Prosecution Insights
Last updated: October 02, 2026
Application No. 18/891,080

BUCKET LIP HAVING WEAR CAP RETENTION FEATURE

Non-Final OA §103
Filed
Sep 20, 2024
Examiner
BEHRENS, ADAM J
Art Unit
3671
Tech Center
3600 — Transportation & Electronic Commerce
Assignee
Caterpillar Inc.
OA Round
1 (Non-Final)
77%
Grant Probability
Favorable
1-2
OA Rounds
6m
Est. Remaining
89%
With Interview

Examiner Intelligence

Grants 77% — above average
77%
Career Allowance Rate
443 granted / 573 resolved
+25.3% vs TC avg
Moderate +12% lift
Without
With
+12.1%
Interview Lift
resolved cases with interview
Typical timeline
2y 7m
Avg Prosecution
15 currently pending
Career history
592
Total Applications
across all art units

Statute-Specific Performance

§101
0.1%
-39.9% vs TC avg
§103
42.7%
+2.7% vs TC avg
§102
28.3%
-11.7% vs TC avg
§112
25.9%
-14.1% vs TC avg
Black line = Tech Center average estimate • Based on career data from 573 resolved cases

Office Action

§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 . Information Disclosure Statement The information disclosure statement filed 1-22-2026 fails to comply with 37 CFR 1.98(a)(2), which requires a legible copy of each cited foreign patent document; each non-patent literature publication or that portion which caused it to be listed; and all other information or that portion which caused it to be listed. It has been placed in the application file, but the information referred to therein has not been considered. Claim Rejections - 35 USC § 103 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 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) 1-9, 12 and 18-19 is/are rejected under 35 U.S.C. 103 as being unpatentable over Mack (USPN 5987787) in view of Churchhill (USPN 11952742). Regarding claim 1, Mack discloses a coupler station (Figure2) including a top surface (38) stepped down from an upper surface (22); the coupler station further including a wear cap retention feature protruding in at least one of an upward direction or a lateral direction relative to the respective top surface and having a retention feature elevation that is flush with or below the upper surface (retention feature pointed to by indicator 36 has laterally projecting top rails and bottom rails that meet rearwardly and form a groove 42. The upper lateral rails have an elevation below upper surface 22). Mack discloses a single coupler station and is lacking a plurality and wherein the coupler is formed within a bucket lip. Churchhill discloses a lip for an excavation bucket and teaches a single cast lip with the coupler stations formed within the single cast lip as seen in figure 1. The bucket lip comprising: an elongate lip body including an upper lip side having an upper lip surface (46) extending in a lateral direction between a first lateral edge and a second lateral edge (edges 45), and in a fore-aft direction between a forward lip edge and a back lip edge, and a lower lip side (Seen in figure 2); the elongate lip body further including a plurality of coupler stations (26) arranged along the forward lip edge. It would have been obvious to one of ordinary skill in the art, before the effective filing date of the claimed invention, to modify Mack by forming the coupler stations into a unitary case bucket lip as taught by Churchhill for the purpose of a stronger lip structure without the need to weld the coupler stations onto a basic straight lip. Regarding claim 2, Mack further discloses wherein each respective wear cap retention feature includes at least one wear cap rail (Top rails are on both sides of the surface 38). Regarding claim 3, Mack further discloses wherein the at least one wear cap rail includes a first wear cap rail protruding in a first lateral direction and a second wear cap rail protruding in a second lateral direction (The top rails extend left and right in opposite directions). Regarding claim 4, Mack further discloses wherein each respective top surface is planar, and each of the first wear cap rail and the second wear cap rail includes a planar rail surface transitioning with the respective top surface (Figure 2 shows planar surface 38. The top of the rails on the left and right are flush and form a portion of the top surface). Regarding claim 5, Mack further discloses wherein a first undercut (Groove 42) is defined between the first wear cap rail (Top rail on either the right of the left) and a base portion of the respective coupler station (Bottom rail is a base portion defining the groove 42), and a second undercut is defined between the second wear cap rail and the base portion (There are rails and grooves on both sides). Regarding claim 6, Mack further discloses wherein each of the first undercut and the second undercut forms a wedge shape opening in a forward direction away from the forward lip edge (Groove 42 is tapered rearwardly, column 3 lines 49-55, to form a wedge shape with an open forward end and a closed rear end). Regarding claim 7, Mack further discloses wherein each of the first wear cap rail and the second wear cap rail includes a leading edge extending angularly back from the respective nose portion (The top corners of the nose 32 are angled and form a front portion of the defined rails), and a trailing edge extending in the fore-aft direction from the respective leading edge (After the front angled edge the rest of the rail extends rearwardly). Regarding claim 8, the combination discloses wherein the elongate lip body includes a one-piece casting (Churchhill column 2 lines 60-65), and the wear cap retention feature is formed integrally in the one-piece casting (The combination would comprise a single casting as taught by Churchill). Regarding claim 9, Mack further discloses wherein each wear cap retention feature is attached to the respective top surface (Its directly attached by the casting process). Regarding claim 12, Mack discloses a coupler station (Figure2), the coupler station including a base portion (Portion projecting foreword of surface 20), a nose portion (32), and a wear cap retention feature positioned at a wear cap engagement location that is flush with or below the upper lip surface ((retention feature pointed to by indicator 36 has laterally projecting top rails and bottom rails that meet rearwardly and form a groove 42. The upper lateral rails have an elevation below upper surface 22). Mack discloses a single coupler station and is lacking a plurality and wherein the coupler is formed within a bucket lip. Churchhill discloses a lip for an excavation bucket and teaches a single cast lip with the coupler stations formed within the single cast lip as seen in figure 1. The bucket lip comprising: an elongate lip body including an upper lip side having an upper lip surface (46) extending in a lateral direction between a first lateral edge and a second lateral edge (edges 45), and in a fore-aft direction between a forward lip edge and a back lip edge, and a lower lip side (Seen in figure 2); the elongate lip body further including a plurality of coupler stations (26) arranged along the forward lip edge. It would have been obvious to one of ordinary skill in the art, before the effective filing date of the claimed invention, to modify Mack by forming the coupler stations into a unitary case bucket lip as taught by Churchhill for the purpose of a stronger lip structure without the need to weld the coupler stations onto a basic straight lip. Regarding claim 18, Mack discloses a coupler station (Figure2), including a top surface (38) stepped down from an upper surface (22); and a wear cap retention feature having a retention feature elevation that is flush with or below the upper lip surface; (retention feature pointed to by indicator 36 has laterally projecting top rails and bottom rails that meet rearwardly and form a groove 42. The upper lateral rails have an elevation below upper surface 22), and a wear cap (14) installed on the coupler station Mack discloses a single coupler station and is lacking a plurality and wherein the coupler is formed within a bucket lip. Churchhill discloses a lip for an excavation bucket and teaches a single cast lip with the coupler stations formed within the single cast lip as seen in figure 1. The bucket lip comprising: an elongate lip body including an upper lip side having an upper lip surface (46) extending in a lateral direction between a first lateral edge and a second lateral edge (edges 45), and in a fore-aft direction between a forward lip edge and a back lip edge, and a lower lip side (Seen in figure 2); the elongate lip body further including a plurality of coupler stations (26) arranged along the forward lip edge. It would have been obvious to one of ordinary skill in the art, before the effective filing date of the claimed invention, to modify Mack by forming the coupler stations into a unitary case bucket lip as taught by Churchhill for the purpose of a stronger lip structure without the need to weld the coupler stations onto a basic straight lip. Regarding claim 19, Mack further discloses wherein the wear cap retention feature includes a first wear cap rail and a second wear cap rail upon opposite lateral sides of the coupler station (The top rails extend left and right in opposite directions) and formed integrally with the elongate one-piece casting (Churchhill column 2 lines 60-65. The entire structure is considered to be cast). Allowable Subject Matter Claims 10-11, 13-17 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. Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. Crowe (US 2024/0044114). Any inquiry concerning this communication or earlier communications from the examiner should be directed to ADAM J BEHRENS whose telephone number is (303)297-4336. The examiner can normally be reached M-F 9am-2pm MST. 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, Joseph M. Rocca can be reached at (571) 272-8971. 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. /ADAM J BEHRENS/Primary Examiner, Art Unit 3671
Read full office action

Prosecution Timeline

Sep 20, 2024
Application Filed
Oct 02, 2024
Response after Non-Final Action
Aug 13, 2026
Non-Final Rejection mailed — §103 (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

1-2
Expected OA Rounds
77%
Grant Probability
89%
With Interview (+12.1%)
2y 7m (~6m remaining)
Median Time to Grant
Low
PTA Risk
Based on 573 resolved cases by this examiner. Grant probability derived from career allowance rate.

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