Prosecution Insights
Last updated: April 19, 2026
Application No. 18/812,999

SPIRAL CONVEYOR SYSTEM WITH DIRECT CAGE ENGAGEMENT

Non-Final OA §103§112
Filed
Aug 22, 2024
Examiner
JORGENSEN, ABBY A
Art Unit
3651
Tech Center
3600 — Transportation & Electronic Commerce
Assignee
Ashworth Bros., Inc.
OA Round
1 (Non-Final)
72%
Grant Probability
Favorable
1-2
OA Rounds
2y 6m
To Grant
89%
With Interview

Examiner Intelligence

Grants 72% — above average
72%
Career Allow Rate
95 granted / 132 resolved
+20.0% vs TC avg
Strong +17% interview lift
Without
With
+17.2%
Interview Lift
resolved cases with interview
Typical timeline
2y 6m
Avg Prosecution
38 currently pending
Career history
170
Total Applications
across all art units

Statute-Specific Performance

§101
0.2%
-39.8% vs TC avg
§103
40.4%
+0.4% vs TC avg
§102
36.3%
-3.7% vs TC avg
§112
22.3%
-17.7% vs TC avg
Black line = Tech Center average estimate • Based on career data from 132 resolved cases

Office Action

§103 §112
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 . Specification The disclosure is objected to because of the following informalities: In paragraph 0109, line 1; the phrase “ther” should be “the”. In paragraph 00139, line 9; the phrase “shonw” should be “shown”. In paragraph 00147, line 6; the phrase “plurarlity” should be “plurality”. Appropriate correction is required. Claim Objections Claim 16 is objected to because of the following informalities: In line 15, after the phrase “outfeed.”, delete “227”. Appropriate correction is required. Claim Rejections - 35 USC § 112 The following is a quotation of 35 U.S.C. 112(b): (b) CONCLUSION.—The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the inventor or a joint inventor regards as the invention. The following is a quotation of 35 U.S.C. 112 (pre-AIA ), second paragraph: The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the applicant regards as his invention. Claims 11-13 and 18-20 are rejected under 35 U.S.C. 112(b) or 35 U.S.C. 112 (pre-AIA ), second paragraph, as being indefinite for failing to particularly point out and distinctly claim the subject matter which the inventor or a joint inventor (or for applications subject to pre-AIA 35 U.S.C. 112, the applicant), regards as the invention. Claim 11 recites the limitation "the plurality of bars" in line 1. There is insufficient antecedent basis for this limitation in the claim. Claim 12 recites the limitation "the bar inner ends" in line 1. There is insufficient antecedent basis for this limitation in the claim. Claim 13 recites the limitation "the plurality of bars" in line 2. There is insufficient antecedent basis for this limitation in the claim. Claims 18 and 20 recite the limitation "the plurality of bar caps" in line 1. There is insufficient antecedent basis for this limitation in the claim. Claim 19 recites the limitation "the groove" in line 1. There is insufficient antecedent basis for this limitation in the claim. 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. The factual inquiries for establishing a background for determining obviousness under 35 U.S.C. 103 are summarized as follows: 1. Determining the scope and contents of the prior art. 2. Ascertaining the differences between the prior art and the claims at issue. 3. Resolving the level of ordinary skill in the pertinent art. 4. Considering objective evidence present in the application indicating obviousness or nonobviousness. Claims 1-20 are rejected under 35 U.S.C. 103 as being unpatentable over Neely (United States Patent Application US2017022012A1) in view of Faassen (United States Patent Application US2007175735A1). Regarding Claim 1, Neely discloses An spiral conveyor system comprising: a belt formed from a plurality of segments and configured to move along a helical path,(Figure 1: Spiral conveyor system 1) the belt having a belt width, an inner edge, and an outer edge, wherein the inner edge translates the helical path having an inside radius and the outer edge translates the helical path having an outside radius; (Figure 1: Belt 15)a drum formed generally as a cylinder having a central longitudinal axis coaxial with the helical path and an outer boundary, wherein the drum is configured to rotate around the central longitudinal axis and to releasably interact with each of the plurality of segments at the outer boundary; wherein the belt moves along the helical path in response to the sequential interaction between the drum outer boundary and the belt segments as the drum rotates.(Figure 1: Drum 10 interacting with the outer segments of belt 15 to move the belt in a helical path ) However, Neely does not disclose each of the plurality of segments comprising at least one rod having an elongate shape with a central portion terminating at an inner end and an outer end and at least one link coupled to the at least one rod, wherein each segment is movably coupled to two adjoining segments. Faassen discloses a similar spiral conveyor system whereineach of the plurality of segments comprising at least one rod having an elongate shape with a central portion terminating at an inner end and an outer end and at least one link coupled to the at least one rod,(Figure 2: Rods 3 coupled to links 4) wherein each segment is movably coupled to two adjoining segments; (figure 2: Segments of belt interjoined) It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have modified Neely to include the linked segments as taught by Faassen. The motivation for the modification would have been to provide a conveyor belt system where wear and damage to the weld between the rod and link is reduced by providing protection means on the first link (Paragraphs 0005-0011). Regarding Claim 2, Neely in view of Faassen discloses the system of claim 1, as seen above. Neely further discloses wherein the helical path inner radius is less than about one point six (1.6) times the belt width.(Paragraph 0039: "Drum 10 may be rotated using any method known in the art, such as with a motor (not shown) positioned proximate a base 103 of spiral conveyor system 1 . The motor may transfer the power it generates to drum 10 using any mechanism known in the art. In some embodiments, such as the embodiment shown in FIG. 1, known systems, such as chains and gear boxes to control the transfer of power from the motor to shaft 106 , may be provided. Shaft 106 may be any type of drive shaft known in art, such as an elongated metal pole that extends from base 103 to the top of spiral column 5 along drum central axis 3 . One or more struts such as strut 109 may attach shaft 106 to drum 10 to transfer the rotational force of shaft 106 to drum 10 . Drum 10 may be generally cylindrical in shape and may, in some embodiments, include a cylindrical surface 11 as shown in FIG. 6. The cylindrical surface may be a continuous cylindrical drum surface formed of sheet metal, or may have a discontinuous surface formed of individual vertical drive elements extending between and connecting circular support bands arranged about the center axis of the drum, or may be a combination of sheet metal and vertical bars as shown in FIG. 1. Other construction is contemplated to provide a suitable cylindrical surface for guiding an inside edge of belt 15 through spiral column 5 . Drive elements 20 may comprise a contoured rib attached to the sheet metal surface of the drum, such as in the embodiments shown in FIGS. 2-7, or to a cage bar, as shown in FIGS. 8-26 where the rib extends from a surface of a cage bar cap, or may comprise a combination of a cage bar and a contoured rib. Drive elements 20 may also comprise a cap or covering, such as to provide the contoured surface and/or for improved wear properties, such as shown in FIGS. 4 and 4A.", wherein the drum could easily be constructed having specific diameters in order to provide a suitable guiding surface) Regarding Claim 3, Neely in view of Faassen discloses the system of claim 1, as seen above. Faassen further discloses wherein the link comprises a first leg and a second leg, wherein the first leg and the second leg are generally parallel.(Figure 3: Legs 6 of link 4) Regarding Claim 4, Neely in view of Faassen discloses the system of claim 3, as seen above. Faassen further discloses wherein the first leg comprises at least one circular cutout and at least one semicircular cutout, and the second leg comprises a slot cutout.(Figure 2: Inner side of link 4 contains one circular cutout and one semicircular cutout, and outer side contains protective means 12) Regarding Claim 5, Neely in view of Faassen discloses the system of claim 1, as seen above. Faassen further discloses wherein each rod inner end is moveably coupled to three links.(Figure 2: Shows each rod connected to a plurality of links along the length of the rod) Regarding Claim 6, Neely in view of Faassen discloses the system of claim 4, as seen above. Faassen further discloses wherein the first leg rotatably couples to two rods (Figure 3: Rods connected at first aperture 10 and second aperture 11)and the second leg rotatably and slidably couples to a third rod, wherein the third rod is rotatably but not slidably coupled to an adjacent link.(Figure 3: Outer leg 6 containing protecting means 12 which allow for contact of a third rod coming through the second aperture 11 of an adjacent link) Regarding Claim 7, Neely in view of Faassen discloses the system of claim 1, as seen above. Neely further discloses wherein the drum sequentially interacts with the belt segments by mechanical engagement with a rod inner end or a link tab.(Figure 3: Protrusion 14) Regarding Claim 8, Neely in view of Faassen discloses the system of claim 1, as seen above. Neely further discloses wherein the rod central portion is not coupled to a link.(Figure 3: No links in center of rod) Regarding Claim 9, Neely in view of Faassen discloses the system of claim 1, as seen above. Neely further discloses wherein the drum releasably engages with the inner edge of the belt.(Figure 3: Drum engaging with Protrusion 14) Regarding Claim 10, Neely in view of Faassen discloses the system of claim 1, as seen above. Neely further discloses wherein the drum comprises a plurality of bars disposed around the outer boundary, each bar configured to releasably engage with a plurality of belt rod inner ends simultaneously.(Figure 4: Driving elements 20) Regarding Claim 11, Neely in view of Faassen discloses the system of claim 8, as seen above. Neely further discloses wherein the plurality of bars are coupled to a corresponding plurality of cage bar caps, and wherein the cage bar caps reversibly interact with the belt inner edge.(Figure 4: Caps 41) Regarding Claim 12, Neely in view of Faassen discloses the system of claim 18, as seen above. Neely further discloses where the bar inner ends comprise an angle.(Figure 10: Angle on drive element) Regarding Claim 13, Neely in view of Faassen discloses the system of claim 8, as seen above. Neely further discloses further comprising a groove disposed on at least some of the plurality of bars and a tab disposed on at least some of the plurality of links, wherein rotation of the drum causes sequential engagement and disengagement of the tabs by the grooves causing the belt to advance along the helical path.(Figure 12a: Shows groove next to rib 421) Regarding Claim 14, Neely in view of Faassen discloses the system of claim 1, as seen above. Neely further discloses wherein the drum is a ribless drum.(Figure 26: Ribless portion 2041) Regarding Claim 15, Neely in view of Faassen discloses the system of claim 1, as seen above. Neely further discloses wherein the drum engages with the outer edge of the belt.(Paragraph 0035: " For clarity, the detailed descriptions herein describe certain exemplary embodiments, but the disclosure in this application may be applied to any positive drive spiral conveyor system including any suitable combination of features described herein and recited in the claims. In particular, although the following detailed description describes certain exemplary embodiments, it should be understood that other embodiments may be used for positive drive spiral conveyor belts with contoured drive elements.", wherein the drum engaging with the outer edge could easily be a modification) Regarding Claim 16, Neely in view of Faassen discloses the system of claim 1, as seen above. Neely further discloses wherein the drum further comprises: an infeed and an outfeed, wherein the infeed and the outfeed are disposed on the outer boundary at separate axial locations, wherein the interaction between the drum and the segments occurs along a length of the drum central longitudinal axis beginning at the infeed and terminating at the outfeed;(Figure 1: Shows infeed and outfeed of conveyor system 1) a first radius between projecting from the longitudinal axis to the outer boundary between the infeed and the outfeed; a second radius projecting from the longitudinal axis to the outer boundary at one or both of the infeed and the outfeed; and a ramp disposed on the outer boundary,(Figure 9: Tapered section 112)wherein the second radius is greater than the first radius, the second radius transitions to the first radius along the ramp, (Figure 3a: Shows different radius's)and wherein the ramp is configured to move the belt inward from the second radius to the first radius beginning at the infeed and outward from the first radius to the second radius ending at the outfeed.(Paragraph 0050: "FIG. 6 shows two tiers of an edge driven system with contoured drive elements showing the relative position of the two tiers at different heights on spiral tower 5 . In this embodiment, drive element 20 is a contoured rib attached to drum 10 , where drive element 20 includes a contoured surface 23 that has three sections of varying height above drum surface 11 : a lowest section 91 that extends the furthest away from drum surface 11 , an upper section 92 whose surface is closer to drum surface 11 than a surface of lowest section 91 , and a tapered section 93 that connects lower section 91 and upper section 92 . In this embodiment, lower section 91 and upper section 92 are both flat, with unvarying height above drum surface 11 within the discrete section. In other embodiments, any section may include subsections with varying height and/or continuous tapers like tapered section 93 .", wherein the upper sections can include other tapered sections to increase the radius back to the second radius) Regarding Claim 17, Neely discloses An spiral conveyor system comprising: a belt having from a plurality of segments and configured to move along a helical path, (Figure 1: Spiral conveyor system 1)the belt having a belt width, an inner edge, and an outer edge, wherein the inner edge translates the helical path along an inside radius and the outer edge translates the helical path along an outside radius, (Figure 1: Belt 15) and a rotatable drum having a plurality of bars arranged around a central longitudinal axis forming a cage, (Figure 4: Driving elements 20)and a plurality of bar caps fitted to some or all of the plurality of bars, wherein the bar caps define an outer boundary of the drum, (Figure 4: Caps 41)wherein the drum is configured to rotate around the central longitudinal axis coaxial with the helical path and to releasably interact with each of the plurality of segments at the outer boundary, and wherein the belt moves along the helical path in response to the sequential interactions between the drum outer boundary and the belt segments effected by the rotating drum.(Figure 1: Drum 10 interacting with the outer segments of belt 15 to move the belt in a helical path ) However, Neely does not disclose each of the plurality of segments comprising at least one bar having an elongate shape with a central portion terminating at an inner end and an outer end and at least one link coupled to the at least one bar, wherein each segment is movably coupled to two or more adjoining segments. Faassen discloses a similar spiral conveyor system wherein each of the plurality of segments comprising at least one bar having an elongate shape with a central portion terminating at an inner end and an outer end and at least one link coupled to the at least one bar,(Figure 2: Rods 3 coupled to links 4) wherein each segment is movably coupled to two or more adjoining segments;(figure 2: Segments of belt interjoined). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have modified Neely to include the linked segments as taught by Faassen. The motivation for the modification would have been to provide a conveyor belt system where wear and damage to the weld between the rod and link is reduced by providing protection means on the first link (Paragraphs 0005-0011). Regarding Claim 18, Neely in view of Faassen discloses the system of claim 16, as seen above. Neely further discloses wherein each of the plurality of bar caps comprises a groove.(Figure 12a: Shows groove next to rib 421) Regarding Claim 19, Neely in view of Faassen discloses the system of claim 17, as seen above. Neely further discloses wherein the groove forms a non-orthogonal angle with the central longitudinal axis and is configured to releasably and simultaneously interact with two belt segment rod ends bent at a corresponding non-orthogonal angle.(Figure 18: Angled portion 1090) Regarding Claim 20, Neely in view of Faassen discloses the system of claim 16, as seen above. Neely further discloses wherein each of the plurality of bar caps comprises a tab.(Figure 3: Protrusion 14) Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. United States Patent US 5,190,143 (Froderberg, Ingemar): Froderberg teaches a similar conveyor belt comprising an endless conveyor belt, a helical path, rods, links, and wherein the links contain legs to connect a plurality of rods, as seen in Figure 3. United States Patent Application US2015/0047952 A1 (Talsma, Casper): Talsma teaches a similar spiral conveyor comprising a rotating drum, parallel drive members, and wherein the drive members contain outwardly protruding ridges to change radius’s and distances of the belt in motion, as seen in Figure 23. Any inquiry concerning this communication or earlier communications from the examiner should be directed to ABBY ALLURA JORGENSEN whose telephone number is (571)270-7124. The examiner can normally be reached M-F 8-5:30. 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, Gene Crawford can be reached at (571) 272-6911. 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. /ABBY A JORGENSEN/Examiner, Art Unit 3651 /GENE O CRAWFORD/Supervisory Patent Examiner, Art Unit 3651
Read full office action

Prosecution Timeline

Aug 22, 2024
Application Filed
Feb 13, 2026
Non-Final Rejection — §103, §112 (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
72%
Grant Probability
89%
With Interview (+17.2%)
2y 6m
Median Time to Grant
Low
PTA Risk
Based on 132 resolved cases by this examiner. Grant probability derived from career allow rate.

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