Prosecution Insights
Last updated: April 19, 2026
Application No. 18/912,962

Hose Retention System

Non-Final OA §102§103§112
Filed
Oct 11, 2024
Examiner
GARFT, CHRISTOPHER
Art Unit
3632
Tech Center
3600 — Transportation & Electronic Commerce
Assignee
Caterpillar Global Mining Equipment LLC
OA Round
1 (Non-Final)
59%
Grant Probability
Moderate
1-2
OA Rounds
2y 4m
To Grant
82%
With Interview

Examiner Intelligence

Grants 59% of resolved cases
59%
Career Allow Rate
818 granted / 1392 resolved
+6.8% vs TC avg
Strong +23% interview lift
Without
With
+22.8%
Interview Lift
resolved cases with interview
Typical timeline
2y 4m
Avg Prosecution
73 currently pending
Career history
1465
Total Applications
across all art units

Statute-Specific Performance

§103
46.5%
+6.5% vs TC avg
§102
25.1%
-14.9% vs TC avg
§112
26.2%
-13.8% vs TC avg
Black line = Tech Center average estimate • Based on career data from 1392 resolved cases

Office Action

§102 §103 §112
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 . 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 5-6 and 13-14 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. Re. Cls. 5 and 13, the limitation “a second surface opposite the first surface, wherein the stopper is adapted to engage with the second surface of the gate to prevent the movement of the gate beyond the predetermined angular distance in each of the clockwise and the anti-clockwise direction” renders the claim indefinite in the Examiner’s position. Applicant identifies the second surface as (238), the stopper as (242) which can be seen clearly in Fig. 3a. As can be seen in Fig. 3a, when the gate rotates in the clockwise direction (C1), the second surface (238) would contact the stopper (242), thus preventing further movement. However, as can be seen in Fig. 3a, when the gate rotated in the anti-clockwise direction (C2), it appears as if the first surface (234) would contact the stopper (242) if the gate were enabled to travel that far against the force of the spring (244). Therefore, it is unclear how the gate can function as claimed. Appropriate clarification is requested. 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 1-2, 4, and 17-18 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Gonzalez US 11319808 (hereinafter Gonzales). Re. Cl. 1, Gonzalez discloses: A hose retention system (see Fig. 5) for a machine (16, Fig. 5), the hose retention system comprising: a bracket assembly (130 and 132, Fig. 5) defining a first end (end where 132 is located, Fig. 5), a second end opposite the first end (see Fig. 4, end coupled to 24), and a central opening (see Fig. 5, into member 130); a gate (54, Fig. 5) coupled to the bracket assembly at the first end of the bracket assembly (see Fig. 5), the gate being movable between a closed position (see Fig. 4) and an open position (see Fig. 5), wherein the gate is disposed in the open position to allow passage of one or more hoses of the machine through the central opening of the bracket assembly (see Fig. 5), and wherein, to be disposed in the open position, the gate is movable in any one of a clockwise direction and an anti-clockwise direction (see Fig. 4-5, the gate 54 rotates about 144 in a clockwise direction to open); and at least one gate locking pin (154, Fig. 5) coupled to the bracket assembly (see Fig. 5), wherein the at least one gate locking pin is movable between a locked state and an unlocked state (see Fig. 4-5, enabling adjustment between positions 152 and 150 and holding in those positions), wherein, in the locked state, the at least one gate locking pin prevents a movement of the gate to the open position (see Fig. 4), and wherein, in the unlocked state, the at least one gate locking pin allows a movement of the gate to the open position (see Fig. 4-5, when 154 is removed and thus unlocked, movement from the position in Fig. 4 to the position in Fig. 5 is enabled). Re. Cl. 2, Gonzalez discloses: the bracket assembly includes a hose retention member defining the central opening (see 130, Fig. 5) and a plate (132, Fig. 5) coupled to the hose retention member at the first end of the bracket assembly, wherein the plate extends orthogonally relative to the hose retention member (see Fig. 5), and wherein the gate is rotatably coupled to the plate of the bracket assembly (see Fig. 5, via 144). Re. Cl. 4, Gonzalez discloses: a stopper (160 and 156, Fig. 5) coupled to the plate to prevent a movement of the gate beyond a predetermined angular distance in each of the clockwise direction and the anti-clockwise direction (see Fig. 5, 160 would prevent rotation in an anti-clockwise direction due to interaction with the sidewall of 130 and similarly 156 would prevent rotation in a clockwise direction due to interaction with 130). Re. Cl. 17, Gonzalez discloses: A machine (Fig. 1) comprising: a mast assembly (Fig. 4-5); one or more hoses coupled to the mast assembly (see 104, Fig. 3); and at least one hose retention system coupled to and extending from the mast assembly (130, 54, Fig. 5), the at least one hose retention system including: a bracket assembly (130 and 132, Fig. 5) defining a first end (see Fig. 5, where 132 is attached to 13), a second end opposite the first end (end of 130 closest to 16), and a central opening (open top of 130, Fig. 5); a gate (54, Fig. 5) coupled to the bracket assembly at the first end of the bracket assembly (see Fig. 5), the gate being movable between a closed position (see Fig. 4) and an open position (see Fig. 5), wherein the gate is disposed in the open position to allow passage of the one or more hoses through the central opening of the bracket assembly (see Fig. 5), and wherein, to be disposed in the open position, the gate is movable in any one of a clockwise direction and an anti-clockwise direction (see Fig. 4-5, the gate 54 rotates about 144 in a clockwise direction to open); and at least one gate locking pin (154, Fig. 5) coupled to the bracket assembly, wherein the at least one gate locking pin is movable between a locked state and an unlocked state (passing into 150, 152 or removed therefrom, Fig. 5), wherein, in the locked state, the at least one gate locking pin prevents a movement of the gate to the open position (see Fig. 4), and wherein, in the unlocked state, the at least one gate locking pin allows a movement of the gate to the open position (see Fig. 4-5, when removed from 152, the gate 54 can pivot to the open position shown in Fig. 5). Re. Cl. 18, Gonzalez discloses: the at least one hose retention system includes a plurality of hose retention systems (see 54 and 53, Fig. 2) spaced apart from each other along a height of the mast assembly, wherein the plurality of hose retention systems are in alignment with each other. (see Fig. 2) 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. The factual inquiries for establishing a background for determining obviousness under 35 U.S.C. 103 are summarized as follows: 1. Determining the scope and contents of the prior art. 2. Ascertaining the differences between the prior art and the claims at issue. 3. Resolving the level of ordinary skill in the pertinent art. 4. Considering objective evidence present in the application indicating obviousness or nonobviousness. Claim 3 is rejected under 35 U.S.C. 103 as being unpatentable over Gonzalez in view of Cernosek US 6196503 (hereinafter Cernosek). Re. Cl. 3, Gonzalez does not disclose a first spring member disposed between the plate and one end of the gate to bias the gate into the closed position. Cernosek discloses a hose retention system (Fig. 5) which includes a gate (12a, Fig. 5) pivotally connected to a bracket assembly (16, Fig. 4) and a first spring member (12f, Fig. 5) disposed between the plate (see 16, Fig. 5) and one end of the gate to bias the gate into the closed position (see Fig. 5 and Col. 5, Lines 46-53). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the Gonzalez device to include the spring as disclosed by Cernosek with reasonable expectation of success since Cernosek states that such a modification would function to bias the gate back into a closed position without any human intervention (Col. 5, Lines 46-53). Such a modification would be useful in the event the locking pin fails during use. Claim 7 is rejected under 35 U.S.C. 103 as being unpatentable over Gonzalez in view of Sherer US 6776379 (hereinafter Sherer). Re. Cl. 7, Gonzalez does not disclose at least one second spring member coupled to the at least one gate locking pin to bias the at least one gate locking pin into the locked state. Sherer discloses a rotatable leg configuration (Fig. 1, comprising bracket 21 and leg 16) which includes a locking pin (34, Fig. 2) which secures the leg into a preferred position (see Fig. 1-2). Re. Cl. 7, Gonzalez discloses a second spring member (36, Fig. 2) coupled to the at least one gate locking pin (see Fig. 2) to bias the at least one gate locking pin into the locked state (see Fig. 2). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to modify the locking pin of Gonzalez to be spring loaded as disclosed by Sherer with reasonable expectation of success since Sherer states that such a modification urges the device into a locked position locking the leg in the preferred position (Col. 2, Lines 29-36). Such a modification would further secure the locking pin in the locked position and prevent accidental removal. Allowable Subject Matter Claims 5-6, 8 and 19-20 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. Claims 9-16 are allowable over the prior art of record. The following is a statement of reasons for the indication of allowable subject matter: the specific limitation of “the gate opening plate engages with the each of the at least one gate locking pin to move the at least one gate locking pin to the unlocked state, and the gate to move the gate to the open position” in the combination of claim 9 is what defines over the prior art of record in the Examiner’s position. Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. Carrera US 2006/0027712, Choi US 2014/0367529, Burnett US 5588166, and Kelley US 5383318 disclose other known hose retention systems presented to the Applicant for their consideration. Any inquiry concerning this communication or earlier communications from the examiner should be directed to CHRISTOPHER E GARFT whose telephone number is (571)270-1171. The examiner can normally be reached Monday-Friday 8:00 a.m. to 5:00 p.m.. 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, Terrell McKinnon can be reached at (571)272-4797. 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. /CHRISTOPHER GARFT/Primary Examiner, Art Unit 3632
Read full office action

Prosecution Timeline

Oct 11, 2024
Application Filed
Feb 25, 2026
Non-Final Rejection — §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

1-2
Expected OA Rounds
59%
Grant Probability
82%
With Interview (+22.8%)
2y 4m
Median Time to Grant
Low
PTA Risk
Based on 1392 resolved cases by this examiner. Grant probability derived from career allow rate.

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