PATENT COOPERATION TREATY
`
`PCT
`
`NOTIFICATION OF TRANSMITTAL OF
`THE INTERNATIONAL SEARCH REPORT AND —
`THE WRITTEN OPINION OF THE INTERNATIONAL
`SEARCHING AUTHORITY, OR THE DECLARATION
`
`From the INTERNATIONAL SEARCHING AUTHORITY
`
`
` Mellor, Brett L.
`KILPATRICK TOWNSEND & STOCKTON LLP.
`
`
`Mailstop: IP Docketing - 22
`
`
`1100 Peachtree Street, N.E.
`
`
`Suite 2800
`Atlanta, Georgia 30309
`ETATS-UNIS D'‘AMERIQUE
`
`(PCT Rule 44.1)
`
`
`
`Date of mailing
`(day/month/year)
`
`27 January 2023 (a7-01-2025)
`
`Applicant's or agent's file reference
`
`
`- 101940-033500WO-1350531
`FOR FURTHER ACTION ©
`See paragraphs 1 and 4 below
`
`
`
`International application No
`Internationalfiling date
`‘day/month/year,
`PCT/US2022/045215
`(day
`year)
`29 September 2022 (29-09-2022)
`
`Applicant
`
`CATERPILLAR TRIMBLE CONTROL TECHNOLOGIES LLC
`
`
`How?
`
`1. [x] The applicant is hereby notified that the international search report and the written opinion ofthe International Searching
`Authority have been established and are transmitted herewith.
`:
`Filing of amendments and statement underArticle 19:
`The applicantis entitled, if he so wishes, to amend the claims of the international application (see Rule 46):
`When? Thetimelimit forfiling such amendments is normally two months from the date of transmittal of the
`international search report.
`Directly to the International Bureau preferably through ePCT,or on paperto:
`TheInternational Bureau of WIPO, 34 chemin des Colombettes, 1211 Geneva 20, Switzerland
`For more detailed instructions, see the PCT Applicant's Guide, International Phase, paragraphs 9.004 - 9.011.
`2. [] The applicant is herebynotified that no international search report will be established andthat the declaration under.
`Article 17(2)(a) to that effect and the written opinion of the International Searching Authority are transmitted herewith.
`3. [] With regard to any protest against paymentof (an) additional fee(s) under Rule 40.2, the applicantis notified that:
`O the protest togetherwith the decision thereon has been transmitted to the international Bureau together with any ©
`request to forward the texts of both the protest and the decision thereonto the designated Offices.
`[| no decision has been made yet on the protest, the applicant will be notified as soon as a decision is made.
`4. Reminders
`The applicant may submit comments on an informal basis on the written opinion of the international Searching Authority |
`to the international Bureau. These comments will be made available to the public after international publication. The
`‘International Bureau will send a copy of such commentsto all designated Offices unless an internationalpreliminary
`examination report has been oris to be established.
`Shortly after the expiration of 18 months from the priority date, the international applicationwill be published by the
`International Bureau. If the applicant wishes to avoid or postpone publication, a notice of withdrawalof the international
`application, or of the priority claim, must reach the International Bureau before the completion of the technical preparations for
`international publication (Rules 90bis.1 and 90bis.3).
`Within 19 monthsfrom the priority date, but only in respect of sore designated Offices, a demandforinternational preliminary
`examination mustbefiled if the applicant wishes to postpone the entry into the national phase until 30 months from the priority
`date (in some Offices even later); otherwise,
`the applicant must, within 20 monthsfrom the priority date, perform the
`prescribed acts for entry into the national phase before those designated Offices. In respect of other designated Offices, the
`time limit of 30 months(or later) will apply even if no demandis filed-within 19 months. For details about the applicable time
`limits, Office by Office, see www.wipo.int/pct/en/texts/time_limits.ntml andthe PCT Applicant's Guide, National Chapters.
`Within 22 months from thepriority date, the applicant may request that a supplementary international search be carried
`out by a different International Searching Authority that offers this service (Rule 45b/s.1). The procedure for requesting
`supplementary international search is described in the PCTApplicant's Guide, International Phase, paragraphs 8.006-8.032.
`
`.
`
`Name and mailing addressof the International Searching Authority|Authorizedofficer
`European Patent Office, P.B. 5818 Patentlaan 2
`.
`
`.
`
`.
`
`PIERRE, Laurence
`
`Tel: +49 (0)89 2399-6064
`
`HD NL-2280 HV Rijswijk
`
`Tel. (+31-70) 340-2040
`Fax: (+31-70) 340-3016
`
`Form PCT/SA/220 (revised January 2020)
`
`

`

`PATENT COOPERATION TREATY
`
`PCT
`
`INTERNATIONAL SEARCH REPORT
`
`(PCTArticle 18 and Rules 43 and 44)
`
`Applicant's or agent's file reference
`4101940-033500WO-1350531
`International application No.
`
`see Form PCT/ISA/220
`FOR FURTHER
`as well as, where applicable, item 5 below.
`ACTION
`Internationalfiling date (day/month/year)
`(Earliest) Priority Date (day/month/year)
`
`PCT/US2022/045215
`
`,
`
`29 September 2022 (29-09-2022)
`
`4 October 2021 (04-10-2021)
`
`Applicant
`
`CATERPILLAR TRIMBLE CONTROL TECHNOLOGIES LLC
`
`This international search report has been prepared bythis International Searching Authority and is transmitted to the applicant
`according to Article 18. A copy is being transmitted to the International Bureau.
`
`sheets.
`4
`This international search report consists of a total of
`It is also accompanied by a copy of each prior art documentcited in this report.
`
`1. Basis of the report
`a. With regard to the language,the international search was carried out on the basis of:
`
`C]
`
`the international application in the language in which it wasfiled
`, which is the language
`a translation of the international application into
`of a translation furnished for the purposesof international search (Rules 12.3(a) and 23.1(b))
`
`This international search report has been established taking into account the rectification of an obvious mistake
`authorized by or notified to this Authority under Rule 91 (Rule 43.6b/s(a)).
`
`i
`With regard to any nucleotide and/or amino acid sequence disclosedin the international application, see Box No.I.
`
`Certain claims were found unsearchable (See Box No. II)
`
`Unity of invention is lacking (see Box NoIII)
`
`4. With regard to the title,
`
`the text is approved as submitted by the applicant
`the text has beenestablished bythis Authority to read asfollows:
`
`C]
`
`none ofthe figures is to be published with the abstract
`
`6. With regard to the drawings,
`a.
`the figure of the drawings to be published with the abstract is Figure No.__5, 8
`. | _
`as suggestedby the applicant
`as selected by this Authority, because the applicantfailed to suggesta figure
`as selected by this Authority, because this figure better characterizes the invention
`
`5. With regard to the abstract,
`
`(]
`
`the text is approved as submitted by the applicant
`the text has been established, according to Rule 38.2,.by this Authority as it appears in Box No. IV. The applicant
`may,within one month from the date of mailing ofthis international search report, submit comments to this Authority
`
`[]
`
`b. [|
`
`Form PCT/ASA/210 (first sheet) (July 2022).
`
`

`

`A. CLASSIFICATION OF SUBJECT MATTER
`INV.
`E02F9/26
`
`ADD. According to International Patent Classification (IPC) or toboth nationalclassification and IPC
`
`International application No
`
`PCT/US2022/045215
`
`-| B. FIELDS SEARCHED
`Minimum documentation searched (classification system followed byclassification symbols)
`EQ2F
`,
`
`.
`
`‘
`
`i.
`
`Documentation searched other than minimum documentation to the extentthat such documents are included in the fields searched
`
`Electronic data base consulted during the international search (name of data base and, where practicable, search terms used)
`
`EPO-Internal, WPI Data
`
`C. DOCUMENTS CONSIDERED TO BE RELEVANT
`
`
`
`
`
`Category*|Citation of document, with indication, where appropriate, of the relevant passages Relevant to claim No.
`
`
`
`
`
`
`
`US 9 982 414 B2 (CATERPILLAR INC [US])
`29 May 2018 (2018-05-29)
`abstract; figures 1-3
`column 7,
`line 29 - line 35
`column
`5, Line 60 - column 6, line 49
`column
`8,
`line 61 — column 9,
`line 15
`
`
`
`column line 64-—column 5,4, line 39
`column
`9,
`line 16
`line 36:
`column 10,
`column
`9,
`line 16
`column
`6,
`line 43
`line 47
`
`line 13
`
`WO 2020/241419 Al
`(KAWASAKI HEAVY IND LTD)
`3 December 2020 (2020-12-03)
`‘abstract; figures 1-29
`
`-/——
`
`1,2,4,
`/11,12,19
`10
`
`. [x|See patent family annex.
`[x Further documentsarelisted in the - continuation of Box C.
`* Special categories of cited documents:
`
`"A" document defining the general state of the art which is not considered
`to be of particular relevance
`“E" earlier application or patent but published on or after the international
`filing date
`"L" document which may throw doubts on priority claim(s) or which is
`cited to establish the publication date of another citation or other
`special reason (as specified)
`"O" documentreferring to an oral disclosure, use, exhibition or other
`means
`:
`
`"P" document published prior to the internationalfiling date but later than
`the priority date claimed
`
`Date of the actual completion of the international search
`
`“T" later document published after the internationalfiling date or priority
`date and notin conflict with the application but cited to understand
`the principle or theory underlying the invention
`
`"X" documentofparticular relevance; the claimedinvention cannot be
`considered novel or cannot be considered to involve an inventive
`step when the documentis taken alone
`"¥" documentof particular relevance;; the claimed invention cannot be
`‘
`consideredto involve an inventive step when the documentis
`combined with one or more other such documents, such combination
`being obvious to a personskilled in the art
`
`“&" document memberof the same patent family
`Date of mailing of the international search report
`
`18 January 2023
`
`Name and mailingaddress of the ISA/
`European Patent Office, P.B. 5818 Patentlaan 2
`NL - 2280 HVRijswijk
`Tel. (431-70) 340-2040,
`Fax: (+31-70) 340-3016
`
`Form PCTASA/210 (second sheet) (April 2005)
`
`27/01/2023
`Authorized officer
`
`Bultot, Coralie
`
`

`

`Category*
`
`X,P
`
`x
`
`.
`
`x.
`
`x
`
`Y
`
`Y
`
`Y,P
`
`
`
`‘Form PGTASA/210 (continuation of second sheet) (April 2005)
`
`
`
`_
`
`|. International application No
`
`CT/US2022/045215
`
`Citation of document, withindication,whereappropriate, of the relevant passages
`
`:
`
`,
`
`(KAMON MASAYUKI {JP ]
`& US 2022/220709 Al
`_ ET AL) 14 July 2022 (2022-07-14)
`abstract; figures 1-29
`paragraphs [0155],
`[0156]
`paragraph [0160] — paragraph [0191]
`
`(HAMADA SHINTARO [JP] ET
`US 2021/292999 Al
`AL) 23 September 2021 (2021-09-23)
`os
`
`.
`
`figure 1 to 9
`paragraph [0048] - paragraph [0052]
`paragraph [0053]
`:
`,
`paragraph [0092]
`paragraph [0095]
`-paragraph [0120]
`paragraph [0100] - paragraph [0104]
`paragraph [0123]
`—- paragraph [0125]
`
`[JP] ET.
`
`(YAMADA HIDEKI
`US 2017/314987 Al
`AL) 2 November 2017 (2017-11-02)
`‘
`figures 1a~-10
`paragraph [0033]
`paragraph [0128]
`paragraph [0129]
`paragraph [0121] — paragraph [0123]
`
`,
`
`.
`
`,
`
`/
`
`(SUMITOMO HEAVY IND LTD).
`| ' WO. 2020/162428 Al
`13 August 2020 (2020-08-13)
`. abstract;. figures 1-6B .
`& EP 3 922 776 Al
`(SUMITOMO HEAVY
`INDUSTRIES [JP])
`15 December 2021 (2021-12-15)
`abstract
`:
`paragraphs [0095] - [0097]
`
`Relevant to claim No
`
`:
`
`1,2,4,
`11,12,19
`
`1,2,5-7,
`9,11,12,
`14-16,
`18-20
`
`10
`
`1,2,5,8,
`9,11,12,
`14,17,18
`10
`
`10
`
`10
`
`|
`
`_ P
`
`

`

`EE © Beet SEP EEN re ReeLEE Re OEE
`
`oo
`
`Information on patent family members
`
`.
`.
`.
`International application No
`
`PCT/US2022/045215
`
`cited in search report
`
`date
`
`member(s
`
`US 9982414
`
`' 29-05-2018
`
`DE 102017109939 Al
`US
`2017328031 Al
`
`WO 2020241419 Al
`
`03-12-2020
`
`113228139 A
`CN
`115467382 A
`cN
`7079896 B2
`JP
`JP WO2020241419 a1
`US
`2022220709 Al
`WO
`2020241419 Al
`
`date
`
`16-11-2017
`16-11-2017
`
`06-08-2021
`13-12-2022
`02-06-2022
`18-11-2021:
`14-07-2022
`03-12-2020
`
`US 2021292999
`
`Al
`
`23-09-2021
`
`US 2017314987
`
`Al
`
`02-11-2017
`
`WO 2020162428
`
`a1
`
`13-08-2020
`
`112654753 A
`cN
`DE 112019003254 T5
`JP
`7175666 B2
`JP
`2020020145 A
`US
`2021292999 Al
`WO
`2020026503 Al
`
`cN
`EP
`US
`
`107338826 A
`3239409 Al
`2017314987 Al
`
`CN
`113396258 A
`EP
`3922776 Al
`JP WO2020162428 Al
`KR
`20210122246 A
`US.
`2021355651 Al
`-WO'
`2020162428 Al
`
`|
`
`~
`
`- 13-04-2021
`01-04-2021
`21-11-2022
`06-02-2020
`23-09-2021
`06-02-2020
`
`.
`
`10-11-2017
`01-11-2017
`02-11-2017
`
`14-09-2021
`15-12-2021
`09-12-2021
`08-10-2021
`18-11-2021
`13-08-2020
`
`Form.RCTASA/210 (patent family annex) (April 2005)
`
`prnemweminecnscrna
`
`

`

`Information on Search Strategy-Pilot phase (see OJ 2015, A86) Application Number
`
`Thetype ofinformation contained in this sheet may change during
`the pilot for improvin
`the udstuiness ofthisnew service.
`¥
`9
`game
`P
`proving
`PCT/US2022/045215
`
`“TITLE:
`
`IMPLEMENT—ON-GROUND DETECTION USING VIBRATION SIGNALS
`
`APPLICANT: CATERPILLAR TRIMBLE CONTROL TECHNOLOGIES LLC
`
`IPC CLASSIFICATION: E02F9/26
`
`EXAMINER: Bultot, Coralie
`
`CONSULTED DATABASES: KIME, WPI
`
`CPC: EOQ2F9/264, "9-20 dml (e02f)", "9-20a im (e02f)", "9-20a 1 (e02£f)", "9-20a
`s
`(e02£)", "9-201 ac (e02£f)", "9-201 im (e02f)", "9-204 p (e02f)", "9-201 vib
`(e02f)", EO2F9/20, AQ1B, E21B, E21Cc
`:
`
`work implement, AI, vibration, pattern recognition, time
`
`CLASSIFICATION SYMBOLS DEFINING EXTENT OF THE SEARCH:
`
`IPc:
`
`FI/F-TERMS:
`
`|
`
`KEYWORDS OR OTHER ELEMENTS FEATURING THE INVENTION:
`
`EPOFORMP04A42
`
`

`

`PATENT COOPERATION TREATY
`
`From the
`INTERNATIONAL SEARCHING AUTHORITY
`
`
`
`re oo 7 PCT a
`
`|
`WRITTEN OPINIONOF THE
`
`see,form PCTASAIZ20 _|INTERNATIONAL SEARCHING AUTHORITY
`(PCT Rule 43bis.1)
`
`(day/monthear)
`see form PCTASA210 (second sheet)
`
` ' Date of mailing . ‘
`
` Applicant's or agent's file reference
`
`
`
`
`
`|
`
`Priority date (day/monthVear)
`04.10.2021
`
`
`
`FOR FURTHER ACTION
`see form PCTASA/220
`See paragraph 2 below
`Internationalfiling date (day/nonthvear)
`International application No.
`29.09.2022
`PCT/(JS2022045215
`International Patent Classification (IPC) or both national classification and IPC
`INV. E02F926
`
`Applicant
`~
` CATERPILLAR TRIMBLE CONTROL TECHNOLOGIES LLC
`
`1.
`This opinion containsindications relating to the following items:
`
`|
`
`RROROO
`
`Box No.|
`Box No.Il
`
`Box No. Ill
`
`Basis of the opinion.
`Priority
`
`| Non-establishmentof opinion with regard to novelty, inventive step and industrial applicability
`
`Box No. IV___Lackofunity of invention
`Box No. V—_-
`Reasoned statement under Rule 43bis. 1{a)(i) with regard to novelty, inventive step and industrial
`applicability; citations and explanations supporting such statement
`|
`Box No. Vi
`Gertain documents cited
`
`Box No. VII Gertain defectsin the international application
`Box No. VIIl_ Gertain observations on the international application
`
`2,
`
`FURTHER ACTION:
`
`If a demandfor international preliminary examination is made, this opinion will usually be considered to be a ©
`written opinion of the International Preliminary Examining Authority ("IPEA"). except thai this does not apply where
`the applicant chooses an Authority other than this one to be the IPEA and the chosen IPEA hasnotifed the
`International Bureau under Rule 66.1 6/s(b) that written opinions ofthis International Searching Authority
`will not be so considered.
`If this opinion is, as provided above, considered to be a written opinion of the IPEA, the applicantis invited to
`submit to the PEA a written reply together, where appropriate, with amendments, before the expiration of 3 months
`from the date of mailing of Form PCTASA/220or before the expiration of 22 months from thepriority date,
`whichever expires jater.
`For further options, see Form PCTASA220.
`
`:
`
`
`
`
`.
`
`Authorized Officer
`Bultot, Coralie
`
`Telephone No. +49 89 2399-0
`Cte
`
`van
`ca ote
`S 6 %
`5 9d ?
`5,
`é
`“eanayo
`a
`
`“Name and mmaiiing“address of the ISA:
`»)
`European Patent Office.
`)
`—S 80298 Munich
`Tel. +49 89 2399 - 0
`Fax: +49 892399 - 4485
`Form PCTASA237 (Cover Sheet) (July 2022)
`
`Date of completion of
`:
`this opinion
`a see form
`PCTASA/210
`
`

`

`©
`- WRITTEN OPINION OF THE
`INTERNATIONAL SEARCHING AUTHORITY
`
`.
`
`International application No.
`~PCT/AJS2022045215 |
`
`Box No.1 Basisof the opinion
`1. With regard to the language,this opinion has been established on the basisof:
`the international application in the language in which it wasfiled.
`Od
`atranslation of the international application into , which is the language of a translation furnished for the
`purposesofinternational search (Rules 12.3(a) and 23.1 (b)).
`This opinion has been established taking into account the rectification of an obvious mistake authorized
`by or notified to this Authority under Rule 91 (Rule 43bis.1(a))
`
`2.
`
`QO
`
`With regard to any nucleotide and/or amino acid sequence disclosed iin the international application, this
`opinion has been established on the basis of a sequencelisting:
`a.
`[1 forming part of the international application asfiled. .
`
`b. U1 furnished subsequentto the international filing date for the purposesof international
`search (Rule 13¢er.1(a)),
`O accompanied by a statement to the effect that the sequence isting does.not go beyond the.
`disclosure in the international application asfiled.
`With regard to any nucleotide and/or amino acid sequencedisclosedin the international application, ‘this
`opinion has been established to the extent that a meaningful opinion could be formed without a WIPO
`Standard ST.26 compliant sequencelisting.
`“5. Additional comments:
`
`Box No. Vv Reasoned statement under Rule A3bis.1(a)(i)with regard to novelty, inventive step or
`industrial applicability; citations and explanations supporting such statement
`1. Statement
`
`Novelty (N)
`
`Yes: Claims
`No:
`Claims
`
`10
`1-9, 11-20
`
`Inventive step (IS)
`
`-
`
`_ Industrial applicability (1A)
`
`Yes: Claims
`No: Claims
`
`Yes: Claims
`No: Claims
`
`1-20
`
`1-20
`
`2. Citations and explanations
`
`‘see separate sheet
`
`-
`
`Form PCTASA/237. (July 2022)
`
`

`

`International application No.
`WRITTEN OPINION OF THE
`PCT/US2022045215
`INTERNATIONAL SEARCHING AUTHORITY.
`
`
`Box No. VIl_ Certain defects in the international application
`
`- Thefollowing defects in the form or contents of the international application have been noted:
`
`see separate sheet
`
`Box No. VIll__Certain observations on the international application
`The following observations ontheclarity of the claims, description, and drawings or on the question whether the
`claims are fully supported by the description, are made:
`
`i
`
`see separate sheet
`
`Form PCTASA/237 (July 2022)
`
`

`

`WRITTEN OPINION OF THE
`INTERNATIONAL SEARCHING
`AUTHORITY (SEPARATE SHEET)
`
`a
`.
`
`.—s|
`
`International application No.
`
`PCT/US2022/045215 ©
`
`1
`
`1.1
`7
`
`Re Item VIII
`Certain observations on theinternational application
`Term “prediction/predicted/predicting/predict(s)" - independent claims1, 11 and
`20 and throughout the description
`The term "to predict" is defined in Merriam-Websteras "to declareorindicate in
`advance". In the context of the whole application and particularly in the context
`of independent claims 1, 11 and 20, it does not make any sense.-
`First a vibration signal is captured during movementof an implement. Soit
`means the movementis actually happening during the sensing. Then the signal
`is analysed and after that a prediction, a forecast for a future event, of a start
`time and endtime of the digging operation that already happened should be
`made.. Whereisthe logic in predicting how long a digging operation would be of
`a digging operation that already happened ? Onealready knowshowlong the.
`digging operation.was.
`The use of the term "predict"is veryy confusing andit results jina lack of clarity
`
`(Art. 6 PCT).
`
`4.2
`
`Claims 1 and 11 - methods
`
`In claim 1, it is stated "providing the one or more features to a machine-learning
`model to generate a model output". Here it is understood that the machine-
`learningis trained in order to be able to generate a model output. Sothis
`method step implies that a training method of.a machine-learning model is de-
`fined.
`Howeverthe last step "predicting (...)" implies that the machine-learning model
`is used and its output is usedforfurther processing. So this method step implies
`that a method of using a machine-learning modelis defined.
`A training method of a machine-learning model anda methodof using a ma-
`chine-learning model are two different types of method and can notbe defined
`together without rendering the subject-matter of the claim unclear (Art. 6 PCT).
`
`The same argument appliesto the apparatus claim11 with the programmedin-
`
`structions corresponding to the method of claim 1.
`
`Form PCT/ISA/237 (Separate Sheet) (Sheet 1) (EPO-April 2005)
`
`-
`
`

`

`WRITTEN OPINION OF THE
`INTERNATIONAL SEARCHING
`. AUTHORITY (SEPARATE SHEET)
`
`.
`
`International application No.
`.
`PCT/US2022/045215
`
`1.3
`
`Claims 1 and 11 - Machine-learning model
`‘The machine--learning model in claims 1 and 11 are not clearly defined as no
`outputsis defined (the use of the general term "model output"is not considered
`to clearly define the ouput). Furthermore, the inputs are defined as "one or more
`features from a vibration signal", which is very broad and donot clearly defined
`the inputs. What are the "one or more features" ?
`It results in a lack ofclarity (Art. 6 PCT)
`
`1.4
`
`Lack of conciseness
`
`Although claims 1 and 20 have beendrafted as separateindependentclaims,
`they appearto relate effectively to the same subject-matter and to differ from
`each other only with regard to the definition of the subject-matter for which pro-
`tection is sought and/or in respect of the terminology used for the features of -
`that subject-matter. The aforementioned claims therefore lack conciseness and
`as such do not meet the requirements of Article 6 PCT.
`
`. Re liem V
`
`Reasoned statementwith regard to novelty, inventive step or industrial
`applicability; citations and explanations supporting such statement.
`
`Reference is madeto the following documents:
`US 9 982 414 B2 (CATERPILLAR INC [US]) 29 May 2018 (2018-05-29)
`
`D1
`
`D2
`
`D3
`
`D4
`
`~ D5
`
`WO 2020/241419 A1 (KAWASAKI HEAVYIND LTD)3 December 2020
`(2020-12-03); & US 2022/220709 At (KAMON MASAYUKI[JP] ET AL) 14
`July 2022 (2022-07-14)
`US 2021/292999 Ai (HAMADA SHINTARO uP] ET AL) 23 September
`2021 (2021-09-23)
`
`US 2017/314987 A1 (YAMADAHIDEKI[JP] ET AL) 2 November2017
`(2017-11-02)
`
`WO 2020/162428 A1 (SUMITOMO HEAVYIND LTD) 13 August 2020
`(2020-08-13); & EP 3 922 776 A1 (SUMITOMO HEAVY INDUSTRIES [UP])
`15 December 2021 (2021-12-15)
`
`Form PCT/ISA/237 (Separate Sheet) (Sheet 2) (EPO-April 2005)
`
`

`

`WRITTEN OPINION OF THE
`INTERNATIONAL SEARCHING
`AUTHORITY (SEPARATE SHEET)
`
`|
`
`|
`
`|
`
`|
`
`-
`
`—
`
`International application No.
`PCT/US2022/045215
`
`2.1
`
`Independentclaim 1
`a) Case wherein the method defines a method of using a machine-Jeaming
`~ model (see point 1.2)
`
`D1 disclosesin fig: 1 to 3 (see also abstract):
`
`A method of determining a period during which an implement of a construction
`machineisinteracting with a ground surface (D1, column 7, lines 29-35 - to
`classify that the current operation is a dig operation or dump operationforin-
`stance, the system andits corresponding method implicitly has to determine a
`period during which the implementinteract with the ground surface during dig
`operation or not interact with the ground surface during dump operation foriin-
`stance), the method comprising:
`capturing a vibration signal that is indicative of a movementof the implement
`(sensors 210-218 and moreexplicitly accelerometers 218 measure the imple-
`ment movementovertime andtherefore its vibration, D1, column 5, line 60-
`column 6-line 49);
`extracting one or more features from the vibration signal (D1, column 8, line 61-
`column 9, line 15);
`providing the one or more features toa machine-learning model to generate
`(unclear see point 1) a model output ("machine learning", neural networks", D1
`column 4, line 64 - Column 5, line 39 and D1, column 9, lines 24-27); and
`predicting (unclear, see point 1.1, here we assume "determining") an imple-
`“’ ment-on-ground (IOG)start time and an IOG end time based on the modelout-.
`put, the IOG start time and the [OG end time forming the period during which
`the implementis interacting with the groundsurface (this is done implicitly by
`the controller comprising a neural network with a model outputin orderto identi-
`fy the differentpattern and classify the operations, D1, column 9,line 16- col-
`umn 10,line. 13).
`
`| The subject-matter of claim 1
`
`is so unclear, that D1 falls within the scope of
`
`claim 1.
`
`-
`
`.b) Case wherein the method should rather define a training method of a ma-
`chine-‘learning model (see point 1.2).
`
`Form PCT/ISA/237 (Separate Sheet) (Sheet 3) (EPO-April 2005)
`
`

`

`WRITTENOPINION OF THE
`INTERNATIONAL SEARCHING
`AUTHORITY (SEPARATE SHEET)
`
`|
`
`.
`
`_
`
`:
`
`|
`
`|
`
`-
`International application No.
`|
`a |
`PCT/US2022/045215
`
`is disclosed in D2 (see US family memberapplica-
`The subject-matter of claim 1
`tion for the references),fig. 1 to 29 and abstract:
`A method of determining a period during which an implementof a construction
`machineis interacting with a ground surface (see abstract and D2,par. 155,
`156, implicitly disclosed when the reaction data are correlated with time series),
`the method comprising:
`- capturing a vibration signal that is indicative of a movementof the implement
`(par. 155);
`extracting one or morefeatures from the vibration signal ("reaction data", par.
`155);
`providing the one or more features to a machine-learning modelto generate
`(unclear, see point 1) a model output (“machine learning", D2, par. 160--191); .
`~ predicting(unclear, see point 1.1, here we assume "determining") an imple-
`ment-on-ground (IOG) start time and an 1OG end time based onthe model out-
`put, the OG start time and the |OG endtime forming the period during which
`the implementis interacting with the ground surface (time series par. 162, 163).
`The subject-matterof claim tiis so unclear, that D2 falls within the scope of
`
`and
`
`~ Claim 1.
`
`Fromtheunderstanding of the description,it seems that D3 and D4¢are close to
`the scope of the application:
`
`_
`
`comprising:
`
`D3 disclosesin fig. 1 to 9:
`A method of determining a period during which an implement of a construction
`machineis interacting with a ground surface (fig.9, vexcavation’), the method
`capturing a vibration signal that is indicative of a movementof the implement
`(D8, par. 48-52, whenthere are vibrations during excavation, the pressures and
`strokes in the boom, arm and bucketcylinders are changing depending on
`those vibrations, there is a direct link between pressures/strokes/vibrations and
`the pressure sensors are vibration sensors);
`~ extracting one or more features from the vibration signal (D3, par. 53, 99):
`providing the one or more features to a machine-learning model to generate
`(unclear, see point 1) a model output (D3, par. 95, 120, output"likelihood time
`series"); and
`
`Form PCTASA/237 (Separate Sheet) (Sheet 4): (EPO-April 2005)
`
`

`

`WRITTEN OPINION OF THE
`INTERNATIONAL SEARCHING
`AUTHORITY (SEPARATE SHEET)
`
`.
`
`International application No.
`.
`
`PCT/US2022/045215
`
`predicting (unclear, see point 1) an implement-on-ground (IOG)start time and
`an lOG end time based on the model output, the |OG start time and the I|OG
`end time forming the period during. which the implementiis interacting with the
`ground surface (D3, par. 100-104, 123-125).
`
`|
`
`D4 disclosesin fig. 1A-10::
`A method of determining a period during which an implementof a construction -
`machineis interacting with aground surface (fig. 7A), the method comprising:
`capturing a vibration signal thatis indicative of a movementof the implement
`(D4, par. 33);
`_ extracting one or more features from the vibration signal (D4,.par. 128, 129);
`providing the one or more features to a machine-learning model to generate
`(unclear, see point 1) a model output (D4, par. 121-123); and
`predicting (unclear, see point 1) an implement-on-ground (IOG) start time and .
`an IOG end time based on the modeloutput, the IOG start time and the lOG
`end time forming the period during which the implementis interacting with the
`ground surface (D4,fig. 7A, "normal strike" is when the implement
`iinteract with —
`the ground and "blank blowing" |is whenitis "in the air").
`
`_
`
`The subject-matter of claim 1
`
`is therefore not new (Article 33(2) PCT).
`
`2.2
`
`Independentclaim 11
`
`Independent claim 11 defines the system implementing the method describedin
`independentclaim 1. The objection to the subject-matter of claim 1 applies
`therefore, mutatis mutandis, to the subject-matter of claim 11 and the subject-
`matter of claim 11 is not new (Art. 33(2) PCT).
`
`7)
`
`Dependentclaims - negative opinion
`Following dependent claims do not appear to contain any additional features
`which, in combination with the features of any claim to which they refer, meet
`the requirements of the PCTin respect of novelty (Art. 33(2) PCT).
`
`- Claims 2, 12
`
`D1 (accelerometer 218), D2 (gyroscope 314, par. 155), D3 (stroke and pressure
`sensors on work implement), D4 (Sensors on breakertool)
`
`Form PCT/ASA/237 (Separate Sheet) (Sheet 5) (EPO-April 2005)
`
`

`

`WRITTEN OPINION OF THE.
`INTERNATIONAL SEARCHING
`AUTHORITY(SEPARATE SHEET)
`
`©.
`
`International application No.
`a
`_._ PCT/US2022/045215
`
`- Claims 3, 13 |
`
`Di (accelerometer 218)
`- Claim 4
`D2 (gyroscope 314, par. 155) .
`
`-- Claims 5, 14
`
`D1, column 6, lines 43-47, D3 (stroke and pressure sensors on workimple-
`ment), D4 (sensors on breaker tool)
`- Claims 6, 7, 15,16
`_ explicit in D3, fig. 9 with likelihood time series associated to each different oper-.
`ation ("excavation", "scraping" are IOG candidates, "dumping", "empty load
`swing" are IIA candidates)
`
`- Claims 8, 17
`explicit in D4, par. 128-130.
`- Claims 9, 18
`D3,par. 95, D4 par. 122
`
`- Claim 19
`D1 (implement position sensors 216), D2 (par. 207), D3 (par. 53)
`
`Following dependentclaim does notappearto contain any additional features
`
`~ which, in combination with the features of any claim to whichit refers, meets the
`requirements of the PCTin respectof inventive step (Art. 33(3) PCT).
`
`- Claim 10 (D1 or D2, or D3 or D4 as closestpriorart )
`
`see D5 (EP - family. member, reference par. 95-97)
`
`2.4
`
`Independent claim 20
`All the featuresof claim 20 are comprised in the method of claim combination —
`~ 14647, which are disclosed in.D3, see point 2.1 and 2.3,
`
`Re Item VII
`
`Certain defects in the international application
`
`Form PCT/ISA/237 (Separate Sheet) (Sheet 6) (EPO-April 2005}
`
`

`

`WRITTEN OPINION OF THE
`INTERNATIONAL SEARCHING
`AUTHORITY (SEPARATE SHEET)
`
`International application No.
`
`PCT/US2022/045215
`
`3.1
`
`3.2
`
`.
`
`3.3 |
`
`3.4
`
`Independentclaims 1, 11 and 20 are notin the two-part form in accordance with
`Rule 6.3(b) PCT.
`The features of the claims are not provided with reference signs placed in
`parentheses (Rule 6.2(b) PCT).
`;
`Contrary to the requirements of Rule 5.1(a)(ii) PCT, the relevant backgroundart
`disclosedin[...] is not mentioned in the description, nor are these documents
`identified therein.
`.
`The vague and imprecise statementin1 the description on par. 100, 101, 102 and
`105 implies that the subject-matter for which protection is sought maybediffer-
`ent to that defined by the claims, thereby resulting|in lack of Clarity (Article 6
`PCT) when usedto interpret them.
`
`Form PCT/ISA/237 (Separate Sheet) (Sheet 7) (EPO-April 2005)
`
`

`

`Possible steps after receipt of the international search report (ISR) and written
`opinion of the International Searching Authority (WO/ISA)
`
`_ General
`information
`
`International Searching
`international applications, the competent
`For all
`Authority (ISA) will establish an international search report (ISR) accompanied
`by a written opinion of the International Searching Authority (WO/ISA). The
`WOIISA may be responded to by -
`Oo,
`
`e
`
`filing informal comments with the International Bureau of WIPO (IB)
`(where no demandforinternational preliminary examination (demand)
`is filed)
`e—filing amendments underArt. 19 PCT (this can be donewhetheror not
`a demand isfiled)
`i
`filing amendments under Art. 34 PCT and/or formal observations in
`response to objections raised in the WO/ISA (where a demand is
`actually filed)
`
`e
`
`‘ This documentexplains these possibilities.
`
`Filing informal
`comments
`
`After receipt of the ISR and WO/ISA,the applicant mayfile informal comments
`on the WO/ISA,directly with the IB (see International Search and Preliminary
`Examination Guidelines
`2.15), These will
`be
`communicated to
`the
`designated/elected Offices, together with the International Preliminary Report
`on Patentability (IPRP) at 30 monthsfrom the priority date.
`
`Amending claims
`under
`Art. 19 PCT
`
`The applicant may file amended claims under Art. 19 PCT, directly with the
`IB bythe later of the following dates:
`
`e
`¢
`
`2months from the date of mailing of the ISR and the WO/ISA
`16 months from the priority date
`
`However, any such amendmentreceived by the IB after the expiration of the
`applicable time limit shall be considered to have been received on time by
`the IB,
`if
`it reaches it before the technical preparations for international
`publication have beencompleted (the 15th dayprior t