Office Action Predictor
Last updated: April 15, 2026
Application No. 18/295,423

PROPULSION SYSTEM ARRANGEMENT AND METHOD HAVING FLUID CIRCUITS FOR COOLING AND LUBRICATION OF MOTOR AND CLUTCH

Final Rejection §102§103
Filed
Apr 04, 2023
Examiner
LEE, GEOFFREY S
Art Unit
3746
Tech Center
3700 — Mechanical Engineering & Manufacturing
Assignee
Caterpillar INC.
OA Round
5 (Final)
62%
Grant Probability
Moderate
6-7
OA Rounds
3y 1m
To Grant
70%
With Interview

Examiner Intelligence

Grants 62% of resolved cases
62%
Career Allow Rate
205 granted / 333 resolved
-8.4% vs TC avg
Moderate +9% lift
Without
With
+8.9%
Interview Lift
resolved cases with interview
Typical timeline
3y 1m
Avg Prosecution
48 currently pending
Career history
381
Total Applications
across all art units

Statute-Specific Performance

§101
0.5%
-39.5% vs TC avg
§103
49.5%
+9.5% vs TC avg
§102
25.7%
-14.3% vs TC avg
§112
23.5%
-16.5% vs TC avg
Black line = Tech Center average estimate • Based on career data from 333 resolved cases

Office Action

§102 §103
DETAILED ACTION Applicant's submission filed on 20 January 2026 has been entered. Claims 1, 4-9, 11-18, and 20 are pending. 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. Claims 16-18, and 20 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Novak (US 2021/0180686). Claim 16, Novak discloses a propulsion system (motor vehicle transmission and engine, abstract) comprising: an electric motor (EM) assembly including at least one housing (GG) forming a first fluid supply port (port in valve PV toward pressure system 2 and 2k), an actuation fluid supply port (port in valve SRV which goes toward pressure system 1), at least one drain (protection valve KSV opens and allows pressure to return to suction, par 0040), an electric motor (EM) having a driveshaft (GW1), and a disconnect clutch (K0); a fluid system (HY) including a cooling and lubrication fluid circuit (second pressure circuit 2, section 2k, par 0044-0045) structured to fluidly connect to a first pump (p2, par 0037), and a clutch actuation fluid circuit (first pressure circuit 1, par 0044-0045) structured to fluidly connect to a second pump (p, par 0037); the cooling and lubrication fluid circuit including a first pump outgoing conduit (fig 2 and fig 3, outlet piping for p2) arranged to supply cooling and lubrication fluid from the first pump into the at least one housing (GG, PV is within GG therefore any fluid travelling through PV is within the housing GG) via the first fluid supply port (port in valve PV), and a first pump supply conduit (intake conduit between pump P2 and tank T); the clutch actuation fluid circuit including a second pump outgoing conduit (conduit at discharge of pump P) arranged to supply clutch actuation fluid from the second pump into the at least one housing (GG, the clutch is within housing GG, therefore fluid reaching GG inherently goes into housing GG) via the actuation fluid supply port (P supplies fluid to pressure system 1 via valve SRV, par 0032), and a second pump supply conduit (intake conduit between pump P and tank T); the cooling and lubrication fluid circuit is fluidly connected to the clutch actuation fluid circuit via an interconnect (SV, par 0037) arranged to feed a flow of fluid from the pump outgoing conduit of the cooling and lubrication circuit (second pressure circuit 2 / cooling discharges to first pressure circuit 1 via SV, par 0037) into the at least one housing (GG, pressure circuit 1 is inside GG, inherently discharges into pressure circuit 1 will be into housing GG) via the actuation fluid supply port (SRV, fluid flowing into pressure circuit 1 go through SRV, par 0036); and a one-piece valve block (SV is a valve unit, par 0037; it is a single valve and meets one-piece valve block under a BRI because one-piece valve block can reasonably be interpreted as referring to a single independent valve) mounted on the at least one housing (SV is in system HY; fig 3 shows that HY is enclosed by housing GG, therefore SV must reasonably be supported by a surface of GG, which fits the plain meaning of “mounted on” ), and forming the interconnect fluidly connecting the respective pump outgoing conduits (SV is between outlets for p and p2), such that the cooling and lubrication fluid circuit and the clutch actuation fluid circuit are fluidly connected within the valve block (par 0037). Claim 17, Novak discloses the system of claim 16 further comprising the first pump (p2) onboard the electric motor assembly (implicitly p2 is powered by EM based on what is described in par 0010; par 0010 indicates that p2 can provide clutch pressure when the engine is just starting; reasonably p2 is providing pressure instead of P because p is unable to provide pressure at startup; p2 must be providing torque from the electric motor because it is the only source for torque beside the vehicle motor; and the vehicle motor has not yet started providing sufficient torque to run said pump), and the second pump offboard the electric motor assembly (implicitly, second pump p is off of the electric motor and connected to the vehicle motor in the situation described in par 0010; par 0010 indicates that p2 is providing pressure to a clutch instead of p1, par 0010 indicates that the vehicle motor is not yet providing sufficient torque for the system; since p is not providing pressure for the clutch in par 0010, it is reasonable that P is not receiving torque from the electric motor EM, and is therefore not connected to EM in the same way that P2 is connected to EM ). Claim 18, Novak discloses the system of claim 17 wherein the electric motor assembly further includes a takeoff geartrain (GW1; gw1 is a shaft in the transmission system and therefore meets the meaning of geartrain under a BRI), and the first pump is rotated via the takeoff geartrain (GW1 rotates pump p2, par 0043). Claim 20, Novak discloses the system of claim 16 further comprising a common fluid sump (T, par 0085) fluidly connecting the respective pump supply conduits (fig 1, fig 2 and fig 3 show tank T at the source for the pumps). 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. Claims 1, 4-9, and 11-15 are rejected under 35 U.S.C. 103 as being unpatentable over Novak (US 2021/0180686) in view of Panagiotis (DE10318152, citation to the machine translation). Claim 1, Novak discloses a propulsion system comprising (motor vehicle transmission, G, abstract): an engine shaft (fig 4, shaft AN, par 0047 ), an engine geartrain (motor vehicle transmission G); an electric motor assembly (EM) including an electric motor (electric motor EM), a driveshaft (GW1) rotatable via energizing the electric motor, and a disconnect clutch (KO) structured to couple the driveshaft to the engine shaft (fig 3, KO separates AN and GW1, par 0044); a fluid system (hydraulic system with pumps P, 2P) including a first pump (2P, second pump which drives circuit 2 and cools clutches k1, k2, par 0044) driven via a rotation of the driveshaft (input shaft G1 drives pump P and second pump 2p, par 0043) and having a first pump outlet (fig 3 depicts outlet on P and p2), a cooling and lubrication fluid circuit fluidly connected to the first pump (second pressure circuit 2 is used to cool the two clutches k1, k2, par 0044), a second pump (P) driven via a rotation of the engine shaft geartrain (input shaft G1 drives P and 2P, par 0043; input shaft G1 driven by engine via K0, par 0043) and having a second pump outlet (fig 3 depicts outlet on P and 2P), and a clutch actuation fluid circuit (first pressure circuit 1, par 0044; clutch k0 actuated by first pressure circuit 1, par 0045) fluidly connected to the second pump (first pump for first pressure circuit, par 0007, 0031) and arranged to feed a fluid from the second pump outlet to a clutch actuation fluid supply port (port for actuation of K0, par 0045; fig 1 and 2 shows port to HY 1 downstream of valve SRV) for the disconnect clutch (separating clutch is actuatable via pressure circuit 1, par 0045); and the fluid system further including an interconnect (valve SV connects fluid in pressure circuit 1 to pressure circuit 2 when shutoff valve PV closes, par 0037; ALTERNATELY valve KV which connects the second pressure circuit 2 to the suction side of the pump P, par 0039; pump P then discharges to first pressure circuit 1, via valve SRV, par 0032) fluidly connecting the cooling and lubrication fluid circuit to the clutch actuation fluid circuit (valve SV connects fluid in pressure circuit 2 / cooling circuit to pressure circuit 1/ high pressure / activation circuit when shutoff valve PV closes, par 0037 this is intended to make second pump output available for clutch activation, par 0010; ALTERNATELY, valve KV connects pressure circuit 2/cooling circuit to suction of pump, while pump supplies pressure circuit 1, par 0032, 0039; pressure circuit 1 actuates clutch K0, par 0045) and arranged to feed a the fluid from the cooling and lubrication fluid circuit and the first pump outlet (p2 of the second pump and pressure circuit 2 / cooling circuit, par 0037, 0010) to the clutch actuation fluid circuit (par 0010, 0037) at a location that is fluidly between the second pump outlet (outlet of P) and the clutch actuation fluid supply port (fig 2 shows SV between pump outlet of P and valve SRV), based on operating the first pump (2P) when the second pump (P) is [not providing pressure] (second pump 2P and second pressure circuit provides pressure to the clutch activation system before the motor vehicle transmission starts turning, par 0010; second pressure circuit is normally the cooling circuit, par 0044; since the second pump is providing pressure immediately after the engine starts and before the transmission comes up to speed; it is implicit that the first pump, P, is not up to its working speed and providing operational pressure, therefore, pump P can be considered off, par 0010; furthermore DE10318152 is cited in background par 0003 which evidences that the high pressure pump driven by the engine is shutdown when the vehicle is being towed or in a car wash); wherein the first pump (2p) is arranged in the cooling and lubrication fluid circuit (p2 and second circuit 2 cool clutches K1, k2, par 0044), and the second pump is arranged in the clutch actuation fluid circuit (pressure circuit 1 activates K0, par 0045, pump p feed pressure circuit 1, par 0031-0032); and wherein the electric motor assembly further includes a takeoff geartrain (fig 3, input shaft GW1 and transmission G, par 0043; gw1 is a shaft in the transmission system and therefore meets the meaning of geartrain under a BRI) fixed to rotate with the driveshaft (par 0043), and the first pump is rotated via the takeoff geartrain (input shaft GW1 drives pump P and 2p, par 0043). Novak is silent on the second pump (p) is turned off, when the first pump (2p) is providing fluid from the cooling and lubrication circuit to the clutch actuation circuit. Novak does not disclose this because Novak does not explicitly disclose operating the cooling pump (pump 2p) when the vehicle engine is off. Nevertheless, Novak does teach operating the cooling circuit / second pressure circuit and interrupting it to provide flow to other places when the internal combustion engine has just started (par 0010). This implies to a person of ordinary skill in the art that the cooling circuit / second pressure circuit is capable of operating when the internal combustion engine is stopped, in order for the pump to be ready and capable of pumping to the clutch immediately after an internal combustion engine start. Furthermore, Novak cites background reference Panagiotis (DE 10318152) in the background in order to give the status of the art of operating two pumps in high and low pressure circuits in a vehicle transmission system (para 0003). Panagiotis evidences that in motor vehicles with high pressure systems provided by a pump powered by the engine of a vehicle and another cooling system provided by a second pump that it is common that the internal combustion engine is stopped, which also stops the first pump, that the second pump is able to maintain cooling and the high pressure supplies (second to last paragraph of Panagiotis translation). Therefore, it would have been obvious to a person of ordinary skill in the art prior to the effective filing date of the claimed invention to configure pump 2 and the second pressure circuit to operate when the internal combustion engine is stopped as taught by Panagiotis, in order for the transmission and cooling system to receive adequate lubrication when the engine is stopped such as in a car wash or when the vehicle is towed. Claim 4, Novak in view of Panagiotis teaches the system of claim 1 wherein the electric motor assembly further includes a housing (fig 3, housing GG, par 0095) wherein each of the electric motor (fig 3 shows EM inside GG), the disconnect clutch (fig 3 shows K0 inside GG), and the takeoff geartrain (fig 3 shows GW1 inside GG) is positioned, and the first pump is mounted on the housing (fig 3, P1 and 2P shown inside GG, since P and 2P are enclosed by GG they must receive support from GG in some direction; under a BRI this meets the limitation “mounted on”). Claim 5, Novak in view of Panagiotis teaches the system of claim 4 wherein the fluid system further includes a common fluid sump (fig 3, tank T, par 0084) mounted on the housing (fig 3, Tank is enclosed by GG, inherently it must be supported by GG in some direction, this meets the plain meaning of “mounted on”), and each of the cooling and lubrication fluid circuit and the clutch actuation fluid circuit includes a suction conduit fluidly connected to the common fluid sump (fig 3 shows suction conduits from P and 2P to Tank T, par 0031). Claim 6, Novak in view of Panagiotis teaches the system of claim1, wherein the fluid system further includes a valve block (fig 2, valve SV, par 0037) mounted on the housing (GG) and forming the interconnect (SV is internal to GG it is reasonably to conclude that SV is supported by a surface of GG and thereby meets the limitation “mounted to”). Claim 7, Novak in view of Panagiotis teaches the system of claim 6, wherein the cooling and lubrication fluid circuit further includes a conduit (fig 2 shows a conduit between P2 and SV; fig 3 shows that the conduit from P2 to HY is interior to housing GG) mounted on the housing (GG) and fluidly connected between the first pump (P2) and the valve block (SV). Claim 8, Novak in view of Panagiotis teaches the system of claim 6, wherein: the housing includes a clutch housing component (GK is within housing GG, K0 is within housing GG), a geartrain housing component (GW is withing housing GG, par 0043 alternately transmission attached to AN, par 0047), and a motor housing (EM is within housing GG) component attached between the clutch housing component and the geartrain housing component (EM is between the transmission connected to AN and clutch K1/K2 in GK, See par 0047; EM is also between clutch K0 and gearshift GW, par 0044); and the first pump is mounted on the geartrain housing component (fig 3, p2 is enclosed by housing GG, where housing GG encloses GW inherently it must be supported by housing GG because it is enclosed by it, meeting the plain meaning of “mounted on”), and the valve block is mounted on the clutch housing component (SV is enclosed by GG, GG encloses clutch GK and K0, since SV is enclosed by GG, it must be supported by housing GG, and thereby meet the plain meaning of “mounted on”). Claim 9, Novak discloses a method of cooling and lubricating a propulsion system (par 0022-0025) comprising: applying a torque to a driveshaft (GW1) of an electric motor (EM) via a disconnect clutch (KO) engaged between the electric motor and an engine (shaft AN leads to engine of motor vehicle, par 0047); disengaging the disconnect clutch via varying a pressure of a fluid for actuating the disconnect clutch supplied from an actuation fluid pump (P, provides pressure to pressure circuit 1 for actuation of the clutch, par 0032, 0045) driven via the engine (P and P2 powered by input shaft GW1, par 0043, input shaft GW1 provided by engine shaft AN via clutch K0, par 0043, 0047); shutting down the engine such that the actuation fluid pump is not operated; applying a torque to the driveshaft via energizing stator coils in the electric motor while the disconnect clutch is disengaged (EM provides torque to GW1, par 0043); operating a cooling and lubrication fluid pump (2p provides pressure to pressure circuit 2 for cooling, par 0037, 0044) via rotation of the driveshaft both while the disconnect clutch is engaged and while the disconnect clutch is disengaged (second pump provides pressure to the clutch even when the engine is starting, par 0010; reasonably the EM provides the power to drive the second pump when the engine is starting because EW is the only alternative source of torque for the pump system; furthermore, the disclosed physical arrangement is capable of this arrangement because separating clutch K0 is between GW1 and AN, EM is connected to GW1 without a clutch, par 0043; therefore EM is arranged to drive GW1 whether or not K0 is connected or disconnected to the engine through shaft AN); …; wherein the supplying fluid for cooling and lubrication includes supplying fluid via an interconnect (SV) from a cooling and lubrication fluid circuit to a clutch actuation fluid circuit (second pressure circuit 2 provides to the first pressure circuit 1 when PV valve is closed and SV valve opens, par 0037) and to the disconnect clutch without feeding the fluid through the actuation fluid pump (fig 1 and fig 2 show that passage through SV does not also pass through p or 2p). Novak is silent on and supplying fluid for cooling and lubrication to the electric motor and to the disconnect clutch (2k cools the clutch K0 and EM, par 0045) based on the operating of the cooling and lubrication fluid pump (par 0037, 0044) while the engine is shut down and the disconnect clutch is disengaged. Novak does not disclose this because Novak does not explicitly disclose operating the cooling pump (pump 2p) when the vehicle engine is shut down and the disconnect clutch is disengaged. Nevertheless, Novak does teach operating the cooling circuit / second pressure circuit and interrupting it to provide flow to other places when the internal combustion engine has just started (par 0010). This implies to a person of ordinary skill in the art that the cooling circuit / second pressure circuit is capable of operating when the internal combustion engine is stopped, in order for the pump to be ready and capable of pumping to the clutch immediately after an internal combustion engine start. Furthermore, Novak cites background reference Panagiotis (DE 10318152) in the background in order to give the status of the art of operating two pumps in high and low pressure circuits in a vehicle transmission system (para 0003). Panagiotis evidences that in motor vehicles with high pressure systems provided by a pump powered by the engine of a vehicle and another cooling system provided by a second pump that it is common that the internal combustion engine is stopped, which also stops the first pump, that the second pump is able to maintain cooling and the high pressure supplies (second to last paragraph of Panagiotis translation). Therefore, it would have been obvious to a person of ordinary skill in the art prior to the effective filing date of the claimed invention to configure pump 2 and the second pressure circuit to operate when the internal combustion engine is stopped as taught by Panagiotis, in order for the transmission and cooling system to receive adequate lubrication when the engine is stopped such as in a car wash or when the vehicle is towed. Claim 11, Novak in view of Panagiotis teaches the method of claim 9 wherein the cooling and lubrication fluid circuit and the clutch actuation fluid circuit connect to a common fluid sump (Tank T, par 0084). Claim 12, Novak in view of Panagiotis teaches the method of claim 9 wherein the interconnect is formed by a valve block (fig 2, valve SV, par 0037) mounted on a housing (fig 3, GG, par 0095) for the electric motor and the disconnect clutch (fig 3 shows EM, K0, and HY enclosed by housing GG; since SV is a component of HY, and SV is internal to GG it is reasonably to conclude that SV is supported by a surface of GG and thereby meets the limitation “mounted to”). Claim 13, Novak in view of Panagiotis teaches the method of claim 12 wherein the supplying fluid for cooling and lubrication (cooling of clutches k1, k2, par 0044, cooling of EM and K0, par 0045) further includes supplying fluid from a geartrain housing component (fig 3, housing GG contains gearshift section GW, par 0044) to a clutch housing component (fig 3, housing GG contains the clutch section GK, par 0044, as well as clutch section K0). Claim 14, Novak in view of Panagiotis teaches the method of claim 13 wherein the housing includes a motor housing component (EM is within housing GG; and EM is between the transmission connected to AN and clutch K1/K2 in GK, See par 0047; EM is also between clutch K0 and gearshift GW, par 0044) attached between the geartrain housing component (GW is withing housing GG, par 0043 alternately transmission attached to AN, par 0047) and the clutch housing component (GK is within housing GG, K0 is within housing GG), and the supplying fluid for cooling and lubrication further includes supplying the fluid (fig 2, via 2K in pressure circuit 2, par 0044-0045) via a conduit attached externally to the geartrain housing component (fig 3, inherently pressure circuit 2k must have conduit sections external to gearshift GW in order to deliver cooling fluid to GK and K0 which are both external to GW) and to the clutch housing component (fig 2, shows section 2k as external to section 1, where clutch actuation is via pressure circuit 1, par 0041; furthermore, inherently as cooling section 2k cools electric motor EM and EM is external to both K0 and GK, then 2k must have conduit sections external to clutch housings K0 and GK). Claim 15, Novak in view of Panagiotis teaches the method of claim 9 further comprising operating-the actuation fluid pump (actuation pump 1 is driven by AN via K0 and GW1, par 0043) via an engine geartrain (AN is driven by VM, par 0047) of the engine (internal combustion engine VM, par 0047). Response to Arguments Applicant’s arguments with respect to claims 1, 4-9, 11-18 and 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. 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 GEOFFREY S LEE whose telephone number is (571)272-5354. The examiner can normally be reached Mon-Fri 0900-1800. 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, Essama Omgba can be reached at (469) 295-9278. 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. /GEOFFREY S LEE/Examiner, Art Unit 3746 /DOMINICK L PLAKKOOTTAM/Primary Examiner, Art Unit 3746
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Prosecution Timeline

Apr 04, 2023
Application Filed
Dec 13, 2024
Non-Final Rejection — §102, §103
Mar 14, 2025
Response Filed
Apr 02, 2025
Final Rejection — §102, §103
Jun 09, 2025
Response after Non-Final Action
Jul 02, 2025
Request for Continued Examination
Jul 08, 2025
Response after Non-Final Action
Jul 22, 2025
Non-Final Rejection — §102, §103
Oct 27, 2025
Response Filed
Nov 10, 2025
Final Rejection — §102, §103
Jan 20, 2026
Response after Non-Final Action
Feb 06, 2026
Final Rejection — §102, §103
Apr 10, 2026
Response after Non-Final Action

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Study what changed to get past this examiner. Based on 5 most recent grants.

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Prosecution Projections

6-7
Expected OA Rounds
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Grant Probability
70%
With Interview (+8.9%)
3y 1m
Median Time to Grant
High
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