Prosecution Insights
Last updated: April 19, 2026
Application No. 18/710,291

Heat Exchanger

Non-Final OA §102
Filed
May 15, 2024
Examiner
RUBY, TRAVIS C
Art Unit
3763
Tech Center
3700 — Mechanical Engineering & Manufacturing
Assignee
Sumitomo Precision Products Co., Ltd.
OA Round
1 (Non-Final)
53%
Grant Probability
Moderate
1-2
OA Rounds
3y 8m
To Grant
82%
With Interview

Examiner Intelligence

Grants 53% of resolved cases
53%
Career Allow Rate
429 granted / 810 resolved
-17.0% vs TC avg
Strong +29% interview lift
Without
With
+28.9%
Interview Lift
resolved cases with interview
Typical timeline
3y 8m
Avg Prosecution
49 currently pending
Career history
859
Total Applications
across all art units

Statute-Specific Performance

§101
0.3%
-39.7% vs TC avg
§103
47.6%
+7.6% vs TC avg
§102
29.4%
-10.6% vs TC avg
§112
20.7%
-19.3% vs TC avg
Black line = Tech Center average estimate • Based on career data from 810 resolved cases

Office Action

§102
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 . Status of Claims The status of the claims as filed in the submission dated 5/15/2024 are as follows: Claims 1-7 are pending and are being examined. Priority Receipt is acknowledged of certified copies of papers required by 37 CFR 1.55. Specification The title of the invention is not descriptive. A new title is required that is clearly indicative of the invention to which the claims are directed. The following title is suggested: “Heat Exchanger With Core Phase Adjuster”. The following guidelines illustrate the preferred layout for the specification of a utility application. These guidelines are suggested for the applicant’s use. Arrangement of the Specification As provided in 37 CFR 1.77(b), the specification of a utility application should include the following sections in order. Each of the lettered items should appear in upper case, without underlining or bold type, as a section heading. If no text follows the section heading, the phrase “Not Applicable” should follow the section heading: (a) TITLE OF THE INVENTION. (b) CROSS-REFERENCE TO RELATED APPLICATIONS. (c) STATEMENT REGARDING FEDERALLY SPONSORED RESEARCH OR DEVELOPMENT. (d) THE NAMES OF THE PARTIES TO A JOINT RESEARCH AGREEMENT. (e) INCORPORATION-BY-REFERENCE OF MATERIAL SUBMITTED ON A READ-ONLY OPTICAL DISC, AS A TEXT FILE OR AN XML FILE VIA THE PATENT ELECTRONIC SYSTEM. (f) STATEMENT REGARDING PRIOR DISCLOSURES BY THE INVENTOR OR A JOINT INVENTOR. (g) BACKGROUND OF THE INVENTION. (1) Field of the Invention. (2) Description of Related Art including information disclosed under 37 CFR 1.97 and 1.98. (h) BRIEF SUMMARY OF THE INVENTION. (i) BRIEF DESCRIPTION OF THE SEVERAL VIEWS OF THE DRAWING(S). (j) DETAILED DESCRIPTION OF THE INVENTION. (k) CLAIM OR CLAIMS (commencing on a separate sheet). (l) ABSTRACT OF THE DISCLOSURE (commencing on a separate sheet). (m) SEQUENCE LISTING. (See MPEP § 2422.03 and 37 CFR 1.821 - 1.825). A “Sequence Listing” is required on paper if the application discloses a nucleotide or amino acid sequence as defined in 37 CFR 1.821(a) and if the required “Sequence Listing” is not submitted as an electronic document either on read-only optical disc or as a text file via the patent electronic system. The disclosure is objected to because of the following informalities: The applicants’ specification recites different headings than the ones outlined in 37 CFR 1.77(b). For instance, the following section headers are not properly recited in the disclosure: (g) BACKGROUND OF THE INVENTION (Applicant reciters “Technical Field” above paragraph 1). (1) Field of the Invention (Applicant reciters “Technical Field” above paragraph 1). (2) Description of Related Art including information disclosed under 37 CFR 1.97 and 1.98 (Applicant recites “Prior Art” above paragraph 5). (h) BRIEF SUMMARY OF THE INVENTION (Applicant recites “The means to solve the problem” above paragraph 9 and “Effect of the Invention” above Paragraph 19). (j) DETAILED DESCRIPTION OF THE INVENTION (Applicant recites “Modes for Carrying Out the Invention” above paragraph 21). Appropriate correction is required. Claim Interpretation The following is a quotation of 35 U.S.C. 112(f): (f) Element in Claim for a Combination. – An element in a claim for a combination may be expressed as a means or step for performing a specified function without the recital of structure, material, or acts in support thereof, and such claim shall be construed to cover the corresponding structure, material, or acts described in the specification and equivalents thereof. The following is a quotation of pre-AIA 35 U.S.C. 112, sixth paragraph: An element in a claim for a combination may be expressed as a means or step for performing a specified function without the recital of structure, material, or acts in support thereof, and such claim shall be construed to cover the corresponding structure, material, or acts described in the specification and equivalents thereof. The claims in this application are given their broadest reasonable interpretation using the plain meaning of the claim language in light of the specification as it would be understood by one of ordinary skill in the art. The broadest reasonable interpretation of a claim element (also commonly referred to as a claim limitation) is limited by the description in the specification when 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph, is invoked. As explained in MPEP § 2181, subsection I, claim limitations that meet the three-prong test will be interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph. Currently, no claim limitations invoke 112(f). The term “phase adjuster” is sufficiently structurally defined in the claims to not invoke 112(f). 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 1-7 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Veltkamp (US5725051, as cited in the IDS). Re Claim 1. Veltkamp discloses a heat exchanger comprising (Figures 4-5): a core (1) including a plurality of flow paths (5) through which two or more of different types of fluids flow, and a core surface (left end of 1 in Figure 5) including a plurality of quadrangular flow path openings (openings at the end of 5) that are arranged in a matrix shape and each of which communicates with corresponding one of the plurality of flow paths (Figure 5 illustrates a matrix array of quadrangular flow paths; Column 3 lines 1-60); and a phase adjuster (6) including a plurality of passages (at 7) that are arranged in a matrix shape and each of which is connected to corresponding one of the plurality of flow path openings, and connecting to the core on the core surface (passages 7 connect to the core 1 as seen in Figure 5) (Figures 4-5, Column 3 lines 23-60), wherein the plurality of flow path openings are arranged in the core surface so that arrangement patterns of each of the different types of fluids, which flow through the plurality of flow path openings, in columns of the matrix shape are common to each other, and phases of the arrangement patterns in the columns are uncommon to each other (Figure 5; Column 2 lines 9-30, Column 3 lines 24-60 teaches phase shifting the passages so as to form a chess board pattern of the two fluids. A chess board pattern would result in straight and shifted phases with columns uncommon to each other), the plurality of passages of the phase adjuster include inclined passage columns (7 has inclined passages) each of which includes inclined passages that extend between one-end openings (right/rear side of 7 in Figure 5) connected to the plurality of flow path openings and another-end openings (at 10), and are inclined in a column direction so as to make the phases of the arrangement patterns in the columns agree with each other, and the another-end openings of the passages that correspond to each of the different types of fluids are formed row by row in the phase adjuster by aligning the passages through which one of the different types of fluids flow in a row direction for every type (Figure 5; Column 2 lines 9-30, Column 3 lines 24-60 teaches phase shifting the passages so as to form a chess board pattern of the two fluids. A chess board pattern would result in shifted phases with columns uncommon to each other. The insert pipe 10 has common rows for each fluid inlet, wherein the fluid enters at the same row through 10 and is then shifted by straight and inclined columns at 7 to achieve the chess board pattern). Re Claim 2. Veltkamp discloses the plurality of passages include straight passage columns each of which includes straight passages that extend straight between the one-end and another-end openings without being inclined in the column direction, and the inclined passage columns; and the inclined passage columns are inclined so that the phases of the inclined passage columns agree with the phases of the straight passage columns (Figure 5; Column 2 lines 9-30, Column 3 lines 24-60 teaches phase shifting the passages so as to form a chess board pattern of the two fluids. A chess board pattern would result in straight and shifted phases with columns uncommon to each other). Re Claim 3. Veltkamp discloses the plurality of flow path openings in each column include two types of columns, which are a first type column, and a second type column whose phase is shifted by one row with respect to the first type column; and the inclined passage columns are inclined in the column direction so as to shift the phases of the inclined passage columns by one row with respect to the straight passage columns (Figure 5; Column 2 lines 9-30, Column 3 lines 24-60 teaches phase shifting the passages so as to form a chess board pattern of the two fluids. A chess board pattern would result in straight and shifted phases with columns uncommon to each other). Re Claim 4. Veltkamp discloses the plurality of flow path openings include first flow path openings through which the fluid of a first type passes, and second flow path openings through which the fluid of a second type passes; and the arrangement patterns in the columns of the plurality of flow path openings are patterns in which the first flow path openings and the second flow path openings are alternatively arranged in the column direction, and the first flow path openings and the second flow path openings are alternately aligned in both the column direction and the row direction in the core surface by alternately aligning a first type column with a second type column shifted by one row with respect to the first type column in the row direction (Figures 4-5; Column 2 lines 9-30, Column 3 lines 24-60 teaches phase shifting the passages so as to form a chess board pattern of the two fluids. A chess board pattern would result in straight and shifted phases with columns uncommon to each other). Re Claim 5. Veltkamp discloses the inclined passages that form the inclined passage columns include inclined parts (7 is inclined) that are inclined so as to make the phases of the inclined passages agree with phases of other passages in adjacent columns, communicate with the other passages in the adjacent columns in the row direction on sides of the another-end openings with respect to the inclined parts, and form merging parts (at 10, 11) that transverse a plurality of columns in the row direction (Figures 4-5; Column 2 lines 9-30, Column 3 lines 24-60). Re Claim 6. Veltkamp discloses the plurality of flow path openings include pairs of sides that extend in the column direction and have a common length; and the plurality of passages have common cross-sectional shapes to the flow path openings in the one-end openings, and are configured to make the phases of the passages in the columns agree with each other while keeping the cross-sectional shapes (Figures 4-5; Column 2 lines 9-30, Column 3 lines 24-60). Re Claim 7. Veltkamp discloses the phase adjuster includes a first surface (right/rear surface of 7 in Figure 5) connected to the core surface, and second (14) and third surfaces (15) facing each other in the row direction; one-end parts in the row direction of the merging parts through which the fluid of a first type flows are connected to the another-end openings formed in the second surface (14); and another-end parts in the row direction of the merging parts through which the fluid of a second type flows are connected to the another-end openings formed in the third surface (15) (Figures 4-5; Column 2 lines 9-30, Column 3 lines 24-60; The merging part 10 realigns the flows into common rows and is bounded by the surfaces 14 and 15 to distribute the two different fluid to the headers). Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. See attached PTO-892 for other relevant prior art. Any inquiry concerning this communication or earlier communications from the examiner should be directed to TRAVIS C RUBY whose telephone number is (571)270-5760. The examiner can normally be reached M-F: 9AM-5PM. 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, Jianying Atkisson can be reached at 571-270-7740. 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. /TRAVIS RUBY/Primary Examiner, Art Unit 3763
Read full office action

Prosecution Timeline

May 15, 2024
Application Filed
Nov 14, 2025
Non-Final Rejection — §102 (current)

Precedent Cases

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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
53%
Grant Probability
82%
With Interview (+28.9%)
3y 8m
Median Time to Grant
Low
PTA Risk
Based on 810 resolved cases by this examiner. Grant probability derived from career allow rate.

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