Engineering & Manufacturing
Assignee
Rheem Manufacturing Company
OA Round
2 (Non-Final)
58%
Grant Probability
Moderate
2-3
OA Rounds
3y 5m
To Grant
90%
With Interview

Examiner Intelligence

Grants 58% of resolved cases
58%
Career Allow Rate
283 granted / 485 resolved
-11.6% vs TC avg
Strong +32% interview lift
Without
With
+32.1%
Interview Lift
resolved cases with interview
Typical timeline
3y 5m
Avg Prosecution
60 currently pending
Career history
545
Total Applications
across all art units

Statute-Specific Performance

§101
0.4%
-39.6% vs TC avg
§103
54.0%
+14.0% vs TC avg
§102
20.9%
-19.1% vs TC avg
§112
21.9%
-18.1% vs TC avg
Black line = Tech Center average estimate • Based on career data from 485 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 Status Claims 1-2, 5-15, 17-23 are pending. Claims 3-4 and 16 have been canceled. Claims 21-23 are new. Claims 1-2, 5,11-13, 15, 17, and 19-20 are amended. By virtue of dependency, all dependent claims are also amended in scope. Response to Arguments Applicant’s arguments with respect to claims 1-2, 5-15, and 17-23 have been considered but are moot because the new ground of rejection does not rely on any reference applied in the prior rejection of record for any teaching or matter specifically challenged in the argument. 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. Claims 1-2, 5, 19-21, and 23 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Masiani et al. (WO 8906775 A1, machine translation), hereafter referred to as “Masiani.” Regarding Claim 1: Masiani teaches a water heater (title), comprising: a water tank (16, see Figure 3); a condenser heat exchanger (coil 2 below compressor 1) disposed about at least a portion of the water tank (see Figure 3); an insulation jacket (21) disposed about the water tank (16) and the condenser heat exchanger (coils 2 below 1, see Figure 3); and a natural convection evaporator heat exchanger (6) disposed on an exterior surface of the insulation jacket (see Figure 3), wherein the natural convection evaporator heat exchanger (3) is configured to exchange heat between refrigerant in the natural convection evaporator heat exchanger (6) and ambient air using natural convection (see Figure 3, functional limitation). Regarding Claim 2: Masiani teaches wherein the refrigerant is configured to pass through a coil (see coil bends of 6 in Figure 3) of the natural convection evaporator heat exchanger (6), and wherein a temperature difference between the ambient air and the refrigerant is used as a basis for warmer air to heat the refrigerant based on the ambient air surrounding the natural convection evaporator heat exchanger (6) rising along the natural convection evaporator heat exchanger (6) and exchanging heat with the refrigerant therein (see Figure 3, functional limitations). Regarding Claim 5: Masiani teaches further comprising a compressor (1) fluidly connected to the condenser heat exchanger (coils 2 under 1 in Figure 3) and the natural convection evaporator heat exchanger (6). Regarding Claim 19: Masiani teaches a method of heating water using a heat pump water heater (title), the method comprising: positioning a condenser heat exchanger (coils 2 under 1) about at least a portion of a side wall of a water tank (16); positioning an insulation jacket (21) about at least the side wall (see Figure 3) and the condenser heat exchanger (coils 2 under 1); positioning a natural convection evaporator heat exchanger (6) on an exterior surface of the insulation jacket (21); connecting a compressor (1) to the condenser heat exchanger (coils 2 under 1) and the natural convection evaporator heat exchanger (6); and exchanging heat (functional limitation), by the natural convection evaporator heat exchanger (6), with ambient air using natural convection and without an air movement device to direct air to the natural convection evaporator heat exchanger (see Figure 3, no air mover). Regarding Claim 20: Masiani teaches wherein the natural convection evaporator heat exchanger (6) is disposed on an exterior surface of the heat pump water heater (see Figure 3). Regarding Claim 21: Masiani teaches wherein the natural convection evaporator heat exchanger (6) is disposed on an exterior surface of the water heater (see Figure 3). Regarding Claim 23: Masiani teaches wherein the water heater (see Figure 3) does not employ a fan to direct air to the natural convection evaporator heat exchanger (6). 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 6 is rejected under 35 U.S.C. 103 as being unpatentable over Masiani et al. (WO 8906775 A1, machine translation), hereafter referred to as “Masiani,” in view of Maeda et al. (US 2021/0003325 A1), hereafter referred to as “Maeda.” Regarding Claim 6: Masiani fails to teach wherein the compressor is at least one of a reciprocating compressor or a scroll compressor. Maeda teaches a compressor (1) is at least one of a reciprocating compressor or a scroll compressor (paragraph [0036]). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have provided wherein the compressor is at least one of a reciprocating compressor or a scroll compressor to the structure of Masiani as taught by Maeda in order to advantageously provide a well-known type of compressor for a refrigeration apparatus (see Maeda, paragraph [0036]). Claims 7 and 9 are rejected under 35 U.S.C. 103 as being unpatentable over Masiani et al. (WO 8906775 A1, machine translation), hereafter referred to as “Masiani,” in view of Xie et al. (CN 102478307 A machine translation), hereafter referred to as “Xie.” Regarding Claim 7: Masiani fails to teach comprising an outer casing surrounding the insulation jacket. Xie teaches an outer casing (shell) surrounding an insulation jacket (insulation shading numbered 23). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have provided an outer casing surrounding the insulation jacket to the structure of Masiani as taught by Xie in order to advantageously provide a heat preservation system (see Xie, paragraph [0013], end of paragraph, machine translation page 3). Regarding Claim 9: Masiani modified supra teaches wherein the compressor (1 of Masiani) is located inside the outer casing (6 of Xie). Claim 8 is rejected under 35 U.S.C. 103 as being unpatentable over Masiani et al. (WO 8906775 A1, machine translation), hereafter referred to as “Masiani,” in view of Xie et al. (CN 102478307 A machine translation), hereafter referred to as “Xie,” As applied to claim 7 above, and further in view of Yin (US 2018/0238561 A1). Regarding Claim 8: Masiani modified supra fails to teach wherein the compressor is located outside the outer casing. Yin teaches a compressor (82) is located outside an outer casing (outer shell of 14). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have provided wherein the compressor is located outside the outer casing to the structure of Masiani modified supra as taught by Yin in order to advantageously prevent over heating the water by the waste heat generated by the compressor as the water in the tank is already heated (see Yin, paragraph [0020]). Claim 10 is rejected under 35 U.S.C. 103 as being unpatentable over Masiani et al. (WO 8906775 A1, machine translation), hereafter referred to as “Masiani,” in view of Madsen (4,094,167). Regarding Claim 10: Masiani fails to teach wherein the compressor is located inside a compressor jacket. Madsen teaches a compressor (26) is located inside a compressor jacket (Column 2, lines 57-60). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have provided wherein the compressor is located inside a compressor jacket to the structure of Masiani as taught by Madsen in order to advantageously silence the noise created by the compressor (see Madsen, Column 2, lines 57-60). Claim 11 is rejected under 35 U.S.C. 103 as being unpatentable over Masiani et al. (WO 8906775 A1, machine translation), hereafter referred to as “Masiani,” in view of Disco et al. (4,290,275), hereafter referred to as “Disco.” Regarding Claim 11: Masiani fails to teach wherein the natural convection evaporator heat exchanger is a roll-bonded evaporator. Disco teaches a natural convection evaporator heat exchanger (channel 13 in coil indentation 12 see Figure 3) is a roll-bonded evaporator (Column 2, lines 16-24). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have provided wherein the natural convection evaporator heat exchanger is a roll-bonded evaporator to the structure of Masiani as taught by Disco in order to advantageously provide a well-known type of constructing a heat exchanger for a refrigeration apparatus (see Disco, Column 2, lines 16-24). Claim 12 is rejected under 35 U.S.C. 103 as being unpatentable over Masiani et al. (WO 8906775 A1, machine translation), hereafter referred to as “Masiani,” in view of Kim et al. (US 2006/0054310 A1), hereafter referred to as “Kim.” Regarding Claim 12: Masiani fails to teach wherein the natural convection evaporator heat exchanger is a micro-channel heat exchanger. Kim teaches wherein a natural convection evaporator heat exchanger is a micro-channel heat exchanger (paragraph [0048]). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have provided wherein the natural convection evaporator heat exchanger is a micro-channel heat exchanger to the structure of Masiani as taught by Kim in order to advantageously provide small size and high efficiency (see Kim, paragraph [0069]). Claim 13 is rejected under 35 U.S.C. 103 as being unpatentable over Masiani et al. (WO 8906775 A1, machine translation), hereafter referred to as “Masiani,” in view of Duplessis et al. (US 2013/0199460 A1), hereafter referred to as “Duplessis.” Regarding Claim 13: Masiani fails to teach wherein the condenser heat exchanger is at least one of a coil-wrapped heat exchanger, a roll-bonded heat exchanger, or a micro-channel exchanger. Duplessis teaches a condenser heat exchanger is at least one of a coil-wrapped heat exchanger, a roll-bonded heat exchanger, or a micro-channel heat exchanger (paragraph [0006]). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have provided wherein the condenser heat exchanger is at least one of a coil-wrapped heat exchanger, a roll-bonded heat exchanger, or a micro-channel heat exchanger to the structure of Masiani as taught by Duplessis in order to advantageously provide a well-known type of condenser for a refrigeration apparatus (see Duplessis, paragraph [0006]). Claims 14 and 22 are rejected under 35 U.S.C. 103 as being unpatentable over Masiani et al. (WO 8906775 A1, machine translation), hereafter referred to as “Masiani,” in view of Sato et al. (3,635,046), hereafter referred to as “Sato.” Regarding Claim 14: Masiani fails to teach further comprising a condensate collector tray located below the water tank. Sato teaches a condensate collector tray (18) located below a water treated system (15, 14). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have provided a condensate collector tray located below the water tank to the structure of Masiani as taught by Sato in order to advantageously collected water from the system (see Sato, Column 1, lines 69-73). Regarding Claim 22: Masiani fails to teach wherein the condensate collector tray is configured to collect moisture drips from the natural convection evaporator heat exchanger. Sato teaches a condensate collector tray (18) is configured to collect moisture drips from a natural convection evaporator heat exchanger (intended use, see 15, 14). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have provided wherein the condensate collector tray is configured to collect moisture drips from the natural convection evaporator heat exchanger to the structure of Masiani as taught by Sato in order to advantageously collected water from the system (see Sato, Column 1, lines 69-73). Claim 15 is rejected under 35 U.S.C. 103 as being unpatentable over Disco et al. (4,290,275), hereafter referred to as “Disco,” in view of Masiani et al. (WO 8906775 A1, machine translation), hereafter referred to as “Masiani.” Regarding Claim 15: Disco teaches a water heater (title), comprising: an outer casing (6); a water tank (2) disposed within the outer casing (see Figure 1), wherein the water tank (2) comprises a bottom wall, a top wall, and a side wall extending between and connected to the bottom wall and the top wall (see Figure 1); a condenser heat exchanger (20) surrounding at least a portion of the side wall (see Figure 1); an insulation jacket (38) disposed around at least the side wall (see Figure 1) and the condenser heat exchanger (20, see 20 cutout Figure 1, 38 wraps around piping exiting 2) between the side wall and the outer casing (6); a natural convection evaporator heat exchanger (channel 13 in coil indentation 12 see Figures 1 and 3, within 6) disposed about the insulation jacket (38); and a compressor (40) fluidly connected to the condenser heat exchanger (20) and the natural convection evaporator heat exchanger (channel 13 in coil indentation 12 see Figures 1 and 3, within 6), wherein the water heater (title) does not employ a fan to direct air to the natural convection evaporator heat exchanger (Figure 1 does not utilize a fan). Disco fails to teach the natural convection evaporator heat exchanger disposed on an exterior surface of the insulation jacket. Masiani teaches a natural convection evaporator heat exchanger (6) disposed on an exterior surface of an insulation jacket (21, see Figure 3). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have provided the natural convection evaporator heat exchanger disposed on an exterior surface of the insulation jacket to the structure of Disco as taught by Masiani in order to advantageously provide increased efficiency and reduced noise and dimensions (see Masiani, abstract of the machine translation). Claim 17 is rejected under 35 U.S.C. 103 as being unpatentable over Disco et al. (4,290,275), hereafter referred to as “Disco,” in view of Masiani et al. (WO 8906775 A1, machine translation), hereafter referred to as “Masiani,” as applied to claim 15 above, and further in view of Kim et al. (US 2006/0054310 A1), hereafter referred to as “Kim.” Regarding Claim 17: Disco modified supra fails to teach wherein the natural convection evaporator heat exchanger is a micro-channel heat exchanger. Kim teaches wherein a natural convection evaporator heat exchanger is a micro-channel heat exchanger (paragraph [0048]). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have provided wherein the natural convection evaporator heat exchanger is a micro-channel heat exchanger to the structure of Disco modified supra as taught by Kim in order to advantageously provide small size and high efficiency (see Kim, paragraph [0069]). Claim 18 is rejected under 35 U.S.C. 103 as being unpatentable over Disco et al. (4,290,275), hereafter referred to as “Disco,” in view of Masiani et al. (WO 8906775 A1, machine translation), hereafter referred to as “Masiani,” as applied to claim 15 above, and further in view of Sato et al. (3,635,046), hereafter referred to as “Sato.” Regarding Claim 18: Disco modified supra fails to teach further comprising a condensate collector tray located below the bottom wall. Sato teaches a condensate collector tray (18) located below a water treated system (15, 14). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have provided a condensate collector tray located below the bottom wall to the structure of Disco modified supra as taught by Sato in order to advantageously collected water from the system (see Sato, Column 1, lines 69-73). Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. Bottum (4,103,509). Any inquiry concerning this communication or earlier communications from the examiner should be directed to KIRSTIN U OSWALD whose telephone number is (571)270-3557. The examiner can normally be reached 10 a.m. - 6 p.m. M-F. 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 at 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. /KIRSTIN U OSWALD/Examiner, Art Unit 3763 /ERIC S RUPPERT/ Primary Examiner, Art Unit 3763
Read full office action

Prosecution Timeline

Jan 16, 2024
Application Filed
Sep 09, 2025
Non-Final Rejection — §102, §103
Oct 27, 2025
Response Filed
Jan 30, 2026
Non-Final Rejection — §102, §103 (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

2-3
Expected OA Rounds
58%
Grant Probability
90%
With Interview (+32.1%)
3y 5m
Median Time to Grant
Moderate
PTA Risk
Based on 485 resolved cases by this examiner. Grant probability derived from career allow rate.

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