Prosecution Insights
Last updated: August 17, 2026
Application No. 18/465,061

WIRELESS THERMAL CONTROL FOR A BATTERY CELL

Final Rejection §103
Filed
Sep 11, 2023
Examiner
MCCARTY, PATRICK M
Art Unit
1774
Tech Center
1700 — Chemical & Materials Engineering
Assignee
Caterpillar Inc.
OA Round
2 (Final)
62%
Grant Probability
Moderate
3-4
OA Rounds
6m
Est. Remaining
85%
With Interview

Examiner Intelligence

Grants 62% of resolved cases
62%
Career Allowance Rate
93 granted / 149 resolved
-2.6% vs TC avg
Strong +22% interview lift
Without
With
+22.3%
Interview Lift
resolved cases with interview
Typical timeline
3y 5m
Avg Prosecution
34 currently pending
Career history
186
Total Applications
across all art units

Statute-Specific Performance

§101
0.1%
-39.9% vs TC avg
§103
50.9%
+10.9% vs TC avg
§102
14.5%
-25.5% vs TC avg
§112
31.2%
-8.8% vs TC avg
Black line = Tech Center average estimate • Based on career data from 149 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 . Response to Arguments Applicant’s arguments with respect to claims 16-20 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. 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. The text of those sections of Title 35, U.S. Code not included in this action can be found in a prior Office action. Claims 16-17 are rejected under 35 U.S.C. 103 as being unpatentable over Golubkov (US 20130002260) in view of Furukawa et al. (US 20230299376) and Lee et al. (US 20230318068) and with or without Lemkin et al. (US 20190242949). Regarding claim 16, Golubkov discloses a thermal management device (comprising ICC 8, film resistor 13, which may be used for heating, para. [0041], and temperature sensor 7) a heating element (resistor 13, being a resistor, generates heat for balancing and may be used for cell heating, para. [0041]) configured to transfer heat to a battery cell (para. [0041]); and an integrated circuit chip (ICC chip 8, para. [0040]), comprising: a temperature sensor (ICC chip 8 may have temperature sensor 7 integrated therein, para. [0038]) configured to collect temperature data relating to the battery cell (to send to a battery management unit, para. [0006]); a wireless communication component (wireless transmitting and receiving unit 3 is shown to be connected to ICC chip 8, Fig 1 and thus, the chip comprises a wireless communication component and the chip performs “radio communication with the BMU“, para. [0042]) configured to wirelessly receive control commands for the heating element (instructions for balancing come from the BMU, para. [0055], via radio communication from the ICC chip 8, para. [0042], and the ICC chip 8 switches in the film resistor 13 for balancing, para. [0042]). Presumably the control commands are based on the temperature data, but this does not appear to be explicitly stated. However, Furukawa et al. discloses a thermal management device (comprising circuit 11d, temperature sensors 11c and heating device 11b) and Furukawa et al. teaches that temperature data (from temperature sensor 11c, Fig. 2, para. [0026]) is sent to a controller (controller 12, para. [0027]) and commands are received from the controller (para. [0027]) for operating a heating element (heating device 11b) based on temperature data (from temperature sensors 11c) to reach a predetermined temperature (para. [0053]). Likewise, Lee et al. discloses thermal management device for a battery module (battery system 10, Fig. 3A) having a temperature sensor (temperature sensors 13, para. [0063]) and heaters (heaters 17) and Lee et al. further teaches a wireless communication component (heaters are wirelessly activated, para. [0053]) configured to wirelessly receive control commands (resulting in activation of heaters, para. [0053]), that are based on the temperature data, for the heating element (pars. [0063]-[0064]). Therefore, it would have been obvious to one of ordinary skill in the art, before the effective filing date of the claimed invention, to have modified the teachings of Golubkov wherein the wireless communication component is configured to wirelessly receive control commands that are based on the temperature data, for the heating element. The person of ordinary skill would have found it obvious to base operation of a heating element on temperature data. Golubkov further discloses a cell charge balancing circuit (the ICC chip 8 switches in film resistor 13 for balancing, para. [0042]) connected to the heating element (resistor 13 is connected to ICC chip 8, Fig. 1) such that the heating element provides cell charge balancing for the battery cell and heat transfer to the battery cell (para. [0041]). Assuming, arguendo, that Golubkov does not disclose a wireless communication component on the integrated circuit chip, Lemkin et al. teaches a thermal management device (a cell measurement circuit which may perform temperature measurement, para. [0029]) and Lemkin et al. teaches co-locating a wireless transceiver on an integrated circuit chip (“co-located on a single semiconductor substrate (e.g., a single-chip solution)”, para. [0061]). Therefore, it would have been obvious to one of ordinary skill in the art, before the effective filing date of the claimed invention, to have modified the teachings of Golubkov wherein the integrated circuit chip includes a wireless communication component. The person of ordinary skill would have found it obvious to co-locate the wireless communication component on the integrated circuit chip in order to reduce space or to reduce the number of components needed in order to simplify manufacturing. Regarding claim 17, insomuch as Golubkov does not expressly disclose a driver component; Lee et al. further teaches a driver component (such as a switch connected to the battery cell, para. [0006]) configured to control electrical current to the heating element (using external power or power from the battery cell, para. [0039]) in accordance with the control commands. Therefore, it would have been obvious to one of ordinary skill in the art, before the effective filing date of the claimed invention, to have modified the teachings of Golubkov wherein the device includes a driver component configured to control electrical current to the heating element in accordance with the control commands. The person of ordinary skill in the art would have found it obvious to provide a driver comprising a power source and control means such as a switch to provide power to the heating element. Claim 18 is rejected under 35 U.S.C. 103 as being unpatentable over Golubkov (US 20130002260) in view of Furukawa et al. (US 20230299376) and Lee et al. (US 20230318068) and with or without Lemkin et al. (US 20190242949) as applied to claim 16 above and in further view of Frutschy et al. (US 20170069939). Regarding claim 18, Golubkov discloses wherein the wireless communication component is further configured to wirelessly transmit the temperature data (para. [0006]) or otherwise Frutschy et al. discloses a battery module (battery 140 or storage device 142 having cells, para. [0041] and para. [0050]) using temperature sensors to monitor cells (para. [0015]) and Frutschy et al. further teaches using a wireless connection to transmit from the temperature sensors (para. [0048]). Therefore, it would have been obvious to one of ordinary skill in the art, before the effective filing date of the claimed invention, to have modified the teachings of Golubkov wherein the wireless communication component is further configured to wirelessly transmit the temperature data. The person of ordinary skill would have found it obvious to transmit temperature data to the controller/battery management unit in order to determine if the cell needs to be heated (Golubkov, para. [0041]). Claim 19 is rejected under 35 U.S.C. 103 as being unpatentable over Golubkov (US 20130002260) in view of Furukawa et al. (US 20230299376) and Lee et al. (US 20230318068) and with or without Lemkin et al. (US 20190242949) as applied to claim 16 above and in further view of Yao et al. (US 20240291061) and Rosenberger et al. (US 20220393262). Regarding claim 19, Golubkov does not expressly disclose a PTC heating element. However, Yao et al. discloses a battery assembly with temperature management (Abstract) and Yao et al. discloses using a PTC heating element (para. [0050]). Likewise, Rosenberger et al. discloses a battery assembly with temperature management (Abstract) and Rosenberger et al. discloses using a PTC heating element (para. [0055]). Therefore, it would have been obvious to one of ordinary skill in the art, before the effective filing date of the claimed invention, to have modified the teachings of Golubkov wherein the heating element includes a positive temperature coefficient (PTC) heating element. The person of ordinary skill in the art would have been motivated to use a positive temperature coefficient (PTC) heating element for self-regulated heating of a battery cell (Rosenberger et al., para. [0055]). Claim 20 is rejected under 35 U.S.C. 103 as being unpatentable over Golubkov (US 20130002260) in view of Furukawa et al. (US 20230299376) and Lee et al. (US 20230318068) and with or without Lemkin et al. (US 20190242949) as applied to claim 16 above and in further view of Clarke et al. (US 20220123581) and Rumbaugh et al. (US 20180301919). Regarding claim 20, the above-cited references for claim 16 do not disclose wherein the wireless communication component is configured for near-field communication. However, Clarke et al. teaches a battery module (battery 160) having battery cells (battery cells 902a-d, Fig. 9) with heaters (PTC heaters 904, para. [0196]) and Clarke et al. teaches transmitting wirelessly from a temperature sensor (para. [0070]) and further teaches wireless communication may include near-field communication (para. [0094]). Likewise, Rumbaugh et al. teaches a battery module (battery 506, Fig. 5) having a heater (thermoelectric device 530 may be a heater, para. [0061]) and temperature sensor (temperature sensor 524) connected to control circuitry (circuitry 504) which may be wireless and comprise near-field communication (para. [0058]). Therefore, it would have been obvious to one of ordinary skill in the art, before the effective filing date of the claimed invention, to have modified the teachings of Golubkov wherein the wireless communication component is configured for near-field communication. The person of ordinary skill would have found it obvious to select near-field communication to achieve the predictable result of sending data between sensors, heaters and controllers. Allowable Subject Matter Claims 1, 3-4 and 7-15 are allowed. The following is a statement of reasons for the indication of allowable subject matter: The prior art of record discloses battery assemblies having a battery cell and a thermal management device having an integrated circuit chip, circuit board or a circuit connected to heating elements and temperature sensors and where the circuit or chip includes a cell charge balancing circuit connected to the heating element to utilize the heating element for dual use in charge balancing and heating of battery cells. The prior art of record also discloses wireless communication components between components of battery management systems or thermal management devices. However, the prior art of record did not reasonably disclose teach or otherwise suggest a battery assembly or battery module having a battery cell and a thermal management device including a heating element to transfer heat to the battery cell and also comprising an integrated circuit chip (such as a microchip or ASIC) which comprises a temperature sensor for collecting temperature data relating to the battery cell, a wireless communication component and a cell charge balancing circuit connected to the heating element such that the heating element provides dual functions of cell charge balancing and heat transfer to the battery cell and wherein the battery cell has a casing with a first end and second end opposite the first end where a first and second terminal are connected at the first end of the casing and wherein the heating element is mounted on the casing between the terminals and contacting the first end, wherein the integrated circuit chip is mounted on the casing between the terminals and where the device further includes one of: The wireless communication component being configured to receive control commands for the heating element based on temperature data; or A controller configured to wirelessly control the heating element via the wireless communication component based on the temperature data. Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure: Stafl (US 20230198276) discloses a system for thermal management of batteries using temperature sensors (para. [0047]), a heating element (para. [0037]), wireless data transmission (para. [0049]) and using an integrated circuit chip (pars. [0018], [0023] and [0032]). Tashiro et al. (US 20200185160) discloses a circuit board (circuit board 300) having temperature sensors (sensors 304), heating elements (including balancing resistors 311 and 312) and a balancing circuit (circuit 310). Zhang et al. (US 20240072309) discloses a wireless communications chip connected to a temperature sensor. Yao et al. (US 20220021053) discloses dual function heating and cell balancing (para. [0033]). 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 PATRICK M MCCARTY whose telephone number is (571)272-4398. The examiner can normally be reached Monday - Thursday 9:00 AM - 5:00 PM. 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, Claire Wang can be reached at 571-270-1051. 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. /P.M.M./Examiner, Art Unit 1774 /CLAIRE X WANG/Supervisory Patent Examiner, Art Unit 1774
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Prosecution Timeline

Sep 11, 2023
Application Filed
Apr 06, 2026
Non-Final Rejection mailed — §103
Jun 10, 2026
Response Filed
Aug 05, 2026
Final Rejection mailed — §103 (current)

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Prosecution Projections

3-4
Expected OA Rounds
62%
Grant Probability
85%
With Interview (+22.3%)
3y 5m (~6m remaining)
Median Time to Grant
Moderate
PTA Risk
Based on 149 resolved cases by this examiner. Grant probability derived from career allowance rate.

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