Prosecution Insights
Last updated: October 02, 2026
Application No. 18/980,169

CAUSING A BATTERY OF A MACHINE TO ENTER INTO A CHARGING STATE

Final Rejection §103
Filed
Dec 13, 2024
Priority
Nov 11, 2022 — continuation of 12/296,689
Examiner
SEOL, DAVIN
Art Unit
3662
Tech Center
3600 — Transportation & Electronic Commerce
Assignee
Caterpillar Inc.
OA Round
2 (Final)
67%
Grant Probability
Favorable
3-4
OA Rounds
1y 1m
Est. Remaining
82%
With Interview

Examiner Intelligence

Grants 67% — above average
67%
Career Allowance Rate
118 granted / 176 resolved
+15.0% vs TC avg
Strong +15% interview lift
Without
With
+15.2%
Interview Lift
resolved cases with interview
Typical timeline
2y 11m
Avg Prosecution
27 currently pending
Career history
206
Total Applications
across all art units

Statute-Specific Performance

§101
16.7%
-23.3% vs TC avg
§103
47.0%
+7.0% vs TC avg
§102
10.7%
-29.3% vs TC avg
§112
22.8%
-17.2% vs TC avg
Black line = Tech Center average estimate • Based on career data from 176 resolved cases

Office Action

§103
DETAILED ACTION Claims 1-5, 14-18, and 21-29 are pending. Claims dated 08/21/2026 are being examined. 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 . Response to Arguments Double Patenting: In p. 10 of remarks filed 08/21/2026, Applicant argues against obviousness-type double patenting. This argument is not persuasive as the claims are rejected under anticipatory-type double patenting. A comparison was provided in that the instant application claims are broader in scope than the US Patent claims. Applicant’s general assertion that the claims are patentably distinct, without identifying a specific limitation or explaining how the limitations of the instant claims differ from those of the US Patent, is insufficient to overcome the rejection. The Examiner further provides a tabular claim mapping and further explanation herein to support Examiner’s position that all the claimed elements of the instant application are anticipated by the claims of the US Patent (Instant application claims are broader in scope than the US Patent claims). 35 U.S.C. § 103: Applicant’s arguments with respect to claim 14 have been considered but are not persuasive. In p. 12 of remarks, Applicant asserts claim 14 incorporates subject matter of allowable claim 19, but upon review by the Examiner, this is not the case (no limitations from claim 19 were incorporated). 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. New claims: Applicant’s arguments with respect to new claims 24-29 have been considered but are not persuasive. Applicant asserts new independent claim 24 incorporates subject matter of allowable claim 6 and is similar to claim 1. The Examiner respectfully disagrees with this assertion since in the Applicant’s response to the species election requirement filed 05/04/2026, Applicant elected without traverse Group I. New claim 24 is directed to a different group, Group II. New claims 24-29 are withdrawn from consideration, being drawn to a non-elected group. Election/Restrictions Newly submitted claims 24-29 are directed to an invention that is independent or distinct from the invention originally claimed for the following reasons: Per the Applicant’s response to the species election requirement filed 05/04/2026, Applicant elected without traverse Group I. As per the species election requirement mailed 03/05/2026: Group I is directed to a sequence that causes one or more components associated with a battery to be enabled. This sequence of steps is supported by Applicant’s FIG. 2B and 2C and at least [0032]. [0032] As shown in FIG. 2B, and by reference number 206, the controller 112 may cause one or more components associated with the battery 102 to be enabled (e.g., based on the connection identification and/or the initiation determination). Group II is directed to a sequence that causes one or more components to be disabled. This sequence of steps is supported by FIG. 2D and at least [0043]. [0043] The controller 112 may cause the one or more components to be disabled in a particular order (e.g., a particular disablement sequence), which may be an opposite order of an order in which the one or more components were enabled (e.g., as described herein in relation to FIGS. 2B-2C). New claims 24-29 are directed towards a sequence that that causes one or more components to be disabled (Group II). Since applicant has received an action on the merits for the originally presented invention (Group I), this invention has been constructively elected by original presentation for prosecution on the merits. Accordingly, new claims 24-29 are withdrawn from consideration as being directed to a non-elected invention (Group II). See 37 CFR 1.142(b) and MPEP § 821.03. To preserve a right to petition, the reply to this action must distinctly and specifically point out supposed errors in the restriction requirement. Otherwise, the election shall be treated as a final election without traverse. Traversal must be timely. Failure to timely traverse the requirement will result in the loss of right to petition under 37 CFR 1.144. If claims are subsequently added, applicant must indicate which of the subsequently added claims are readable upon the elected invention. Should applicant traverse on the ground that the inventions are not patentably distinct, applicant should submit evidence or identify such evidence now of record showing the inventions to be obvious variants or clearly admit on the record that this is the case. In either instance, if the examiner finds one of the inventions unpatentable over the prior art, the evidence or admission may be used in a rejection under 35 U.S.C. 103 or pre-AIA 35 U.S.C. 103(a) of the other invention. Double Patenting Claims 1-5, 14-18, and 21-23 are rejected on the ground of non-statutory double patenting as being unpatentable over claims 1-20 of U.S. Patent No. 12,296,689. The claims of the instant application are broader claims than the claims of said U.S. Patent (the entire scope of the patented claim falls within the scope of the examined claims), and therefore the claims of said U.S. Patent anticipate the claims of the application being examined. For example, as per claim 1: This application (18/980,169) U.S. Patent No. 12,296,689 A method, comprising: identifying, by a controller, that a battery of a machine is connected to an electrical power connector component configured to charge the battery; A method, comprising: identifying, by a controller of a machine, that a battery of the machine is connected to an electrical power connector component; causing, by the controller and based on identifying that the battery is connected to the electrical power connector component, one or more battery components of the machine to be enabled; determining, by the controller and based on identifying that the battery of the machine is connected to the electrical power connector component, that one or more initiation components of the machine are disabled; causing, by the controller and based on determining that the one or more initiation components of the machine are disabled, one or more charging components of the battery of the machine to be enabled; causing, by the controller and based on causing the one or more battery components to be enabled, one or more cooling components of the machine to be enabled to cause a cooling functionality to be provided to the battery; causing, by the controller and based on causing the one or more charging components of the battery of the machine to be enabled, one or more electrical components associated with the battery of the machine to be enabled; causing, by the controller and based on causing the one or more electrical components associated with the battery of the machine to be enabled, a shutdown timer associated with the battery of the machine to be disabled; causing, by the controller and based on causing the shutdown timer associated with the battery of the machine to be disabled, one or more cooling components of the machine to be enabled; causing, by the controller and based on causing the one or more cooling components to be enabled, one or more accumulator components of the machine to bleed; causing, by the controller and based on causing the one or more cooling components of the machine to be enabled, one or more propulsion components of the machine to be disabled; causing, by the controller and based on causing the one or more propulsion components of the machine to be disabled, one or more accumulator components of a hydraulic system of the machine to bleed; and causing, by the controller and based on causing the one or more accumulator components to bleed, the battery to enter into a charging state. causing, by the controller, and based on causing the one or more accumulator components of the hydraulic system of the machine to bleed, one or more non-accumulator components of the hydraulic system of the machine to be enabled; and causing, by the controller, and based on causing the one or more non-accumulator components of the hydraulic system of the machine to be enabled, the battery of the machine to enter into a charging state. While the US Patent includes additional limitations not present in the instant limitation, the bolded features of the US Patent cover all the instant limitations. Furthermore, the dependent claims of the instant application are similarly present in the US Patent claims. For example, instant application claim 2, requires a “particular order” with claim 3 further defining claim 2 to require “one or more electrical components associated with the battery of the machine to be enabled” from the order which is also recited in the US Patent claim 1 underlined above. The nonstatutory double patenting rejection is based on a judicially created doctrine grounded in public policy (a policy reflected in the statute) so as to prevent the unjustified or improper timewise extension of the “right to exclude” granted by a patent and to prevent possible harassment by multiple assignees. A nonstatutory double patenting rejection is appropriate where the conflicting claims are not identical, but at least one examined application claim is not patentably distinct from the reference claim(s) because the examined application claim is either anticipated by, or would have been obvious over, the reference claim(s). See, e.g., In re Berg, 140 F.3d 1428, 46 USPQ2d 1226 (Fed. Cir. 1998); In re Goodman, 11 F.3d 1046, 29 USPQ2d 2010 (Fed. Cir. 1993); In re Longi, 759 F.2d 887, 225 USPQ 645 (Fed. Cir. 1985); In re Van Ornum, 686 F.2d 937, 214 USPQ 761 (CCPA 1982); In re Vogel, 422 F.2d 438, 164 USPQ 619 (CCPA 1970); In re Thorington, 418 F.2d 528, 163 USPQ 644 (CCPA 1969). A timely filed terminal disclaimer in compliance with 37 CFR 1.321(c) or 1.321(d) may be used to overcome an actual or provisional rejection based on nonstatutory double patenting provided the reference application or patent either is shown to be commonly owned with the examined application, or claims an invention made as a result of activities undertaken within the scope of a joint research agreement. See MPEP § 717.02 for applications subject to examination under the first inventor to file provisions of the AIA as explained in MPEP § 2159. See MPEP § 2146 et seq. for applications not subject to examination under the first inventor to file provisions of the AIA . A terminal disclaimer must be signed in compliance with 37 CFR 1.321(b). The filing of a terminal disclaimer by itself is not a complete reply to a nonstatutory double patenting (NSDP) rejection. A complete reply requires that the terminal disclaimer be accompanied by a reply requesting reconsideration of the prior Office action. Even where the NSDP rejection is provisional the reply must be complete. See MPEP § 804, subsection I.B.1. For a reply to a non-final Office action, see 37 CFR 1.111(a). For a reply to final Office action, see 37 CFR 1.113(c). A request for reconsideration while not provided for in 37 CFR 1.113(c) may be filed after final for consideration. See MPEP §§ 706.07(e) and 714.13. The USPTO Internet website contains terminal disclaimer forms which may be used. Please visit www.uspto.gov/patent/patents-forms. The actual filing date of the application in which the form is filed determines what form (e.g., PTO/SB/25, PTO/SB/26, PTO/AIA /25, or PTO/AIA /26) should be used. A web-based eTerminal Disclaimer may be filled out completely online using web-screens. An eTerminal Disclaimer that meets all requirements is auto-processed and approved immediately upon submission. For more information about eTerminal Disclaimers, refer to www.uspto.gov/patents/apply/applying-online/eterminal-disclaimer. Allowable Subject Matter Claims 1-5 and 21-22 would be allowable if they were to overcome the double patenting rejection(s), set forth in this Office Action and to include all the limitations of the base claim and any intervening claims. The following is a statement of reasons for the indication of allowable subject matter: Claim 1 incorporates the allowable subject matter of previous claim 6. The dependent claims would be allowable based on their dependence on claim 1. 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 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. 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. Claims 14-16, 18, and 23 are rejected under 35 U.S.C. 103 as being unpatentable over Neil et al. (US-20040100225-A1), in view of Zou et al. (CN-203503758-U) and herein after will be referred to as Niel and Zou, respectively. Regarding claim 14, Neil teaches a controller, comprising: one or more processors, configured to (Fig. 11 controller 22): identify that a battery of a machine is connected to an electrical power connector component configured to charge the battery ([0016] The controller 22 detects a signal on control line 30 that indicates the charger 18 is connected or beginning to charge the battery 14; [0020] detects the start of the battery charging session when an electrical plug 42 on cable 42 is mechanically or electrically engaged with socket 25); cause, based on identifying that the battery of the machine is connected to the electrical power connector component, one or more battery components of the machine to be enabled ([0016] Upon detecting the signal on control line 30, the controller 22 activates an electrical interlock switch 20; [0018] A filter 23 may be coupled into line 21 to filter out electrical surges that may be generated by the battery charger 18 while charging battery 14); cause, based on causing the one or more battery components to be enabled, one or more cooling components of the machine to be enabled, to cause a cooling functionality to be provided to the battery; and ([0016] the controller 22 causes the electrical interlock switch 20 to maintain or connect battery 14 to fan 16 via connection 41B) cause, […], the battery to enter into a charging state ([0016] The controller 22 detects a signal on control line 30 that indicates the charger 18 is connected or beginning to charge the battery 14). Niel does not explicitly teach cause, based on causing the one or more cooling components to be enabled, one or more non-accumulator components of a hydraulic system of the machine to be enabled; and cause, based on causing the one or more non-accumulator components to be enabled, the battery to enter into a charging state. However, Zou teaches cause, based on causing the one or more cooling components to be enabled, one or more non-accumulator components of a hydraulic system of the machine to be enabled; and (FIGs. 2-3: cooling fan 9 on enables at least hydraulic pumps 3,10 prior to charging via charger 15; [0009] Furthermore, if the battery is cooled before charging, the B port of the electromagnetic reversing valve 5 is connected to the C port, and the A port is connected to the C port. The cooling fan 9 is turned on, the electromagnetic shut-off valve 6 is turned on, the hydraulic pump 3 is turned on, and the heating component 4 and the hydraulic pump 10 are turned off; [0029] the power source for both the heating element 4 and the hydraulic pump 10 comes from the charger 15, rather than the battery) cause, based on causing the one or more non-accumulator components to be enabled, the battery to enter into a charging state ([0020] Only when the temperature is suitable will the power distribution unit start charging the battery). It would have been obvious to a person of ordinary skill in the art before the effective filing date of the present claimed invention to modify when the battery enters the charging state as taught in Neil to incorporate the teachings of Zou to include cause, based on causing the one or more cooling components to be enabled, one or more non-accumulator components of a hydraulic system of the machine to be enabled; and cause, based on causing the one or more non-accumulator components to be enabled, the battery to enter into a charging state, with a reasonable expectation of success since doing so would have achieved the benefit of, prior to enabling the charging state, “only when temperature is suitable” (Zou [0020]). Further the inclusion of activation of at least the hydraulic pumps 3, 10 ramps up cooling by “maintaining liquid dynamic circulation” (Zou [0023]). Regarding claim 15, Neil, as modified, teaches the controller of claim 14. Neil also teaches wherein, to cause the one or more battery components to be enabled, the one or more processors are configured to: cause a plurality of battery components, including the one or more battery components, of the machine to be enabled in a particular order (FIG. 1 enabling of switch 20, filter 23, converter 49, power lines 41A etc.; [0016] Upon detecting the signal on control line 30, the controller 22 activates an electrical interlock switch 20; [0018] A filter 23 may be coupled into line 21 to filter out electrical surges that may be generated by the battery charger 18 while charging battery 14). Regarding claim 16, Neil, as modified, teaches the controller of claim 15. Neil also teaches wherein, to cause the plurality of battery components to be enabled in the particular order, the one or more processors are configured to: cause one or more charging components of the battery to be enabled; and ([0016] Upon detecting the signal on control line 30, the controller 22 activates an electrical interlock switch 20) cause, based on causing the one or more charging components to be enabled, one or more electrical components of the machine to be enabled (FIG. 1 enabling fan 16 after switch 20 is enabled; [0019] the controller 22 enables interlock switch 20 to supply power from battery 14 or directly from the battery charger 18 to the fan 16). Regarding claim 18, Neil, as modified, teaches the controller of claim 14. Neil also teaches wherein the one or more processors are further configured to: cause, based on causing the one or more cooling components to be enabled, one or more propulsion components of the machine to be disabled, wherein the battery is caused to enter the charging state based on causing the one or more propulsion components to be disabled ([0016] the controller 22 causes the electrical interlock switch 20 to maintain or connect battery 14 to fan 16 via connection 41B and disconnect the battery 14 from other electrical equipment in vehicle 12. For example, interlock 20 may disconnect the battery 14 from the vehicle electric motor 9 (FIG. 1)). Regarding claim 23, Neil, as modified, teaches the controller of claim 14. Neil, as modified, also teaches wherein the one or more non-accumulator components comprise at least one of a hydraulic pump, a hydraulic motor, a hydraulic valve, a hydraulic cylinder, or a hydraulic piston (see rejection of claim 14 cited to Zou’s non-accumulator components including hydraulic pumps 3,10). Claim 17 is rejected under 35 U.S.C. 103 as being unpatentable over Neil, in view of Zou, in further view of Cheng et al. (US-20180194243-A1) and herein after will be referred to as Cheng. Regarding claim 17, Neil, as modified, teaches the controller of claim 14. Neil does not explicitly teach wherein the one or more processors are further configured to: cause, based on causing the one or more battery components to be enabled, a shutdown timer, associated with an amount of time for the battery to remain active prior to shutting down, to be disabled, wherein the one or more cooling components are caused to be enabled based on causing the shutdown timer to be disabled. However, Cheng teaches wherein the one or more processors are further configured to: cause, based on causing the one or more battery components to be enabled, a shutdown timer, associated with an amount of time for the battery to remain active prior to shutting down, to be disabled ([0005] a vehicle battery management system (BMS) may be configured to start a timer when the vehicle is turned off […] and to switch the battery to a shutdown mode, when the timer reaches a predetermined value (or expires if configured as a countdown timer); [0006] deactivate the shutdown mode based at least in part on the main power monitor determining that the main power between the vehicle and the battery is detected). It would have been obvious to a person of ordinary skill in the art before the effective filing date of the present claimed invention to modify Neil, as modified, to incorporate the teachings of Cheng to include wherein the one or more processors are further configured to: cause, based on causing the one or more battery components to be enabled, a shutdown timer, associated with an amount of time for the battery to remain active prior to shutting down, to be disabled, “to manage the performance and operation of a rechargeable battery” (Cheng [0003]). Neil, as modified, also teaches wherein the one or more cooling components are caused to be enabled based on causing the shutdown timer to be disabled (see rejection of claim 14 where in Neil the fan is enabled after power is provided, and here Cheng [0006] teaches that when power is provided, the timer is deactivated). Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. JP-2020051065-A Takashi teaches pre-cooling by activation of a fan prior to charging 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 extension fee 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 date of this final action. Any inquiry concerning this communication or earlier communications from the examiner should be directed to DAVIN SEOL whose telephone number is (571) 272-6488. The examiner can normally be reached on Monday-Friday 9:00 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, Jelani Smith can be reached on (571) 270-3969. 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. /DAVIN SEOL/Primary Examiner, Art Unit 3662
Read full office action

Prosecution Timeline

Dec 13, 2024
Application Filed
May 22, 2026
Non-Final Rejection mailed — §103
Jul 21, 2026
Interview Requested
Jul 28, 2026
Applicant Interview (Telephonic)
Jul 28, 2026
Examiner Interview Summary
Aug 21, 2026
Response Filed
Sep 09, 2026
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

3-4
Expected OA Rounds
67%
Grant Probability
82%
With Interview (+15.2%)
2y 11m (~1y 1m remaining)
Median Time to Grant
Moderate
PTA Risk
Based on 176 resolved cases by this examiner. Grant probability derived from career allowance rate.

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