Prosecution Insights
Last updated: July 17, 2026
Application No. 18/737,985

SYSTEMS AND METHODS OF ENHANCING BATTERY THERMAL MANAGEMENT DURING A CHARGE EVENT

Final Rejection §102
Filed
Jun 08, 2024
Examiner
HINCAPIE SERNA, GUSTAVO A
Art Unit
3763
Tech Center
3700 — Mechanical Engineering & Manufacturing
Assignee
Caterpillar Inc.
OA Round
2 (Final)
60%
Grant Probability
Moderate
3-4
OA Rounds
1y 2m
Est. Remaining
83%
With Interview

Examiner Intelligence

Grants 60% of resolved cases
60%
Career Allowance Rate
248 granted / 417 resolved
-10.5% vs TC avg
Strong +24% interview lift
Without
With
+23.8%
Interview Lift
resolved cases with interview
Typical timeline
3y 3m
Avg Prosecution
29 currently pending
Career history
453
Total Applications
across all art units

Statute-Specific Performance

§101
0.1%
-39.9% vs TC avg
§103
64.5%
+24.5% vs TC avg
§102
9.2%
-30.8% vs TC avg
§112
25.6%
-14.4% vs TC avg
Black line = Tech Center average estimate • Based on career data from 417 resolved cases

Office Action

§102
DETAILED ACTION This action is in response to applicant’s amendment received on 02/17/2026. Amended claims 1, 4-8, 11-15 and 18-20 are acknowledged. Claims 1-2, 4-9, 11-16 and 18-23 are pending. Claims 3, 10 and 17 are cancelled. Claim Rejections - 35 USC § 102 The following is a quotation of the appropriate paragraphs of 35 U.S.C. 102: 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 1-2. 4-9, 11-16 and 18-20 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Jiang et al. (US 2022/0320872, herein “Jiang”). Regarding claim 1, Jiang discloses: a method of managing a thermal condition of a battery pack (to-be-charged device/battery, par. 0019) [abstract], the method comprising: detecting, by one or more processors (301; “processor” of par. 0026), a charge event (“charging starts” of fig. 4a) for the battery pack [par. 0052 and 0054]; and responsive to detecting the charge event (“charging starts” of fig. 4a), determining, by the one or more processors (301), a heat load (“heat generating capacity” of par. 0010) for the battery pack, based on a current demand corresponding to the charge event of the battery pack (see par. 0010, as it applies to par. 0008, lines 3-11); and transmitting, by the one or more processors (301), a signal to a thermal management system, to modify a condition (working mode) of the thermal management system for cooling the battery pack (per par. 0015, a thermal management system “condition – working mode” is determined based on comparisons of a current temperature of the battery pack and a temperature threshold of the battery pack, which implies the presence of a “signal” being sent by the processor to the thermal management system. Per par. 0017, the “condition – working mode” of the thermal management system may be adjusted to heating or cooling). wherein the condition (working mode) is selected based on the determined heat load (since, the current temperature of the battery pack of par. 0015 is obtained based on a sum of the heat load -heat generating capacity- of the battery pack, the heat exchanging capacity of the battery pack and the coolant, and the heat exchanging capacity between the battery pack and the environment, see par, 0010, lines 13-18). Regarding claim 2, Jiang discloses: the heat load (“heat generating capacity”) being a function of the current demand and a resistance of the battery pack, in relation to a charging rate during the charge event [par. 0011]. Regarding claim 4, Jiang discloses: detecting the charge event comprises predicting, by the one or more processors (301), the charge event for a future time window (see par. 0062, where a “future charging time” is calculated); and when the charge event is predicted for the future time window, the one or more processors (301) precondition the battery pack by determining the heat load (“heat generating capacity”) as a predicted heat load and transmitting the signal to the thermal management system prior to a start of the charge event [par. 0054, lines 1-2] to proactively modify a temperature of a coolant (see par. 0069, where “a signal-thermal management request” is sent to the thermal management system based on the current state of the battery to modify a coolant temperature). Regarding claim 5, Jiang discloses: the signal (“thermal management request”) causing the thermal management system to decrease (cooling) a temperature of a coolant responsive to the heat load (“heat generating capacity”) (this is, “the condition-working mode” can be modified to cooling) (see par. 0069 where the condition-working mode can be cooling, heating or equalization temperature). Regarding claim 6, Jiang discloses: the heat load (“heat generating capacity”) being further determined based on an instantaneous charge current (“charging current”) [par. 0091], and an ambient temperature (since ambient temperature affects the battery temperature used by Jiang on battery heat generation models, par. 0090, and par. 0091). Regarding claim 7, Jiang discloses: receiving, by the one or more processor (301), via one or more sensors, one or more coolant metrics (coolant temperature, for instance) and ambient metrics (ambient temperature, for instance) [par. 0090-0091], wherein the heat load (“heat generating capacity”) is further determined according to ambient metrics (“ambient temperature”); wherein the ambient metrics comprise an ambient temperature (since ambient temperature affects the battery temperature used by Jiang on battery heat generation models, par. 0090, and par. 0091). Regarding claims 8 and 15, Jiang discloses: a system (figs. 1-3) as claimed in claim 8, and a vehicle [par. 0002], as claimed in claim 15, the system and the vehicle, comprising: one or more processors (301; “processor” of par. 0026) communicably coupled to a battery pack (to-be-charged device/battery, par. 0019) [abstract], the one or more processors (301) configured to: detect a charge event (“charging starts” of fig. 4a) for the battery pack [par. 0052 and 0054]; and responsive to detecting the charge event (“charging starts” of fig. 4a), determine a heat load (“heat generating capacity” of par. 0010) for the battery pack, based on a current demand corresponding to the charge event of the battery pack (see par. 0010, as it applies to par. 0008, lines 3-11); and transmit a signal to a thermal management system, to modify a condition (working mode) of the thermal management system for cooling the battery pack (per par. 0015, a thermal management system “condition – working mode” is determined based on comparisons of a current temperature of the battery pack and a temperature threshold of the battery pack, which implies the presence of a “signal” being sent by the processor to the thermal management system. Per par. 0017, the “condition – working mode” of the thermal management system may be adjusted to heating or cooling). wherein the condition (working mode) is selected based on the determined heat load (since, the current temperature of the battery pack of par. 0015 is obtained based on a sum of the heat load -heat generating capacity- of the battery pack, the heat exchanging capacity of the battery pack and the coolant, and the heat exchanging capacity between the battery pack and the environment, see par, 0010, lines 13-18). Regarding claims 9 and 16, Jiang discloses: the heat load (“heat generating capacity”) being a function of the current demand and a resistance of the battery pack, in relation to a charging rate during the charge event [par. 0011]. Regarding claims 11 and 18, Jiang discloses: detecting the charge event comprises predicting, by the one or more processors (301), the charge event for a future time window (see par. 0062, where a “future charging time” is calculated); and when the charge event is predicted for the future time window, the one or more processors (301) precondition the battery pack by determining the heat load (“heat generating capacity”) as a predicted heat load and transmitting the signal to the thermal management system prior to a start of the charge event [par. 0054, lines 1-2] to proactively modify a temperature of a coolant (see par. 0069, where “a signal-thermal management request” is sent to the thermal management system based on the current state of the battery to modify a coolant temperature). Regarding claims 12 and 19, Jiang discloses: the signal (“thermal management request”) causing the thermal management system to decrease (cooling) a temperature of a coolant responsive to the heat load (“heat generating capacity”) (this is, “the condition-working mode” can be modified to cooling) (see par. 0069 where the condition-working mode can be cooling, heating or equalization temperature). Regarding claims 13 and 20, Jiang discloses: the heat load (“heat generating capacity”) being further determined based on an instantaneous charge current (“charging current”) [par. 0091], and an ambient temperature (since ambient temperature affects the battery temperature used by Jiang on battery heat generation models, par. 0090, and par. 0091). Regarding claim 14, Jiang discloses: receiving, by the one or more processor (301), via one or more sensors, one or more coolant metrics (coolant temperature, for instance) and ambient metrics (ambient temperature, for instance) [par. 0090-0091], wherein the heat load (“heat generating capacity”) is further determined according to ambient metrics (“ambient temperature”); wherein the ambient metrics comprise an ambient temperature (since ambient temperature affects the battery temperature used by Jiang on battery heat generation models, par. 0090, and par. 0091). Claims 1, 8, 15 and 21-23 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Tonozuka et al. (US 2012/0280050, herein “Tonozuka”). Regarding claim 1, Tonozuka discloses: a method of managing a thermal condition of a battery pack (1) [par. 0001], the method comprising: detecting, by one or more processors (3) (fig. 1), a charge event (“S1 rapid charge demanded” of fig. 2) for the battery pack (1) [par. 0042]; and responsive to detecting the charge event (“rapid charge demanded” of fig. 2), determining, by the one or more processors (3), a heat load (“heat generation”) for the battery pack (1), based on a current demand corresponding to the charge event of the battery pack (1) [par. 0030 and 0036]; and transmitting, by the one or more processors (3), a signal (S8 of fig. 2) to a thermal management system (2), to modify a condition (amount of air flow) of the thermal management system (2) for cooling the battery pack (1) [par. 0053], wherein the condition (amount of air flow) is selected based on the determined heat load (since, it is required that the present battery temperature becomes equal to the target temperature, par. 0053). Regarding claims 8 and 15, Tonozuka discloses: a system (figs. 1) as claimed in claim 8, and a vehicle [par. 0001], as claimed in claim 15, the system and the vehicle, comprising: one or more processors (3) communicably coupled to a battery pack (3) (fig. 1), the one or more processors (3) configured to: detect a charge event (“S1 rapid charge demanded” of fig. 2) for the battery pack (1) [par. 0042]; and responsive to detecting the charge event (“rapid charge demanded” of fig. 2), determine a heat load (“heat generation”) for the battery pack (1), based on a current demand corresponding to the charge event of the battery pack (1) [par. 0030 and 0036]; and transmit a signal (S8 of fig. 2) to a thermal management system (2), to modify a condition (amount of air flow) of the thermal management system (2) for cooling the battery pack (1) [par. 0053], wherein the condition (amount of air flow) is selected based on the determined heat load (since, it is required that the present battery temperature becomes equal to the target temperature, par. 0053). Regarding claim 21, Tonozuka discloses: comparing, by the one or more processor (3), the heat load (“heat generation”) to a threshold (a threshold determined by a target temperature of the battery 1, par. 0049-0050); and determining, by the one or more processors (3), based on the comparison, that the heat load exceeds the threshold (since, per par. 0053, the activation of a temperature regulating performance of the thermal management system 2 is set); wherein the condition (amount of air flow) is selected based on the determined heat load (“heat generation”) responsive to determining that the heat load exceeds the threshold (see previous paragraph); and wherein the threshold is based on a desired performance metric (present battery temperature equal to target temperature) of the battery pack (1) [par. 0053]. Regarding claims 22-23, Tonozuka discloses: the one or more processors being further configured to: compare the heat load (“heat generation”) to a threshold (a threshold determined by a target temperature of the battery 1, par. 0049-0050); and determe, based on the comparison, that the heat load exceeds the threshold (since, per par. 0053, the activation of a temperature regulating performance of the thermal management system 2 is set); wherein the condition (amount of air flow) is selected based on the determined heat load (“heat generation”) responsive to determining that the heat load exceeds the threshold (see previous paragraph); and wherein the threshold is based on a desired performance metric (present battery temperature equal to target temperature) of the battery pack (1) [par. 0053]. Response to Arguments Applicant's arguments with respect to amended claim 1 have been fully considered but they are not persuasive. Although the grounds of rejections are maintained, the overly broad language of the newly amended limitation of claim 1 allows a broad interpretation of the claim which reference Jian reads on. Further, Tonozuka also anticipates the subject matter of amended claims 1, 8 and 15. Please refer to the rejection, above, for a detail explanation on how Jiang and Tonozuka read on amended claim 1. 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 GUSTAVO A HINCAPIE SERNA whose telephone number is (571)272-6018. The examiner can normally be reached 9am-5:30pm. 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, Len Tran can be reached at 571-272-1184. 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. /GUSTAVO A HINCAPIE SERNA/Examiner, Art Unit 3763 /LEN TRAN/Supervisory Patent Examiner, Art Unit 3763
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Prosecution Timeline

Jun 08, 2024
Application Filed
Nov 17, 2025
Non-Final Rejection mailed — §102
Feb 02, 2026
Interview Requested
Feb 10, 2026
Examiner Interview Summary
Feb 10, 2026
Applicant Interview (Telephonic)
Feb 17, 2026
Response Filed
Jun 10, 2026
Final Rejection mailed — §102 (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
60%
Grant Probability
83%
With Interview (+23.8%)
3y 3m (~1y 2m remaining)
Median Time to Grant
Moderate
PTA Risk
Based on 417 resolved cases by this examiner. Grant probability derived from career allowance rate.

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