Prosecution Insights
Last updated: April 19, 2026
Application No. 18/236,706

MOBILE EQUIPMENT OPTIMIZED TO SUPPORT SWAPPABLE BATTERY MACHINERY

Non-Final OA §103
Filed
Aug 22, 2023
Examiner
LIETHEN, KURT PHILIP
Art Unit
3747
Tech Center
3700 — Mechanical Engineering & Manufacturing
Assignee
Caterpillar Inc.
OA Round
3 (Non-Final)
79%
Grant Probability
Favorable
3-4
OA Rounds
2y 4m
To Grant
88%
With Interview

Examiner Intelligence

Grants 79% — above average
79%
Career Allow Rate
338 granted / 426 resolved
+9.3% vs TC avg
Moderate +9% lift
Without
With
+8.7%
Interview Lift
resolved cases with interview
Typical timeline
2y 4m
Avg Prosecution
37 currently pending
Career history
463
Total Applications
across all art units

Statute-Specific Performance

§101
6.1%
-33.9% vs TC avg
§103
54.3%
+14.3% vs TC avg
§102
20.5%
-19.5% vs TC avg
§112
17.1%
-22.9% vs TC avg
Black line = Tech Center average estimate • Based on career data from 426 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 . Claim Status Claims 15 and 17 are canceled. Claims 1-14, 16, 18-20 are pending in the application and have been examined. Response to Arguments Applicant’s arguments with respect to claim(s) 1-14, 16, 18-20 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. 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) 1-14, 16, 18-20 are rejected under 35 U.S.C. 103 as being unpatentable over Huff et al. (US 2023/0102029 A1) hereinafter Huff, Messina et al. (US 2023/0256849 A1) hereinafter Messina, Hirano et al. (US 2023/0021364 A1) hereinafter Hirano, and Dryer et al. (US 11,276,890 B2) hereinafter Dryer. Claim 1: Huff discloses a battery-swapping support system comprising: a lifting system configured to carry a battery pack [Fig. 19, Item 250; Fig. 32, Item 3100]; a load securing tool configured to secure the battery pack [3199]; and a cooling system configured to cool down the battery pack [¶167]. Huff doesn’t explicitly disclose an interface connection supported by the lifting system, including: a battery charging adapter; a low voltage communication system; and wherein the interface connection connects the battery-swapping support system to a mobile equipment, enabling the mobile equipment to increase a charge of the battery pack during transportation of the battery pack; wherein the interface connection defines a point of attachment between the battery-swapping support system and the battery pack for transfer of power, chemicals, and communication data. However, Messina does disclose an interface connection supported by the lifting system, including: a battery charging adapter; wherein the interface connection connects the battery-swapping support system to a mobile equipment, enabling the mobile equipment to increase a charge of the battery pack during transportation of the battery pack [¶¶22-23, 27; Figs. 1-2]. Further, Hirano discloses a low voltage communication system [¶¶41-42; Fig. 2, Items 42, "EL"]. Finally, Dryer discloses wherein the interface connection defines a point of attachment between the battery-swapping support system and the battery pack for transfer of power, chemicals, and communication data [col. 4, line 64 to col. 5, line 50; col. 8, lines 12-19; Fig. 1]. It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to modify the battery swapping support system of Huff by including the charging capabilities of Messina on the portion of the apparatus which supports the battery in order to ensure the battery stays within an optimal state of charge window. It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to combine the vehicle and battery pack handling unit of Huff and Messina with the electronics of Hirano to provide a means of control between the vehicle and battery. It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to combine the vehicle and battery pack handling unit of Huff, Messina, and Hirano with the combined connector of Dryer to reduce attachment points thus increasing efficiency and reducing parts complexity. Claim 2: Huff, Messina, Hirano, and Dryer as shown in the rejection above, disclose all the limitations of claim 1. Huff also discloses wherein the battery-swapping support system is powered by the mobile equipment [¶123]. Claim 3: Huff, Messina, Hirano, and Dryer as shown in the rejection above, disclose all the limitations of claim 1. Huff also discloses wherein the battery-swapping support system is controlled through the mobile equipment [¶¶76, 142-143]. Claim 4: Huff, Messina, Hirano, and Dryer as shown in the rejection above, disclose all the limitations of claim 1. Huff also discloses wherein the battery-swapping support system is configured to retrieve the battery pack from a bottom of the battery pack [Fig. 30, Items 3006, 3015; the battery is supported from the bottom by the lower cage portion]. Claim 5: Huff, Messina, Hirano, and Dryer as shown in the rejection above, disclose all the limitations of claim 1. Huff also discloses further comprising a frame configured to support the battery pack [Fig. 30, Item 3012], wherein the frame includes: a body [portion that surrounds battery on lower cage 3012]; and two arms extending from the body [3030-3032], wherein each of the two arms includes a first end, joined to the body, and a second end [near 3022]. Claim 6: Huff, Messina, Hirano, and Dryer as shown in the rejection above, disclose all the limitations of claim 1. Huff also discloses further comprising a platform configured to carry the battery pack [Fig. 30, bottom of 3012]. Claim 7: Huff, Messina, Hirano, and Dryer as shown in the rejection above, disclose all the limitations of claim 1. Huff also discloses further comprising a compartment to store one or more batteries of the battery pack [Fig. 30, Items 3010, 3012]. Claim 8: Huff, Messina, Hirano, and Dryer as shown in the rejection above, disclose all the limitations of claim 7. Huff also discloses wherein the compartment is configured to transport hazardous materials [¶66]. Claim 9: Huff, Messina, Hirano, and Dryer as shown in the rejection above, disclose all the limitations of claim 1. Huff also discloses wherein the battery-swapping support system is detachable from the mobile equipment [Fig. 33 shows joints which could be removed thus taking the system off the vehicle]. Claim 10: Huff, Messina, Hirano, and Dryer as shown in the rejection above, disclose all the limitations of claim 1. Huff also discloses further comprising a locking mechanism, wherein the locking mechanism connects and secures the battery-swapping support system to the mobile equipment [¶171]. Claim 11: Huff, Messina, Hirano, and Dryer as shown in the rejection above, disclose all the limitations of claim 1. Huff also discloses wherein the lifting system includes: a handling arm configuration; and a lifting device connected to the handling arm configuration [¶171]. Claim 12: Huff, Messina, Hirano, and Dryer as shown in the rejection above, disclose all the limitations of claim 11. Huff also discloses wherein the lifting device is a crane [Figs. 46-58]. Claim 13: Huff, Messina, Hirano, and Dryer as shown in the rejection above, disclose all the limitations of claim 1. Huff doesn’t explicitly disclose wherein the battery charging adapter is wireless. However, Hirano does disclose wherein the battery charging adapter is wireless. [¶53] It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to combine the vehicle and battery pack handling unit of Huff and Messina with the electronics of Hirano to provide a means of control between the vehicle and battery. Claim 14: Huff discloses a battery-swapping support system comprising: a lifting system configured to carry a battery pack [Fig. 19, Item 250; Fig. 32, Item 3100], including: a handling arm configuration; and a lifting device connected to the handling arm configuration, a load securing tool including at least one of a mounting point and an attachment area configured to secure the battery pack [3199] to the load securing tool; a cooling system configured to cool down the battery pack [¶167], a locking mechanism to secure the battery-swapping support system to the mobile equipment [¶171], wherein: the battery-swapping support system is selectively detachable from the mobile equipment [Fig. 33 shows joints which could be removed thus taking the system off the vehicle], and the battery-swapping support system is powered by the mobile equipment [¶123]. Huff doesn’t explicitly disclose an interface connection supported by the lifting system, including: a battery charging adapter; a low voltage communication system configured to operate within a range of about negative twenty volts to about twenty volts to transmit information from the battery pack to another device; and wherein the interface connection connects the battery-swapping support system to a mobile equipment increasing a charge of the battery pack during transportation of the battery pack to a battery charger; wherein the interface connection defines a point of attachment between the battery-swapping support system and the battery pack for transfer of power, chemicals, and communication data. However, Messina discloses an interface connection supported by the lifting system, including: a battery charging adapter; [¶¶22-23, 27; Figs. 1-2]; wherein the interface connection connects the battery-swapping support system to a mobile equipment increasing a charge of the battery pack during transportation of the battery pack to a battery charger [¶¶22-23, 27; Figs. 1-2]. Further, Hirano discloses a low voltage communication system configured to operate within a range of about negative twenty volts to about twenty volts to transmit information from the battery pack to another device [¶¶41-42, 49; Fig. 2, Items 42, "EL"; the voltage of the auxiliary battery being between 12-48 V would be the voltage used for communication, see ¶¶41, 49]. Finally, Dryer discloses wherein the interface connection defines a point of attachment between the battery-swapping support system and the battery pack for transfer of power, chemicals, and communication data [col. 4, line 64 to col. 5, line 50; col. 8, lines 12-19; Fig. 1]. It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to modify the battery swapping support system of Huff by including the charging capabilities of Messina on the portion of the apparatus which supports the battery in order to ensure the battery stays within an optimal state of charge window. It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to combine the vehicle and battery pack handling unit of Huff and Messina with the electronics of Hirano to provide a means of control between the vehicle and battery. It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to combine the vehicle and battery pack handling unit of Huff, Messina, and Hirano with the combined connector of Dryer to reduce attachment points thus increasing efficiency and reducing parts complexity. Claim 16: Huff, Messina, Hirano, and Dryer as shown in the rejection above, disclose all the limitations of claim 1. Huff also discloses wherein the lifting device is a crane [Figs. 46-58]. Claim 18: Huff discloses a mobile equipment comprising a battery-swapping support system that includes: a lifting system configured to carry a battery pack [Fig. 19, Item 250; Fig. 32, Item 3100], a load securing tool configured to secure the battery pack [3199]; a cooling system configured to cool down the battery pack [¶167], and a locking mechanism to secure the battery-swapping support system to the mobile equipment [¶171]. Huff doesn’t explicitly disclose an interface connection supported by the lifting system to connect the battery pack to the mobile equipment, including: a battery charging adapter; a low voltage communication system; and wherein the interface connection selectively connects the battery-swapping support system to the mobile equipment to increase a charge of the battery pack during transportation of the battery pack to a battery charger; wherein the interface connection defines a point of attachment between the battery-swapping support system and the battery pack for transfer of power, chemicals, and communication data. However, Messina does disclose an interface connection supported by the lifting system to connect the battery pack to the mobile equipment, including: a battery charging adapter; [¶¶22-23, 27; Figs. 1-2] wherein the interface connection selectively connects the battery-swapping support system to the mobile equipment to increase a charge of the battery pack during transportation of the battery pack to a battery charger. [¶¶22-23, 27; Figs. 1-2] Further, Hirano discloses a low voltage communication system [¶¶41-42; Fig. 2, Items 42, "EL"]. Finally, Dryer discloses wherein the interface connection defines a point of attachment between the battery-swapping support system and the battery pack for transfer of power, chemicals, and communication data [col. 4, line 64 to col. 5, line 50; col. 8, lines 12-19; Fig. 1]. It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to modify the battery swapping support system of Huff by including the charging capabilities of Messina on the portion of the apparatus which supports the battery in order to ensure the battery stays within an optimal state of charge window. It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to combine the vehicle and battery pack handling unit of Huff and Messina with the electronics of Hirano to provide a means of control between the vehicle and battery. It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to combine the vehicle and battery pack handling unit of Huff, Messina, and Hirano with the combined connector of Dryer to reduce attachment points thus increasing efficiency and reducing parts complexity. Claim 19: Huff, Messina, Hirano, and Dryer as shown in the rejection above, disclose all the limitations of claim 18. Huff also discloses wherein the lifting system includes: a handling arm configuration; and a lifting device connected to the handling arm configuration [¶171]. Claim 20: Huff, Messina, Hirano, and Dryer as shown in the rejection above, disclose all the limitations of claim 18. Huff also discloses wherein the battery-swapping support system is detachable from the mobile equipment [Fig. 33 shows joints which could be removed thus taking the system off the vehicle]. Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to KURT P LIETHEN whose telephone number is (313)446-6596. The examiner can normally be reached Mon - Fri, 8 AM - 4 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, Lindsay Low can be reached at (571)272-1196. 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. KURT P. LIETHEN Primary Examiner Art Unit 3747 /KURT PHILIP LIETHEN/Primary Examiner, Art Unit 3747
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Prosecution Timeline

Aug 22, 2023
Application Filed
Aug 01, 2025
Non-Final Rejection — §103
Nov 04, 2025
Response Filed
Nov 25, 2025
Final Rejection — §103
Feb 19, 2026
Response after Non-Final Action
Mar 09, 2026
Request for Continued Examination
Mar 10, 2026
Response after Non-Final Action
Mar 12, 2026
Non-Final Rejection — §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
79%
Grant Probability
88%
With Interview (+8.7%)
2y 4m
Median Time to Grant
High
PTA Risk
Based on 426 resolved cases by this examiner. Grant probability derived from career allow rate.

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