Prosecution Insights
Last updated: October 02, 2026
Application No. 18/325,569

THERMAL MANAGEMENT OF BATTERY SYSTEMS

Final Rejection §103
Filed
May 30, 2023
Examiner
HANSEN, JARED A
Art Unit
1723
Tech Center
1700 — Chemical & Materials Engineering
Assignee
Caterpillar Inc.
OA Round
2 (Final)
54%
Grant Probability
Moderate
3-4
OA Rounds
5m
Est. Remaining
99%
With Interview

Examiner Intelligence

Grants 54% of resolved cases
54%
Career Allowance Rate
60 granted / 111 resolved
-10.9% vs TC avg
Strong +49% interview lift
Without
With
+48.6%
Interview Lift
resolved cases with interview
Typical timeline
3y 9m
Avg Prosecution
33 currently pending
Career history
159
Total Applications
across all art units

Statute-Specific Performance

§101
1.2%
-38.8% vs TC avg
§103
57.7%
+17.7% vs TC avg
§102
17.4%
-22.6% vs TC avg
§112
17.9%
-22.1% vs TC avg
Black line = Tech Center average estimate • Based on career data from 111 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 Rejections - 35 USC § 103 The text of those sections of Title 35, U.S. Code not included in this action can be found in a prior Office action. 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) 1-7 and 21-24 is/are rejected under 35 U.S.C. 103 as being unpatentable over Hammoud US20160288659A1 (corresponding to US9969293B2 cited in IDS filed 30 May 2023) in view of Zhang CN111976544A (using machine English translation provided) and further in view of Ren US20180115029A1. Regarding claim 1, Hammoud discloses a method of thermally managing a battery system of a mobile machine (Hammoud, [0030]), the method comprising: enabling a sleep mode (Hammond, [0030], OFF conditions), the sleep mode causing the battery system to maintain a capability to control a temperature of a main storage battery of the battery system with a temperature control system while the mobile machine is not in operation (Hammoud, [0030], “a battery thermal management system configured to thermally manage the battery assembly during…vehicle OFF conditions”), monitoring a battery temperature of the main storage battery using the temperature control system (Hammoud, [0058]), wherein the temperature control system is configured to receive power from one or more of a battery (Hammoud, [0058]), activating an externally powered battery management mode when connected to one or more external power sources (Hammoud, [0047]), to heat or cool the main storage battery based on the battery temperature of the main storage battery as determined by the temperature control system (Hammoud, [0058]), to charge the main storage battery (Hammoud, [0059]), and activating an internally powered battery management mode when isolated from external power sources (Hammoud, [0047]), to heat or cool the main storage battery based on the battery temperature of the main storage battery (Hammoud, [0058]), the internally powered battery management mode (Hammoud, [0047], “Off-Plug”) being different than the externally powered battery management mode (Hammoud, [0047], “On-Plug”). Hammoud does not disclose wherein the temperature control system is configured to receive power from an auxiliary battery, wherein the internally and externally powered battery management modes maintain the temperature of the main storage battery within different temperature ranges than one another. Zhang teaches wherein the temperature control system is configured to receive power from an auxiliary battery (Zhang, [0014-0016]). Therefore it would be obvious to the skilled artisan before the effective filing date of the claimed invention to add the auxiliary battery of Zhang to the system of Hammoud, thereby the thermal management system continues to operate when a sleep signal is received (Zhang, [0014]). Hammoud as modified by Zhang does not teach wherein the internally and externally powered battery management modes maintain the temperature of the main storage battery within different temperature ranges than one another. Ren teaches wherein the internally (Ren, Fig. 4, S103 N) and externally (Ren, Fig. 4, S103 Y) powered battery management modes maintain the temperature of the main storage battery within different temperature ranges than one another (Ren, Fig. 4, S103 N and S110; S103 Y and S106). Therefore it would be obvious to the skilled artisan before the effective filing date of the claimed invention to modify the method as taught by Hammoud as modified by Zhang wherein the internally and externally powered battery management modes maintain different temperature ranges, as taught by Ren, thereby extending the lifespan of the battery (Ren, [0032]). Regarding claim 2, modified Hammoud also teaches wherein the temperature control system is further configured to be powered by the main storage battery (Hammoud, [0047]) and the one or more external power sources (Hammoud, [0047]). Regarding claim 3, modified Hammoud additionally teaches wherein the sleep mode is enabled by a user of the mobile machine using a user interface (Hammoud, [0030], [0048]), it is understood by the skilled artisan wherein vehicle OFF [sleep mode] conditions (i.e. vehicle is not running, is in storage, etc.) are performed via a user interface. Regarding claim 4, modified Hammoud does not teach wherein the internally powered battery management mode further includes powering the monitoring of the battery temperature with an auxiliary battery. Zhang teaches wherein the internally powered battery management mode further includes powering the monitoring of the battery temperature with an auxiliary battery (Zhang, [0014-0016]). Therefore it would be obvious to modify the mode of modified Hammoud with the mode of Zhang, thereby the thermal management system continues to operate when a sleep signal is received (Zhang, [0014]). Regarding claim 5, modified Hammoud further teaches wherein the internally powered battery management mode further includes powering the temperature control system with the main storage battery (Hammoud, [0058]). Regarding claim 6, modified Hammoud also teaches wherein the externally powered battery management mode includes one or more external power sources charging the main storage battery (Hammoud, [0038]) but does not teach wherein the externally powered battery management mode includes the auxiliary battery being charged by the one or more external power sources or by the main storage battery. Zhang teaches the auxiliary battery being charged by the main storage battery (Zhang, [0051]). Therefore it would be obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the externally powered thermal management mode of modified Hammoud with the charging of Zhang, thereby storing electrical energy (Zhang, [0051]). Regarding claim 7, modified Hammoud additionally teaches wherein the auxiliary battery is configured to power the temperature control system (Zhang, [0014-0016]). Regarding claim 21, modified Hammoud further teaches wherein the externally powered battery management mode (Ren, Fig. 4, S103 Y) maintains the temperature of the main storage battery within a narrower temperature range (Ren, Fig. 4, S103 Y and S106-S109) than the internally powered battery management mode (Ren, Fig. 4, S103 N and S106-S109 and S110-S112). Regarding claim 22, Hammoud as modified above by Ren does not teach wherein the internally powered battery management mode activates the temperature control system when the battery temperature approaches a predetermined temperature. Ren teaches wherein the internally powered battery management mode activates the temperature control system when the battery temperature approaches a predetermined temperature (Ren, Fig. 4, S111-S112). Therefore it would be obvious to the skilled artisan before the effective filing date of the claimed invention to modify the method as taught by Hammoud as modified by Ren, activating the temperature control system when the battery temperature approaches a predetermined temperature, as additionally taught by Ren, thereby extending the lifespan of the battery (Ren, [0032]). Regarding claim 23, modified Hammoud does not teach wherein the auxiliary battery has a wider operational temperature range than the main storage battery. Zhang teaches wherein the auxiliary battery is configured to provide power greater than that required by the thermal management system to heat the main storage battery (Zhang, [0055]), which would be understood by the skilled artisan wherein the auxiliary battery, whose temperature is not maintained by a temperature control system, has a wider operational temperature range than the main storage battery, whose temperature is maintained by a temperature control system (Zhang, [0065]) as otherwise the auxiliary battery would cease to function. Therefore it would be obvious to the skilled artisan before the effective filing date of the claimed invention to modify the method taught by modified Hammoud wherein the auxiliary battery has a wider operational temperature range than the main storage battery, as taught by Zhang, thereby heating the battery (Zhang, [0065]). Regarding claim 24, modified Hammoud further teaches wherein the externally powered battery management mode maintains the temperature of the main storage battery within a temperature range of approximately 25 to 30°C (Hammoud, [0058]), rendering obvious the claimed range of about 15 to about 35 degrees Celsius. See MPEP § 2144.05. Claim(s) 16-17 and 25-26 is/are rejected under 35 U.S.C. 103 as being unpatentable over Hammoud US20160288659A1 (corresponding to US9969293B2 cited in IDS filed 30 May 2023) in view of Ren US20180115029A1. Regarding claim 16, Hammoud discloses a method of thermally managing a battery system of a mobile machine (Hammoud, [0030]), the method comprising: enabling a sleep mode (Hammond, [0030], OFF conditions) using a sleep mode enabling selection (Hammond, [0048]), the sleep mode causing the battery system to maintain a capability to control a temperature of a main storage battery of the battery system with a temperature control system while operation of the mobile machine is deenergized (Hammoud, [0030], “a battery thermal management system configured to thermally manage the battery assembly during…vehicle OFF conditions”), monitoring a battery temperature of the main storage battery using the temperature control system (Hammoud, [0058]), wherein the temperature control system is configured to operate between 0 to 45 degrees Celsius (Hammoud, [0058], approximately 25 to 30°C) activating an externally powered battery management mode when connected to external power sources (Hammoud, [0047]), to heat or cool the main storage battery based on the battery temperature of the main storage battery as determined by the temperature control system (Hammoud, [0058]), to charge the main storage battery (Hammoud, [0059]), and activating an internally powered thermal battery management mode when not connected to external power sources (Hammoud, [0047]), to heat or cool the main storage battery based on the battery temperature of the main storage battery (Hammoud, [0058]), the internally powered battery management mode (Hammoud, [0047], “Off-Plug”) being different than the externally powered battery management mode (Hammoud, [0047], “On-Plug”). Hammoud does not disclose activating an externally powered battery management mode when connected to external power sources to heat or cool the main storage battery based on the battery temperature of the main storage battery as determined by the temperature control system to maintain the main storage battery temperature within a first temperature range and activating an internally powered battery management mode when not connected to external power to heat or cool the main storage battery based on the battery temperature of the main storage battery to maintain the main storage battery temperature within a second temperature range different than the first temperature range. Ren teaches when connected to external power sources (Ren, Fig. 4, S103 Y) to heat or cool the main storage battery based on the battery temperature of the main storage battery as determined by the temperature control system to maintain the main storage battery temperature within a first temperature range (Ren, Fig. 4, S103 Y and S106-S109) and when not connected to external power (Ren, Fig. 4, S103 N) to heat or cool the main storage battery based on the battery temperature of the main storage battery to maintain the main storage battery temperature within a second temperature range different than the first temperature range (Ren, Fig. 4, S103 N and S106-S109 and S110-S112). Therefore it would be obvious to the skilled artisan before the effective filing date of the claimed invention to modify the method as disclosed by Hammoud wherein the internally and externally powered battery management modes maintain different temperature ranges, as taught by Ren, thereby extending the lifespan of the battery (Ren, [0032]). Regarding claim 17, modified Hammoud additionally teaches wherein the sleep mode is enabled by a user of the machine using a user interface (Hammoud, [0030], [0048]), it is understood by the skilled artisan wherein vehicle OFF [sleep mode] conditions (i.e. vehicle is not running, is in storage, etc.) are performed via a user interface. Regarding claim 25, modified Hammoud further teaches wherein the internally powered battery management mode maintains the temperature of the main storage battery at approximately 25°C (Hammoud, [0058]), satisfying the claim limitation of at least 10% above a predetermined critical temperature, as the limitation predetermined critical temperature has no further metes and bounds to distinguish over the prior art and there does not appear to be any special definition for predetermined critical temperature in the specification as originally filed. Regarding claim 26, modified Hammoud also teaches wherein the first (Ren, Fig. 4, S103 Y and S106-S109) and second (Ren, Fig. 4, S103 N and S106-S109 and S110-S112) temperature ranges partially overlap (Ren, Fig. 4, S106-S109). Claim(s) 18-19 is/are rejected under 35 U.S.C. 103 as being unpatentable over Hammoud US20160288659A1 (corresponding to US9969293B2 cited in IDS filed 30 May 2023) in view of Ren US20180115029A1 and further in view of Zhang CN111976544A (using machine English translation provided). Regarding claim 18, modified Hammoud does not disclose wherein the internally powered battery management mode further includes powering the monitoring of the battery temperature with an auxiliary battery. Zhang teaches wherein the internally powered battery management mode further includes powering the monitoring of the battery temperature with an auxiliary battery (Zhang, [0014-0016]). Therefore it would be obvious to modify the mode of modified Hammoud, powering the monitoring of the battery temperature with an auxiliary battery, as taught by Zhang, thereby the thermal management system continues to operate when a sleep signal is received (Zhang, [0014]). Regarding claim 19, modified Hammoud further teaches wherein the internally powered battery management mode further includes at least partially powering the temperature control system with the main storage battery (Hammoud, [0058]). Claim(s) 20 is/are rejected under 35 U.S.C. 103 as being unpatentable over Hammoud US20160288659A1 (corresponding to US9969293B2 cited in IDS filed 30 May 2023) in view of Ren US20180115029A1 and further in view of Shimauchi US20220314730A1. Regarding claim 20, modified Hammoud does not teach wherein the main storage battery is a Li-ion battery and the auxiliary battery is a lead acid battery. Shimauchi teaches an auxiliary battery which is a lead acid battery (Shimauchi, [0026], lead storage battery) the main storage battery is a Li-ion battery (Shimauchi, [0017]). Therefore it would be obvious to the skilled artisan before the effective filing date of the claimed invention to add the main storage battery and auxiliary battery of Shimauchi to modified Hammoud, thereby an output voltage of the main battery is higher than an output voltage of the auxiliary battery (Shimauchi, [0017]). Claim(s) 27 is/are rejected under 35 U.S.C. 103 as being unpatentable over Hammoud US20160288659A1 (corresponding to US9969293B2 cited in IDS filed 30 May 2023) in view of Ren US20180115029A1 and further in view of Peng CN115411411A (using machine English translation provided). Regarding claim 27, modified Hammoud does not teach wherein a minimum temperature of the second temperature range is less than a minimum temperature of the first temperature range. Peng teaches wherein a minimum temperature of the second temperature range (Peng, [0037]) is less than a minimum temperature of the first temperature range (Peng, [0036]). Therefore it would be obvious to the skilled artisan before the effective filing date of the claimed invention to modify the method as taught by modified Hammoud, wherein the minimum of the second temperature range is less than that of the first, as taught by Peng, thereby ensuring that the battery remains within its optimal temperature range under different operating conditions (Peng, [0035]). Claim(s) 28 is/are rejected under 35 U.S.C. 103 as being unpatentable over Hammoud US20160288659A1 (corresponding to US9969293B2 cited in IDS filed 30 May 2023) in view of Ren US20180115029A1 and further in view of Wolin US20030090238A1. Regarding claim 28, modified Hammoud does not teach wherein a maximum temperature of the second temperature range is greater than a maximum temperature of the first temperature range. Wolin teaches wherein a maximum temperature of the second temperature range (Wolin, [0030]) is greater than a maximum temperature of the first temperature range (Wolin, [0030]). Therefore it would be obvious to the skilled artisan before the effective filing date of the claimed invention to modify the method as taught by modified Hamoud wherein the maximum of the second temperature range is greater than that of the first, thereby efficiently charging, discharging and recharging batteries in environments with variable thermal conditions (Wolin, [0017-0018]). Response to Arguments Applicant’s arguments, see pp. 1-2, filed 02 June 2026, with respect to the 112 rejection of claim 2 have been fully considered and are persuasive. The 112 rejection of claim 2 has been withdrawn as it has been overcome by applicant’s amendment. Applicant’s arguments with respect to claim(s) 1 and 16 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 JARED HANSEN whose telephone number is (571)272-4590. The examiner can normally be reached M-F. 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, Tiffany Legette can be reached at 571-270-7078. 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. /JARED HANSEN/Examiner, Art Unit 1723 /TIFFANY LEGETTE/Supervisory Patent Examiner, Art Unit 1723
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Prosecution Timeline

May 30, 2023
Application Filed
Mar 24, 2026
Non-Final Rejection mailed — §103
May 05, 2026
Applicant Interview (Telephonic)
May 05, 2026
Examiner Interview Summary
Jun 02, 2026
Response Filed
Aug 25, 2026
Final Rejection mailed — §103 (current)

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Prosecution Projections

3-4
Expected OA Rounds
54%
Grant Probability
99%
With Interview (+48.6%)
3y 9m (~5m remaining)
Median Time to Grant
Moderate
PTA Risk
Based on 111 resolved cases by this examiner. Grant probability derived from career allowance rate.

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