Prosecution Insights
Last updated: August 16, 2026
Application No. 18/468,528

MEDICAL COMPONENTS WITH MICROSTRUCTURES FOR HUMIDIFICATION AND CONDENSATE MANAGEMENT

Non-Final OA §103
Filed
Sep 15, 2023
Priority
Mar 14, 2013 — provisional 61/785,895 +5 more
Examiner
GONG, KRIS HANYU
Art Unit
3785
Tech Center
3700 — Mechanical Engineering & Manufacturing
Assignee
Fisher & Paykel Healthcare Limited
OA Round
1 (Non-Final)
26%
Grant Probability
At Risk
1-2
OA Rounds
9m
Est. Remaining
83%
With Interview

Examiner Intelligence

Grants only 26% of cases
26%
Career Allowance Rate
9 granted / 34 resolved
-43.5% vs TC avg
Strong +57% interview lift
Without
With
+56.6%
Interview Lift
resolved cases with interview
Typical timeline
3y 8m
Avg Prosecution
30 currently pending
Career history
72
Total Applications
across all art units

Statute-Specific Performance

§101
4.3%
-35.7% vs TC avg
§103
55.2%
+15.2% vs TC avg
§102
21.2%
-18.8% vs TC avg
§112
17.2%
-22.8% vs TC avg
Black line = Tech Center average estimate • Based on career data from 34 resolved cases

Office Action

§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 § 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. Claim(s) 2-4, 6-8, 10, 11, 14, 15 is/are rejected under 35 U.S.C. 103 as being unpatentable over Sims (US5445143), hereafter Sims, in view of Rustad et al. (US20130081625), hereafter Rustad. Regarding Claim 2, Sims discloses a humidification chamber suitable for use with a humidifier, comprising (Fig. 1, abstract): an exterior wall defining an interior space (Fig. 1 , humidification chamber molding 1 defines an interior space); a water inlet that permits water to enter the interior space (Fig. 1, inlet 4, col. 3 line 3-4, “Liquid water enters the humidification chamber 1A through inlet 4”); a primary valve that controls entry of water into the humidification chamber through the water inlet (Fig. 1, primary valve seat 8, col. 4, line 38-40, “the primary float 2 is actively controlling the water level by periodically raising the push rod 10 to form a seal between the primary valve seat 8”), wherein the primary valve is controlled by a float (Fig. 1, primary float 2). Sims further discloses a secondary valve that controls entry of water into the humidification chamber through the water inlet (Fig. 1, secondary valve seat 9), but is silent on wherein the secondary valve is not controlled by any float. However, Rustad teaches a humidification chamber for a humidifier (Fig. 4, humidification component 402), comprising of a water inlet (Fig. 4, the inlet of the humidification chamber connected to the water filing line 416), and a valve that controls entry of water into the humidification chamber through the water inlet (Fig. 4, water level control element 418, par. 0087, “the water level control element 418 includes, but is not limited to the following structures: a single pinch valve; multiple pinch valves; a peristaltic pump; a piezo pump; a valve, and a duct”), wherein the valve is not controlled by any float (par. 0088, “The water level control element 418, in one embodiment, is controlled by the control module 420 by receiving an "adjustment" instruction from the control module 420… the adjustment instruction is based on the water related information (discussed below) received by the control module 420 from the at least one sensor 410, as well as the water level objective”). Therefore, it would have been obvious for one of ordinary skilled in the art to modify the known device of Sims, with the valve and sensor of Rustad, to simplify manufacturing and reduce cost of production as taught by Rustad (Rustad, par. 0074). Regarding Claim 3, the modified Sims discloses the humidification chamber of Claim 2, wherein the secondary valve is controlled by an actuator arrangement (Rustad, par. 0077, “A water level control element, such as a pinch valve or other similarly functioning valve, is actuated using signals from sensors”) comprising a water level sensor (Rustad, Fig. 4, sensor 410, par. 0091, “the at least one sensor 410… thereby collecting "water related information" regarding the water level as well”) and a valve actuator (Rustad, par. 0077, the prior art teaches a valve actuated using feedback from sensors, therefore, a valve actuator inherently exists to actuate the valve) Regarding Claim 4, the modified Sims discloses the humidification chamber of Claim 3, wherein the water level sensor is an optical sensor (Rustad, par. 0091, “the at least one sensor 410 are optical sensors”). Regarding Claim 6, the modified Sims discloses the humidification chamber of Claim 3, wherein the secondary valve operates in conjunction with the primary valve as a redundant or failsafe arrangement (Sims, Abstract, “The valves are co-axially aligned and the system provides improved safety by allowing for reliable operation in the case where one of the floats fails”). Regarding Claim 7, the modified Sims discloses the humidification chamber of Claim 3, wherein the secondary valve is normally biased to a closed position and is moved to an open position by the valve actuator (Rustad, par. 0078, “When the water level in the humidification component is sufficiently high, the water level control element remains closed”). Regarding Claim 8, the modified Sims discloses the humidification chamber of Claim 3, wherein the secondary valve is moved to an open position when a water level falls below a desirable level (Rustad, par. 0078, “When the water level drops… an integrated water level control element, such as a pinch valve, is signaled to open, which refills the humidification component to the desired target level.”). Regarding Claim 10, the modified Sims discloses the humidification chamber of Claim 3, wherein the humidification chamber comprises a planar wall and the water level sensor is located on the planar wall (Sims Fig. 1, the chamber comprises a planar wall; Rustad Fig. 4, the sensor 410 are located on the side wall of the chamber). Regarding Claim 11, the modified Sims discloses the humidification chamber of Claim 10, wherein an inlet port and an outlet port are located adjacent the planar wall (Sims Fig. 1, col. 3 line 23-25, “The humidification chamber 1A is further equipped with a gases inlet (not shown) and a gases outlet 5”; col. 3 line 36-37, “ water level changes adjacent to the gases inlet (not shown) and gases outlet 5 are miniraised”; the gas inlet and outlet are adjacent to the water level, therefore they are adjacent to the planar wall). Regarding Claim 14, the modified Sims discloses the humidification chamber of Claim 2, comprising gas flow guiding features to direct a portion of a flow of gas between an inlet port and an outlet port (Sims, col. 3 line 23-25, “The humidification chamber 1A is further equipped with a gases inlet (not shown) and a gases outlet 5”; col. 3 line 40-44, “The reason for the relative volumes and shapes of the chamber and floats is to minimize the compressible volume of the humidification chamber 1A and also so that gases in the humidification chamber 1A may be directed to effect more efficient humidification”; the shape of the chamber guides the gas flow). Regarding Claim 15, the modified Sims discloses the humidification chamber of Claim 14, wherein the gas flow guiding features are internal guide walls or outer side walls of the humidification chamber (Sims, col. 3 line 40-44, “The reason for the relative volumes and shapes of the chamber and floats is to minimize the compressible volume of the humidification chamber 1A and also so that gases in the humidification chamber 1A may be directed to effect more efficient humidification”; the shape of the chamber guides the gas flow, wherein the shape of defined by the side walls of the chamber). Claim(s) 2, 3, 5 is/are rejected under 35 U.S.C. 103 as being unpatentable over Cheung (WO2013147623), hereafter Cheung, in view of Rustad. Regarding Claim 2, Cheung discloses a humidification chamber suitable for use with a humidifier, comprising (Fig. 8, abstract): an exterior wall defining an interior space (Fig. 8, an exterior wall defines cavity 230); a water inlet that permits water to enter the interior space (Fig. 8, chamber inlet 248); a primary valve that controls entry of water into the humidification chamber through the water inlet (Fig. 8, a first block 256; par. 0148, “The first block 256 can thereby prevent or slow further ingress of liquid into the cavity 230”), wherein the primary valve is controlled by a float (Fig. 8, float 250; par. 0148, “When the liquid level 232 in the chamber 104 reaches a first predetermined level, and therefore causes the first float 250 to rise to a first predetermined height within the chamber 230”). Cheung further discloses a secondary valve that controls entry of water into the humidification chamber through the water inlet (Fig. 8, second block 258), but is silent on wherein the secondary valve is not controlled by any float. However, Rustad teaches a known technique of controlling a valve that controls entry of water into a humidification chamber through a water inlet (Fig. 4, humidification component 402, the inlet of the humidification chamber connected to the water filing line 416; water level control element 418, par. 0087, “the water level control element 418 includes, but is not limited to the following structures: a single pinch valve; multiple pinch valves; a peristaltic pump; a piezo pump; a valve, and a duct”), wherein the valve is not controlled by any float and controlled by an optical sensor (par. 0088, “… the adjustment instruction is based on the water related information (discussed below) received by the control module 420 from the at least one sensor 410, as well as the water level objective”; Fig. 4, sensor 410, par. 0091, “the at least one sensor 410… thereby collecting "water related information" regarding the water level as well”). This known technique is applicable to the device of Cheung, as Cheung teaches a camera also capable of monitoring the water level (Cheung, par. 0143, “The camera can monitor one or more of part information, water level, flow rate, humidity, temperature, pressure, and/or gas content, particularly oxygen content”), both the camera of Cheung and the optical sensor of Rustad monitors the water level. One of ordinary skilled in the art would have recognized that applying the known technique of Rustad would have yield predictable results and resulted in an improved device before the effective filing date of the claimed invention, to simplify manufacturing and reduce cost of production as taught by Rustad (Rustad, par. 0074). It would have been recognized that applying the technique of Rustad to the teaching of Cheung would have yielded predictable results because the level of ordinary skill in the art demonstrated by the references applied shows the ability to control such inlet valve in a humidifier chamber using a sensor detecting the water level. Regarding Claim 3, the modified Cheung discloses the humidification chamber of Claim 2, wherein the secondary valve is controlled by an actuator arrangement (Cheung, Fig. 8, the secondary valve 258 is controlled by the actuation of a piston 254) comprising a water level sensor (Cheung, “par. 0143, “The camera can monitor one or more of part information, water level, flow rate, humidity, temperature, pressure, and/or gas content, particularly oxygen content”) and a valve actuator (Cheung Fig. 8, piston 254; Rustad, par. 0077, the prior art teaches a valve actuated using feedback from sensors). Regarding Claim 5, the modified Cheung discloses the humidification chamber of Claim 3, wherein the water level sensor is a camera (Cheung, “par. 0143, “The camera can monitor one or more of part information, water level, flow rate, humidity, temperature, pressure, and/or gas content, particularly oxygen content”). Claim(s) 9, 12, 13 is/are rejected under 35 U.S.C. 103 as being unpatentable over Sims in view of Rustad, further in view of Volovec (US20130306172), hereafter Volovec Regarding Claim 9, the modified Sims discloses the humidification chamber of Claim 3, but is silent on wherein the secondary valve comprises a valve body assembly having unitary spring arms that normally bias the valve body assembly to a closed position of the secondary valve. However, Volovec teaches a valve for use in a fluid system (Abstract), comprising of a valve body assembly (Fig. 1) having unitary spring arms (par. 0024, “Just behind the plug (6, 10, 15, 16) encircling the shaft (24) is a spring (4)”) that normally bias the valve body assembly to a closed position of the secondary valve (par. 0015, “axial movement of the shaft is resisted by a biasing spring which might be arranged either to bias the valve in an open position or a closed position”; the spring is capable of bias the valve to be closed). Furthermore, Rustad teaches various valves can be used for controlling the water level (Rustad, par. 0087), and that the valve is normally in a closed position (Rustad, par. 0078). Therefore, it would have been obvious for one of ordinary skilled in the art to further modify the known device of Sims, with the valve of Volovec, to secure the sealing and balance pressure as taught by Volovec (Volovec, par. 0017). Regarding Claim 12, the modified Sims discloses the humidification chamber of Claim 3, wherein the actuator arrangement selectively moves the secondary valve between an open position and a closed position based on a control system (Rustad, par. 0078, “When the water level in the humidification component is sufficiently high, the water level control element remains closed. When the water level drops, this is sensed as an increase in the amount of light received at the optical receiver. Each time the optical receiver achieves a target signal level associated with this condition, an integrated water level control element, such as a pinch valve, is signaled to open, which refills the humidification component to the desired target level”), but does not specifically disclose controlling an actuator rod. The sole difference between the prior art and the claimed subjection matter is that the prior art does not specifically disclose the valve is actuated by controlling an actuator rod. The prior art teaches various valves can be used for controlling the water level (Rustad, par. 0087) Volovec teaches a valve for use in a fluid system (Abstract), comprising of an actuator arrangement (Fig. 1) selectively moves the secondary valve between an open position and a closed position (par. 0015, “Optionally, axial movement of the shaft is resisted by a biasing spring which might be arranged either to bias the valve in an open position or a closed position”; the shaft biased by the spring controls the opening and closing of the valve) controlling an actuator rod (Fig. 1, shaft 24). Volovec shows that the used of an actuator arrangement controlling an actuator rod for a valve was known in the prior art at the time of the invention. Since each individual element and its function are shown in the prior art, albeit shown in separate references, the difference between the claimed subject matter and the prior art rests not on any individual element or function but in the very combination itself, that is the substitution of the valve of Volovec for the valve of Rustad. Thus, the simple substitution of one known element for another producing a predictable result renders the claim obvious before the effective filing date of the claimed invention. Regarding Claim 13, the modified Sims discloses the humidification chamber of Claim 12, wherein a flexible seal element maintains a barrier between the interior space of the humidification chamber and the actuator rod (Volovec, par. 0032, “Front bearing Includes a seal around shaft 24… a resilient seal is held between them 15 Plug Seal Resilient face of plug, which helps with sealing 11 mechanism Keeps water out of mechanism”; the term “resilient” means that the material is capable of deforming, therefore it is flexible). Claim(s) 16-19 is/are rejected under 35 U.S.C. 103 as being unpatentable over Sims in view of Rustad, further in view of Smith et al. (US20020100320), hereafter Smith. Regarding Claim 16, the modified Sims discloses the humidification chamber of Claim 2, but is silent on further comprising microstructures. However, Smith teaches a humidification system (Fig. 5), comprising of microstructures (par. 0059, “This might be implemented using a chemical film, such as an anti-fogging agent, surface roughening, surface treatment or a combination of these methods. In the preferred embodiment both an anti-fogging agent and surface roughening are used.”; the roughened surface is a microstructure). Therefore, it would have been obvious for one of ordinary skilled in the art to further modify the known device of Sims, with the humidification system of Smith, and include microstructures to prevent droplets from forming in the housing as taught by Smith (Smith, Abstract, par. 0059). Regarding Claim 17, the modified Sims discloses the humidification chamber of claim 16, wherein the microstructures wick liquid from a first region to a second region (Smith, par. 0052, par. 0059,” A further technique is to encourage condensate to form as a film so that it falls down continuously and not as droplets”; the prior art discloses the microstructure wicks liquid to fall down continuously). Regarding Claim 18, the modified Sims discloses the humidification chamber of Claim 16, but is silent on wherein the float further comprises the microstructures. However, Smith further teaches that the microstructures reduces droplets from forming (Smith, par. 0059). Therefore, it would have been obvious for one of ordinary skilled in the art to further modify the known device of Sims, and have microstructures on the float, to prevent droplets from forming as taught by Smith (Smith, Abstract, par. 0059). Regarding Claim 19, the modified Sims discloses the humidification chamber of Claim 14, but is silent on wherein the gas flow guiding features comprise microstructures. However, Smith teaches a humidification system (Fig. 5), comprising of microstructures (par. 0059, “This might be implemented using a chemical film, such as an anti-fogging agent, surface roughening, surface treatment or a combination of these methods. In the preferred embodiment both an anti-fogging agent and surface roughening are used.”; the roughened surface is a microstructure). Therefore, it would have been obvious for one of ordinary skilled in the art to further modify the known device of Sims, and have microstructures on the gas flow guiding features, to prevent droplets from forming as taught by Smith (Smith, Abstract, par. 0059). Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. US20130228177 discloses a humidifier system comprising of a control valve and a float. Any inquiry concerning this communication or earlier communications from the examiner should be directed to KRIS HANYU GONG whose telephone number is (703)756-5898. The examiner can normally be reached M-F 8:30-4:30. 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, Brandy Lee can be reached at 571-270-7410. 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. /KRIS HANYU GONG/Examiner, Art Unit 3785 /VICTORIA MURPHY/Primary Patent Examiner, Art Unit 3785
Read full office action

Prosecution Timeline

Sep 15, 2023
Application Filed
May 13, 2026
Non-Final Rejection mailed — §103 (current)

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Study what changed to get past this examiner. Based on 4 most recent grants.

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Prosecution Projections

1-2
Expected OA Rounds
26%
Grant Probability
83%
With Interview (+56.6%)
3y 8m (~9m remaining)
Median Time to Grant
Low
PTA Risk
Based on 34 resolved cases by this examiner. Grant probability derived from career allowance rate.

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