Prosecution Insights
Last updated: April 19, 2026
Application No. 18/787,147

BRAKING SYSTEM FOR A RAIL-MOUNTED TRAVELING UNIT OF A TRANSFER VEHICLE

Final Rejection §102§103
Filed
Jul 29, 2024
Examiner
KIRBY, BRIAN R
Art Unit
3747
Tech Center
3700 — Mechanical Engineering & Manufacturing
Assignee
Dellner Bubenzer Germany GmbH
OA Round
2 (Final)
71%
Grant Probability
Favorable
3-4
OA Rounds
2y 7m
To Grant
92%
With Interview

Examiner Intelligence

Grants 71% — above average
71%
Career Allow Rate
295 granted / 413 resolved
+1.4% vs TC avg
Strong +20% interview lift
Without
With
+20.4%
Interview Lift
resolved cases with interview
Typical timeline
2y 7m
Avg Prosecution
20 currently pending
Career history
433
Total Applications
across all art units

Statute-Specific Performance

§101
2.6%
-37.4% vs TC avg
§103
48.9%
+8.9% vs TC avg
§102
26.8%
-13.2% vs TC avg
§112
19.9%
-20.1% vs TC avg
Black line = Tech Center average estimate • Based on career data from 413 resolved cases

Office Action

§102 §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 Amendment In response to the office action filed 09/15/2025, Applicant amended Claim 1 and added new Claims 11-15. Claims 1-15 are currently pending. Response to Arguments Applicant’s arguments with respect to claim(s) 1-15 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 § 102 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. (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. Claim(s) 1-7, 9-10, and 13-15 are rejected under 35 U.S.C. 102a1 as being anticipated by Gentzsch et al. (DE10333276A1). Gentzsch discloses “The crane runs on rails (1) through wheels (3a, 3b) on axles (4a, 4b) with speed sensors (7a, 7b) driven by motors (5a, 5) and controlled by brakes (6a, 6b). A friction wheel (8) with a speed sensor (9) signals a control unit which monitors the differences between drive wheels and friction wheel to control braking rate.” (Abstract). Regarding Claim 1, Gentzsch discloses A braking system (¶0009, brake devices 6a/6b) for a rail-mounted traveling unit of a transfer vehicle (Fig. 1a/1b; rails 1, traveling trolley unit 2, transfer vehicle “crane”; ¶0008 also applied to crane undercarriages see ¶0028) , the braking system comprising: a brake arrangement (Fig. 1, (¶0009, brake devices 6a/6b) adapted to be adjusted between a braking position and a venting position (¶0009, electro-hydraulic system provides pressure to drum or disc brake to exert a settable braking torque applied to axles 4a/4b respectively) and which is designed to exert a settable braking torque (¶0013 and ¶0015-0016) in the braking position; a control unit (Fig. 1, control unit 11) to determine a braking torque and to activate accordingly the brake arrangement (¶0012-0016); and a sensor arrangement (Fig. 1, speed signals from speed sensors 7 and 9 and start/stop signal from programmable logic control unit 13) to detect an operating state of the transfer vehicle (¶0012, status of start/stop signal from programmable logic control unit 13, signals from speed sensors 7 and 9, receipt of emergency shutdown or power failure signal ¶0017) as well as external operating influences (¶0024, wheel speed differences during braking higher than a preset value indicates braked wheels sliding on the rails that prior attributes to “load condition of the trolley” and “environmental conditions, such as wet rails.”) and to transmit these to the control unit, wherein during operation of the transfer vehicle, the sensor arrangement detects an operating state of the transfer vehicle (¶0012, status of start/stop signal from programmable logic control unit 13, signals from speed sensors 7 and 9, receipt of emergency shutdown or power failure signal ¶0017) and external operating influences on the transfer vehicle (¶0024, wheel speed differences during braking higher than a preset value indicates braked wheels sliding on the rails that the prior art attributes to “load condition of the trolley” and “environmental conditions, such as wet rails.”) at periodic intervals and transmits these to the control unit as operating state data and operating influence data (see at least ¶0012-0017; status of start/stop signal from programmable logic control unit 13, signals from speed sensors 7 and 9, receipt of emergency shutdown or power failure signal are received and processed by control unit 11)), and if a braking process of the transfer vehicle is to be carried out the control unit is configured to determine a braking torque to be applied with traction of the wheel and without overloading of supporting frame components of the transfer vehicle (¶0023; “suppresses the swinging of the load when the trolley brakes, so that overall the signs of wear and strain can be significantly reduced and the safety of the system increased”; “the invention is based on the object of reducing the wear and tear and stresses that occur on a crane system in the event of an emergency stop or power failure, in order to thereby increase the service life of the crane system.” ¶0003) and to activate the brake arrangement via the transmitted operating state data and operating influence data, and the brake arrangement sets the braking torque (¶0012-0017) Regarding Claim 15, Gentzsch discloses A braking system (¶0009, brake devices 6a/6b) for a transfer vehicle (Fig. 1a/1b; rails 1, traveling trolley unit 2, transfer vehicle “crane”; ¶0008 also applied to crane undercarriages see ¶0028), the braking system comprising: a brake arrangement Fig. 1, (¶0009, brake devices 6a/6b) adapted to exert a braking torque (¶0013 and ¶0015-0016; a control unit (Fig. 1, control unit 11) to determine the braking torque and to activate the brake arrangement (¶0012-0016); and a sensor arrangement (Fig. 1, speed signals from speed sensors 7 and 9) to detect an operating state of the transfer vehicle (¶0012, status of start/stop signal from programmable logic control unit 13, signals from speed sensors 7 and 9, receipt of emergency shutdown or power failure signal ¶0017) as well as external operating influences (¶0024, wheel speed differences during braking higher than a preset value indicates braked wheels sliding on the rails that the prior art attributes to “load condition of the trolley” and “environmental conditions, such as wet rails.”) and to transmit these to the control unit, wherein the sensor arrangement is configured to detect an operating state of the transfer vehicle vehicle (¶0012, status of start/stop signal from programmable logic control unit 13, signals from speed sensors 7 and 9, receipt of emergency shutdown or power failure signal ¶0017) and external operating influences (¶0024, wheel speed differences during braking higher than a preset value indicates braked wheels sliding on the rails that prior attributes to “load condition of the trolley” and “environmental conditions, such as wet rails.”) on the transfer vehicle and transmits these to the control unit as operating state data and operating influence data (see at least ¶0012-0017; status of start/stop signal from programmable logic control unit 13, signals from speed sensors 7 and 9, receipt of emergency shutdown or power failure signal are received and processed by control unit 11), and wherein the control unit is configured to determine the braking torque to be applied with traction of the wheel and without overloading of supporting frame components of the transfer vehicle (¶0023; “suppresses the swinging of the load when the trolley brakes, so that overall the signs of wear and strain can be significantly reduced and the safety of the system increased”; “the invention is based on the object of reducing the wear and tear and stresses that occur on a crane system in the event of an emergency stop or power failure, in order to thereby increase the service life of the crane system.” ¶0003) and to activate the brake arrangement via the transmitted operating state data and operating influence data (¶0012-0017) Regarding Claim 2, Gentzsch further discloses wherein a brake element of the brake arrangement is mounted on a shaft (Fig 1 axle 4a/4b) of a motor (Fig. 1, electric drive motor 5a and 5b) which drives the wheel (Fig. 1, running wheels 3a and 3b), wherein during a braking process a brake body (¶0009, “spring loading or weight load”) in a braking position pushes against the brake element with an application force so that a braking torque acts on the shaft of the motor and the wheel (¶0009, drum or disc brake) Regarding Claims 3 and 4 Gentzsch further discloses wherein the brake arrangement comprises a drum brake and wherein the brake arrangement comprises a disc brake (¶0009, drum or disc brake) Regarding Claim 5, Gentzsch further discloses wherein an electrical venting device (“electro-hydraulic brake release device in which an integrated pump supplies hydraulic fluid to a piston whose piston rod is connected to the brake.”) overcomes the application force by which the brake body (¶0009, “spring loading or weight load”) pushes against the brake element and generates the braking torque, in order to reach the venting position (¶0009) Regarding Claim 6, Gentzsch further discloses wherein a hydraulic venting device (“electro-hydraulic brake release device in which an integrated pump supplies hydraulic fluid to a piston whose piston rod is connected to the brake.”) overcomes the application force by which the brake body (¶0009, “spring loading or weight load”) pushes against the brake element and generates the braking torque, in order to reach the venting position (¶0009) Regarding Claim 7, Gentzsch further discloses wherein the operating state data comprises speed data which is specific to the transfer vehicle (¶0013) Regarding Claim 9, Gentzsch further discloses wherein the control unit determines the braking torque via the transmitted operating state data and operating influence data from a characteristic diagram and wherein the braking torque is set only to 0%, (k¶0016, “the brake is briefly released”, i.e. 0% torque) or 100% of a maximum braking torque (¶0009, “by switching off the pump the brake is inevitably applied…..so that a secure hold is guaranteed”, e.g. a maximum holding torque is applied) Regarding Claim 10, Gentzsch further discloses A process (¶0012-0017) for operating a braking system as claimed in claim 1 Regarding Claim 13, Gentzsch further discloses wherein the transfer vehicle is a container gantry crane (¶0001; “The invention relates to a method and a device for controlling crane systems, such as construction cranes, container bridges and the like…”. Regarding Claim 14, Gentzsch further discloses wherein the sensor arrangement is configured to monitor specific system components of the transfer vehicle and trigger an emergency stop of the transfer vehicle in the event of a failure of the system components (¶0013, ¶0017, ¶0019, “If an emergency stop is triggered via unit 13 or if a power failure occurs”) 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) 8 and 11 are rejected under 35 U.S.C. 103 as being unpatentable over Gentzsch et al. (DE10333276A1).in view of Hiroaki (JPS59167715A). Hiroaki discloses “To make it possible to run and operate a running device smoothly outdoors by providing a logic circuit which discriminates optimum conditions of running and damping of a running body for the influence of wind on a basis of an anemoscope and an anemometer. CONSTITUTION:Brakes 11 and 19 connected to running driving motors 7 and 15 of a crane 1 through shafts of gears have a running stop function, and their operations are controlled by electromagnetic contactors 10 and 18 for brakes. Timings of release and damping of brakes are discriminated logically on a basis of the direction and the velocity of the wind, and extension or shortening of their limit times is selected. For the purpose of minimizing the influence of the wind that a load is fluctuated considerably by the velocity and the direction of the wind, data of the anemometer and the anemoscope and a command of a master controller are inputted to the logic circuit consisting of an electronic computer or the like to perform logical discrimination, and a motor torque due to selection of electromagnetic contactors, the magnitude of anti-phase damping, and the operation timing of brakes are selected to perform optimum driving.” (Abstract) Regarding Claim 8, Gentzsch discloses all the elements of Claim 1 but does not explicitly teach wherein the operating influence data comprises a wind load which acts on the transfer vehicle and which is determined at least from the wind speed and the wind direction Hiroaki teaches crane brake control (Abstract) wherein the operating influence data comprises a wind load which acts on the transfer vehicle and which is determined at least from the wind speed and the wind direction (“Timings of release and damping of brakes are discriminated logically on a basis of the direction and the velocity of the wind”) in order to achieve optimal brake control and in order that “it is possible to obtain the effect that a traveling vehicle exposed to wind can be driven as smoothly as when there is no wind.” (¶0001) It would have been obvious to one with ordinary skill in the art at the time of filing of the invention to have modified the crane brake control system of Gentzsch to incorporate the teachings of Hiroaki to include wherein the operating influence data comprises a wind load which acts on the transfer vehicle and which is determined at least from the wind speed and the wind direction in order to achieve optimal brake control and in order that “it is possible to obtain the effect that a traveling vehicle exposed to wind can be driven as smoothly as when there is no wind.” (¶0001) Regarding Claim 11, Gentzsch discloses all the elements of Claim 1 and further discloses wherein the operating state data provides information about a speed of travel of the transfer vehicle or individual components of the transfer vehicle (speed of the vehicle sensor 9 and speed of the wheels sensors 7a/b) for controlling braking torque. However, Gentzch does not explicitly teach wherein the operating state data provides information about a position and a direction of travel of the transfer vehicle or individual components of the transfer vehicle. Hiroaki teaches: wherein the operating state data provides information about a position and a direction of travel of the transfer vehicle or individual components of the transfer vehicle. (¶0001; “Brakes 11, 19 connected to the electric motors 7, 15 via shafts or gears have the function of stopping the vehicle, and their operation is controlled by electromagnetic brake contactors 10, 18. The timing of braking and release is determined logically based on the wind direction and speed, and a long or short time limit is selected. On the other hand, the equations of motion related to traveling are TL = WXα + AXβ (2) β = r(ν・θ) (3) where GD2 is the moment of inertia of the traveling body, IN/dt is the rotational speed and acceleration of the motor, TM is the torque generated by the motor, TL is the load torque, W is the weight of the traveling body, α is the traveling resistance, A is the pressure receiving area of the wind in the traveling direction, β is the wind pressure in the traveling direction. From these equations, β, in other words, the load changes greatly depending on the wind speed and direction, and so the acceleration and deceleration of the crane 1 change greatly, making it difficult for the operator to operate the crane 1 smoothly.” And “at the start, since it is acceleration time, the electronic computer operates the electromagnetic contactors 9-5 and 17-5, and the electronic computer delays the transmission of the brake release command signal to the electromagnetic contactors 10 and 18 from the normal time when there is no wind so that the release timing of the brake 11, 19 is delayed (for a long time) until the torque of the electric motors 7 and 15 reaches a maximum. In this way, there is no risk of the crane 1 traveling in the wrong direction due to a headwind at the start, and the traveling speed of the crane 1 is not slowed down even while traveling” and “the crane 1 stops at a position before the target fixed stop point due to headwind resistance, and there is no need to go to the trouble of restarting it until it reaches that fixed point. This allows for efficient cargo handling without the need for laborious travel and operation of the crane 1.”) in order to achieve optimal brake control based on speed, direction and position of the vehicle and in order that “it is possible to obtain the effect that a traveling vehicle exposed to wind can be driven as smoothly as when there is no wind.” (¶0001) It would have been obvious to one with ordinary skill in the art at the time of filing of the invention to have modified the crane brake control system of Gentzsch to incorporate the teachings of Hiroaki to include wherein the operating state data provides information about a position, a speed and a direction of travel of the transfer vehicle or individual components of the transfer vehicle in order to achieve optimal brake control based on speed, direction and position of the vehicle and in order that “it is possible to obtain the effect that a traveling vehicle exposed to wind can be driven as smoothly as when there is no wind.” (¶0001). Claim(s) 12 is rejected under 35 U.S.C. 103 as being unpatentable over Gentzsch et al. (DE10333276A1) in view of Kanakasabi et al. (U.S. PgPub2023/0041995A1; note EFD 01/09/2020). Kanakasabi discloses “Material handling systems, such as cranes, are commonly used to lift objects (e.g., casks) and move the objects from a first location to a second location. A lift mechanism is commonly provided on the crane for lifting of the object. Additionally, the crane commonly includes a plurality of wheel assemblies with wheels for movement of the crane along rails, particularly with overhead cranes. During use of the crane, the wheels experience primary vertical loads that occur as a result of the weight of the object being lifted. However, the wheels may also experience secondary loads (e.g., loads from inertia and braking, environmental loads from wind or snow, loads from rail misalignment, loads from misalignment of the crane itself, loads from skewing, or various other loads that are directed in one or more different directions onto the wheels). Overall, these primary and secondary loads may affect the lifetime of the wheels and other crane components.” And “The data acquisition system 200 and/or the main controller 204 may calculate, based on the estimated loads, real time component stresses and/or remaining lives of one or more components of the crane 10 (block 380). The data acquisition system 200 and/or the main controller 204 may also simulate a digital stress profile model of the crane 10 (block 385). Based on the real time component stresses, the remaining lives of the one or more components, and/or the digital stress profile models of the crane 10, an abnormal load condition may be output to a user (block 390) and/or a manufacturer may be notified (block 395).” (¶0054) and “the health monitoring system 186 is used to determine primary loads (e.g., loads on the wheel assembly 50, 70 due to the object being lifted by the lift mechanism 90 along the vertical axis 110), and secondary loads on the crane 10 due to various reasons such as, but not limited to: loads from inertia and braking, environmental loads (e.g., from wind, snow, etc.), loads from rail misalignment and/or other loads from misalignment of the crane 10 (e.g., crane squareness), loads from skewing, loads in a travel direction and relative position of wheel tread with respect to rail head width, and other loads in a travel direction of the wheel assembly 50, 70 (e.g., direction relative to the lateral axis 54 for each of the first wheel assemblies 50 or direction relative to the longitudinal axis 42 for each of the wheel assemblies 70).” (¶0056) and “the health monitoring system 186 (e.g., the main controller 204 of the health monitoring system 186) calculates or otherwise measures the health of the wheel assembly 50, 70 and the crane 10 overall, to determine the different secondary loads that are affecting the wheel assembly 50, 70, as well as the primary loads, and to determine whether one or more parts (e.g., the wheels 120 themselves, the axles 160, or the bearings, 164, 168) should be replaced or whether a failure is likely to occur within a given time period.” (¶0058) Regarding Claim 12, Gentzsch discloses “when accelerating and braking the trolley, which can travel in both directions, the wheels of the respective axles are pressed onto the rails with varying degrees of force depending on the load to be transported” (¶0011) However, Gentzsch does not explicitly teach: wherein the operating state data provides information about mass distribution of the transfer vehicle, as well as a weight and a position of freight which is lifted by the transfer vehicle Kanakasabi teaches: wherein the operating state data provides information about mass distribution of the transfer vehicle, as well as a weight and a position of freight which is lifted by the transfer vehicle (¶0056, “the health monitoring system 186 is used to determine primary loads (e.g., loads on the wheel assembly 50, 70 due to the object being lifted by the lift mechanism 90 along the vertical axis 110), and secondary loads on the crane 10…”; the primary and secondary loads acting through each of the wheels and determined by the heatlh monitoring system are based on the mass distribution of the transfer vehicle, and the weight (mass) and position of the freight (object) being lifted and moved from a first location to a second location) in order to “determine whether one or more parts (e.g., the wheels 120 themselves, the axles 160, or the bearings, 164, 168) should be replaced or whether a failure is likely to occur within a given time period.” (¶0058) It would have been obvious to one with ordinary skill in the art at the time of filing of the invention to have modified the crane brake control system of Gentzsch to incorporate the teachings of Kanakasabi to include wherein the operating state data provides information about mass distribution of the transfer vehicle, as well as a weight and a position of freight which is lifted by the transfer vehicle in order to “determine whether one or more parts (e.g., the wheels 120 themselves, the axles 160, or the bearings, 164, 168) should be replaced or whether a failure is likely to occur within a given time period.” (¶0058) 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. The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. IshiI et al. (U.S. 2018/0086607A1) discloses “The invention of the present application relates to a crane including travel devices which are arranged on the opposite sides with a gap in a transverse direction and a crane structure which is supported by the travel devices, more specifically to a crane which can suppress deformation and vibration of the crane structure when the crane travels and stops.” (¶0001) Any inquiry concerning this communication or earlier communications from the examiner should be directed to BRIAN R KIRBY whose telephone number is (571)270-3665. The examiner can normally be reached Telework: M-F, 9a-5p. 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, Lindsay Low can be reached at 571-272-1196. 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. /BRIAN R KIRBY/Examiner, Art Unit 3747 /LINDSAY M LOW/Supervisory Patent Examiner, Art Unit 3747
Read full office action

Prosecution Timeline

Jul 29, 2024
Application Filed
Sep 10, 2025
Non-Final Rejection — §102, §103
Nov 24, 2025
Response Filed
Feb 13, 2026
Final Rejection — §102, §103 (current)

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Prosecution Projections

3-4
Expected OA Rounds
71%
Grant Probability
92%
With Interview (+20.4%)
2y 7m
Median Time to Grant
Moderate
PTA Risk
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