Prosecution Insights
Last updated: May 29, 2026
Application No. 18/613,411

VOLTAGE REGULATION OF SECONDARY POWER SOURCE FOR BATTERY SWAP ELECTRIC MACHINES

Non-Final OA §103
Filed
Mar 22, 2024
Examiner
PHAM, DUC M
Art Unit
2849
Tech Center
2800 — Semiconductors & Electrical Systems
Assignee
Caterpillar Inc.
OA Round
2 (Non-Final)
89%
Grant Probability
Favorable
2-3
OA Rounds
2m
Est. Remaining
99%
With Interview

Examiner Intelligence

Grants 89% — above average
89%
Career Allowance Rate
557 granted / 629 resolved
+20.6% vs TC avg
Moderate +12% lift
Without
With
+12.5%
Interview Lift
resolved cases with interview
Typical timeline
2y 4m
Avg Prosecution
18 currently pending
Career history
665
Total Applications
across all art units

Statute-Specific Performance

§101
0.7%
-39.3% vs TC avg
§103
76.6%
+36.6% vs TC avg
§102
15.4%
-24.6% vs TC avg
§112
0.8%
-39.2% vs TC avg
Black line = Tech Center average estimate • Based on career data from 629 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 . DETAILED ACTION This office action is a response to a paper filed on 12/03/2025 in which claims 1-20 are pending and ready for examination. 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. Claim(s) 1-4 and 10-16 is/are rejected under 35 U.S.C. 103 as being unpatentable over Huff et al (hereinafter Huff) (US 2019/0263269 A1) in view of Yeo et al (hereinafter Yeo) (US 2023/0024016 A1). As to claims 1 and 13, Huff discloses an electric machine (Fig 1, 100), comprising: at least one electric motor (see parag [0061]); a primary battery configured to store a first amount of energy, and be removably connected to the electric machine (see parag [0117]); a secondary battery configured to store a second amount of energy that is less than the first amount of energy (see parag [0047]); a system DC power bus (see parag [0149]); and power electronics (Fig 3, 215, 217, power cable) in electrical communication with the system DC power bus with which the at least one motor (Fig 3, 180, 182, 184, 186) and the primary (Fig 3, 200) and secondary batteries (Fig 3, 202) are in electrical communication, the power electronics configured (i) to supply first electrical power from the primary battery to the at least one motor via the system DC power bus (see parag [0075]) and that the primary battery is to be electrically disconnected from the system DC power bus to enable second electrical power from the secondary battery to be applied to the system DC power bus to supply electrical power to the at least one motor (see parag [0069], auxiliary battery pack 105 may be used to power vehicle 100 while the primary battery assembly is being swapped). Huff does not disclose to manage connection of a second voltage level of the secondary battery to match a first voltage level of the primary battery in response to receiving a battery swap initiation signal. However, Yeo discloses managing connection of a second voltage level of the secondary battery to match a first voltage level of the primary battery in response to receiving a battery swap initiation signal (see Fig 3, parag [0071]). It would have been obvious to one skilled in the art before the effective filing date of the invention to modify the machine of Huff to include the teachings as taught by Yeo in order to prevent differential voltages when the contacts are closed. As to claims 2 and 14, the combination of Huff and Yeo discloses the electric machine according to claim 1, wherein the primary and secondary batteries are rechargeable batteries (see parag [0149]). As to claims 3 and 15, the combination of Huff and Yeo discloses the electric machine according to claim 1, wherein the power electronics include a DC/DC power management circuit to manage the power applied from the secondary battery to the system DC power bus (see parag [0149]). As to claims 4 and 16, the combination of Huff and Yeo discloses the electric machine according to claim 1, wherein the power management circuit is further configured to recharge the secondary battery using energy from the system DC power bus supplied by the primary battery (see parag [0149]). As to claim 10, the combination of Huff and Yeo discloses the electric machine according to claim 1, wherein the electric machine is a vehicle (see parag [0001]). As to claim 11, the combination of Huff and Yeo discloses the electric machine according to claim 10, wherein the vehicle is a mining vehicle (see parag [0001]). As to claim 12, the combination of Huff and Yeo discloses the electric machine according to claim 1, further comprising a controller with at least one processor (Yeo, see [0041], processor) configured to control the power electronics to initiate managing the second voltage level. Claim(s) 5-6 and 18 is/are rejected under 35 U.S.C. 103 as being unpatentable over Huff et al (hereinafter Huff) (US 2019/0263269 A1) in view of Yeo et al (hereinafter Yeo) (US 2023/0024016 A1) further in view of Miller (US 2022/0388425 A1). As to claim 5, the combination of Huff and Yeo does not disclose the electric machine according to claim 1, wherein the power electronics are further configured to manage connection of the secondary battery in parallel with the primary battery to not electrically damage the secondary battery, the primary battery, or the power electronics in response to a second primary battery being electrically connected to the system DC power bus prior to powering the electric machine using the second primary battery. However, Miller discloses wherein the power electronics are further configured to manage connection of the secondary battery (Fig 5, 36) in parallel with the primary battery (Fig 5, 32, parag [0047]). It would have been obvious to one skilled in the art before the effective filing date of the invention to modify the electric machine of Huff and Yeo to have the secondary battery in parallel with the primary battery as taught by Miller in order to protect the battery from damage. As to claim 6, the combination of Huff, Yeo and Miller discloses the electric machine according to claim 5, wherein the power electronics are further configured to utilize the primary battery to (i) supply electrical power to the electric machine (Miller, see parag [0047]) and (ii) re-charge the secondary battery while the secondary battery is not being used to supply the at least one electric motor (Miller, see parag [0056]). As to claim 18, the combination of Huff, Yeo and Miller discloses the method according to claim 17, further comprising (i) supplying electrical power to the electric machine using the second primary battery that is charged (Miller, see parag [0047]) and (ii) re-charging the secondary battery using energy from the second primary battery (Miller, see parag [0056]). Claim(s) 9 and 20 is/are rejected under 35 U.S.C. 103 as being unpatentable over Huff et al (hereinafter Huff) (US 2019/0263269 A1) in view of Yeo et al (hereinafter Yeo) (US 2013/0024016 A1) further in view of Sung et al (hereinafter Sung) (US 2017/0366019 A1). As to claims 9 and 20, the combination of Huff and Yeo does not disclose the electric machine according to claim 1, further comprising a user-activated device configured to enable a user to initiate a battery swapping process to cause the power electronics to manage the second voltage level to allow the primary battery to be disconnected from the system DC power bus without electrical damage and another primary battery to be connected to the system DC power bus without electrical damage. However, Sung discloses a user device that is able to swap or change different kinds of batteries in to the system (see parag [0026]). It would have been obvious to one skilled in the art before the effective filing date of the invention to modify the machine of Huff and Yeo to have the user as taught by Sung in order to enable the swapping process when pertinent. Allowable Subject Matter Claims 7-8, 17 and 19 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. The following is a statement of reasons for the indication of allowable subject matter: As to claims 7 and 19, the cited prior arts alone or in combination fail to disclose: “wherein the power electronics are configured to manage the second voltage level of the DC power bus above a minimum voltage threshold level between a time that the primary battery that is energy-depleted is electrically disconnected from the system DC power bus and a second primary battery that is charged is connected to the system DC power bus”. As to claim 17, the cited prior arts alone or in combination fail to disclose: “wherein supplying second electrical power from the secondary battery includes supplying the secondary electrical power to the system DC power bus by matching the first voltage level of the primary battery in response to a second primary battery that is charged being electrically connected to the electric machine prior to powering the electric machine using the second primary battery”. Response to Arguments Applicant’s arguments, see pages 6-8, filed on 12/03/2025, with respect to claims 1 and 13 have been fully considered and are persuasive. The rejection of 103 has been withdrawn. Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to DUC M PHAM whose telephone number is (571)272-5026. The examiner can normally be reached 10:00 am - 6:00 pm, Monday to Friday. 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, Youssef, Menna can be reached at 571-370-3684. 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. /DUC M PHAM/Examiner, Art Unit 2849 April 17, 2026 /Menatoallah Youssef/SPE, Art Unit 2836
Read full office action

Prosecution Timeline

Mar 22, 2024
Application Filed
Sep 05, 2025
Non-Final Rejection mailed — §103
Dec 03, 2025
Response Filed
Apr 23, 2026
Non-Final Rejection mailed — §103 (current)

Precedent Cases

Applications granted by this same examiner with similar technology

Patent 12627163
APPARATUS AND METHOD FOR PROTECTING BATTERY PACK
2y 4m to grant Granted May 12, 2026
Patent 12627167
POWER FEED CONTROL DEVICE
1y 12m to grant Granted May 12, 2026
Patent 12606027
HIGH VOLTAGE TO LOW VOLTAGE POWER CONVERSION SYSTEM FOR HIGH VOLTAGE POST IMPACT ELECTRICAL INTEGRITY AND DISCHARGE SYSTEM
1y 10m to grant Granted Apr 21, 2026
Patent 12609544
Power Supply Control Device and Method for Controlling Same
1y 5m to grant Granted Apr 21, 2026
Patent 12592565
BACKUP APPARATUS AND POWER CONVERTER
1y 3m to grant Granted Mar 31, 2026
Study what changed to get past this examiner. Based on 5 most recent grants.

Strategy Recommendation AI-generated — please review before filing

Get a prosecution strategy drawn from examiner precedents, rejection analysis, and claim mapping.
Typically takes 5-10 seconds — AI-generated, attorney review required before filing

Prosecution Projections

2-3
Expected OA Rounds
89%
Grant Probability
99%
With Interview (+12.5%)
2y 4m (~2m remaining)
Median Time to Grant
Moderate
PTA Risk
Based on 629 resolved cases by this examiner. Grant probability derived from career allowance rate.

Sign in with your work email

Enter your email to receive a magic link. No password needed.

Personal email addresses (Gmail, Yahoo, etc.) are not accepted.

Free tier: 3 strategy analyses per month