Prosecution Insights
Last updated: October 23, 2026
Application No. 18/796,850

IMPROVED MICROGRID HEALTH DETECTION

Non-Final OA §103
Filed
Aug 07, 2024
Examiner
CORTES, HOWARD
Art Unit
2118
Tech Center
2100 — Computer Architecture & Software
Assignee
Caterpillar Inc.
OA Round
1 (Non-Final)
78%
Grant Probability
Favorable
1-2
OA Rounds
11m
Est. Remaining
93%
With Interview

Examiner Intelligence

Grants 78% — above average
78%
Career Allowance Rate
413 granted / 526 resolved
+23.5% vs TC avg
Moderate +14% lift
Without
With
+14.5%
Interview Lift
resolved cases with interview
Typical timeline
3y 1m
Avg Prosecution
26 currently pending
Career history
556
Total Applications
across all art units

Statute-Specific Performance

§101
11.2%
-28.8% vs TC avg
§103
49.6%
+9.6% vs TC avg
§102
18.2%
-21.8% vs TC avg
§112
13.9%
-26.1% vs TC avg
Black line = Tech Center average estimate • Based on career data from 526 resolved cases

Office Action

§103
Detailed Action The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA . This action is responsive to the 12/02/2025 communication(s). As per the claims filed 8/07/2024: Claims 1-20 are pending. Claim(s) 1, 20 is/are independent claim(s). Note Regarding Prior Art Examiner cites particular columns, paragraphs, figures and line numbers in the references as applied to the claims below for the convenience of the applicant. Although the specified citations are representative of the teachings in the art and are applied to the specific limitations within the individual claim, other passages and figures may apply as well. It is respectfully requested that, in preparing responses, the applicant fully consider the references in their entirety as potentially teaching all or part of the claimed invention, as well as the context of the passage as taught by the prior art or disclosed by the examiner. Note Regarding AIA Status 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 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. 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. This application currently names joint inventors. In considering patentability of the claims the examiner presumes that the subject matter of the various claims was commonly owned as of the effective filing date of the claimed invention(s) absent any evidence to the contrary. Applicant is advised of the obligation under 37 CFR 1.56 to point out the inventor and effective filing dates of each claim that was not commonly owned as of the effective filing date of the later invention in order for the examiner to consider the applicability of 35 U.S.C. 102(b)(2)(C) for any potential 35 U.S.C. 102(a)(2) prior art against the later invention. Claim(s) 1-2, 7, 15, 20 is/are rejected under 35 U.S.C. 103 as being unpatentable over Dingguo Chen et al (US PG Pub No. US 2016/0313716; Published: 10/27/2016)(hereinafter: Chen) in view of Yiwen Xia et al (US PG Pub No. US 2023/0307922; Priority: 09/28/2023)(hereinafter: Xia). Note: Chen was cited in the IDS filed 12/02/2025. Claim 1: As per independent claim 1, Chen discloses a microgrid controller of a microgrid, comprising: one or more memories configured to store a health monitoring algorithm [[0010] The system includes a process controller; a memory coupled to the process controller and storing instructions executable on the process controller, the instructions operable to provide a smart generation control (SGC) system for use with a plurality of resources and loads, wherein the resources and loads are coupled to a microgrid transmission line that is couplable to a macrogid transmission line]; a communication interface configured to receive load information corresponding to a plurality of loads connected to the microgrid [[0045] system overview window displays load profile information [0047] A load details window 314 can include a graphical display (e.g., a pie chart) depicting the relative amount of energy various loads within the microgrid are consuming as well as the relative amount being contributed to the external macrogrid.] receive energy resource information corresponding to a plurality of energy resource systems connected to the microgrid [[0048] A generation details window 316 can include a graphical display (e.g., a pie chart) depicting the relative amount of energy various resources within the microgrid are contributing as well as the relative contribution of the external macrogrid.], and generate one or more alarms based on the health monitoring algorithm [[0045] alarms are part of the interface, [0065] The Reserve Monitor function enables monitoring of the microgrid's actual reserves against the minimum requirements for responsive, regulating as well as reactive reserves and alarming deficiencies. This function initiates corrective action for establishing sufficient responsive reserve for enabling load following resources to take responsive action for regulating microgrid frequency to within desired limits in island mode operation.]; and one or more processors, coupled to the one or more memories for executing the health monitoring algorithm, wherein the one or more processors are configured to [[0152] A control system, application, or program, as that term is used herein, may be a computer processor coupled with an operating system, device drivers, and appropriate programs (collectively “software”) with instructions to provide the functionality described for the control system.]: Chen discloses monitoring parameters and triggering alarms ([0079] This method monitors for voltage violations at the interconnect bus against nominal voltage and issues an alarm if the violation persists). However, Chen failed to specifically disclose monitor one or more microgrid parameters, according to a soft diagnostic condition, based on at least one of the energy resource information or the load information, detect a soft trigger event based on the one or more microgrid parameters satisfying the soft diagnostic condition, in response to the soft diagnostic condition being satisfied, monitor the one or more microgrid parameters, according to a hard diagnostic condition, based on at least one of the energy resource information or the load information, detect a hard trigger event based on the one or more microgrid parameters satisfying the hard diagnostic condition, and in response to the hard diagnostic condition being satisfied, generate a hard alarm. Xia, in the same field of microgrid monitoring and alarm triggering discloses monitor one or more microgrid parameters[[0009] there is provided a microgrid controller for use with a microgrid system including a microgrid on-site control component; a microgrid monitoring system component; and a microgrid operation system component.], according to a soft diagnostic condition, based on at least one of the energy resource information or the load information, detect a soft trigger event based on the one or more microgrid parameters satisfying the soft diagnostic condition, in response to the soft diagnostic condition being satisfied, monitor the one or more microgrid parameters, according to a hard diagnostic condition, based on at least one of the energy resource information or the load information, detect a hard trigger event based on the one or more microgrid parameters satisfying the hard diagnostic condition, and in response to the hard diagnostic condition being satisfied, generate a hard alarm [[0049]threshold and/or warning values through the microgrid system whereby if data received from one of the components passes the threshold or warning value, an alarm may be generated. the Migrid system may process the data collected from the upper control and monitoring systems and compare them with the protection or warning values. When the data received by the microgrid controller exceeds a threshold value, the microgrid controller performs or executes protection activity according to the pre-set rules and may send warning signals to users.]. Conditions need to be met for the alarms to be triggered. Different thresholds can be set which will trigger different alarms. Accordingly, it would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to modify the alarm triggering techniques of Chen to monitor one or more microgrid parameters, detect a soft trigger event based on the one or more microgrid parameters satisfying the soft diagnostic condition, monitor the one or more microgrid parameters, according to a hard diagnostic condition, detect a hard trigger event based on the one or more microgrid parameters satisfying the hard diagnostic condition, and in response to the hard diagnostic condition being satisfied, generate a hard alarm as disclosed by Xia. The motivation for doing so would have been to include monitoring software capable of interacting with different components of a microgrid (0008) while allowing the microgrid controller to send alerts to users while performing or executing protection activity according to the pre-set rules (0049). Claim 2: As per claim 2, which depends on claim 1, it is rejected under the same rationale as claim 1 above. Additionally, Chen and Xia disclose wherein the one or more processors are configured to, in response to the soft diagnostic condition being satisfied, generate a soft alarm. Xia [[0049]threshold and/or warning values through the microgrid system whereby if data received from one of the components passes the threshold or warning value, an alarm may be generated. the Migrid system may process the data collected from the upper control and monitoring systems and compare them with the protection or warning values. When the data received by the microgrid controller exceeds a threshold value, the microgrid controller performs or executes protection activity according to the pre-set rules and may send warning signals to users.]. A lower threshold would trigger a lower (soft) alarm. Claim 7: As per claim 7, which depends on claim 1, it is rejected under the same rationale as claim 1 above. Additionally, Chen and Xia disclose wherein the soft diagnostic condition includes at least one of a value-based threshold or a time-based threshold. Xia, [[0049]threshold and/or warning values through the microgrid system whereby if data received from one of the components passes the threshold or warning value, an alarm may be generated. the Migrid system may process the data collected from the upper control and monitoring systems and compare them with the protection or warning values. When the data received by the microgrid controller exceeds a threshold value, the microgrid controller performs or executes protection activity according to the pre-set rules and may send warning signals to users.]. Thresholds are value based. Claim 15: As per claim 15, which depends on claim 1, Chen and Xia disclose wherein the one or more processors are configured to: monitor an output power of one or more energy resource systems based on a target output power, wherein the soft diagnostic condition is satisfied based on the output power being less than the target output power for a first time duration, and wherein the hard diagnostic condition is satisfied based on the output power being less than the target output power for a second time duration that starts at a time the soft diagnostic condition is satisfied. Chen [[0079] When the actual voltage at the interconnect bus violates either the low or high voltage limit, a timer is started to track the voltage violation time. If the duration of the voltage violation exceeds a pre-designated time period, a persistent voltage violation is claimed. An alarm is issued to indicate the persistent voltage violation and differentiate it from temporary violations.] Claim 20: As per independent claim 20, it recites the method being executed by the controller of claim 1, therefore it is rejected under the same rationale as claim 1 above. Allowable Subject Matter Claim 3-6, 8-14, 16-19 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: The prior art of record alone or in any reasonable combination failed to disclose the limitation of dependent claims 3-6, 8-14, 16-19. Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. Contact Any inquiry concerning this communication or earlier communications from the examiner should be directed to HOWARD CORTES whose telephone number is (571)270-1383. The examiner can normally be reached on M-F, 8:00 am - 5:00 pm EST. If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Scott T Baderman can be reached on (571)272-3644. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300. Information regarding the status of an application may be obtained from the Patent Application Information Retrieval (PAIR) system. Status information for published applications may be obtained from either Private PAIR or Public PAIR. Status information for unpublished applications is available through Private PAIR only. For more information about the PAIR system, see http://pair-direct.uspto.gov. Should you have questions on access to the Private PAIR system, contact the Electronic Business Center (EBC) at 866-217-9197 (toll-free). If you would like assistance from a USPTO Customer Service Representative or access to the automated information system, call 800-786-9199 (IN USA OR CANADA) or 571-272-1000. /HOWARD CORTES/ Primary Examiner, Art Unit 2118
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Prosecution Timeline

Aug 07, 2024
Application Filed
Aug 11, 2026
Non-Final Rejection mailed — §103
Oct 13, 2026
Interview Requested
Oct 21, 2026
Applicant Interview (Telephonic)
Oct 21, 2026
Examiner Interview Summary

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Prosecution Projections

1-2
Expected OA Rounds
78%
Grant Probability
93%
With Interview (+14.5%)
3y 1m (~11m remaining)
Median Time to Grant
Low
PTA Risk
Based on 526 resolved cases by this examiner. Grant probability derived from career allowance rate.

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