Prosecution Insights
Last updated: October 02, 2026
Application No. 18/833,311

Roof Support Unit for a Mining Machine

Non-Final OA §102§103§112
Filed
Jul 25, 2024
Priority
Jan 25, 2022 — GB 2200922.9 +1 more
Examiner
TOLEDO-DURAN, EDWIN J
Art Unit
3678
Tech Center
3600 — Transportation & Electronic Commerce
Assignee
Caterpillar Inc.
OA Round
3 (Non-Final)
70%
Grant Probability
Favorable
3-4
OA Rounds
4m
Est. Remaining
99%
With Interview

Examiner Intelligence

Grants 70% — above average
70%
Career Allowance Rate
561 granted / 800 resolved
+18.1% vs TC avg
Strong +32% interview lift
Without
With
+32.2%
Interview Lift
resolved cases with interview
Typical timeline
2y 6m
Avg Prosecution
46 currently pending
Career history
846
Total Applications
across all art units

Statute-Specific Performance

§101
0.5%
-39.5% vs TC avg
§103
48.1%
+8.1% vs TC avg
§102
22.1%
-17.9% vs TC avg
§112
24.1%
-15.9% vs TC avg
Black line = Tech Center average estimate • Based on career data from 800 resolved cases

Office Action

§102 §103 §112
DETAILED ACTION In response to remarks filed on 5 August 2026 Continued Examination Under 37 CFR 1.114 A request for continued examination under 37 CFR 1.114, including the fee set forth in 37 CFR 1.17(e), was filed in this application after final rejection. Since this application is eligible for continued examination under 37 CFR 1.114, and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114. Applicant's submission filed on 5 August 2026 has been entered. Status of Claims Claims 1, 3-10 and 12-15 are pending; Claims 1 and 12 are currently amended; Claims 3-10 and 13-15 were previously presented; Claims 2 and 11 are cancelled; Claims 1, 3-10 and 12-15 are rejected herein. Response to Arguments Applicant’s arguments filed on 5 August 2026 have been fully considered but they are moot since new grounds of rejection are presented herein in view of the new limitations presented by applicant. Claim Rejections - 35 USC § 112 The following is a quotation of 35 U.S.C. 112(b): (b) CONCLUSION.—The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the inventor or a joint inventor regards as the invention. The following is a quotation of 35 U.S.C. 112 (pre-AIA ), second paragraph: The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the applicant regards as his invention. Claims 1, 3-10 and 12-15 are rejected under 35 U.S.C. 112(b) or 35 U.S.C. 112 (pre-AIA ), second paragraph, as being indefinite for failing to particularly point out and distinctly claim the subject matter which the inventor or a joint inventor (or for applications subject to pre-AIA 35 U.S.C. 112, the applicant), regards as the invention. As to Claim 1, the claim recites “particularly”. The use of the term is improper as it is unclear if the limitation following particularly is optional. Appropriate correction is required. As to Claim 15, the claim recites “at least one roof support unit” but there is no “at least one roof support unit” in claim 1. Appropriate correction is required. The dependent claims are also rejected for depending on a rejected independent claim. 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. Claims 1, 3-10, 12, 13 and 15 is/are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Winkler (U.K. Patent Publication No. GB1517763A). As to Claim 1, Winkler discloses a roof support unit for a mining machine, particularly for a longwall mining system, comprising a support canopy (63) which is supported on a base (61) via at least one damper unit (653) and at least one actuator (652) configured to move the support canopy (63) relative to the base (61), Wherein the damper unit (653) is interposed between the support canopy and the actuator or between the base (61) and the actuator (652); Wherein the damper unit (653) has a first end portion (End of 653 facing 652) and a second end portion (End of 653 facing 651) opposite the first end portion, and wherein the damper unit (653) has a compression element (653 is a spring which is a compression element) between the first end portion and the second end portion; Wherein the first end portion of the damper unit (653) is directly connected to the actuator (652) and the second end portion of the damper unit has a pivot connection (651) with either the support canopy or the base (61); Wherein the damper unit (653) and the actuator (652) are connected in line (Figure 6) between the support canopy (63) and the base (61); and Wherein the pivot connection (651) is in line (Figure 6) with the compression element (653) and the actuator (652). As to Claim 3, Winkler discloses the invention of Claim 1 (Refer to Claim 1 discussion). Winkler also discloses wherein the actuator (652) is configured to raise or lower the support canopy (63) relative to the base (61). As to Claim 4, Winkler discloses the invention of Claim 1 (Refer to Claim 1 discussion). Winkler also discloses wherein the actuator is at least one of a linear actuator (652) and hydraulic actuator. As to Claim 5, Winkler discloses the invention of Claim 1 (Refer to Claim 1 discussion). Winkler also discloses wherein the damper unit (653) is configured to transmit a support force between the support canopy (63) and the base (61) for maintaining or changing a position of the support canopy relative to the base during operation. As to Claim 6, Winkler discloses the invention of Claim 1 (Refer to Claim 1 discussion). Winkler also discloses wherein the support canopy (63) is structurally connected to the base (61) via the damper unit (653). As to Claim 7, Winkler discloses the invention of Claim 1 (Refer to Claim 1 discussion). Winkler also discloses wherein the damper unit (653) is configured to allow movement of the actuator (652) relative to the support canopy (63) or the base (61). As to Claim 8, Winkler discloses the invention of Claim 1 (Refer to Claim 1 discussion). Winkler also discloses wherein the damper unit (653) is configured to dampen movement of the actuator (652) relative to the support canopy (63) or the base (61). As to Claim 9, Winkler discloses the invention of Claim 1 (Refer to Claim 1 discussion). Winkler also discloses wherein the damper unit (653) is configured to dampen movement of the actuator (652) relative to the support canopy (63) or the base (61) in a retracting or extending movement direction of the actuator (653). As to Claim 10, Winkler discloses the invention of Claim 1 (Refer to Claim 1 discussion). Winkler also discloses wherein the damper unit (653) is mounted to an end section of the actuator (652). As to Claim 12, Winkler discloses the invention of Claim 1 (Refer to Claim 1 discussion). Winkler also discloses wherein the compression element (653) js configured to convert motion energy of the actuator into potential energy or heat. As to Claim 13, Winkler discloses the invention of Claim 12 (Refer to Claim 12 discussion). Winkler also discloses wherein the compression element comprises or is a solid compression element (653. A spring is made of a solid spiral element). As to Claim 15, Winkler discloses a longwall mining system comprising at least one roof support unit (Figure 6) according to claim 1 (Refer to Claim 1 discussion). 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. Claims 1, 3-10, 12, 13 and 15 is/are rejected under 35 U.S.C. 103 as being unpatentable over Zhang (China Patent Publication No. CN208816159U) in view of Winkler (U.K. Patent Publication No. GB1517763A). As to Claim 1, Zhang discloses a roof support unit (Figure 1) for a mining machine, particularly for a longwall mining system, comprising a support canopy (4) which is supported on a base (8) via at least one damper unit (10) and at least one actuator (11) configured to move the support canopy (4) relative to the base (8); Wherein the damper unit (10) is interposed between the support canopy and the actuator or between the base (8) and the actuator (11); Wherein the damper unit (10) has a first end portion (1003) and a second end portion (1012) opposite the first end portion and wherein the damper unit has a compression element (1008, 1009) between the first end portion (1003) and the second end portion (1012); Wherein the first end portion (1003) of the damper unit (10) is directly connected to the actuator (11) and the second end portion (1012) of the damper unit has a connection with either the support canopy or the base (8); Wherein the damper unit (10) and the actuator are connected in line between the support canopy (4) and the base (8). However, Zhang is silent about the second end portion of the damper unit having a pivot connection with either the support canopy or the base; and wherein the pivot connection is in line with the compression element and the actuator. Winkler discloses a second end portion of a damper unit (653) has a pivot connection (651) with either a support canopy or a base (61); and wherein the pivot connection (651) is in line (Figure 6) with the compression element (653) and the actuator (652). Before the effective filing date of the invention, it would have been obvious to a person of ordinary skill in the art to make the second end portion of the damper unit have a pivot connection with either the support canopy or the base; and wherein the pivot connection is in line with the compression element and the actuator. The motivation would have been to adjust the height of the roof support depending on roof height requirements. As to Claim 3, Zhang as modified teaches the invention of Claim 1 (Refer to Claim 1 discussion). Zhang as modified also teaches wherein the actuator (11) is configured to raise or lower the support canopy (4) relative to the base (8). As to Claim 4, Zhang as modified teaches the invention of Claim 1 (Refer to Claim 1 discussion). Zhang as modified also teaches wherein the actuator (11) is at least one of a linear actuator and hydraulic actuator. As to Claim 5, Zhang as modified teaches the invention of Claim 1 (Refer to Claim 1 discussion). Zhang as modified also teaches wherein the damper unit (10) is configured to transmit a support force between the support canopy (4) and the base (8) for maintaining or changing a position of the support canopy (4) relative to the base (8) during operation. As to Claim 6, Zhang as modified teaches the invention of Claim 1 (Refer to Claim 1 discussion). Zhang as modified also teaches wherein the support canopy (4) is structurally connected to the base (8) via the damper unit (10). As to Claim 7, Zhang as modified teaches the invention of Claim 1 (Refer to Claim 1 discussion). Zhang as modified also teaches wherein the damper unit (10) is configured to allow movement of the actuator (11) relative to the support canopy (4) or the base (8). As to Claim 8, Zhang as modified teaches the invention of Claim 1 (Refer to Claim 1 discussion). Zhang as modified also teaches wherein the damper unit (10) is configured to dampen movement of the actuator (11) relative to the support canopy (4) or the base (8). As to Claim 9, Zhang as modified teaches the invention of Claim 1 (Refer to Claim 1 discussion). Zhang as modified also teaches wherein the damper unit (10) is configured to dampen movement of the actuator (11) relative to the support canopy (4) or the base (8) in a retracting or extending movement direction of the actuator (11). As to Claim 10, Zhang as modified teaches the invention of Claim 1 (Refer to Claim 1 discussion). Zhang as modified also teaches wherein the damper unit (10) is mounted to an end section of the actuator (11). As to Claim 12, Zhang as modified teaches the invention of Claim 1 (Refer to Claim 1 discussion). Zhang as modified also teaches wherein the damper unit (10) comprises a compression element (1008, 1009) configured to convert motion energy of the actuator (11) into potential energy or heat. As to Claim 13, Zhang as modified teaches the invention of Claim 12 (Refer to Claim 12 discussion). Zhang as modified also teaches wherein the compression element (1008, 1009) comprises or is a solid compression element (Springs are made of a solid material). As to Claim 15, Zhang discloses the longwall mining system comprising at least one roof support unit (Figure 1) according to Claim 1 (Refer to Claim 1 discussion). Claim 14 is/are rejected under 35 U.S.C. 103 as being unpatentable over Zhang (China Patent Publication No. CN208816159U) in view of Winkler (U.K. Patent Publication No. GB1517763A); and further in view of Lu et al (China Patent Publication No. 111365048). As to Claim 14, Zhang as modified teaches the invention of Claim 12 (Refer to Claim 12 discussion). However, Zhang as modified is silent about wherein the compression element comprises or is a compression fluid. Lu discloses an actuator (1) with a damper unit (5) at the end thereof, the damper unit comprising a compression element that comprises a compression fluid (5g). Before the effective filing date of the invention, it would have been obvious to a person of ordinary skill in the art to make the compression element comprise a compression fluid since the substitution of one known element for another would have yielded the same result of dampening impacts. Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to EDWIN J TOLEDO-DURAN whose telephone number is (571)270-7501. The examiner can normally be reached Monday through Friday: 10:00AM to 6:00PM EST. 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, AMBER ANDERSON can be reached at (571) 270-5281. 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. /EDWIN J TOLEDO-DURAN/Primary Examiner, Art Unit 3678
Read full office action

Prosecution Timeline

Show 3 earlier events
Jan 07, 2026
Examiner Interview Summary
Jan 07, 2026
Applicant Interview (Telephonic)
Feb 05, 2026
Response Filed
May 07, 2026
Final Rejection mailed — §102, §103, §112
Jul 08, 2026
Interview Requested
Aug 05, 2026
Request for Continued Examination
Aug 06, 2026
Response after Non-Final Action
Aug 21, 2026
Non-Final Rejection mailed — §102, §103, §112 (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
70%
Grant Probability
99%
With Interview (+32.2%)
2y 6m (~4m remaining)
Median Time to Grant
High
PTA Risk
Based on 800 resolved cases by this examiner. Grant probability derived from career allowance rate.

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