Prosecution Insights
Last updated: April 19, 2026
Application No. 18/648,002

AXIAL RETENTION ASSEMBLY FOR AXIALLY FIXING ROTATING PARTS WITH RESPECT TO EACH OTHER

Non-Final OA §102§103
Filed
Apr 26, 2024
Examiner
FERGUSON, MICHAEL P
Art Unit
3619
Tech Center
3600 — Transportation & Electronic Commerce
Assignee
Schaeffler Technologies AG & Co. Kg
OA Round
1 (Non-Final)
63%
Grant Probability
Moderate
1-2
OA Rounds
3y 2m
To Grant
99%
With Interview

Examiner Intelligence

Grants 63% of resolved cases
63%
Career Allow Rate
793 granted / 1253 resolved
+11.3% vs TC avg
Strong +74% interview lift
Without
With
+74.1%
Interview Lift
resolved cases with interview
Typical timeline
3y 2m
Avg Prosecution
48 currently pending
Career history
1301
Total Applications
across all art units

Statute-Specific Performance

§101
0.2%
-39.8% vs TC avg
§103
42.7%
+2.7% vs TC avg
§102
25.3%
-14.7% vs TC avg
§112
28.5%
-11.5% vs TC avg
Black line = Tech Center average estimate • Based on career data from 1253 resolved cases

Office Action

§102 §103
DETAILED ACTION Claim Objections Claims 1, 4, 7, 8, 14, 16, 17 and 19 are objected to because of the following informalities: In claim 1 (line 5) “the center” should recite –a center--. In claim 4 (line 1) “fingers defines” should recite –fingers define--. In claim 7 (line 1) “the fingers” should recite –the second fingers--. In claim 8 (line 2) “the fingers” should recite –the second fingers--. In claim 14 (line 7) “the fingers” should recite –the second fingers--. In claim 14 (line 8 and line 9) “the finger” should recite –the second finger--. In claim 14 (line 11 and line 13) “respective finger” should recite –respective second finger--. In claim 16 (line 8) “second fingers” should recite –first fingers--. In claim 17 (line 5) “the center” should recite –a center--. In claim 17 (line 10) “the first groove” should recite –a first groove--. In claim 17 (lines 10-11) “the second groove of the second” should recite –a second groove of the second part--. In claim 19 (line 6) “the center” should recite –a center--. In claim 19 (line 11 and line 13) “confirmed for” should recite –configured for--. For the purpose of examining the application, it is assumed that appropriate correction has been made. 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 1-5, 17 and 19 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Daimler Chrysler (DE 199 04 713). As to claim 1, Daimler Chrysler discloses an axial retention assembly for axially fixing rotating parts together comprising: a retainer ring comprising: a ring section 22’; a set of first fingers 23,24,25 each extending from the ring section radially in a first direction with respect to a center axis of the ring section; and a set of second fingers 26,27 each extending from the ring section radially in the first direction with respect to the center axis of the ring section, free ends of each of the second fingers being axially spaced from free ends of the first fingers; a first part 17 having a first circumferential surface and a first groove 35 formed in the first circumferential surface, the free ends of the first fingers being received in the first groove; and a second part 13 having a second circumferential surface, the second cylindrical surface having a second groove 36, the free ends of the second set of fingers being received in the second groove, the retainer ring holding the second part axially in place on the first part to prevent the second part from being movable in both axial directions (Figures 1-3). As to claim 2, Daimler Chrysler discloses an axial retention assembly wherein the retainer ring is formed of a sheet of metal having a uniform thickness (Figures 1-3). As to claim 3, Daimler Chrysler discloses an axial retention assembly wherein the ring section 22’ defines an outermost circumferential surface of the retainer ring (Figures 1-3). As to claim 4, Daimler Chrysler discloses an axial retention assembly wherein the second fingers 26,27 define an innermost diameter of the retainer ring (Figures 1-3). As to claim 5, Daimler Chrysler discloses an axial retention assembly wherein the second fingers 26,27 extend radially further from the ring section 22’ than the first fingers 23,24,25 (Figures 1-3). As to claim 17, Daimler Chrysler discloses a method for creating an axial retention assembly, the axial retention assembly including a retainer ring, a first part 17 having a first circumferential surface and a second part 13 having a second circumferential surface, the retainer ring including a ring section 22’, a set of first fingers 23,24,25 each extending from the ring section radially in a first direction with respect to a center axis of the ring section; and a set of second fingers 26,27 each extending from the ring section radially in the first direction with respect to the center axis of the ring section, the method comprising: installing the retainer ring onto the first part and the second part to cause the first fingers to snap into a first groove 35 of the first part and to cause the second fingers to snap into a second groove 36 of the second part to prevent axial movement on both axial directions (Figures 1-3). As to claim 19, Daimler Chrysler discloses a retainer ring for axial fixing a first part 17 and a second part 13 with respect to each other to prevent the second part from being movable in both axial directions with respect to the first part, the retainer comprising: a ring section 22’; a set of first fingers 23,24,25 each extending from the ring section radially in a first direction with respect to a center axis of the ring section; and a set of second fingers 26,27 each extending from the ring section radially in the first direction with respect to the center axis of the ring section, free ends of each of the second fingers being axially spaced from free ends of the first fingers; the free ends of the first fingers configured for being received in a first groove 35 in a first circumferential surface of the first part, the free ends of the second fingers configured for being received in a second groove 36 in a second circumferential surface of the first part (Figures 1-3). Claims 1-17 and 19 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Van Der Vecht (US 12,203,498). As to claim 1, Van Der Vecht discloses an axial retention assembly for axially fixing rotating parts together comprising: a retainer ring comprising: a ring section 11; a set of first fingers 12 each extending from the ring section radially in a first direction with respect to a center axis of the ring section; and a set of second fingers 13 each extending from the ring section radially in the first direction with respect to the center axis of the ring section, free ends of each of the second fingers being axially spaced from free ends of the first fingers; a first part 22 having a first circumferential surface and a first groove A formed in the first circumferential surface (Figure 2B reprinted with annotations below), the free ends of the first fingers being received in the first groove; and a second part 21 having a second circumferential surface, the second cylindrical surface having a second groove 25, the free ends of the second set of fingers being received in the second groove, the retainer ring holding the second part axially in place on the first part to prevent the second part from being movable in both axial directions (Figures 1A-4B). [AltContent: textbox (A)][AltContent: arrow] PNG media_image1.png 267 391 media_image1.png Greyscale As to claim 2, Van Der Vecht discloses an axial retention assembly wherein the retainer ring is formed of a sheet of metal having a uniform thickness (Figures 1A-4B; C2 L14-19). As to claim 3, Van Der Vecht discloses an axial retention assembly wherein the ring section 11 defines an outermost circumferential surface of the retainer ring (Figures 1A-4B). As to claim 4, Van Der Vecht discloses an axial retention assembly wherein the second fingers 13 define an innermost diameter of the retainer ring (Figures 1A-4B). As to claim 5, Van Der Vecht discloses an axial retention assembly wherein the second fingers 13 extend radially further from the ring section 11 than the first fingers 12 (Figures 1A-4B). As to claim 6, Van Der Vecht discloses an axial retention assembly wherein the retainer ring further includes a plurality of circumferentially spaced webs 14 connected to the ring section 11, the second fingers 13 being connected to the ring section by the webs (Figures 1A-4B). As to claim 7, Van Der Vecht discloses an axial retention assembly wherein each of the second fingers 13 is connected to the ring section 11 by two of the webs 14 (Figures 1A-4B). As to claim 8, Van Der Vecht discloses an axial retention assembly wherein each of the webs 14 connects two of the second fingers 13 to the ring section 11 (Figures 1A-4B). As to claim 9, Van Der Vecht discloses an axial retention assembly wherein the first fingers 12 are directly connected to the ring section 11, and the webs 14 are directly connected to the ring section (Figures 1A-4B). As to claim 10, Van Der Vecht discloses an axial retention assembly wherein the webs 14 extend at a first angle from the ring section 11 (Figures 1A-4B). As to claim 11, Van Der Vecht discloses an axial retention assembly wherein the first angle is between 30 to 60 degrees (Figures 1A-4B). As to claim 12, Van Der Vecht discloses an axial retention assembly wherein the retainer ring further includes a plurality of slots 16 that are circumferentially spaced apart from each other by the webs 14, an inner circumferential surface of each of the slots being defined by a respective one of the second fingers 12, each of the webs includes a first axially and radially extending surface that faces a first circumferential direction and a second axially and radially extending surface that faces a second circumferential direction, the first axially and radially extending surface of each web defining a first circumferential edge of one of the slots, the second axially and radially extending surface of each web defining a second circumferential edge of another of the slots (Figures 1A-4B). As to claim 13, Van Der Vecht discloses an axial retention assembly wherein a first radially inner edge of each first axially and radially extending surface of each web 14 and a second radially inner edge of each second axially and radially extending surface of each web directly connects to the ring section 11, a base end of each of the first fingers 12 being directly circumferentially between the first radially inner edge of one of the webs and the second radially inner edge of another of the webs (Figures 1A-4B). As to claim 14, Van Der Vecht discloses an axial retention assembly wherein each of the second fingers 13 includes a first circumferentially facing surface facing in the first circumferential direction and a second circumferentially facing surface facing in the second circumferential direction, the first circumferentially facing surface of each second finger extending from the free end of the second finger to an outer circumferential surface of one of the webs 14, and the second circumferentially facing surface of each second finger extending from the free end of the second finger to an outer circumferential surface of another of the webs, wherein each of the second fingers includes a first extension directly connecting the second finger to the one of the webs and a second extension directly connecting the second finger to the other one of the webs, the first extension being defined by part of the first circumferentially facing surface of the respective second finger and a part of the second axially and radially extending surface of the one of the webs, the second extension being defined by part of the second circumferentially facing surface of the respective second finger and a part of the first axially and radially extending surface of the one of the webs (Figures 1A-4B). As to claim 15, Van Der Vecht discloses an axial retention assembly wherein each of the first fingers 12 is axially aligned with a respective one of the slots 16 (Figures 1A-4B). As to claim 16, Van Der Vecht discloses an axial retention assembly wherein the ring section 11 includes a first planer surface that faces in a first axial direction and a second planer surface that faces in a second axial direction, each of the first fingers 12 including a first planer surface that faces in the first axial direction and a second planer surface that faces in the second axial direction, the first planar surface of each of the first fingers being contiguous with the first planar surface of the ring section, the second planar surface of each of first fingers being contiguous with the second planar surface of the ring section, wherein the first planar surface of each of the first fingers and the first planar surface of the ring section extend in a first plane, and the second planar surface of each of the first fingers and the second planar surface of the ring section extend in a second plane (Figures 1A-4B). As to claim 17, Van Der Vecht discloses a method for creating an axial retention assembly, the axial retention assembly including a retainer ring, a first part 22 having a first circumferential surface and a second part 21 having a second circumferential surface, the retainer ring including a ring section 11, a set of first fingers 12 each extending from the ring section radially in a first direction with respect to a center axis of the ring section; and a set of second fingers 13 each extending from the ring section radially in the first direction with respect to the center axis of the ring section, the method comprising: installing the retainer ring onto the first part and the second part to cause the first fingers to snap into a first groove A of the first part and to cause the second fingers to snap into a second groove 25 of the second part to prevent axial movement on both axial directions (Figures 1A-4B). As to claim 19, Van Der Vecht discloses a retainer ring for axial fixing a first part and a second part with respect to each other to prevent the second part from being movable in both axial directions with respect to the first part, the retainer comprising: a ring section 11; a set of first fingers 12 each extending from the ring section radially in a first direction with respect to a center axis of the ring section; and a set of second fingers 13 each extending from the ring section radially in the first direction with respect to the center axis of the ring section, free ends of each of the second fingers being axially spaced from free ends of the first fingers; the free ends of the first fingers capable of being received in a first groove in a first circumferential surface of the first part, the free ends of the second fingers capable of being received in a second groove in a second circumferential surface of the first part (Figures 1A-4B). 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. Claim 20 is rejected under 35 U.S.C. 103 as being unpatentable over Daimler Chrysler. As to claim 20, Daimler Chrysler discloses a method of constructing the retainer ring, the method comprising: stamping a metal sheet to form the ring section 22’, the first fingers 23,24,25 and the second fingers 26,27; and bending the metal sheet to cause the second fingers to move axially with respect to the ring section and the first fingers the retainer ring to cause free ends of each of the second fingers to be axially spaced from free ends of the first fingers (Figures 1-3). Daimler Chrysler fails to explicitly disclose that the metal sheet material is steel. Daimler Chrysler does not disclose any structurally or functional significance as to the specific material of the metal sheet. Applicant is reminded that the selection of a known material based upon its suitability for the intended use, wherein there is no structural or functional significance disclosed as to the specific material of an element, is a design consideration within the skill of the art. In re Leshin, 227 F.2d 197, 125 USPQ 416 (CCPA 1960). Accordingly, it would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to modify the method disclosed by Daimler Chrysler wherein the metal sheet material is steel, as Daimler Chrysler does not disclose any structurally or functional significance as to the specific material of the metal sheet, and as such selection of material is a design consideration within the skill of the art which would yield expected and predictable results. Claims 18 and 20 are rejected under 35 U.S.C. 103 as being unpatentable over Van Der Vecht. As to claim 18, Van Der Vecht discloses a method wherein the retainer ring further includes a plurality of circumferentially spaced webs 14 connected to the ring section 11, the second fingers 13 being connected to the ring section by the webs, the method further comprising: stamping a metal sheet to form the ring section, the first fingers and the second fingers; and bending the metal sheet to cause the second fingers to move axially with respect to the ring section and the first fingers the retainer ring to cause free ends of each of the second fingers to be axially spaced from free ends of the first fingers, the bending of the metal sheet including bending the metal sheet at a junction between the webs and the ring section (Figures 1A-4B; C4 L14-19). Van Der Vecht fails to explicitly disclose that the metal sheet material is steel. Van Der Vecht does not disclose any structurally or functional significance as to the specific material of the metal sheet. Applicant is reminded that the selection of a known material based upon its suitability for the intended use, wherein there is no structural or functional significance disclosed as to the specific material of an element, is a design consideration within the skill of the art. In re Leshin, 227 F.2d 197, 125 USPQ 416 (CCPA 1960). Accordingly, it would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to modify the method disclosed by Van Der Vecht wherein the metal sheet material is steel, as Van Der Vecht does not disclose any structurally or functional significance as to the specific material of the metal sheet, and as such selection of material is a design consideration within the skill of the art which would yield expected and predictable results. As to claim 20, Van Der Vecht discloses a method of constructing the retainer ring, the method comprising: stamping a metal sheet to form the ring section 11, the first fingers 12 and the second fingers 13; and bending the metal sheet to cause the second fingers to move axially with respect to the ring section and the first fingers the retainer ring to cause free ends of each of the second fingers to be axially spaced from free ends of the first fingers (Figures 1A-4B; C4 L14-19). Van Der Vecht fails to explicitly disclose that the metal sheet material is steel. Van Der Vecht does not disclose any structurally or functional significance as to the specific material of the metal sheet. Applicant is reminded that the selection of a known material based upon its suitability for the intended use, wherein there is no structural or functional significance disclosed as to the specific material of an element, is a design consideration within the skill of the art. In re Leshin, 227 F.2d 197, 125 USPQ 416 (CCPA 1960). Accordingly, it would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to modify the method disclosed by Van Der Vecht wherein the metal sheet material is steel, as Van Der Vecht does not disclose any structurally or functional significance as to the specific material of the metal sheet, and as such selection of material is a design consideration within the skill of the art which would yield expected and predictable results. Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to MICHAEL P FERGUSON whose telephone number is (571)272-7081. The examiner can normally be reached M-F (10:00 am-7:00 pm EST). 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, Anna Momper can be reached at (571)270-5788. 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. 02/14/26 /MICHAEL P FERGUSON/Primary Examiner, Art Unit 3619
Read full office action

Prosecution Timeline

Apr 26, 2024
Application Filed
Feb 14, 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

1-2
Expected OA Rounds
63%
Grant Probability
99%
With Interview (+74.1%)
3y 2m
Median Time to Grant
Low
PTA Risk
Based on 1253 resolved cases by this examiner. Grant probability derived from career allow rate.

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