Prosecution Insights
Last updated: August 17, 2026
Application No. 18/920,504

Systems and Methods for Cooling a Secondary Battery Used for Underground Mining Machines

Non-Final OA §103§112§Other
Filed
Oct 18, 2024
Priority
Oct 20, 2023 — IN 202311071681
Examiner
FURDGE, LARRY L
Art Unit
3763
Tech Center
3700 — Mechanical Engineering & Manufacturing
Assignee
Caterpillar Inc.
OA Round
1 (Non-Final)
62%
Grant Probability
Moderate
1-2
OA Rounds
1y 5m
Est. Remaining
80%
With Interview

Examiner Intelligence

Grants 62% of resolved cases
62%
Career Allowance Rate
486 granted / 779 resolved
-7.6% vs TC avg
Strong +17% interview lift
Without
With
+17.2%
Interview Lift
resolved cases with interview
Typical timeline
3y 3m
Avg Prosecution
41 currently pending
Career history
812
Total Applications
across all art units

Statute-Specific Performance

§101
0.9%
-39.1% vs TC avg
§103
54.0%
+14.0% vs TC avg
§102
8.8%
-31.2% vs TC avg
§112
31.7%
-8.3% vs TC avg
Black line = Tech Center average estimate • Based on career data from 779 resolved cases

Office Action

§103 §112 §Other
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 . Acknowledgement is made of the preliminary amendment filed on 10/18/2024. Accordingly, claims 1-20 are pending for consideration on the merits in this Office Action. Priority Acknowledgment is made of applicant’s claim for foreign priority under 35 U.S.C. 119 (a)-(d). Information Disclosure Statement The information disclosure statement (IDS) submitted on 10/18/2024 was filed on or after the mailing date of the application. The submission is in compliance with the provisions of 37 CFR 1.97. Accordingly, the information disclosure statement is being considered by the examiner. 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 3 and 5-20 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. Regarding Claim 3, the recitation of “…wherein the volume of the secondary battery coolant is determined based on a period of time to cool the secondary battery when the power unit is unavailable for use, a power level of the secondary battery when the power unit is unavailable for use,” renders the claim unclear. It is unclear if the limitations “…wherein the volume of the secondary battery coolant is determined based on a period of time to cool the secondary battery when the power unit is unavailable for use,” and “a power level of the secondary battery when the power unit is unavailable for use,” are limitations claimed in the alternative or if the limitations are claimed in combination. Thus, one skilled in the art would not necessarily have the ability to ascertain the metes and bounds of the particular claim limitation. Therefore, the claim is indefinite and is rejected under 35 U.S.C. 112(b) or pre-AIA 35 U.S.C. 112, second paragraph. For examination purposes, the limitations have been interpreted as - - wherein the volume of the secondary battery coolant is determined based on a period of time to cool the secondary battery when the power unit is unavailable for use, or a power level of the secondary battery when the power unit is unavailable for use - -. Regarding Claims 5, 10 and 16, the recitation of “…receiving an input that the power unit is unavailable for use, whereby the battery cooling system will be used to cool the secondary battery; and receiving a cab cooling input and a secondary battery cooling input to cause the work machine cooling system to enter a configuration based on the cab cooling input and the secondary battery cooling input,” renders the claim unclear. For example, the claim purports to have a controller that is configured to perform the functional step of “receiving.” However, pursuant to MPEP 2173.05(g), the use of functional language in a claim may fail "to provide a clear-cut indication of the scope of the subject matter embraced by the claim" and thus be indefinite. For example, when claims merely recite a description of a problem to be solved or a function or result achieved by the invention, the boundaries of the claim scope may be unclear without reciting the particular structure, materials or steps that accomplish the function or achieve the result. Therefore, all means or methods of resolving the problem may be encompassed by the claim. In this instance, the claim does not recite the particular structure, materials or steps that accomplish the function of “receiving.” Therefore, an ‘interface’ must be recited in the claims as the structure that facilitates the receiving function. Thus, one skilled in the art would not necessarily have the ability to ascertain the metes and bounds of the particular claim limitation. Therefore, the claim is indefinite and is rejected under 35 U.S.C. 112(b) or pre-AIA 35 U.S.C. 112, second paragraph. 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(s) 1-3 and 5-20 is/are rejected under 35 U.S.C. 103 as being unpatentable over Kumar et al. (US2014/0012446) and Klose et al. (US2021/0188127) in view of Matuda et al. (US2001/0040061) and Yong et al. (CN116021963A). Regarding Claims 1, 5, 10 and 16, Kumar teaches a work machine and a method for controlling a work machine cooling system [0002; 0021; 0034 fig 1; fig 5], comprising: a controller [102; 0021; fig 1] comprising: a memory storing computer-executable instructions [0019]; and a processor in communication with the memory [0019], the computer-executable instructions causing the processor to perform acts comprising: receiving an input [0034; at least using an user interface]; a power unit [at least the assembly of power source 104, power receiver 108] configured to provide electrical power to a first set of electrical systems of the work machine [0029]; a secondary battery [106] configured to provide electrical power to a second set of electrical systems of the work machine [0029]; and a work machine cooling system comprising: a heating, ventilation, and cooling (HVAC) system configured to maintain a temperature of air within a cab of the work machine [0034]. Kumar does not explicitly teach where the HVAC system is further configured to provide at least a portion of a refrigerant to a battery cooling system; and the battery cooling system, comprising: a tank configured to store a volume of a secondary battery coolant, wherein the volume of the secondary battery coolant removes heat from the secondary battery when the power unit is unavailable for use; a chiller configured to receive the refrigerant from the HVAC system, wherein the chiller is a heat exchanger configured to maintain a temperature of the secondary battery coolant in the tank within a range of temperatures; and a tramming coolant pump in fluidic communication with the tank, wherein the tramming coolant pump is configured to pump the secondary battery coolant from the tank into the secondary battery to maintain a temperature of the secondary battery below a battery setpoint; receiving an input that the power unit is unavailable for use, whereby the battery cooling system will be used to cool the secondary battery; and receiving a cab cooling input and a secondary battery cooling input to cause the work machine cooling system to enter a configuration based on the cab cooling input and the secondary battery cooling input. However, Klose teaches a system for optimizing and regulating the temperature of a vehicle battery [0001] having an HVAC system [4] that is configured to provide at least a portion of a refrigerant to a battery cooling system [21; 0035; 0048; fig 2]; and the battery cooling system, comprising: a tank [1] configured to store a volume of a secondary battery coolant, wherein the volume of the secondary battery coolant removes heat from the secondary battery when the power unit is unavailable for use [0041]; a chiller [8] configured to receive the refrigerant from the HVAC system, wherein the chiller is a heat exchanger configured to maintain a temperature of the secondary battery coolant in the tank within a range of temperatures [0048]; and a tramming coolant pump [3] in fluidic communication with the tank, wherein the tramming coolant pump is configured to pump the secondary battery coolant from the tank into the secondary battery to maintain a temperature of the secondary battery below a battery setpoint [0035; 0041] where one of ordinary skill in the art could have combined the elements as claimed by known methods and that in combination, each element would perform the same function as it did separately and one of ordinary skills would have recognized that the results of the combination were predictable i.e. control the operating temperature of the battery and thereby improve the system [0015]. Therefore, it would have been obvious to a person of ordinary skill in the art before the effective filing date of the invention to modify the assembly of Kumar to have where the HVAC system is further configured to provide at least a portion of a refrigerant to a battery cooling system; and the battery cooling system, comprising: a tank configured to store a volume of a secondary battery coolant, wherein the volume of the secondary battery coolant removes heat from the secondary battery when the power unit is unavailable for use; a chiller configured to receive the refrigerant from the HVAC system, wherein the chiller is a heat exchanger configured to maintain a temperature of the secondary battery coolant in the tank within a range of temperatures; and a tramming coolant pump in fluidic communication with the tank, wherein the tramming coolant pump is configured to pump the secondary battery coolant from the tank into the secondary battery to maintain a temperature of the secondary battery below a battery setpoint in view of the teachings of Klose where the elements could have been combined by known methods with no change in their respective functions, and the combination would have yielded predictable results i.e. control the operating temperature of the battery and thereby improve the system. Also, Matuda teaches a temperature controller of a vehicular battery [0002] that receives [implicitly] an input that the power unit is unavailable for use, whereby the battery cooling system will be used to cool the secondary battery [0065-0069] where one of ordinary skill in the art could have combined the elements as claimed by known methods and that in combination, each element would perform the same function as it did separately and one of ordinary skills would have recognized that the results of the combination were predictable i.e. for the obvious advantage of controlling the temperature of the high temperature battery to an optimum efficiency temperature [0009]. Therefore, it would have been obvious to a person of ordinary skill in the art before the effective filing date of the invention to modify the assembly of Kumar to receive an input that the power unit is unavailable for use, whereby the battery cooling system will be used to cool the secondary battery in view of the teachings of Matuda where the elements could have been combined by known methods with no change in their respective functions, and the combination would have yielded predictable results i.e. for the obvious advantage of controlling the temperature of the high temperature battery to an optimum efficiency temperature. Lastly, Yong teaches a vehicle refrigeration system [0001] that receives a cab cooling input and a secondary battery cooling input to cause the vehicle cooling system to enter a configuration based on the cab cooling input and the secondary battery cooling input [0040-0043; 0045-0050] where one of ordinary skill in the art could have combined the elements as claimed by known methods and that in combination, each element would perform the same function as it did separately and one of ordinary skills would have recognized that the results of the combination were predictable i.e. achieve the cooling requirements of the passenger compartment and battery pack by controlling the compressor speed and refrigerant flow, and can meet the individual cooling requirements of the passenger compartment or battery pack [0002]. Therefore, it would have been obvious to a person of ordinary skill in the art before the effective filing date of the invention to modify the assembly of Kumar to receive a cab cooling input and a secondary battery cooling input to cause the work machine cooling system to enter a configuration based on the cab cooling input and the secondary battery cooling input in view of the teachings of Yong where the elements could have been combined by known methods with no change in their respective functions, and the combination would have yielded predictable results i.e. achieve the cooling requirements of the passenger compartment and battery pack by controlling the compressor speed and refrigerant flow, and can meet the individual cooling requirements of the passenger compartment or battery pack. For clarity, in regard to Claim 16, the method as claimed is carried out during the normal operation of the apparatus of Kumar, as modified, above. Regarding Claim 2, Kumar, as modified, teaches the invention of claim 1 above and Klose teaches wherein the refrigerant from the HVAC comprises a compressible refrigerant and the secondary battery coolant comprises water or a water solution [0041; 0052]. Regarding Claim 3, Kumar, as modified, teaches the invention of claim 1 above and Klose teaches wherein the volume of the secondary battery coolant is determined based on a period of time to cool the secondary battery when the power unit is unavailable for use, or a power level of the secondary battery when the power unit is unavailable for use [0073]. Regarding Claims 6, 11 and 17, Kumar, as modified, teaches the invention above and Yong teaches wherein the configuration is a first configuration based on the cab cooling input indicating that cab cooling is not required and a secondary battery cooling input indicating that secondary battery cooling is not required, wherein in the first configuration, the controller causes: a compressor of the HVAC system to deenergize [0044-0050]; an HVAC expansion valve to close to reduce cooling to the cab; and a tramming expansion valve to close to reduce cooling to the secondary battery coolant [0044-0050; where one skilled in the art would recognize that control or the respective valves when cooling is not required and it is axiomatic that the compressor would be off in such circumstances]. For clarity, in regard to Claim 17, the method as claimed is carried out during the normal operation of the apparatus of Kumar, as modified, above. Regarding Claims 7, 12 and 18, Kumar, as modified, teaches the invention above and Yong teaches wherein the configuration is a second configuration based on the cab cooling input indicating that cab cooling is not required and a secondary battery cooling input indicating that secondary battery cooling is required, wherein in the second configuration, the controller causes: a compressor of the HVAC system to cycle based on a temperature of the secondary battery coolant in the tank [0044-0050]; an HVAC expansion valve to close to reduce cooling to the cab [0044-0050]; and a tramming expansion valve to open to increase cooling to the secondary battery coolant [0044-0050]. For clarity, in regard to Claim 18, the method as claimed is carried out during the normal operation of the apparatus of Kumar, as modified, above. Regarding Claims 8, 13 and 19, Kumar, as modified, teaches the invention above and Yong teaches wherein the configuration is a third configuration based on the cab cooling input indicating that cab cooling is required and a secondary battery cooling input indicating that secondary battery cooling is not required, wherein in the third configuration, the controller causes: a compressor of the HVAC system to cycle based on a temperature of the air within the cab [0044-0050]; an HVAC expansion valve to open to increase cooling to the cab [0044-0050]; and a tramming expansion valve to close to decrease cooling to the secondary battery coolant [0044-0050]. For clarity, in regard to Claim 19, the method as claimed is carried out during the normal operation of the apparatus of Kumar, as modified, above. Regarding Claims 9, 14 and 20, Kumar, as modified, teaches the invention above and Yong teaches a fourth configuration based on the cab cooling input indicating that cab cooling is required and a secondary battery cooling input indicating that secondary battery cooling is required, wherein in the fourth configuration, the controller causes: a compressor of the HVAC system to cycle based on a temperature of the secondary battery coolant in the tank and a temperature of the air in the cab [0044-0050]; an HVAC expansion valve to open to increase cooling to the cab [0044-0050]; and a tramming expansion valve to open to increase cooling to the secondary battery coolant [0044-0050]. For clarity, in regard to Claim 20, the method as claimed is carried out during the normal operation of the apparatus of Kumar, as modified, above. Regarding Claim 15, Kumar, as modified, teaches the invention of claim 10 above and Kumar teaches wherein the work machine is an underground mining machine [0002]. Claim(s) 4 is/are rejected under 35 U.S.C. 103 as being unpatentable over Kumar et al. (US2014/0012446), Klose et al. (US2021/0188127), Matuda et al. (US2001/0040061) and Yong et al. (CN116021963A) as applied to claim 1 above, and further in view of Wada et al. (US2018/0111499). Regarding Claim 4, Kumar, as modified, teaches the invention of claim 1 above but does not explicitly teach a buck booster inductor, wherein the tramming coolant pump is further configured to pump at least a portion of the secondary battery coolant through the buck booster inductor to remove heat from the buck booster inductor. However, Wada teaches a vehicle having a battery cooling system [0059; fig 5] having high voltage equipment [DC-DC converter, Charger 121], wherein a coolant pump [102] is further configured to pump at least a portion of a battery coolant through the high voltage equipment to remove heat from the high voltage equipment [0089; where one skilled in the art would recognize that a buck booster inductor can be cooled in a similar manner as the high voltage equipment] where one of ordinary skill in the art could have combined the elements as claimed by known methods and that in combination, each element would perform the same function as it did separately and one of ordinary skills would have recognized that the results of the combination were predictable i.e. for the obvious advantage of controlling the operating temperature of the components. Therefore, it would have been obvious to a person of ordinary skill in the art before the effective filing date of the invention to modify the assembly of Kumar to have a buck booster inductor, wherein the tramming coolant pump is further configured to pump at least a portion of the secondary battery coolant through the buck booster inductor to remove heat from the buck booster inductor in view of the teachings of Wada where the elements could have been combined by known methods with no change in their respective functions, and the combination would have yielded predictable results i.e. for the obvious advantage of controlling the operating temperature of the components. Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to LARRY L FURDGE whose telephone number is (313)446-4895. The examiner can normally be reached M-R 6a-3p; F 6a-10a. 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, Jerry Fletcher can be reached at 571-270-5054. 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. /LARRY L FURDGE/ Primary Examiner, Art Unit 3763
Read full office action

Prosecution Timeline

Oct 18, 2024
Application Filed
Jul 17, 2026
Non-Final Rejection mailed — §103, §112, §Other (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
62%
Grant Probability
80%
With Interview (+17.2%)
3y 3m (~1y 5m remaining)
Median Time to Grant
Low
PTA Risk
Based on 779 resolved cases by this examiner. Grant probability derived from career allowance rate.

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