Prosecution Insights
Last updated: April 19, 2026
Application No. 18/839,750

HEAT EXCHANGER

Non-Final OA §102§103
Filed
Aug 20, 2024
Examiner
PHAN, AN BACH
Art Unit
3763
Tech Center
3700 — Mechanical Engineering & Manufacturing
Assignee
Hanon Systems
OA Round
1 (Non-Final)
Grant Probability
Favorable
1-2
OA Rounds
3y 2m
To Grant

Examiner Intelligence

Grants only 0% of cases
0%
Career Allow Rate
0 granted / 0 resolved
-70.0% vs TC avg
Minimal +0% lift
Without
With
+0.0%
Interview Lift
resolved cases with interview
Typical timeline
3y 2m
Avg Prosecution
19 currently pending
Career history
19
Total Applications
across all art units

Statute-Specific Performance

§103
59.3%
+19.3% vs TC avg
§102
25.9%
-14.1% vs TC avg
§112
9.3%
-30.7% vs TC avg
Black line = Tech Center average estimate • Based on career data from 0 resolved cases

Office Action

§102 §103
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 . Information Disclosure Statement The information disclosure statement (IDS) submitted on August 20, 2024 was filed after the mailing date of the instant application on August 20, 2024. The submission is in compliance with the provisions of 37 CFR 1.97. Therefore, the information disclosure statement is being considered by the examiner. 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. Claim(s) 1-2 is/are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Iwasaki (JP 2010/121604). Regarding claim 1, Iwasaki teaches a heat exchanger ([0020]), wherein a plurality of tubes (13, Fig. 3, [0033], 15, Fig. 7, [0033]) are disposed in two columns front and back and after to form a tube column (See annotated figure below), and a tube column of the front (5, 7, [0033], [0040]), which is an introduction direction of cooling air (See annotated figure below), is formed as a front core (5, 7, [0033], [0040]), and a tube column of the back (11, [0033], [0040]), which is a discharge direction of the cooling air (See annotated figure below), is formed as a back core (11, [0033], [0040]), an upper portion of the front core forms a first heat exchanging part (5 [0033], [0040]) in which a heat exchanger medium circulates, a lower portion of the front core forms a second heat exchanging part (7, [0033], [0040]) in which the heat exchange medium circulates, and the back core forms a third heat exchanging part (11, [0033], [0040]) in which the heat exchange medium circulates, a first header tank (25, 29, Fig. 7, [0033]) is connected to both ends of the first heat exchanging part, a second header tank (59, 61, Fig. 7, [0038]) is connected to both ends of the second heat exchanging part, and a third header tank (27, 31, Fig. 6, [0033]) is connected to both ends of the third heat exchanging part, and in the first header tank, the second header tank, and the third header tank, one side of the first header tank is formed to have a larger length protruding from a heat exchanger in a longitudinal direction than the third header tank ([0017]). PNG media_image1.png 828 994 media_image1.png Greyscale Regarding claim 2, Iwasaki teaches the first header tank, the second header tank, and the third header tank each has inlet and outlet ports for introduction and discharge of the heat exchange medium (39, 41, 43, 45, 47, 49, [0037], 51, 53 [0040]), an outlet port (53, Fig. 7, [0040]) and an inlet port (51, Fig. 7, [0040]) of the first header tank are formed on the first header tank connected to one end of the first heat exchanging part (See annotated figure below), and an outlet port (47, Fig: 7, [0044]) and an inlet port (49, Fig: 7, [0044]) of the third header tank are each formed on the third header tank connected to both ends of the third heat exchanging part (See annotated figure below), and the first header tank inlet and outlet ports and the third header tank inlet and outlet ports extend rearward ([0053]). PNG media_image2.png 427 684 media_image2.png Greyscale 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. This application currently names joint inventors. In considering patentability of the claims the examiner presumes that the subject matter of the various claims was commonly owned as of the effective filing date of the claimed invention(s) absent any evidence to the contrary. Applicant is advised of the obligation under 37 CFR 1.56 to point out the inventor and effective filing dates of each claim that was not commonly owned as of the effective filing date of the later invention in order for the examiner to consider the applicability of 35 U.S.C. 102(b)(2)(C) for any potential 35 U.S.C. 102(a)(2) prior art against the later invention. Claim(s) 3, 6-7, and 9 is/are rejected under 35 U.S.C. 103 as being unpatentable over Iwasaki (JP 2010/121604). Regarding claim 3, Iwasaki does not teach the first header tank outlet port is disposed at an upper side of the first header tank connected to one end of the first heat exchanging part, and the first header tank inlet port is disposed at a lower side of the first header tank connected to the one end of the first heat exchanging part. However, shifting the position of the ports without changing the connections and cooling water flow sequence would not have modified operation of the heat exchanger (See reJapikse, 181 F.2d 1019, 86 USPQ 70 (CCPA 1950)). Therefore, it would have been obvious to one of ordinary skill in the art to place the outlet port at an upper side and the inlet port at a lower side since it would have been a design choice. Regarding claim 6, Iwasaki teaches an avoidance part is formed in the third header tank (113, Fig. 10, [0058]). Iwasaki does not teach that the avoidance part is concave in the longitudinal direction. However, Iwasaki teaches that the slope portion is provided to avoid pipe 47 interference with pipe 39 (113, Fig. 10, [0058]) Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the slope 113 to be concave when preferable (i.e. when pipe 39 is needed to be larger for additional cooling water flow) to avoid pipe interference. Regarding claim 7, Iwasaki teaches the first header tank inlet port and outlet port are not interfered with the third header tank by the avoidance part (113, Fig. 10, [0058]). Regarding claim 9, Iwasaki teaches the front core has an upper portion configured as a low-temperature radiator (5, [0033], [0040]) and a lower portion configured as a condenser having a subcool area (7, [0033], [0040]), and the back core is configured as a high-temperature radiator (11, [0033], [0040]). Claim(s) 10 is/are rejected under 35 U.S.C. 103 as being unpatentable over Iwasaki (JP 2010/121604) and Aki (US 6397627). Regarding claim 10, Iwasaki does not teach the condenser having the subcool area constituting the lower portion of the front core is connected to a separate sub heat exchanger including a condenser having a condensation area and a receiver dryer. However, Aki teaches a condenser having a receiving unit for separating refrigerant from the condensing member into gas refrigerant and liquid refrigerant (14). Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the condenser to connect to the condenser of Aki having the receiving unit to prevent cooling performance of liquid refrigerant from being decreased due to passing high-temperature air (Aki: 10). Claim(s) 11 is/are rejected under 35 U.S.C. 103 as being unpatentable over Iwasaki (JP 2010/121604) as applied to claim 1 above, and further in view of Jang (KR 2016/010350). Regarding claim 11, Iwasaki does not teach the heat exchanger of claim 1, wherein the front core has an upper portion configured as a low-temperature radiator and a lower portion configured as a condenser having a subcool area, and the back core is configured as a condenser having a condensation area. However, Jang teaches providing a second condenser inside a radiator in a system with two radiators and a condenser ([0019]). Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the radiator of Iwasaki to include a second condenser inside to increase refrigerant condensation performance ([Jang: 0019]). Claim(s) 12 is/are rejected under 35 U.S.C. 103 as being unpatentable over Iwasaki (JP 2010/121604) and Jang (KR 2016/0103507) as applied to claim 11 above, and further in view of Aki (US 6397627). Regarding claim 12, Iwasaki and Jang teaches the condenser having the condensation area, which constitutes the back core, and the condenser having the subcool area, which constitute the lower portion of the front core. Iwasaki and Jang does not teach the receiver dryer. However, Aki teaches a condenser having a receiving unit for separating refrigerant from the condensing member into gas refrigerant and liquid refrigerant (14). Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to use the receiver-integrated condenser of Aki having the receiving unit to prevent cooling performance of liquid refrigerant from being decreased due to passing high-temperature air (Aki: 10). Claim(s) 1, 2, 4, 5, and 8 is/are rejected under 35 U.S.C. 103 as being unpatentable over Iwasaki (JP 2008/057950) and Iwasaki (JP 2010/121604). Regarding claim 1, Iwasaki (JP 2008/057950) teaches a heat exchanger ([0001]), wherein a plurality of tubes (2d, [0021], 3d, [0023], 5d [0027]) are disposed in two columns front and back and after to form a tube column, and a tube column of the front (3c, [0023], 5c, [0027]) is formed as a front core (3c, [0023], 5c, [0027]), and a tube column of the back (2c, [0021]) is formed as a back core (2c, [0021]), an upper portion of the front core forms a first heat exchanging part (3c, [0023]) in which a heat exchanger medium circulates, a lower portion of the front core forms a second heat exchanging part (5c, [0027]) in which the heat exchange medium circulates, and the back core forms a third heat exchanging part (2c, [0021]) in which the heat exchange medium circulates, a first header tank (3a, 3b, [0023]) is connected to both ends of the first heat exchanging part, a second header tank (5a, 5b, [0027]) is connected to both ends of the second heat exchanging part, and a third header tank (2a, 2b, [0021]) is connected to both ends of the third heat exchanging part. PNG media_image3.png 940 852 media_image3.png Greyscale Iwasaki (JP 2008/057950) does not teach one side of the first header tank is formed to have a larger length protruding from a heat exchanger in a longitudinal direction than the third header tank. Also, Iwasaki (JP 2008/057950) does not teach the front core faces the introduction direction of cooling air, or the back core faces the discharge direction of the cooling air. However, Iwasaki (JP 2010/121604) teaches a similar structure as Iwasaki (JP 2008/057950), having a condenser (second air-cooling heat exchanger) (7, [0033] [0040]) arranged on the same surface and close to the lower side of a sub-radiator (first air-cooling heat exchanger) (5, [0033], [0040]). The radiator (third air-cooling heat exchanger) (11, [0033], [0040]), is disposed downstream of the cooling air ([0040]) and seen opposite to the surface containing sub-radiator (Fig. 6). Also, Iwasaki (JP 2010/121604) teaches the third air-cooled heat exchanger has the core width (dimension in the direction perpendicular to the cooling air) made narrower than the core width of the first air-cooled heat exchanger ([0017]). Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the heat exchanger of Iwasaki (JP 2008/057950) to use the structure of Iwasaki (JP 2010/121604) by having the width of the core portion 2c of the main radiator 2 (Iwasaki (JP 2008/057950): [0021) narrower than the width of the core portion 3c of the sub radiator 3 (Iwasaki (JP 2008/057950): [0023]) for the advantage of improving the heat exchange efficiency (Iwasaki (JP 2010/121604): [0018]). Also, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the above modified heat exchanger to position the main radiator (Iwasaki (JP 2008/057950): [0021]) downstream of the sub-radiator (Iwasaki (JP 2008/057950): [0023]), having the main radiator face the direction of cooling air, instead of upstream, having the sub-radiator face the direction of cooling air, so that the main radiator does not become the shade of the sub-radiator (Iwasaki (JP 2010/121604): [0018]). Iwasaki (JP 2010/121604) further teaches that positioning the wider core (analogous to 3c of Iwasaki (JP 2008/057950)) downstream of the narrower core (analogous to 2c of Iwasaki (JP 2008/057950)), the cooling air flow rate is insufficient, and the overall heat exchange efficiency is reduced Therefore (Iwasaki (JP 2010/121604): [0007]). Regarding claim 2, Iwasaki (JP 2008/057950) teaches the first header tank, the second header tank, and the third header tank each has inlet and outlet ports for introduction and discharge of the heat exchange medium (2f, 2g, [0022], 3f, [0025], 4a, 4b, [0024], [0026], 5n, 5o, [0028]), an outlet port (4b, [0026]) and an inlet port (4a, [0026]) of the first header tank are formed on the first header tank connected to one end of the first heat exchanging part, and an outlet port (2f, [0022]) and an inlet port (2g, [0022]) of the third header tank are each formed on the third header tank connected to both ends of the third heat exchanging part. Iwasaki (JP 2008/057950) does not teach the first header tank inlet and outlet ports and the third header tank inlet and outlet ports extend rearward. However, Iwasaki (JP 2010/121604) teaches routing piping for inflow and outflow backward to avoid waste of piping, joints, and space for wiring ([0029]). Therefore, it would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the piping configuration of Iwasaki (JP 2008/057950) to face backwards to avoid waste of piping, joints and space for wiring and prevent cost increase ([0029]). Regarding claim 4, Iwasaki (JP 2008/057950) teaches among the third header tanks connected to both ends of the third heat exchanging part, the third header tank outlet port is disposed at an upper side of the third header tank connected to one end of the third heat exchanging part (2f, Fig. 2, [0022]), and the third header tank inlet port is disposed at a lower side of the third header tank connected to the other end of the third heat exchanging part (2g, Fig. 2, [0022]). Regarding claim 5, Iwasaki (JP 2008/057950) teaches the second header tank connected to one end of the second heat exchanging part, the second header tank outlet port and inlet port are disposed on a lower portion thereof and are open in the longitudinal direction ([0028]). Regarding claim 8, Iwasaki (JP 2008/057950) the teaches first to third heat exchanging parts, and the first to third header tanks are made of an aluminum material and bonded by brazing (Iwasaki (JP 2008/057950): [0030]). Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to An Bach Phan whose telephone number is (571)272-7244. The examiner can normally be reached M-F, 7-3 ET. 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. /A.B.P./Examiner, Art Unit 3763 /LEN TRAN/Supervisory Patent Examiner, Art Unit 3763
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Prosecution Timeline

Aug 20, 2024
Application Filed
Jan 13, 2026
Non-Final Rejection — §102, §103 (current)

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Prosecution Projections

1-2
Expected OA Rounds
Grant Probability
3y 2m
Median Time to Grant
Low
PTA Risk
Based on 0 resolved cases by this examiner. Grant probability derived from career allow rate.

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