Prosecution Insights
Last updated: May 29, 2026
Application No. 18/447,488

ESCALATOR ENTRAPMENT DETECTION SYSTEM

Final Rejection §103
Filed
Aug 10, 2023
Examiner
AWAIS, MUHAMMAD SUMRAIZ
Art Unit
3651
Tech Center
3600 — Transportation & Electronic Commerce
Assignee
Otis Elevator Company
OA Round
2 (Final)
81%
Grant Probability
Favorable
3-4
OA Rounds
0m
Est. Remaining
91%
With Interview

Examiner Intelligence

Grants 81% — above average
81%
Career Allowance Rate
158 granted / 195 resolved
+29.0% vs TC avg
Moderate +10% lift
Without
With
+10.1%
Interview Lift
resolved cases with interview
Fast prosecutor
2y 2m
Avg Prosecution
13 currently pending
Career history
210
Total Applications
across all art units

Statute-Specific Performance

§101
0.3%
-39.7% vs TC avg
§103
75.6%
+35.6% vs TC avg
§102
16.7%
-23.3% vs TC avg
§112
4.2%
-35.8% vs TC avg
Black line = Tech Center average estimate • Based on career data from 195 resolved cases

Office Action

§103
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 . Response to Amendment The amendment filed on 09/25/2025 has been entered. Claim 1, 7, 10, 16, and 19 have been amended. Claims 1-20 remains pending. Response to Arguments Applicant’s arguments with respect to claim(s) have been considered but are moot because new limitations have been added to claims, therefore a new interpretation has been used and the arguments are moot. Claim Rejections - 35 USC § 103 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. 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) 1-7, 10-16, and 19 is/are rejected under 35 U.S.C. 103 as being unpatentable over Hayashi (JP 2008174315) in view of Li (20180029841). Regarding claim-1. Hayashi discloses an escalator system (Fig.1), comprising: a balustrade (3, Fig.1) comprising a skirt (5, Fig.1) with a brush (15 having brush Fig.6); a moving step (2, Fig.1), which is drivable to move in a conveyance direction along the balustrade to form a step-skirt interface between ends of the brush of the skirt and a corresponding side of the moving step (Fig.1,3,6); and an entrapment monitoring and detection system (Fig.3-4, 6) comprising: a sensor (8, Fig.6) disposed at the step-skirt interface and configured to sense an object being present at the step-skirt interface; and a processor (11, Fig.4) configured to determine whether the sensor (8) senses the object being present at the step-skirt interface for a predetermined time (See Embodiment 1), But Hayashi doesn’t explicitly teach wherein: the sensor (8) is configured to execute periodic sensing and is further configured to generate signals during the periodic sensing which are receivable and readable by the processor (11, Fig.4). However, it is just a mere of constructional detail of an apparatus in which it is well known in the art without involving any inventive step to configure sensor to periodically sense and generate signals based on required specification of the system. Li discloses an escalator system (Fig.1), and also, teaches wherein: the sensor (310) is configured to execute periodic sensing and is further configured to generate signals during the periodic sensing which are receivable and readable by the processor ([0024-0025]). Therefore, it would have been obvious to the skilled person in the art before the effective filing date of claimed invention to additionally/explicitly provide Hayashi system with sensor for periodically sensing and generating signals for purpose of detecting the presence of the object as as well as helps improve the accuracy of judgment and prevent misoperation. Regarding claim-2. Hayashi as modified discloses wherein the sensor (8) comprises multiple sensors (Fig.3) that sense in a same direction or in multiple directions (Fig.3). Regarding claim-3. Hayashi as modified discloses wherein the sensor (8) is a LiDAR sensor (8 Fig.3). Regarding claim-6. Hayashi as modified discloses wherein the sensor is one or more of a LiDAR sensor (8), a RADAR sensor or a camera. Regarding claim-7. Hayashi as modified discloses wherein: when no object is present at the step-skirt interface, the signals are first signals manifesting as first data points that and are reflective of a predetermined length along the balustrade for which the sensor is responsible, when an object is present at the step-skirt interface for less than the predetermined time, the signals manifest as second data points that deviate from the first signals in not being reflective of the predetermined length and that persist for less than the predetermined time, and when an object is present at the step-skirt interface for at least the predetermined time, the signals manifest as third data points that deviate from the first signals in not being reflective of the predetermined length and that persist for at least the predetermined time. (See Embodiment 1, 3, Fig.1, 3-4 and also Data processed and generated as taught by Li [0005-0006] based on sensor detection). Regarding claim-10. Hayashi as modified discloses an escalator system (Fig.1), comprising: balustrades (3), each comprising a skirt (5) with a brush (15 having brushes); a moving step (2), which is drivable to move in a conveyance direction between the balustrades to form step-skirt interfaces between ends of each brush and corresponding sides of the moving step (Fig.1,3,6); and an entrapment monitoring and detection system (Fig.3-4, 6) comprising: a sensor (8) disposed at each step-skirt interface and configured to sense an object being present at each step-skirt interface; and a processor (11) configured to determine whether either sensor senses the object being present at either step-skirt interface for a predetermined time, to judge that an entrapment incident is in effect or is imminent in accordance with an affirmative determination that either sensor senses the object being present at either step-skirt interface for the predetermined time and to take a mitigation action (via 13) accordingly (See Embodiment 1, Fig.1, 3-4). wherein: the sensor (8) is configured to execute periodic sensing and is further configured to generate signals during the periodic sensing which are receivable and readable by the processor (11, Fig.4) (as taught by Li). Regarding claim-11. Hayashi as modified discloses wherein the sensor (8) comprises multiple sensors (Fig.3) that sense in a same direction or in multiple directions (Fig.3). Regarding claim-12. Hayashi as modified discloses wherein the sensor (8) at each step-skirt interface is a LiDAR sensor (8). Regarding claim-15. Hayashi as modified discloses wherein the sensor is one or more of a LiDAR sensor (8), a RADAR sensor or a camera. Regarding claim-16. Hayashi as modified discloses wherein: when no object is present at the step-skirt interface, the signals are first signals manifesting as first data points that and are reflective of a predetermined length along the balustrade for which the sensor is responsible, when an object is present at the step-skirt interface for less than the predetermined time, the signals manifest as second data points that deviate from the first signals in not being reflective of the predetermined length and that persist for less than the predetermined time, and when an object is present at the step-skirt interface for at least the predetermined time, the signals manifest as third data points that deviate from the first signals in not being reflective of the predetermined length and that persist for at least the predetermined time. (See Embodiment 1, 3, Fig.1, 3-4 and also Data processed and generated as taught by Li [0005-0006] based on sensor detection). Regarding claim-19. Hayashi as modified discloses a method of operating an entrapment monitoring and detection system (Fig.3-4, 6) of an escalator system (Fig.1) in which a moving step (2) passes by ends of a brush (15 having brushes) of a balustrade (3) at a step-skirt interface, the method comprising: scanning the step-skirt interface (via sensor 8); determining whether results of the scanning are indicative of an object at the step-skirt interface; determining whether the results of the scanning are indicative of the object at the step-skirt interface persisting for a predetermined time; and judging that an entrapment is in effect or imminent in accordance with the results of the scanning being indicative of the object at the step-skirt interface and persisting for the predetermined time (See Embodiment 1, Fig.1, 3-4), wherein the scanning comprises executing periodic sensing of the step-skirt interface and generating signals during the periodic sensing which are receivable and readable by a processor (as taught by Li). Regarding claim-4-5, 13-14. Hayashi does not explicitly disclose wherein the sensor (8) is a RADAR sensor; wherein the sensor (8) is a camera; wherein the sensor (8) at each step-skirt interface is a RADAR sensor; wherein the sensor (8) at each step-skirt interface is a camera. However, it is just a mere of design and constructional detail of an apparatus in which skilled person in the art can deploy or alternatively provide any suitable sensor which are well known in the art to detect the presence of the object at given location/point as present by Hayashi sensor (8). Li discloses an escalator system (Fig.1), and also, teaches wherein the sensor (310, Fig.1-3) is a radar sensor, or camera ([0027]). Therefore, it would have been obvious to the skilled person in the art before the effective filing date of claimed invention to alternatively provide Hayashi system with radar or camera for purpose of detecting the presence of the object as described by Hayashi. Claim(s) 8-9, 17-18, and 20 is/are rejected under 35 U.S.C. 103 as being unpatentable over Hayashi (JP 2008174315) in view of Li (20180029841) and further view of Lou (US 20200239283). Regarding claim-8, 17. Hayashi as modified does not discloses further comprising light emitting diodes (LEDs) arranged along the balustrade (3) and controllable by the entrapment monitoring and detection system to emit light in response to the processor (11) determining that the sensor senses the object being present at the step-skirt interface for the predetermined time (See Embodiment 1, Fig.1, 3-4). Hayashi lacks LED arranged along the balustrade that emit light when sensor senses the object. However, Hayashi does teach a warning issuing means 13 to warn that object is lodged at step-skirt interface. Lou discloses an escalator system (Fig.1) and teaches a sensor (5) that emits visible light upon detection ([0058]). Therefore, it would have been obvious to the skilled person in the art before the effective filing date of claimed invention to alternatively provide Hayashi system with the sensor that emit light as taught by Lou for purpose to allow passengers or technician to easily spot foreign objects that are lodged at the given step-skirt interface while operational control 14 decelerate the escalator for prevention of any injury to passengers. Regarding claim-9, 18. Hayashi as modified discloses wherein: the processor (11) is further configured to judge that an entrapment incident is in effect or is imminent in accordance with an affirmative determination that the sensor (8) senses the object being present at the step-skirt interface for the predetermined time and to take a mitigation action accordingly, and the mitigation action comprises at least one or more of activating a warning (warning issuing means 13 or emitting light as taught by Lou sensor 5) light to emit a first color, activating the warning light to emit a second color and braking or slowing (decelerating) the escalator system (See Embodiment 1, Fig.1, 3-4). Regarding claim-20. Hayashi as modified discloses further comprising taking a mitigation action to address the entrapment being in effect or imminent, the mitigation action comprising at least one or more of activating a warning (warning issuing means 13 or emitting light as taught by Lou sensor 5) light to emit a first color, activating the warning light to emit a second color and braking or slowing (decelerating) the escalator system (See Embodiment 1, Fig.1, 3-4). Conclusion THIS ACTION IS MADE FINAL. 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 MUHAMMAD AWAIS whose telephone number is (571)272-4955. The examiner can normally be reached Monday-Friday 7-4 pm (EST). 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, Gene Crawford can be reached at (571)272-6911. 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. /MA/ Examiner, Art Unit 3651 /GENE O CRAWFORD/ Supervisory Patent Examiner, Art Unit 3651
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Prosecution Timeline

Aug 10, 2023
Application Filed
Jul 01, 2025
Non-Final Rejection mailed — §103
Sep 25, 2025
Response Filed
Dec 22, 2025
Final Rejection mailed — §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
81%
Grant Probability
91%
With Interview (+10.1%)
2y 2m (~0m remaining)
Median Time to Grant
Moderate
PTA Risk
Based on 195 resolved cases by this examiner. Grant probability derived from career allowance rate.

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