Prosecution Insights
Last updated: April 19, 2026
Application No. 18/338,218

LOCK ASSEMBLY FOR A TIP AND ADAPTER

Non-Final OA §102§103
Filed
Jun 20, 2023
Examiner
LUSK, AUDREY L
Art Unit
3671
Tech Center
3600 — Transportation & Electronic Commerce
Assignee
Caterpillar Inc.
OA Round
1 (Non-Final)
68%
Grant Probability
Favorable
1-2
OA Rounds
3y 5m
To Grant
89%
With Interview

Examiner Intelligence

Grants 68% — above average
68%
Career Allow Rate
56 granted / 83 resolved
+15.5% vs TC avg
Strong +22% interview lift
Without
With
+21.7%
Interview Lift
resolved cases with interview
Typical timeline
3y 5m
Avg Prosecution
32 currently pending
Career history
115
Total Applications
across all art units

Statute-Specific Performance

§103
51.0%
+11.0% vs TC avg
§102
30.1%
-9.9% vs TC avg
§112
17.1%
-22.9% vs TC avg
Black line = Tech Center average estimate • Based on career data from 83 resolved cases

Office Action

§102 §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 . In the event the determination of the status of the application as subject to AIA 35 U.S.C. 102 and 103 (or as subject to pre-AIA 35 U.S.C. 102 and 103) is incorrect, any correction of the statutory basis (i.e., changing from AIA to pre-AIA ) for the rejection will not be considered a new ground of rejection if the prior art relied upon, and the rationale supporting the rejection, would be the same under either status. 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. (a)(2) the claimed invention was described in a patent issued under section 151, or in an application for patent published or deemed published under section 122(b), in which the patent or application, as the case may be, names another inventor and was effectively filed before the effective filing date of the claimed invention. Claims 12-13 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by LaHood et al. (Pub. No.: 2013/0145659; hereinafter LaHood). Regarding independent claim 12, LaHood discloses a retaining mechanism comprising: a lock (64) including a drive portion and a pin receiving portion (See annotated Fig. 7C for the drive and pin receiving portions, further See Fig. 10B where a pin 62 is received in the pin receiving portion of lock 64); PNG media_image1.png 589 487 media_image1.png Greyscale wherein the drive portion includes a polygonal aperture (154 as seen in Fig. 7C), and the pin receiving portion includes a hole (134 as seen in Figs. 7A-7B) with an internal surface of revolution that defines an axis of rotation (126), a radial direction, a circumferential direction (as seen in Figs. 7A-7C), and a slot (132) extending at least partially through the pin receiving portion into the hole (See Fig. 7B where the slot 132 extends into the hole 134 along the bottom surface of 120). Regarding claim 13, LaHood discloses the retaining mechanism of claim 12, and also discloses wherein the polygonal aperture (154) is separated from the hole (134) of the pin receiving portion by a web (146, See web 146 separating 154 and 134 in Fig. 10C), and further comprising a first side tab (152) extending circumferentially from the lock that is at least partially axially aligned with the polygonal aperture (See Fig. 7B where the tab 152 extends around the drive portion circumferentially and is aligned with the polygonal aperture), and the slot (132) extends completely through the pin receiving portion (See annotated Fig. 7C where slot 132 extends completely through the pin receiving portion along a length/height of the pin receiving portion). Claims 12 and 14-16 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Dare et al. (Pat. No.: 11,142,893; hereinafter Dare). Regarding independent claim 12, Dare discloses a retaining mechanism comprising: a lock (200) including a drive portion and a pin receiving portion (See Fig. 10 where the drive portion generally corresponds to the portion of 200 disposed around 222, and the pin receiving portion generally corresponds to the portion of 200 disposed around 206); wherein the drive portion includes a polygonal aperture (222), and the pin receiving portion includes a hole (208B) with an internal surface of revolution that defines an axis of rotation, a radial direction, a circumferential direction (See LA/BA in Fig. 12 which corresponds to the axis of rotation, See line D in Fig. 12 which corresponds to the claimed radial direction, and See outer surfaces 202/204 in Fig. 12 which generally correspond to the claimed circumferential direction), and a slot (208) extending at least partially through the pin receiving portion into the hole (as seen in Fig. 10. PNG media_image2.png 801 645 media_image2.png Greyscale Note that Figs. 10-12 have been reproduced below for immediate reference. Regarding claim 14, Dare discloses the retaining mechanism of claim 12, and also discloses a first side tab (210; See col. 8, lns. 8-19 for general disclosure of the tab element 210) extending circumferentially from the drive portion of the lock (See Fig. 10 where the drive portion generally corresponds to the portion of 200 disposed around 222). Regarding claim 15, Dare discloses the retaining mechanism of claim 12, and also discloses a male thread extending circumferentially and axially from the drive portion (See Fig. 10 for male thread extending circumferentially and axially from the drive portion, also See claim 3, line 2 where it discloses “a threaded bore of the retainer”). Regarding claim 16, Dare discloses the retaining mechanism of claim 15, and also discloses a first side tab (206) that extends from the male thread (See Fig. 9 where the first side tab 206 begins from, i.e., extends from the male thread), and defines a stop surface axially adjacent a junction between the first side tab, and the male thread (See Fig. 13 where the bottom surface of 206 that seats the tab 206 in slot 212 corresponds to the claimed stop surface, and the claimed junction corresponds to the portion of 200 between the chamfered wall 204 and tab 206, note the chamfered wall 204). 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 19-20 are rejected under 35 U.S.C. 103 as being unpatentable over Emrich (Pub. No.: 2004/0237354) in view of Cornelius (Pat. No.: 5,272,824). Regarding independent claim 19, Emrich discloses a retaining mechanism comprising: a pin (62) that includes a shaft (90) with a polygonal perimeter (See square perimeter of shaft 90 in Fig. 11), a first disc (99) attached to the shaft (97), and a second disc (77) spaced away from the first disc (See Fig. 11 where 99 and 77 do not occupy the same part of the shaft 97, i.e., spaced away, along the length of the shaft), defining spring receiving groove (94, See Fig. 11 and para. [0055] where it discloses “a roll pin (not shown) [is] passed into holes 94,96”, note that a roll pin is a spring pin). Emrich fails to disclose wherein the spring receiving groove has a faceted groove surface. Cornelius discloses a retaining mechanism with a pin (16) with a first disk portion and a second disk portion spaced away from the first disk portion (See Fig. 4 where the first disk portion is above element 64 and the second disk portion is below element 66), defining a spring receiving groove (58) with a faceted groove surface (See Fig. 4 for sloped sides of 58 which corresponds to the claimed faceted groove surface, also See col. 3, lns. 49-51 which discloses “the central groove 58 of the pin 16 has sloped slides operative to mate with the leaf spring 18”). Therefore, it would have been obvious to one having ordinary skill in the art, to provide the sloped surfaces, i.e., the faceted surfaces, in the spring receiving groove of Cornelius, to the spring receiving groove of Emrich, in order to increase the useful life of the spring “by allowing the amount of deflection to be lowered” (as disclosed in col. 3, lns. 49-68). Regarding claim 20, the above combination discloses the retaining mechanism of claim 19. Emrich, of the combination, also discloses a spring bar that has a cylindrical shape that contacts the faceted groove surface (See para. [0055] where it discloses “a roll pin (not shown) [is] passed into holes 94,96”, the disclosed roll pin corresponding to the claimed spring bar with a cylindrical shape). Allowable Subject Matter Claims 17-18 are objected to as being dependent upon a rejected base claim, but would be allowable if rewritten in independent form including all of the limitations of the base claim and any intervening claims. Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. The following references discloses similar retaining mechanisms and are considered reasonably pertinent: Woerman (Pat. No.: 7,788,830); Hyde et al. (Pat. No.: 11,773,570), Kunz (Pub. No.: 2016/0160474), Bilal (Pub. No.: 2015/0113839); Endersby (Pub. No.: 2014/0223784); Johnston (Pub. No.: 2014/0215868); Sheehan (Pat. No.: 807,874); Cox (Pat. No.: 2,385,565); McBride (Pat. No.: 3,106,256). Any inquiry concerning this communication or earlier communications from the examiner should be directed to Audrey L Lusk whose telephone number is (571)272-5132. The examiner can normally be reached M - F 8am-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, Christopher Sebesta can be reached at (571)272-0547. 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. /A.L.L./Examiner, Art Unit 3671 /CHRISTOPHER J SEBESTA/Supervisory Patent Examiner, Art Unit 3671
Read full office action

Prosecution Timeline

Jun 20, 2023
Application Filed
Feb 21, 2026
Non-Final Rejection — §102, §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
68%
Grant Probability
89%
With Interview (+21.7%)
3y 5m
Median Time to Grant
Low
PTA Risk
Based on 83 resolved cases by this examiner. Grant probability derived from career allow rate.

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