Prosecution Insights
Last updated: May 29, 2026
Application No. 18/742,205

HEAT EXCHANGE UNIT

Final Rejection §102§103
Filed
Jun 13, 2024
Priority
Dec 13, 2021 — JP 2021-201887 +1 more
Examiner
LING, FOR K.
Art Unit
3763
Tech Center
3700 — Mechanical Engineering & Manufacturing
Assignee
Daikin Industries Ltd.
OA Round
2 (Final)
54%
Grant Probability
Moderate
3-4
OA Rounds
1y 5m
Est. Remaining
73%
With Interview

Examiner Intelligence

Grants 54% of resolved cases
54%
Career Allowance Rate
237 granted / 442 resolved
-16.4% vs TC avg
Strong +19% interview lift
Without
With
+19.1%
Interview Lift
resolved cases with interview
Typical timeline
3y 4m
Avg Prosecution
17 currently pending
Career history
480
Total Applications
across all art units

Statute-Specific Performance

§103
84.1%
+44.1% vs TC avg
§102
10.2%
-29.8% vs TC avg
§112
5.3%
-34.7% vs TC avg
Black line = Tech Center average estimate • Based on career data from 442 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 § 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. Claim(s) 1, 2, 4, 13 and 14 is/are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Suzuki (US Patent No. 5,069,275). Regarding claim 1, Suzuki discloses a heat exchange unit (a unit in Fig.1 having a heat exchanger 10 and fasteners 20) comprising: a heat exchanger (10) in which tubes (1) are stacked at predetermined intervals (intervals P between the tubes 1, Figs. 6) in a thickness direction of the flat tubes (vertical direction of the tubes 1 in Fig. 6) by a heat transfer fin (the interval P is maintained in the vertical direction by fins 2); a first member (fastener 20) that is attached to the heat exchanger at a longitudinal end of the flat tubes (at a right end of the tubes 1, Fig. 6) and that restricts a movement of the heat exchanger (the fastener 20 is further fastened onto an automobile body, col. 3, lines 66-67, so that restricts a movement of the heat exchanger 10); and a header (4) that connects end portions of the flat tubes to each other (see Figs. 3 and 6), wherein the first member includes a body (concave portion 21 and fastening portion 23, Fig. 3) and a protrusion portion protruding from the body (bent-up hook end 22a), the protrusion portion is disposed between adjacent tubes of the heat exchanger (the bent-up hook end 22a is disposed between two adjacent tubes 1, see Fig. 6), and the body of the first member is in direct contact with the header (the concave portion 21 is in direct contact with the header 4). Regarding claim 2, Suzuki in claim 1 further discloses wherein the first member includes a plurality of protrusion portions (two bent-up hook ends 22a). Regarding claim 4, Suzuki in claim 1 further discloses wherein the protrusion portion has a columnar shape (bent-up hook end 22a has a columnar shape). Regarding claim 13, Suzuki in claim 1 further discloses: a casing (an automobile body, col. 3, lines 66-67, which is a casing of the heat exchanger 10 as a receptacle or holding the heat exchanger 10), wherein the first member is fixed to the casing (the fastener 20 is fixed to the automobile body). Regarding claim 14, Suzuki in claim 1 further discloses wherein the body of the first member is in contact with the heat transfer fin (the fastener 20 is indirectly contact with the fins 2). Claim(s) 1, 3 and 8 is/are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Bertva (US Patent No. 5,487,422). Regarding claim 1, Bertva discloses a heat exchange unit (a unit in Fig.1 having a heat exchanger 10 and mounting brackets 26) comprising: a heat exchanger (10) in which tubes (14) are stacked at predetermined intervals (intervals between the tubes 14, Figs. 1 and 6) in a thickness direction of the flat tubes (vertical direction of the tubes 1 in Figs. 1 and 6) by a heat transfer fin (the interval is maintained in the vertical direction by fins 16); a first member (mounting bracket 26 having brackets 28A and 28B) that is attached to the heat exchanger at a longitudinal end of the flat tubes (at an end of the tubes 14, Figs. 2 and 6) and that restricts a movement of the heat exchanger (the bracket 26 is for mounting the heat exchanger 10, see “Field of the Invention”, so that restricts a movement of the heat exchanger 10); and a header (12) that connects end portions of the flat tubes to each other (see Figs. 1, 2 and 6), wherein the first member includes a body (header engagement portion 30A, 30B, Fig. 3) and a protrusion portion protruding from the body (tube engagement portion 42A, 42B), the protrusion portion is disposed between adjacent tubes of the heat exchanger (the (tube engagement portion 42A, 42B is disposed between at least two adjacent tubes 14, see Fig. 4), and the body of the first member is in direct contact with the header (the header engagement portion 30A, 30B directly contact with the header 12). Regarding claim 3, Bertva in claim 1 further discloses wherein the heat exchanger (10) includes a plurality of first heat exchange sections (considering two adjacent tubes 14 in Fig. 4 as a first heat exchange section, Bertva discloses two first heat exchange sections); and the first member includes a plurality of protrusion portions for each of the plurality of first heat exchange sections (two sets of tube engagement portion 42A, 42B for respective two first heat exchange sections). Regarding claim 8, Bertva in claim 1 further discloses wherein the first member comprises resin (the nylon material of the mounting bracket 26 disclosed in col. 2, lines 62-65 is a resin). 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(s) 5-7 is/are rejected under 35 U.S.C. 103 as being unpatentable over Suzuki (US Patent No. 5,069,275) in view of Kitano (JP 06-26666 A). Regarding claim 5, Suzuki in claim 1 fails to disclose wherein the protrusion portion includes a pawl portion. Kitano discloses wherein the protrusion portion includes a pawl portion (the shape defined by locking portions 9a) configured to engage with at least one of the adjacent flat tubes (to lock the tubes in recesses 9c). Therefore, ends of each bent-up hook ends 22 of Suzuki may be provided with the locking portion 9a of Kitano to engage with respective two of the adjacent flat tubes 1 in Fig. 6 of Suzuki. 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 protrusion portion includes a pawl portion configured to engage with at least one of the adjacent flat tubes in Suzuki as taught by Kitano in order to hold the fastener 20 tightly between the tubes 1. Regarding claim 6, Suzuki as modified in claim 5 further discloses wherein the pawl portion is configured to engage with an end portion of the at least one of the adjacent flat tubes (the locking portion 9a of Kitano at each bent-up hook ends 22 engage ends of the adjacent flat tubes 1 at where the locking portion 9a locks the tubes). Regarding claim 7, Suzuki as modified in claim 5 further discloses wherein the pawl portion is configured to engage with end portions of the adjacent flat tubes (the locking portion 9a of Kitano at each bent-up hook ends 22 engage ends of the adjacent flat tubes 1 at where the locking portion 9a locks the tubes). Claim(s) 9 is/are rejected under 35 U.S.C. 103 as being unpatentable over Bertva (US Patent No. 5,487,422) in view of Fukumoto (US Patent No. 4,538,678). Regarding claim 9, Bertva fails to disclose wherein the first member comprises metal and a resin coating that is applied to a surface of the first member. Fukumoto, also directed to a heat exchanging device, discloses the first member (support frame 3, Figs. 1 and 5) comprises metal (steel core 17) and a resin coating (fluorocarbon resin 18) that is applied to a surface of the first member (outer surface of the steel core 17). Fukumoto further discloses that the steel material increases mechanical strength of the supporting frames 2, 3 compared to fluorocarbon resin alone (col. 4, lines 24-39), and the fluorocarbon resin material is resistant to corrosion and free from formation of dirt and scales (col. 8, lines 16-26). Therefore, the plastic material of the mounting bracket 26 that supports tubes 14 may be replaced to comprise a steel and a fluorocarbon resin coating applied to the steel surface. 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 first member comprises metal and a resin coating that is applied to a surface of the first member in Bertva as taught by Fukumoto in order to provide strength to support the tubes and to prevent corrosion of the steel from condensation, dirt or debris in the air conditioner. Claim(s) 10 is/are rejected under 35 U.S.C. 103 as being unpatentable over Bertva (US Patent No. 5,487,422) in view of Cuzzone (US Patent No. 3,163,208). Regarding claim 10, Bertva fails to disclose wherein the first member comprises metal and an insulating rubber that is attached to a surface of the first member. Cuzzone, directed to a brace for finned tubes, (Figs. 3 and 4) discloses the first member (a U-shaped channel member 21) comprises metal (made of a metal such as aluminum, col. 2, lines 55-56) and an insulating rubber (resilient strips 23 that is made of rubber, col. 2, lines 58-59) that is attached to a surface of the first member (on concaved, interior surface of the U shaped member 21). Cuzzone further discloses that the brace assemblies 20 wedged between rows of tubes and prevents vibrations of the tubes (col. 2, lines 41-52). Therefore, the plastic material of the mounting bracket 26 may be replaced into metal core with rubber material of the brace assemblies 20 taught by Cuzzone. 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 first member comprises metal and an insulating rubber that is attached to a surface of the first member in Bertva as taught by Cuzzone in order to at least dampen the vibration of the tubes 14 in the heat exchanger 10. Claim(s) 11 and 12 is/are rejected under 35 U.S.C. 103 as being unpatentable over Suzuki (US Patent No. 5,069,275) alone. Regarding claims 11 and 12, Suzuki in claim 1 further discloses: a casing (an automobile body, col. 3, lines 66-67, which is a casing of the heat exchanger 10 as a receptacle or holding the heat exchanger 10). Suzuki fails to explicitly disclose a second member fixed to the casing, wherein the first member is fixed to the second member by screw fastening or engagement (claim 11), a fixing portion of the second member is fixed to an opening of the first member, (claim 12). Suzuki further discloses A bolt-inserting hole 23a is perforated through fastening portion 23, and, as noted above, fastener 20 is further fastened onto an automobile body, col. 3, lines 66-67. Therefore, examiner takes official notice that a bolt that inserts through the hole 23a and is being tightened onto the automobile body may be provided to fasten the heat exchanger 10 onto the automobile body through the fastener 20. As a result, the modification discloses a second member fixed to the casing (the bolt), wherein the first member is fixed to the second member by screw fastening or engagement (the fastener 20 is fixed to the bolt by tightening the bolt), and a fixing portion of the second member is fixed to an opening of the first member (a bolt head of the bolt is fixed onto the fastener 20 by tightening the bolt). 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 second member fixed to the casing, wherein the first member is fixed to the second member by screw fastening or engagement (claim 11), a fixing portion of the second member is fixed to an opening of the first member (claim 12) in order to tightly fasten the heat exchanger onto the automotive body. Claim(s) 16 is/are rejected under 35 U.S.C. 103 as being unpatentable over Suzuki (US Patent No. 5,069,275) in view of Heinle (US Patent No. 7,128,178). Regarding claim 16, Suzuki fails to disclose wherein the heat exchanger includes a second heat exchange section, in which a thickness direction of flat tubes in the second heat exchange section is inclined with respect to a vertical direction. and the first member is attached to the heat exchanger vertically below the second heat exchange section. Heinle discloses the heat exchanger (a heat exchanger unit 1) includes a second heat exchange section (booster air radiator 4), in which a thickness direction of flat tubes in the second heat exchange section (a stacking tube direction of the booster air radiator 4) is inclined with respect to a vertical direction (the direction is inclined with respect to a vertical stacking tube direction of condenser 6, see Fig. 1). The disclosure of Heinle is relied upon the teaching of multiple heat exchange sections in a heat exchanger unit may be provided to satisfy different cooling needs in a vehicle or an automobile. Therefore, the condenser or heat exchanger 10 of Suzuki may be provided a second heat exchanger section having a stacking tube direction is inclined with respected to a vertical stacking tube direction the heat exchanger 10 fixed to the automobile body of Suzuki. As a result, the first member is attached to the heat exchanger (the fastener 20 attached to the heat exchanger 10) vertically below the second heat exchange section (the fastener 20 is vertically below the inclined booster air radiator 4 as taught by Heinle). 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 heat exchanger includes a second heat exchange section, in which a thickness direction of flat tubes in the second heat exchange section is inclined with respect to a vertical direction, and the first member is attached to the heat exchanger vertically below the second heat exchange section in Suziki as taught by Heinle in order to satisfy different cooling needs in a vehicle or an automobile. Response to Arguments Applicant’s arguments with respect to claim(s) 1 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. Conclusion 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 FOR K LING whose telephone number is (571)272-8752. The examiner can normally be reached Monday through Friday, 8:30 am to 5 pm. 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. /JIANYING C ATKISSON/Supervisory Patent Examiner, Art Unit 3763 /F.K.L/Examiner, Art Unit 3763
Read full office action

Prosecution Timeline

Jun 13, 2024
Application Filed
Nov 26, 2025
Non-Final Rejection mailed — §102, §103
Feb 12, 2026
Interview Requested
Mar 05, 2026
Examiner Interview Summary
Mar 23, 2026
Response Filed
May 07, 2026
Final Rejection mailed — §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

3-4
Expected OA Rounds
54%
Grant Probability
73%
With Interview (+19.1%)
3y 4m (~1y 5m remaining)
Median Time to Grant
Moderate
PTA Risk
Based on 442 resolved cases by this examiner. Grant probability derived from career allowance rate.

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