Prosecution Insights
Last updated: August 17, 2026
Application No. 18/745,180

Powertrain Control System and Method for a Mobile Machine

Non-Final OA §102
Filed
Jun 17, 2024
Examiner
JOHNSON, KYLE T
Art Unit
3656
Tech Center
3600 — Transportation & Electronic Commerce
Assignee
Caterpillar Inc.
OA Round
1 (Non-Final)
85%
Grant Probability
Favorable
1-2
OA Rounds
4m
Est. Remaining
99%
With Interview

Examiner Intelligence

Grants 85% — above average
85%
Career Allowance Rate
259 granted / 305 resolved
+32.9% vs TC avg
Strong +16% interview lift
Without
With
+15.7%
Interview Lift
resolved cases with interview
Typical timeline
2y 6m
Avg Prosecution
14 currently pending
Career history
322
Total Applications
across all art units

Statute-Specific Performance

§101
11.2%
-28.8% vs TC avg
§103
50.6%
+10.6% vs TC avg
§102
21.1%
-18.9% vs TC avg
§112
13.0%
-27.0% vs TC avg
Black line = Tech Center average estimate • Based on career data from 305 resolved cases

Office Action

§102
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 . Information Disclosure Statement The information disclosure statement (IDS) submitted on 06/17/2024 is in compliance with the provisions of 37 CFR 1.97. Accordingly, the information disclosure statement has been considered by the Examiner. Claim Rejections - 35 USC § 102 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 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. Claims 1-16 and 18-19 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Honzek (US Pre-Granted Publication No. US 2011/0024222 A1 hereinafter “Honzek”). Regarding claim 1 Honzek discloses: A powertrain for a mobile machine comprising: a power source generating and transmitting motive power; (Honzek [0078] [0054] wherein vehicle includes power generating units like an engine and electric generator with a transmission) a primary axle operatively coupled to a primary traction/propulsion device for propelling the mobile machine over a terrain surface; (Honzek [0052] [0054] [0060] wherein the vehicle includes a primary axle attached to the wheels and coupled to the engine to move the vehicle) a primary transmission operatively coupled between the power source and the primary axle; (Honzek [0057-0059] wherein the transmission is connected to the first axle) a secondary axle operatively coupled to a secondary traction/propulsion device for propelling the mobile machine over the terrain surface; (Honzek [0052] [0058] wherein the second vehicle axle includes a second transmission to power the vehicle and move the vehicle wheels, see also [0078] wherein embodiments provides a second electric motor to power the second axle itself) a secondary transmission operatively coupled to the secondary traction/propulsion device for directing a secondary power output thereto; (Honzek [0058] wherein the rear axle includes its own transmission unit to connect to the power source) an electronic controller configured to receive one or more data inputs, (Honzek [0083-0085] wherein the vehicle uses a controller to determine shifts and power transmission at varying speeds) to analyze the one or more data inputs to predictively estimate if a nonsynchronous shift will occur with the primary transmission, (Honzek [0070] [0088] wherein the system determines that shifting between gears will interrupt power transmission and the transmission units can be operated to an optimal output value to help offset power from the hydrostatic branch) and to command the secondary transmission to adjust the secondary power output concurrently with the nonsynchronous shift. (Honzek [0070] [0088-0089] wherein the optimization of the output from the transmissions is calculated and carried out based on the running operation of the vehicle). Examiner notes the limitations “a primary traction/propulsion device” and “a secondary traction/propulsion device” is interpreted as being a traction device or a propulsion device such as wheels as supported by the specification [0054]. Regarding claim 2 Honzek discloses all of the limitations of claim 1 and Honzek further discloses: The powertrain of claim 1, wherein the nonsynchronous shift is associated with a power interruption of a primary power output from the primary transmission. (Honzek [0070] wherein the shift for higher speeds interrupts the power from the primary power output and transmission). Regarding claim 3 Honzek discloses all of the limitations of claim 2 and Honzek further discloses: The powertrain of claim 2, wherein the primary transmission is associated with a plurality of gear ratios adjusting the primary power output from the primary transmission to the primary traction/propulsion device (Honzek [0070] wherein the shift for higher speeds interrupts the power from the primary power output and transmission) and the nonsynchronous shift occurs during shifting between the plurality of gear ratios. (Honzek [0070] wherein the shift for higher speeds interrupts the power from the primary power output and transmission). Regarding claim 4 Honzek discloses all of the limitations of claim 3 and Honzek further discloses: The powertrain of claim 3, wherein the electronic controller is configured to receive powertrain characteristics for the primary transmission to predictively estimate if the nonsynchronous shift will occur. (Honzek [0070] [0088] wherein the system determines that shifting between gears will interrupt power transmission and the transmission units can be operated to an optimal output value to help offset power from the hydrostatic branch). Regarding claim 5 Honzek discloses all of the limitations of claim 4 and Honzek further discloses: The powertrain of claim 4, wherein the electronic controller is configured to calculate a primary power interruption associated with the nonsynchronous shift. (Honzek [0070] wherein the gear shift interrupts the power from the primary engine). Regarding claim 6 Honzek discloses all of the limitations of claim 5 and Honzek further discloses: The powertrain of claim 5, wherein the electronic controller generates a secondary transmission command to adjust the secondary power output based on the primary power interruption as calculated. (Honzek [0070] [0088-0089] wherein the optimization of the output from the transmissions is calculated and carried out based on the running operation of the vehicle). Regarding claim 7 Honzek discloses all of the limitations of claim 4 and Honzek further discloses: The powertrain of claim 4, wherein the electronic controller adjusts the secondary power output inversely with the power curves for the primary transmission. (Honzek [0025] [0077] wherein the vehicle controls power to the secondary axle based on a speed, eventually moving to be solely driven by the rear axle at a high enough speed i.e. when the rear is fully driven the front is not in an inverse power means). Regarding claim 8 Honzek discloses all of the limitations of claim 1 and Honzek further discloses: The powertrain of claim 1, wherein the one or more data inputs includes information from one or more of a machine velocity control, (Honzek [0025] [0060] [0070] wherein speed controls determine transmission controls) a gearshift, (Honzek [0070] wherein gearshift information changes transmission controls) and a load sensor. (Honzek [0088] wherein the vehicle uses a wheel load to help control the output). Regarding claim 9 Honzek discloses all of the limitations of claim 8 and Honzek further discloses: The powertrain of claim 8, wherein the electronic controller calculates a commanded machine power output based the plurality of one or more data inputs. (Honzek [0025] [0066] [0070] wherein the transmission controls vary based on various limitations for the transmission and other input data, such as gear information and vehicle speeds). Regarding claim 10 Honzek discloses all of the limitations of claim 1 and Honzek further discloses: The powertrain of claim 1, wherein the primary transmission is a continuously variable transmission configured with a dual-path design including a mechanical power transfer path and a hydrostatic power transfer path. (Honzek [0070] [0017] wherein the vehicle includes a stepless CVT transmission and a mechanical and hydrostatic split transmission). Regarding claim 11 Honzek discloses all of the limitations of claim 1 and Honzek further discloses: The powertrain of claim 1, wherein the secondary transmission includes one or more of an electric motor and hydraulic motor. (Honzek [0070] [0078] wherein the secondary transmission may include an electric motor). Regarding claim 12 Honzek discloses: A method of operating a powertrain of a mobile machine including a first transmission (Honzek [0057-0059] wherein the transmission is connected to the first axle) and a second transmission, (Honzek [0058] wherein the rear axle includes its own transmission unit to connect to the power source) the method comprising: receiving a plurality of data inputs corresponding to a plurality of input devices operatively associated with the mobile machine; (Honzek [0025] [0066] [0070] [0083-0085] wherein the vehicle uses a controller to determine shifts and power transmission at varying speeds) predictively estimating an nonsynchronous shift that will occur with the first transmission; (Honzek [0070] [0088] wherein the system determines that shifting between gears will interrupt power transmission and the transmission units can be operated to an optimal output value to help offset power from the hydrostatic branch) and adjusting a secondary power output from the secondary transmission concurrently with the nonsynchronous shift of the primary transmission. (Honzek [0070] [0088-0089] wherein the optimization of the output from the transmissions is calculated and carried out based on the running operation of the vehicle). Regarding claim 13 Honzek discloses all of the limitations of claim 12 and Honzek further discloses: The method of claim 12, further comprising calculating a primary power interruption resulting from the nonsynchronous shift of the first transmission (Honzek [0070] wherein the shift for higher speeds interrupts the power from the primary power output and transmission) and adjusting the secondary power output responsively to the primary power interruption as calculated. (Honzek [0070] [0088-0089] wherein the optimization of the output from the transmissions is calculated and carried out based on the running operation of the vehicle). Regarding claim 14 Honzek discloses all of the limitations of claim 12 and Honzek further discloses: The method of claims 12, further comprising retrieving powertrain characteristics including curves for the primary transmission and adjusting the secondary power output inversely to the power curves for the primary transmission. (Honzek [0025] [0077] wherein the vehicle controls power to the secondary axle based on a speed, eventually moving to be solely driven by the rear axle at a high enough speed i.e. when the rear is fully driven the front is not in an inverse power means). Regarding claim 15 Honzek discloses all of the limitations of claim 12 and Honzek further discloses: The method of claim 12, wherein the one or more data inputs includes information from one or more of a machine velocity control, (Honzek [0025] [0060] [0070] wherein speed controls determine transmission controls) a gearshift, (Honzek [0070] wherein gearshift information changes transmission controls) and a load sensor. (Honzek [0088] wherein the vehicle uses a wheel load to help control the output). Regarding claim 16 Honzek discloses all of the limitations of claim 15 and Honzek further discloses: The method of claim 15, further comprising retrieving powertrain characteristics associated with the primary transmission. (Honzek [0070] wherein the gear shift interrupts the power from the primary engine). Regarding claim 18 Honzek discloses: A powertrain control process comprising: transmitting a primary power output from a primary transmission of a powertrain (Honzek [0078] [0054] wherein vehicle includes power generating units like an engine and electric generator with a transmission) to a primary axle coupled to a primary traction/propulsion device of a mobile machine; (Honzek [0052] [0054] [0060] wherein the vehicle includes a primary axle attached to the wheels and coupled to the engine to move the vehicle) receiving one or more data inputs from a plurality of input devices associated with powertrain; (Honzek [0083-0085] wherein the vehicle uses a controller to determine shifts and power transmission at varying speeds) predictively estimating a nonsynchronous shift will occur with the primary transmission based on the one or more data inputs; (Honzek [0070] [0088] wherein the system determines that shifting between gears will interrupt power transmission and the transmission units can be operated to an optimal output value to help offset power from the hydrostatic branch) and adjusting a secondary power output from a secondary transmission of the powertrain to a secondary axle coupled to a secondary traction/propulsion device (Honzek [0058] wherein the rear axle includes its own transmission unit to connect to the power source) of the mobile machine concurrently with nonsynchronous shift. (Honzek [0070] [0088-0089] wherein the optimization of the output from the transmissions is calculated and carried out based on the running operation of the vehicle). Examiner notes the limitations “a primary traction/propulsion device” and “a secondary traction/propulsion device” is interpreted as being a traction device or a propulsion device such as wheels as supported by the specification [0054]. Regarding claim 19 Honzek discloses all of the limitations of claim 18 and Honzek further discloses: The powertrain control process of claim 18, further comprising calculating a primary power interruption resulting from the nonsynchronous shift (Honzek [0070] wherein the gear shift interrupts the power from the primary engine) and adjusting the secondary power output based on the primary power interruption as calculated. (Honzek [0070] [0088-0089] wherein the optimization of the output from the transmissions is calculated and carried out based on the running operation of the vehicle). Allowable Subject Matter Claims 17 and 20 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. Regarding claims 17 and 20 the relevant art Honzek in view of Gesang et al. (US Pre-Granted Publication No. US 2025/0269856 A1 hereinafter “Gesang”) further in view of Nakagaki et al. (US Pre-Granted Publication No. US 2025/0027295 A1 hereinafter “Nakagaki”) discloses a vehicle with multiple axles and multiple traction devices to move the vehicle as being powered (Honzek [0052] [0054] [0060] [0083-0085]) operating the vehicle based on interruptions with shifting operations (Honzek [0070] [0088]) but fails to disclose predicting nonsynchronous shifts based on classifications, rules, and a predictive function using inputs and powertrain characteristics. Specifically, the relevant art fails to disclose “wherein the step of predictively estimating the nonsynchronous shift includes applying classification definitions/rules and a predictive function to the data input and to the powertrain characteristics” or “wherein the step of predictively estimating the nonsynchronous shift includes applying classification definitions/rules and a predictive function to the data input and to powertrain characteristics”. Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. US 2025/0269856 A1 discloses a dual motor hybrid program with various power sources to power different acles of the vehicle US 2025/0027295 A1 discloses a vehicle controller with transmissions using various hydraulic mechanisms to operate portions of the vehicle US 2022/0396137 A1 discloses a drive train operator with first and second transmission arrangements coupled to different propulsion systems US 2010/0236847 A1 discloses a hybrid propulsion with a CVT and various motor and hydrostatic transmission components Any inquiry concerning this communication or earlier communications from the examiner should be directed to Kyle T Johnson whose telephone number is (303)297-4339. The examiner can normally be reached Monday-Thursday 7:00-5:00 MT. 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, Wade Miles can be reached at (571) 270-7777. 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. /KYLE T JOHNSON/Examiner, Art Unit 3656
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Prosecution Timeline

Jun 17, 2024
Application Filed
Jun 08, 2026
Non-Final Rejection mailed — §102
Aug 11, 2026
Interview Requested

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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
85%
Grant Probability
99%
With Interview (+15.7%)
2y 6m (~4m remaining)
Median Time to Grant
Low
PTA Risk
Based on 305 resolved cases by this examiner. Grant probability derived from career allowance rate.

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