Prosecution Insights
Last updated: July 17, 2026
Application No. 18/846,320

SURFACTANT AND COSMETIC

Non-Final OA §103
Filed
Sep 12, 2024
Priority
Apr 19, 2022 — JP 2022-068780 +1 more
Examiner
LIU, TRACY
Art Unit
Tech Center
Assignee
Shin-Etsu Chemical Co., Ltd.
OA Round
1 (Non-Final)
55%
Grant Probability
Moderate
1-2
OA Rounds
1y 4m
Est. Remaining
83%
With Interview

Examiner Intelligence

Grants 55% of resolved cases
55%
Career Allowance Rate
366 granted / 669 resolved
-5.3% vs TC avg
Strong +28% interview lift
Without
With
+28.3%
Interview Lift
resolved cases with interview
Typical timeline
3y 2m
Avg Prosecution
75 currently pending
Career history
774
Total Applications
across all art units

Statute-Specific Performance

§101
0.3%
-39.7% vs TC avg
§103
63.9%
+23.9% vs TC avg
§102
0.8%
-39.2% vs TC avg
§112
0.8%
-39.2% vs TC avg
Black line = Tech Center average estimate • Based on career data from 669 resolved cases

Office Action

§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 . Claims included in the prosecution are claims 1-4. 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. 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. Claim(s) 1-4 is/are rejected under 35 U.S.C. 103 as being unpatentable over Budnik et al. (US 4,855,379, Aug. 8, 1989) (hereinafter Budnik) (IDS reference) in view of Hüttinger et al. (US 4,698,178, Oct. 6, 1987) (hereinafter Hüttinger) (IDS reference). Budnik discloses a silicone surfactant having the formula: MDaDobD”cM, wherein M represents Me3SiO1/2, D represents Me2SiO, Do represents MeSi(O)CH2CH2Si(Me)O-(Me2SiO)x, where x = 2 to 4, and D” represents MeSi(O)CH2CH2CH2-O-Polyether, in which a has a value of from 0 to 200, b has a value of from 1 to 200, and c has a value of from 1 to 200 (claim 4). The silicone surfactant contains cyclic siloxane pendants (col. 4, lines 1-3). Budnik’s M corresponds to the claimed PNG media_image1.png 90 74 media_image1.png Greyscale and PNG media_image2.png 94 62 media_image2.png Greyscale , Da corresponds to the claimed PNG media_image3.png 98 80 media_image3.png Greyscale , Dob corresponds to the claimed PNG media_image4.png 112 74 media_image4.png Greyscale , and D”c corresponds to claimed PNG media_image5.png 98 74 media_image5.png Greyscale , wherein claimed c = 0. Budnik differs from the instant claims insofar as not disclosing wherein Dob and D”c are reversed in order, wherein the polyether in D” is (C2H4O)e-(C3H6O)f-R5, and wherein the silicone surfactant is used in cosmetics. However, Hüttinger discloses the use of copolymers of the formula PNG media_image6.png 478 494 media_image6.png Greyscale as emulsifiers for the preparation of W/O emulsions. In the formula R is an alkyl radical with 1 to 4 carbon atoms or a hydrogen radical and the molecular weight of the (C2H4O-)x(C3H6O-)yR radical is 250 to 2,000 with x and y being selected so that the weight ratio of oxyethylene to oxypropylene is 100:0 to 20:80 (abstract). The preferred area of application of the W/O emulsion is in cosmetics (col. 2, lines 46-48). As shown by Hüttinger, Budnik’s D” may be bonded next to Me2SiO with another polysiloxane polymer bonded on the other side. Accordingly, it would have been prima facie obvious to one of ordinary skill in the art to have reversed the order of Dob and D”c of Budnik since reversing the order has no effect on surfactant formation and this is another known effective surfactant as taught by Hüttinger. It would have been prima facie obvious to one of ordinary skill in the art to have used (C2H4O-)x(C3H6O-)yR, wherein R is an alkyl radical with 1 to 4 carbon atoms or a hydrogen radical as the polyether of Budnik since Budnik does not disclose what the polyether is and this is a known and effective polyether for surfactants as taught by Hüttinger. In regards to the claimed e and f values, it would have taken no more than the relative skills of one of ordinary skill in the art to have arrived at the claimed e and f values depending on the particular molecular weight of the polyether desired as taught by Hüttinger. It would have been prima facie obvious to one of ordinary skill in the art to have used the surfactant of Budnik in a W/O emulsion for cosmetics since similar surfactants comprising polysiloxane polymers with similar structure as the surfactant of Budnik are effective surfactants for a W/O emulsion for cosmetics as taught by Hüttinger. Conclusion Claims 1-4 are rejected. No claims are allowed. Any inquiry concerning this communication or earlier communications from the examiner should be directed to TRACY LIU whose telephone number is (571)270-5115. The examiner can normally be reached Mon-Fri 9 am - 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, Ali Soroush can be reached at 571-272-9925. 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. /TRACY LIU/Primary Examiner, Art Unit 1614
Read full office action

Prosecution Timeline

Sep 12, 2024
Application Filed
Jul 02, 2026
Non-Final Rejection mailed — §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

1-2
Expected OA Rounds
55%
Grant Probability
83%
With Interview (+28.3%)
3y 2m (~1y 4m remaining)
Median Time to Grant
Low
PTA Risk
Based on 669 resolved cases by this examiner. Grant probability derived from career allowance rate.

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