Prosecution Insights
Last updated: April 19, 2026
Application No. 18/301,207

SYSTEMS AND METHODS FOR BATTERY ENERGY SYSTEM STORAGE CONTROL

Final Rejection §103
Filed
Apr 14, 2023
Examiner
YANCHUS III, PAUL B
Art Unit
2115
Tech Center
2100 — Computer Architecture & Software
Assignee
Carrier Corporation
OA Round
2 (Final)
83%
Grant Probability
Favorable
3-4
OA Rounds
2y 11m
To Grant
97%
With Interview

Examiner Intelligence

Grants 83% — above average
83%
Career Allow Rate
685 granted / 827 resolved
+27.8% vs TC avg
Moderate +14% lift
Without
With
+14.2%
Interview Lift
resolved cases with interview
Typical timeline
2y 11m
Avg Prosecution
29 currently pending
Career history
856
Total Applications
across all art units

Statute-Specific Performance

§101
7.3%
-32.7% vs TC avg
§103
51.5%
+11.5% vs TC avg
§102
24.6%
-15.4% vs TC avg
§112
5.1%
-34.9% vs TC avg
Black line = Tech Center average estimate • Based on career data from 827 resolved cases

Office Action

§103
DETAILED ACTION This final office action is in response to amendments filed on 10/27/25. 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 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. Claims 1-5, 7-11 and 13-15 are rejected under 35 U.S.C. 103 as being unpatentable over Applicant’s Admitted Prior Art [AAPA], in view of Shelton et al., US Patent Application Publication no. 2021/0402231 [Shelton]1. Regarding claims 1, 7 and 13, AAPA discloses a known BESS system that monitors environmental parameters, such as heat and smoke and alerts a first responder to a system alarm status [paragraph 0003]. AAPA does not disclose generating an access recommendation and controlling an access control device based on the monitored environmental parameters. Like AAPA, Shelton discloses a storage system in which battery devices are stored. Shelton recognizes that it would be advantageous to restrict access to the storage during or after a battery fire in order to reduce risk of harm to users [paragraph 0051]. Specifically, Shelton discloses: at least one processor; and memory storing instructions executable by the at least one processor [processor and memory, paragraph 0047], the instructions when executed cause the system to: obtain information related to one or more environmental parameters of the BESS [a heat sensor, a fire sensor or a smoke sensor detects a sign of fire and signals the processor, paragraphs 0023 and 0049]; generate a recommendation based on the environmental parameters, the recommendation indicating whether to access the BESS [granting or denying access to the storage receptacle when a fire has been detected, paragraphs 0051 and 0058]; and control an access control device of the BESS based on the environmental parameters [locking an access door when a sign of fire has been detected, paragraph 0051]. obtain information related to presence of an individual in the vicinity of the BESS; and lock the access control device based on the presence information [a user interface, such as a touchscreen, a security badge scanner or a keypad may be used to facilitate user access control (locking/unlocking of access door) based on service permission levels, paragraphs 0054 and 0057-0059]. Since it was known in the art before the effective filing date of the claimed invention to generate access recommendations and control access control devices of battery device storage systems based on monitored environmental parameters, it would have been obvious to one of ordinary skill in the art to apply the Shelton teachings to the known BESS described by AAPA in order to reduce risk of harm to users during or after the occurrence of a battery fire [Shelton, paragraph 0051]. Regarding claims 2, 8 and 14, Shelton further discloses locking the access control device responsive to the one or more environmental parameters reaching a parameter threshold [locking an access door when a heat sensor, a fire sensor or a smoke sensor detects a sign of fire, paragraphs 0023, 0024, 0049 and 0051]. Regarding claims 3, 9 and 15, Shelton further discloses that the parameter threshold indicates an explosive/flammable condition inside the container [locking an access door when a heat sensor, a fire sensor or a smoke sensor detects a sign of fire, paragraphs 0023, 0024, 0049 and 0051]. Regarding claims 4 and 10, Shelton further discloses that the environmental parameters comprise a level of one or more gases inside the BESS [smoke sensor, paragraph 0023]. Regarding claims 5 and 11, Shelton further discloses locking the access control device responsive to the level of one or more gases inside the BESS reaching a gas level threshold [locking an access door when the smoke sensor detects a sign of fire, paragraphs 0023, 0024, 0049 and 0051]. Claim 16 is rejected under 35 U.S.C. 103 as being unpatentable over Applicant’s Admitted Prior Art [AAPA] and Shelton et al., US Patent Application Publication no. 2021/0402231 [Shelton], in view of Lin et al., US Patent Application Publication no. 2022/0390166 [Lin]2. Regarding claim 16, AAPA and Shelton do not disclose that the BESS system includes an HVAC system that is controlled based on environmental parameters. Like AAPA and Shelton, Lin discloses a lockable storage cabinet for battery devices. Lin recognizes that the occurrence of condensation in battery device storage cabinets could cause short circuiting of the battery devices [paragraph 0021]. Lin discloses comparing a temperature inside the storage cabinet to a dew-point threshold to determine a risk of condensation occurring [paragraphs 0024-0025]. If the there is no risk of condensation (temperature inside the cabinet is greater than the dew-point threshold), an air conditioning module is controlled according to a temperature control signal to maintain the cabinet temperature at a desired range [paragraph 0024]. If the there is risk of condensation (temperature inside the cabinet is less than the dew-point threshold), a heating module is controlled according to a temperature control signal to increase the cabinet temperature so that it is greater than or equal to the dew-point threshold temperature [paragraph 0025]. Since it was known in the art before the effective filing date of the claimed invention to control battery device storage cabinet HVAC systems based on storage cabinet temperature to reduce the risk of condensation occurring, it would have been obvious to one of ordinary skill in the art to incorporate the Lin teachings into the AAPA and Shelton BESS system by including an HVAC system and controlling the HVAC system to condition the air inside the BESS system such that risk of condensation is reduced. One of ordinary skill in the art would have been motivated to incorporate the Lin teachings into the AAPA and Shelton BESS system in order to prevent short circuiting of battery devices in the BESS system due to condensation [Lin, paragraph 0021]. Response to Arguments Applicant's arguments filed 10/27/25 have been fully considered but they are not persuasive. Applicant argues that the combination of AAPA and Shelton does not disclose obtaining information related to presence of an individual in the vicinity of the BESS and locking the access control device based on the presence information. Examiner disagrees. In the rejection above, Shelton is relied on to disclose obtaining information related to presence of an individual in the vicinity of the BESS and locking the access control device based on the presence information. Specifically, Shelton discloses obtaining information related to presence of an individual in the vicinity of the BESS [user access to storage receptacles is provided based on permission levels of users present at the storage receptacles, as detected by a user interface, such as a touchscreen, security badge scanner, or keypad, paragraphs 0054 and 0057]. Shelton further discloses locking the access control device based on the presence information [user access to the storage receptacles via locking mechanisms may be granted based on the user permission levels and may be time-limited and automatically expire after a time allowed for intervention or service, paragraph 0058]. In summary, Shelton discloses obtaining an identification of a user present at the storage receptacle (as determined by a touchscreen, security badge scanner, or keypad) and controlling a lock state of the storage receptacle based on the user permission level of the present user. Therefore, the combination of AAPA does disclose obtaining information related to presence of an individual in the vicinity of the BESS and locking the access control device based on the presence information. The previous rejections are respectfully maintained. 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 PAUL B YANCHUS III whose telephone number is (571)272-3678. The examiner can normally be reached Monday-Friday 9am-5pm. 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, Thomas Lee can be reached at (571) 272-3667. 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. /PAUL B YANCHUS III/Primary Examiner, Art Unit 2115 January 21, 2026 1 AAPA and Shelton were previously cited. 2 Lin was cited in the previous office action.
Read full office action

Prosecution Timeline

Apr 14, 2023
Application Filed
Jul 25, 2025
Non-Final Rejection — §103
Oct 27, 2025
Response Filed
Jan 21, 2026
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
83%
Grant Probability
97%
With Interview (+14.2%)
2y 11m
Median Time to Grant
Moderate
PTA Risk
Based on 827 resolved cases by this examiner. Grant probability derived from career allow rate.

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