Prosecution Insights
Last updated: October 23, 2026
Application No. 19/355,508

LOCK ASSEMBLY, BATTERY TRAY, BATTERY, AND ELECTRIC APPARATUS

Non-Final OA §102§103
Filed
Oct 10, 2025
Priority
Apr 12, 2023 — CN 202320808171.1 +2 more
Examiner
BROWN, EMILY GAIL
Art Unit
3675
Tech Center
3600 — Transportation & Electronic Commerce
Assignee
Contemporary Amperex Technology Co., Limited
OA Round
1 (Non-Final)
75%
Grant Probability
Favorable
1-2
OA Rounds
1y 8m
Est. Remaining
92%
With Interview

Examiner Intelligence

Grants 75% — above average
75%
Career Allowance Rate
143 granted / 190 resolved
+23.3% vs TC avg
Strong +16% interview lift
Without
With
+16.5%
Interview Lift
resolved cases with interview
Typical timeline
2y 9m
Avg Prosecution
24 currently pending
Career history
215
Total Applications
across all art units

Statute-Specific Performance

§103
45.0%
+5.0% vs TC avg
§102
26.5%
-13.5% vs TC avg
§112
27.4%
-12.6% vs TC avg
Black line = Tech Center average estimate • Based on career data from 190 resolved cases

Office Action

§102 §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 . Drawings The drawings are objected to as failing to comply with 37 CFR 1.84(p)(5) because they do not include the following reference sign(s) mentioned in the description: 133. Corrected drawing sheets in compliance with 37 CFR 1.121(d) are required in reply to the Office action to avoid abandonment of the application. Any amended replacement drawing sheet should include all of the figures appearing on the immediate prior version of the sheet, even if only one figure is being amended. Each drawing sheet submitted after the filing date of an application must be labeled in the top margin as either “Replacement Sheet” or “New Sheet” pursuant to 37 CFR 1.121(d). If the changes are not accepted by the examiner, the applicant will be notified and informed of any required corrective action in the next Office action. The objection to the drawings will not be held in abeyance. Claim Objections Claims 1 and 15 are objected to because of the following informalities: in line 2 of claim 1, “the lock body” should likely be --each lock body-- in line 2 of claim 15, “the lock body” should likely be --each lock body-- Appropriate correction is required. Claim Rejections - 35 USC § 102 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 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. (a)(2) the claimed invention was described in a patent issued under section 151, or in an application for patent published or deemed published under section 122(b), in which the patent or application, as the case may be, names another inventor and was effectively filed before the effective filing date of the claimed invention. Claim(s) 1-4, 17, and 19-20 is/are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Heichal, US 2011/0223459 A1. Claim 1: Heichal discloses a lock assembly comprising: a plurality of lock bodies (Fig. 18), the lock body comprising a locking component (1902, 1920 and 2002 form a locking component) and a driving member (1904), wherein the locking component is configured to be able to be driven by the driving member to transition from a locked state to an unlocked state ([0127]); and a connecting structure (1012, 1014), wherein the connecting structure is connected to driving members of the plurality of lock bodies (Fig. 20) to link the driving members of the plurality of lock bodies ([0126-27]), enabling locking components of the plurality of lock bodies to be simultaneously driven by the corresponding driving members to transition from the locked state to the unlocked state ([0108]; [0137]). Claim 2: Heichal discloses the lock assembly according to claim 1, further comprising: an operating member (1008, 1010); wherein: the operating member is connected to at least one of the driving members, the operating member being configured to control the at least one driving member to drive a corresponding locking component to transition from the locked state to the unlocked state; or the operating member is connected to the connecting structure ([0105]), the operating member being configured to drive the driving members of the plurality of lock bodies through the connecting structure ([0105]), enabling the locking components of the plurality of lock bodies to be driven by the corresponding driving members to transition from the locked state to the unlocked state ([0105]). Note the claim recites alternative limitations, requiring the operating member is either connected to at least one driving member or is connected to the connecting structure. Claim 3: Heichal discloses the lock assembly according to claim 1, wherein the connecting structure comprises a connecting rod (Fig. 20 depicts the connecting structure is a rod), and the driving members of the plurality of lock bodies are all connected to the connecting rod ([0108]; Fig. 18). Claim 4: Heichal teaches the lock assembly according to claim 3, wherein the connecting rod extends along a first direction, and the plurality of lock bodies are arranged at intervals along the first direction (depicted in Fig. 18). Claim 17: Heichal discloses the lock assembly according to claim 1 (shown above). Heichal further discloses a battery tray (108), comprising the lock assembly according to claim 1 (Fig. 11). Claim 19: Heichal discloses an electric apparatus (102) comprising a battery (104) and the battery tray according to claim 17 (Figs. 3A-B), wherein the battery is connected to the battery tray (Fig. 10). Claim 20: Heichal discloses a battery (104) and the lock assembly according to claim 1 (shown above), wherein the lock assembly is disposed on at least one surface of the battery (Figs. 10 and 18 depict the lock assembly is disposed, or positioned, on at least one surface of the battery). Claim(s) 1 and 5-15 is/are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Ran et al., CN 115891610 A. Claim 1: Ran discloses a lock assembly comprising: a plurality of lock bodies (Fig. 8), the lock body comprising a locking component and a driving member (shown in annotated Fig. 1, below), wherein the locking component is configured to be able to be driven by the driving member to transition from a locked state to an unlocked state ([0034]); and a connecting structure (“pull wire connection” shown in Fig. 8), wherein the connecting structure is connected to driving members of the plurality of lock bodies ([0037]; Fig. 8) to link the driving members of the plurality of lock bodies (Fig. 8), enabling locking components of the plurality of lock bodies to be simultaneously driven by the corresponding driving members to transition from the locked state to the unlocked state ([0035-37]). PNG media_image1.png 391 588 media_image1.png Greyscale Claim 5: Ran discloses the lock assembly according to claim 1, wherein the lock body comprises a fixed base (1), the driving member is configured to be rotatable relative to the fixed base (shown by movement from Fig. 6 to Fig. 7; [0032]), and the locking component is configured to be able to transition from the locked state to the unlocked state with rotation of the driving member ([0034]). Claim 6: Ran discloses the lock assembly according to claim 5, wherein the driving member comprises a rotation center portion (a portion with the shaft 5 is a rotation center portion) and a protruding portion protruding circumferentially from the rotation center portion (depicted in Fig. 1), the fixed base is provided with a first rotation shaft (5), the first rotation shaft passes through the rotation center portion (Fig. 1), and the connecting structure is rotatably connected to the protruding portion ([0035]; Fig. 8). Claim 7: Ran discloses the lock assembly according to claim 6, wherein a plurality of protruding portions are provided (Fig. 1), the connecting structure is rotatably connected to one of the protruding portions (the connection between the connecting structure and the protruding portion is structured to be rotatable in the hole ([0035]; Fig 8)), and another of the protruding portions is configured to be connected to the operating member (Fig. 7 depicts the other protruding portion connected to an operating member 9). Claim 8: Ran discloses the lock assembly according to claim 5, wherein the locking component comprises a locking member (6), the locking member has a locking passage for receiving a lock pin (depicted in Fig. 6), and the locking member is configured to be rotatable relative to the fixed base (rotatable about the shaft 8), enabling an opening of the locking passage to face different directions when the locking component is in the locked state and when the locking component is in the unlocked state (compare locked state in Fig. 1 with unlocked state in Fig. 6). Claim 9: Ran discloses the lock assembly according to claim 8, wherein the fixed base comprises a lock pin entrance (Fig. 4), the lock assembly is configured such that when the locking component is in the unlocked state, the opening of the locking passage faces the lock pin entrance (shown in Fig. 6); and the lock assembly is further configured such that when the locking component is in the locked state, the opening of the locking passage does not face the lock pin entrance (shown in Fig. 1). Claim 10: Ran discloses the lock assembly according to claim 9, wherein the fixed base is provided with a second rotation shaft (8), and the second rotation shaft passes through the locking member (Fig. 1). Claim 11: Ran discloses the lock assembly according to claim 8, wherein the locking component further comprises a mating locking member (shown in Fig. 1, annotated above under claim 1), the locking member is provided with a first locking portion (shown in Fig. 1, annotated below), the mating locking member is provided with a second locking portion (shown in Fig. 1, annotated below), and the mating locking member is configured to engage with the first locking portion through the second locking portion when the locking component is in the locked state (Fig. 1). PNG media_image2.png 404 582 media_image2.png Greyscale Claim 12: Ran discloses the lock assembly according to claim 11, wherein the driving member is connected to the mating locking member (shown in Fig. 1), and the mating locking member is configured to be able to move under driving of the driving member to disengage the second locking portion from the first locking portion ([0035]). Claim 13: Ran discloses the lock assembly according to claim 12, wherein the driving member comprises the rotation center portion (the driving member rotates about the portion receiving shaft 5, corresponding to a rotation center portion) and the protruding portion protruding circumferentially from the rotation center portion (shown in Fig. 1 annotated below), wherein the protruding portion is provided in plurality and the mating locking member is connected to at least one of the plurality of protruding portions (Fig. 1, annotated below). PNG media_image3.png 418 588 media_image3.png Greyscale Claim 14: Ran discloses the lock assembly according to claim 12, wherein the mating locking member is configured to be rotatable relative to the fixed base ([0032]; movement between Fig. 1 and Fig 6), and the mating locking member is configured to be able to rotate under driving of the driving member to disengage the second locking portion from the first locking portion ([0035]; Fig. 6). Claim 15: Ran discloses the lock assembly according to claim 1, wherein: the lock body comprises a fixed base (1), the fixed base comprises a lock pin entrance (shown in Fig. 3), the locking component comprises a locking member (6) and a mating locking member (Fig. 1, annotated below), the locking member has a locking passage for receiving a lock pin (depicted in Fig. 2); and the locking component is configured such that: when in the locked state, an opening of the locking passage does not face the lock pin entrance and the mating locking member abuts and engages with the locking member (depicted in Fig. 1); and when in the unlocked state, the mating locking member disengages from the locking member, enabling the opening of the locking passage to be able to face the lock pin entrance (depicted in Fig. 6). PNG media_image1.png 391 588 media_image1.png Greyscale 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. 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) 18 is/are rejected under 35 U.S.C. 103 as being unpatentable over Heichal, as applied to claim 17 above, and further in view of Ragot et al., US 2023/0202282 A1. Claim 18: Heichal discloses the battery tray according to claim 17. However, Heichal silent to a plurality of beam bodies provided with a hollow cavity and the lock assembly is installed in the hollow cavity. Ragot teaches a plurality of beam bodies (30), wherein the beam body is provided with a hollow cavity (depicted in Fig. 7) and a lock assembly (40) is installed in the hollow cavity (Fig. 7; [0032]). 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 battery tray taught by Heichal to include a plurality of beam bodies, wherein the beam body is provided with a hollow cavity and the lock assembly is installed in the hollow cavity, as taught by Ragot, in order to provide additional support and protection for the lock assembly (Ragot [0028], Fig. 7). Allowable Subject Matter Claim 16 is 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. The following is a statement of reasons for the indication of allowable subject matter: Although the references of record show some features similar to those of Applicant’s device, the prior art fails to teach or make obvious the invention of claim 16. In regards to claim 16, Ran teaches a first shaft passes through the driving member and a second rotation shaft passes through the locking member, but fails to disclose a third rotation shaft passing through the mating locking member. Ran is also silent to the first rotation shaft, the second rotation shaft, and the third rotation shaft are not arranged in the same plane. The examiner can find no motivation to modify the driving member, locking member, and mating locking member disclosed by Ran to include a first rotation shaft, a second rotation shaft, and a third rotation shaft are not arranged in a same plane without use of impermissible hindsight and/or destroying the intended structure of the assembly. Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. Rawlinson et al. (US 9045030 B2), Son et al. (US 2018/0134324 A1), and Matecki et al. (US 10632857 B2) are related to batteries and battery trays. Origuchi (US 2012/0111654 A1), Zhang (US 11958351 B2), and Jiang et al. (US 11891119 B2) are related to lock assemblies for mounting batteries. Any inquiry concerning this communication or earlier communications from the examiner should be directed to Emily Gail Brown whose telephone number is (571)272-5463. The examiner can normally be reached Monday-Friday, 9am-6pm EST. 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, Kristina Fulton can be reached at (571) 272-7376. 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. /EGB/Examiner, Art Unit 3675 /KRISTINA R FULTON/Supervisory Patent Examiner, Art Unit 3675
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Prosecution Timeline

Oct 10, 2025
Application Filed
Sep 23, 2026
Non-Final Rejection mailed — §102, §103 (current)

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Prosecution Projections

1-2
Expected OA Rounds
75%
Grant Probability
92%
With Interview (+16.5%)
2y 9m (~1y 8m remaining)
Median Time to Grant
Low
PTA Risk
Based on 190 resolved cases by this examiner. Grant probability derived from career allowance rate.

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