Prosecution Insights
Last updated: July 17, 2026
Application No. 18/713,943

HEAT EXCHANGER

Final Rejection §102§103
Filed
May 28, 2024
Priority
Nov 29, 2021 — nonprovisional of PCTJP2021043670
Examiner
WEILAND, HANS R.
Art Unit
3763
Tech Center
3700 — Mechanical Engineering & Manufacturing
Assignee
Tokyo Roki Co. Ltd.
OA Round
2 (Final)
55%
Grant Probability
Moderate
3-4
OA Rounds
11m
Est. Remaining
69%
With Interview

Examiner Intelligence

Grants 55% of resolved cases
55%
Career Allowance Rate
290 granted / 524 resolved
-14.7% vs TC avg
Moderate +13% lift
Without
With
+13.4%
Interview Lift
resolved cases with interview
Typical timeline
3y 0m
Avg Prosecution
24 currently pending
Career history
541
Total Applications
across all art units

Statute-Specific Performance

§101
0.4%
-39.6% vs TC avg
§103
68.0%
+28.0% vs TC avg
§102
12.9%
-27.1% vs TC avg
§112
16.5%
-23.5% vs TC avg
Black line = Tech Center average estimate • Based on career data from 524 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 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) 1-8 and 10-11 is/are rejected under 35 U.S.C. 103 as being unpatentable over Alahyari et al. (US 2019/0162478 A1) in view of Ito et al. (US 2014/0008047 A1). Regarding claim 1, Alahyari discloses (Figure 1-5) a heat exchanger comprising: a first plate (one of main plates 12 as seen in annotated figure 2) having a first surface configured to contact a heat medium (the fluid 36 in cavity 40), the first surface having a plurality of first protrusions extending linearly formed at the first surface ( at the ridged regions 14 which form a herringbone/chevron pattern per paragraph 0031 where the ridged regions are formed of peaks 44 and valleys 46, with protrusion at ridges as seen in annotated figure 2), and a second plate having a second surface configured to contact the heat medium (a main plate 12 paired with the first plate 12 to form the cavity 40 for the first fluid 36 as seen in annotated figure 2), the second surface having a plurality of second protrusions (where the second plate contacts the first plate at first protrusions in annotated figure 2) extending linearly formed at the second surface, wherein the first surface faces the second surface (as seen in annotated figure 2). PNG media_image1.png 712 1203 media_image1.png Greyscale Annotated figure 2 of Alahyari. However Alahyari does not disclose the plurality of first protrusions includes dot-shaped protrusions, the plurality of second protrusions includes dot-shaped recesses, at least one of the dot-shaped protrusions corresponds to one of the dot-shaped recesses to form a joint part in which the dot-shaped protrusion is connected to the dot- shaped recess. Ito teaches (Figure 7-23) a heat exchange comprising a first plate and a second plate (at heat transfer plates 2 and 3) each with protrusions extending linearly from a surface (at parts 19 and 18 respectively as seen in figure 8-9) where the plurality of first protrusions (at bottom parts 19) includes dot-shaped protrusions (at the convex portion 24 as seen in figure 19-21) , the plurality of second protrusions includes dot-shaped recesses (at the concave portion 25 as seen in figure 19-21), at least one of the dot-shaped protrusions corresponds to one of the dot-shaped recesses to form a joint part in which the dot-shaped protrusion is connected to the dot- shaped recess (as seen in figure 21 and per paragraph 0089-0090). It would have been obvious to one of ordinary skill in the art at the time the invention was effectively filed to have modified the protrusions to have modified the protrusions of Alahyari to have included the dot shaped convex protrusion and dot shaped concave recess of Ito at the connection points between protrusions of the first and second plate. Doing so would provide a structure that would provide a high bonding strength between the stacked plates of the heat exchanger as recognized by Ito (per paragraph 0090). Regarding claim 2, Alahyari as modified discloses the claim limitations of claim 1 above and Alahyari further discloses each of the plurality of first protrusions extends to intersect a flow direction of the heat medium ( where the rigged regions 14 form a herringbone/chevron pattern relative to the direction of flow as seen in figure 1). Regarding claim 3, Alahyari as modified discloses the claim limitations of claim 1 above and Alahyari further discloses the first surface is divided into a first region and a second region each extending in a flow direction of the heat medium, and in the plurality of first protrusions, protrusions in the first region and protrusions in the second region extend in directions intersecting each other ( where the rigged regions 14 form a herringbone/chevron pattern relative to the direction of flow as seen in figure 1 and the ridged regions on the left side intersect the ridged regions on the right side of the main plate 12 at the middle of the plate as seen in figure 1 where the two halves of the herringbone/chevron pattern meet). Regarding claim 4, Alahyari as modified discloses the claim limitations of claim 1 above and Alahyari further discloses the first plate further includes an opposite surface located on a side opposite to the first surface (a seen in annotated figure 2), the opposite surface being configured to contact a fluid to exchange heat with the heat medium (fluid 38 in cavity 42), and a plurality of grooves extending linearly are formed at the opposite surface (with grooves in the spaces between peaks and troughs for fluid 38 to flow in second cavity 42). Regarding claim 5, Alahyari as modified discloses the claim limitations of claim 4 above and Alahyari further discloses each of the plurality of grooves extends to intersect a flow direction of the fluid ( where the rigged regions 14 and the associated grooves for fluid in cavity 42 form a herringbone/chevron pattern relative to the direction of flow as seen in figure 1). Regarding claim 6, Alahyari as modified discloses the claim limitations of claim 4 above and Alahyari further discloses the opposite surface is divided into a third region and a fourth region, the third region and the fourth region each extending in a flow direction of the fluid, and in the plurality of grooves, grooves in the third region and grooves in the fourth region extend in directions intersecting each other ( where the rigged regions 14 form a herringbone/chevron pattern relative to the direction of flow as seen in figure 1 and the ridged regions on the left side intersect the ridged regions on the right side of the main plate 12 at the middle of the plate as seen in figure 1 where the two halves of the herringbone/chevron pattern meet this would allow for the grooves on the second side of the first plate to meet in the middle in a similar manner to the protrusions on the first side). Regarding claim 7, Alahyari as modified discloses the claim limitations of claim 4 above and Alahyari further discloses a diffusion member (at intermediate plate 52) configured to diffuse a flow of the heat medium or fluid that contacts either the opposite surface or at least one of the plurality of first protrusions (as seen in figure 2 the intermediate plate divides the second cavity 42 to allow second fluid to flow on either side of intermediate plate 52, where alternatively the plate 52 can be in the cavity 42 per paragraph 0034). Regarding claim 8, Alahyari as modified discloses the claim limitations of claim 4 above and Alahyari further discloses the plurality of first protrusions are aligned with the plurality of grooves, when viewed in a direction orthogonal to the first surface (as the grooves are formed by the protrusions on the opposite surface as seen in annotated figure 2). Regarding claim 10, Alahyari as modified discloses the claim limitations of claim 9 above and Alahyari further discloses at least one of the plurality of first protrusions contacts corresponding one of the plurality of second protrusions (where the second plate contacts the first plate at the first protrusions in annotated figure 2). Regarding claim 11, Alahyari as modified discloses the claim limitations of claim 9 above and Alahyari further discloses each of the plurality of first protrusions extends in a direction intersecting the plurality of second protrusions (as seen in annotated figure 2, since the second protrusions are where the second plate contacts the first plate at the first protrusions in annotated figure 2). Response to Arguments Applicant’s arguments, see page 5-6, filed 2/16/2026, with respect to the rejection(s) of claim(s) 1 under 35 U.S.C. 102 have been fully considered and are persuasive. Therefore, the rejection has been withdrawn. However, upon further consideration, a new ground(s) of rejection is made in view of Alahyari et al. (US 2019/0162478 A1) in view of Ito et al. (US 2014/0008047 A1) where Ito discloses the dot shaped protrusions and recess from the amend claims. The examiner notes that the additional art cited below could similarly teach the newly added limitations to claim 1. Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. Kondo (US 20170176047 A1), Straza (US 20090032110 A1), Ito (US 20140182322 A1), and Faigle (US 5,413,872), all disclose stacked plate heat exchangers have projections and recesses on corrugations that form joints. Applicant's amendment necessitated the new ground(s) of rejection presented in this Office action. Accordingly, THIS ACTION IS MADE FINAL. See MPEP § 706.07(a). Applicant is reminded of the extension of time policy as set forth in 37 CFR 1.136(a). A shortened statutory period for reply to this final action is set to expire THREE MONTHS from the mailing date of this action. In the event a first reply is filed within TWO MONTHS of the mailing date of this final action and the advisory action is not mailed until after the end of the THREE-MONTH shortened statutory period, then the shortened statutory period will expire on the date the advisory action is mailed, and any nonprovisional extension fee (37 CFR 1.17(a)) pursuant to 37 CFR 1.136(a) will be calculated from the mailing date of the advisory action. In no event, however, will the statutory period for reply expire later than SIX MONTHS from the mailing date of this final action. Any inquiry concerning this communication or earlier communications from the examiner should be directed to HANS R. WEILAND whose telephone number is (571)272-9847. The examiner can normally be reached Monday-Thursday 6-3 EST and alternating Fridays. 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. /HANS R WEILAND/Examiner, Art Unit 3763 /LEN TRAN/Supervisory Patent Examiner, Art Unit 3763
Read full office action

Prosecution Timeline

May 28, 2024
Application Filed
Nov 20, 2025
Non-Final Rejection mailed — §102, §103
Feb 16, 2026
Response Filed
Jun 02, 2026
Final Rejection mailed — §102, §103 (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

3-4
Expected OA Rounds
55%
Grant Probability
69%
With Interview (+13.4%)
3y 0m (~11m remaining)
Median Time to Grant
Moderate
PTA Risk
Based on 524 resolved cases by this examiner. Grant probability derived from career allowance rate.

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