Prosecution Insights
Last updated: April 19, 2026
Application No. 18/923,589

HYDRAULIC CYLINDER BUFFER SEAL BACKUP RING

Final Rejection §102§103§112
Filed
Oct 22, 2024
Examiner
PATEL, VISHAL A
Art Unit
3675
Tech Center
3600 — Transportation & Electronic Commerce
Assignee
Caterpillar Inc.
OA Round
2 (Final)
59%
Grant Probability
Moderate
3-4
OA Rounds
3y 1m
To Grant
81%
With Interview

Examiner Intelligence

Grants 59% of resolved cases
59%
Career Allow Rate
483 granted / 820 resolved
+6.9% vs TC avg
Strong +22% interview lift
Without
With
+21.7%
Interview Lift
resolved cases with interview
Typical timeline
3y 1m
Avg Prosecution
47 currently pending
Career history
867
Total Applications
across all art units

Statute-Specific Performance

§101
0.1%
-39.9% vs TC avg
§103
36.8%
-3.2% vs TC avg
§102
33.0%
-7.0% vs TC avg
§112
25.7%
-14.3% vs TC avg
Black line = Tech Center average estimate • Based on career data from 820 resolved cases

Office Action

§102 §103 §112
DETAILED ACTION Response to Arguments Applicant’s arguments with respect to claim(s) have been considered but are moot because the new ground of rejection does not rely on any reference applied in the prior rejection of record for any teaching or matter specifically challenged in the argument. 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 1-6 and 9-17 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. It is noted that claims have inconsistent language and have numerous antecedent basis problems. Below are examples and applicant should review all claims. Claim 1, line 42, “the radially inner circumferential surface”, this limitation lacks antecedent basis or applicant maybe refereeing to other limitation in claim 1. Claim 1, line 43, “the axially facing annular seal surface”, this limitation lacks antecedent basis or applicant maybe refereeing to other limitation in claim 1. Examiner is providing best rejection possible with numerous 112 rejections above. Claim 10, lines 43-44, “a radially outer annular leg portion” and “a radially inner annular leg portion”, unclear what applicant means in view of what is added to claim 10 (“a radially outer annular leg portion” and “a radially inner annular leg portion”). 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. Claim(s) 1-2, 4-6, are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Roberts et al (DE2842016A1). Roberts (see annotated figure below) discloses a seal assembly for a hydraulic cylinder piston rod of a hydraulic cylinder (e.g. intended use, the seal assembly of Roberts is capable of being install in a groove of cylinder), comprising an annular buffer seal including a first axial pressure side (e.g. 1st side, figure below) configured to face a rod end chamber of the hydraulic cylinder and fit adjacent a first axial side surface of an annular groove defined in a rod end of the hydraulic cylinder through which the piston rod passes (e.g. again intended use, see MPEP 2113-2114 and furthermore the seal assembly of Roberts is capable of being placed between the hydraulic cylinder and the hydraulic cylinder piston rod), a second axial seal side opposite from the first axial pressure side (e.g. side having RL), the second axial seal side including a radially outer annular seal surface (e.g. OS, figure below) and a radially inner annular seal surface (e.g. IS, figure below), wherein the radially outer annular seal surface is spaced farther from the first axial pressure side of the annular buffer seal than the radially inner annular seal surface of the buffer seal such that an annular notch (e.g. notch having a backup ring, see figure below) is formed around an inner diameter of the annular buffer seal on the second axial seal side of the annular buffer seal (e.g. see figure below) and an annular backup ring including a radially extending leg portion (e.g. RL) extending along and in direct contact with a portion of a radial extent of the radially outer annular seal surface (e.g. OC) of the annular buffer seal, and an axially extending leg portion (e.g. AL) contiguous with the radially extending leg portion, and extending axially into the annular notch formed around the inner diameter of the annular buffer seal on the second axial seal side of the annular buffer seal (e.g. see figure below), wherein a length of the axially extending leg in the axial direction is less than a length of the radially extending leg in the radial direction (e.g. see figure below, length and length 2), wherein the second axial seal side (e.g. side having OS and IS) of the annular buffer seal is entirely covered by the annular backup ring (e.g. see figure below), wherein the first axial pressure side of the annular buffer seal includes a radially outer annular pressure surface (e.g. end of OL) as part of a radially outer annular leg portion (e.g. OL) of the annular buffer seal, a radially inner annular pressure surface (e.g. end of IL) as part of a radially inner annular leg portion (e.g. IL) of the annular buffer seal, and two contiguous pressure surfaces (e.g. CS) that together define an annular, concave recess (e.g. recess between CS) in the first axial pressure side of the buffer seal (e.g. see figure below), wherein the radially outer annular leg portion extends farther in an axial direction from the second axial seal side of the buffer seal than the radially inner annular leg Portion (e.g. this is the case as shown in figure below), wherein the radially outer annular leg portion is flexible and configured to flex radially outward to contact the first axial side surface of the annular groove and the radially inner annular leg portion is flexible and configured to flex radially inward to contact the hydraulic cylinder piston rod (e.g. again this is the case due to the material of the annular buffer seal), wherein the radially inner circumferential surface (e.g. ICS) of the annular buffer seal extends at all times in the axial direction from the axially facing annular seal surface of the annular buffer seal to the axially facing annular pressure surface of the annular buffer seal, wherein the radially outer annular seal surface (e.g. OS) extends at all times in the radial direction (e.g. this is the case since OS are vertical surfaces), wherein the radially inner annular seal surface extends at all times in the radial direction (e.g. this is the case since IS is a vertical surface), and wherein an intersection between the radially extending leg portion of the backup ring and the axially extending leg portion of the backup ring includes a radiused chamfer (e.g. radius chamfered of the backup ring at RC) that mates with a matching radiused chamfer (e.g. radius chamfered of the annular buffer seal) at an intersection of the radially outer annular seal surface of the buffer seal and the radially inner annular seal surface of the buffer seal at an entrance into the annular notch (e.g. see figure below). Regarding claim 2: Wherein the two contiguous and converging tapered pressure surfaces are converging and tapered (e.g. see CS in figure below). Regarding claim 4: Wherein the annular buffer seal further includes a radially outer circumferential surface (e.g. ROS) configured to contact a bottom of the annular groove (e.g. intended use, see MPEP 2113-2114 and furthermore the annular buffer seal of Roberts can be installed in a groove of the hydraulic cylinder). Regarding claim 5: Wherein the radially outer circumferential surface of the annular buffer seal is configured with portions along its axial length that sit adjacent or in contact with the bottom of the annular groove (e.g. again intended use and see MPEP 2113-2114, this is capable by the annular buffer seal of Roberts due to the radially outer circumferential surface being tapered outwardly), with a gap left between some of the portions of the radially outer circumferential surface and the bottom of the annular groove under a condition where a pressure applied against the first axial pressure side of the buffer seal falls below a predetermined threshold (e.g. method limitation or intended use, see MPEP 2113-2114 and the reference of Roberts is capable of this when the seal assembly is placed in the groove of the hydraulic cylinder). Regarding claim 6: Wherein the annular, concave recess is defined between the radially outer annular leg portion of the buffer seal and the radially inner annular leg portion of the buffer seal (see figure below). PNG media_image1.png 514 521 media_image1.png Greyscale Regarding claim 10: Roberts discloses a seal for a hydraulic cylinder piston rod of a hydraulic cylinder, comprising an annular buffer seal including a first axial pressure side configured to face a rod end chamber of the hydraulic cylinder and fit adjacent a first axial side surface of an annular groove defined in a rod end of the hydraulic cylinder through which the piston rod passes (see rejection of claim 1), a second axial seal side opposite from the first axial pressure side, the second axial seal side including a radially outer annular seal surface and a radially inner annular seal surface (see rejection of claim 1), wherein the radially outer annular seal surface is spaced farther from the first axial pressure side of the annular buffer seal than the radially inner annular seal surface of the buffer seal such that an annular notch is formed around an inner diameter of the annular buffer seal on the second axial seal side of the annular buffer seal (see notch having the annular backup ring and see rejection of claim 1) and an annular backup ring including a radially extending leg portion extending along and in direct contact with a portion of a radial extent of the radially outer annular seal surface of the annular buffer seal, and an axially extending leg portion contiguous with the radially extending leg portion, and extending axially into the annular notch formed around the inner diameter of the annular buffer seal on the second axial seal side of the annular buffer seal (e.g. see rejection of claim 1), wherein the first axial pressure side of the annular buffer seal includes a radially outer annular pressure surface (e.g. end of OL) as part of a radially outer annular leg portion of the annular buffer seal (e.g. see rejection of claim 1), a radially inner annular pressure surface (e.g. see end of IL) as part of a radially inner annular leg portion of the annular buffer seal (e.g. see rejection of claim 1), and two contiguous pressure surfaces (e.g. CS) that together define an annular, concave recess in the first axial pressure side of the buffer seal (e.g. see rejection of claim 1), wherein a length of the axially extending leg in the axial direction is less than a length of the radially extending leg in the radial direction (e.g. see rejection of claim 1), wherein the radially outer annular leg portion extends farther in an axial direction from the second axial seal side of the buffer seal than the radially inner annular leg portion (e.g. see rejection of claim 1), wherein the radially outer annular pressure surface is configured to contact the first axial side surface of the annular groove (e.g. see rejection of claim 1 with regard to intended use), wherein the two contiguous (e.g. CS) and converging tapered pressure surfaces are converging and tapered (e.g. see rejection of claim 1), wherein the annular backup ring covers an entirety of the second axial seal side of the annular buffer seal to the radial extent of the radially outer annular seal surface of the annular buffer seal (e.g. see rejection of claim 1), wherein the annular, concave recess is defined between a radially outer annular leg portion of the buffer seal and a radially inner annular leg portion of the buffer seal, and the radially outer annular leg portion extends farther in an axial direction from the second axial seal side of the buffer seal than the radially inner annular leg portion, and wherein the radially inner circumferential surface (e.g. ICS) of the annular buffer seal extends at all times in the axial direction from the axially facing annular seal surface of the annular buffer seal to the axially facing annular pressure surface of the annular buffer seal (e.g. between 1st side and IS). Regarding claims 11-12: see rejection of claims above. Regarding claim 13: Wherein pressure applied into the annular, concave recess causes the radially outer annular leg portion to flex radially outward and press against a bottom surface of the annular groove, and causes the radially inner annular leg portion to flex radially inward and press against the piston rod (e.g. intended use but Roberts’s seal assembly is capable of being used between the hydraulic cylinder having a groove and the hydraulic piston rod received therein). Regarding claim 14: see rejection of claims above. Regarding claim 16: see rejection of claim 1. Regarding claim 17: The seal assembly consists of the annular buffer seal and the annular backup ring (see rejection of claims above and figure). 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. Claim(s) 9 is rejected under 35 U.S.C. 103 as being unpatentable over Roberts. Roberts discloses the claimed invention except for the range of the radius being equal to one half or more of a thickness of an adjacent portion of the backup ring and the annular buffer seal. Discovering an optimum range of a result effective variable involves only routine skill in the art. In re Kulling, 895 F.2d 1147, 14 USPQ 2d 1056. It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to have the radius be equal to one half or more of a thickness of an adjacent portion of the backup ring and the annular buffer seal, since it has been held that where the general conditions of a claim are disclosed in the prior art, discovering the optimum or workable ranges involves only routine skill in the art. See MPEP 2144.05. It is further noted that applicant has not defined any particular thickness or size of thickness or adjacent portion size. Claim(s) 3, 10-14 and 16-17 are rejected under 35 U.S.C. 103 as being unpatentable over Roberts in view of Traub (US4268045). Roberts discloses the invention as claimed above but fails to disclose the radially extending leg portion of the backup ring terminates in an outer circumferential surface with a radiused chamfer at a radially outer edge of the side of the backup ring facing away from the buffer seal. Traub discloses backup ring on a side of a buffer seal, the backup ring have a radial leg and an axial leg, the radial leg facing the buffer seal and a surface facing away from the buffer seal having an outer surface with a radiused chamfer at a radially outer edge (chamfered, figure 8 below) and also teaches no radius chamfer (see figure 9). It would have been obvious to one skilled in the art before the effective filing date of the claimed invention to have the outer edge of Roberts with a radiused chamfer as taught by Traub with reasonable expectation of success to reduce stress when seal is bent (e.g. inherent teaching how a curved surface relative to a sharp corner) and to have a radiused chamfer or taper or other surface is considered to be art equivalent (e.g. see figures of Traub). Claim(s) 15 is rejected under 35 U.S.C. 103 as being unpatentable over Roberts and Traub. Roberts discloses the claimed invention except for the range of the radius being equal to one half or more of a thickness of an adjacent portion of the backup ring and the annular buffer seal. Discovering an optimum range of a result effective variable involves only routine skill in the art. In re Kulling, 895 F.2d 1147, 14 USPQ 2d 1056. It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to have the radius be equal to one half or more of a thickness of an adjacent portion of the backup ring and the annular buffer seal, since it has been held that where the general conditions of a claim are disclosed in the prior art, discovering the optimum or workable ranges involves only routine skill in the art. See MPEP 2144.05. It is further noted that applicant has not defined any particular thickness or size of thickness or adjacent portion size. Conclusion Applicant's amendment necessitated the new ground(s) of rejection presented in this Office action. Accordingly, THIS ACTION IS MADE FINAL. See MPEP § 706.07(a). Applicant is reminded of the extension of time policy as set forth in 37 CFR 1.136(a). A shortened statutory period for reply to this final action is set to expire THREE MONTHS from the mailing date of this action. In the event a first reply is filed within TWO MONTHS of the mailing date of this final action and the advisory action is not mailed until after the end of the THREE-MONTH shortened statutory period, then the shortened statutory period will expire on the date the advisory action is mailed, and any nonprovisional extension fee (37 CFR 1.17(a)) pursuant to 37 CFR 1.136(a) will be calculated from the mailing date of the advisory action. In no event, however, will the statutory period for reply expire later than SIX MONTHS from the mailing date of this final action. Any inquiry concerning this communication or earlier communications from the examiner should be directed to VISHAL A PATEL whose telephone number is (571)272-7060. The examiner can normally be reached 7:00 am to 4:00pm. 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, Christine Mills can be reached at 571-272-8322. 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. /VISHAL A PATEL/Primary Examiner, Art Unit 3675
Read full office action

Prosecution Timeline

Oct 22, 2024
Application Filed
Oct 20, 2025
Non-Final Rejection — §102, §103, §112
Jan 23, 2026
Response Filed
Feb 10, 2026
Final Rejection — §102, §103, §112 (current)

Precedent Cases

Applications granted by this same examiner with similar technology

Patent 12601404
Internally clamping rectangular seal
2y 5m to grant Granted Apr 14, 2026
Patent 12590634
Piston Seal Ring Bypass
2y 5m to grant Granted Mar 31, 2026
Patent 12584556
SLIDING MEMBER
2y 5m to grant Granted Mar 24, 2026
Patent 12569962
HIGH PRESSURE LIQUID-JET SEAL ASSEMBLY CARRIAGE
2y 5m to grant Granted Mar 10, 2026
Patent 12560239
SLIDING COMPONENTS
2y 5m to grant Granted Feb 24, 2026
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
59%
Grant Probability
81%
With Interview (+21.7%)
3y 1m
Median Time to Grant
Moderate
PTA Risk
Based on 820 resolved cases by this examiner. Grant probability derived from career allow rate.

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