Prosecution Insights
Last updated: April 19, 2026
Application No. 18/378,515

ACTUATOR OF HVAC UNIT

Non-Final OA §102
Filed
Oct 10, 2023
Examiner
POUDEL, SANTOSH RAJ
Art Unit
2115
Tech Center
2100 — Computer Architecture & Software
Assignee
Johnson Controls Tyco Ip Holdings LLP
OA Round
1 (Non-Final)
77%
Grant Probability
Favorable
1-2
OA Rounds
2y 11m
To Grant
99%
With Interview

Examiner Intelligence

Grants 77% — above average
77%
Career Allow Rate
425 granted / 555 resolved
+21.6% vs TC avg
Strong +31% interview lift
Without
With
+31.1%
Interview Lift
resolved cases with interview
Typical timeline
2y 11m
Avg Prosecution
39 currently pending
Career history
594
Total Applications
across all art units

Statute-Specific Performance

§101
12.5%
-27.5% vs TC avg
§103
45.1%
+5.1% vs TC avg
§102
14.5%
-25.5% vs TC avg
§112
20.8%
-19.2% vs TC avg
Black line = Tech Center average estimate • Based on career data from 555 resolved cases

Office Action

§102
DETAILED ACTION The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA . This Office Action is responsive to the communication received on 10/10/2023. The claims 1- 20 are pending, of which the claim(s) 1, 10, & 18 is/are in independent form. Drawings The drawings are objected to under 37 CFR 1.83(a). The drawings must show every feature of the invention specified in the claims. Therefore, the following item(s) must be shown or the feature(s) canceled from the claim(s). No new matter should be entered. "an actuating arm" , claim 1 line 3. While the para. 056 of the specification mentions -- “the actuator may comprise a motor 704 such as a brushless direct current (BLDC) motor, and an actuating arm (not shown) provided within the actuator enclosure 602”, such description is not adequate. 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. The figure or figure number of an amended drawing should not be labeled as “amended.” If a drawing figure is to be canceled, the appropriate figure must be removed from the replacement sheet, and where necessary, the remaining figures must be renumbered and appropriate changes made to the brief description of the several views of the drawings for consistency. Additional replacement sheets may be necessary to show the renumbering of the remaining figures. 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 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. (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) 1-20 is/are rejected under 35 U.S.C. 102(a) (1) as being anticipated by Jenks (US 20190277532 A1). Regarding claim 1, Jenks teaches an actuator [“an actuator in a HVAC system”, e.g., actuator 500 shown in figs. 6- 8], comprising: (figs. 6- 8 [004, 084]); an exterior housing [“actuator 500 is shown to include a housing 502 having a first side 504 (i.e., side A), a second side 506 (i.e., side B) opposite first side 504, and a bottom 508. Housing 502 may contain the mechanical and processing components of actuator 500”] ([085], Figs. 5- 8); an actuating arm1 [“actuator includes a motor and a drive device”. E.g., “drive device 510, wherein the “device 510 may be a drive mechanism, a hub, or other device configured to drive or effectuate movement of a HVAC system 100 component”…. to receive a shaft of a damper, a valve…to a valve or damper shaft”] (Figs 6- 8, [086]); a magnetic slider [“actuator includes a user input device retaining one or more magnets”, e.g., item 510/512. Please note that Jenks discloses - “The user may then slide user input device 514 from slot 516”, “the user may slide one or more magnets 604 within the respective slotted portion 622of input device 514”] disposed on the exterior housing and configured to select one of a plurality of stroke positions [“settings for the actuator”, wherein “settings may correspond to a respective detent 618 formed in the exterior-facing surface”] of the actuating arm (Fig. 5, [099, 0117, 0122]); one or more sensors2 [“actuator includes one or more magnetic field sensors” like “hall effect sensor or a reed switch”] configured to determine a selected stroke position ([004-005, 0101, 0103, 0113]); and a processing circuit [“actuator controller”, e.g., controller 606] configured to operate [“modifying the setting of actuator 500 according to the determined input from the user (step 906)…these settings may be associated with particular locations of magnets 604 of user input device 512, 514. Actuator controller 606 may generate”] the actuating arm based on the selected stroke position ([0102-0103, 0126]). Regarding claim 2, Jenks teaches the actuator of claim 1, wherein the processing circuit generates a first control signal [“Actuator 500 may use the control signal to determine an appropriate PWM DC output for the BLDC motor”] to operate the actuating arm, where the first control signal is generated based on the selected stroke position and an auxiliary signal [“to receive a control signal (e.g., a voltage input signal) from an external system or device.”] provided by a controller ([087, 094, 0104]). Regarding claim 3, Jenks teaches the actuator of claim 1, wherein the processing circuit generates a second control signal [a signal that causes one of the setting (e.g., “reverse acting”) due to different selection of the user input devices 512/514, “controller 606 may then generate those settings for actuator 500”] to operate the actuating arm, where the second control signal is generated based on the selected stroke position ([0104-0105]). Regarding claim 4, Jenks teaches the actuator of claim 1, wherein the actuating arm is coupled to one of a valve, a damper [“coupling device may facilitate attaching drive device 510 to a valve or damper shaft”], and a louver ([056, 084, 086]). Regarding claim 5, Jenks teaches the actuator of claim 1, wherein the one or more sensors are selected from a group consisting of hall effect sensors, 3-D magnetic sensors, potentiometers, optical sensors, proximity sensors, and magneto-resistive sensors ([005, 0101]). Regarding claim 6, Jenks teaches the actuator of claim 1, wherein the magnetic slider is one of a linearly movable magnetic slider and a rotatably [“magnet may be rotatable about the axis by way of rotation of the arm”] movable magnetic slider ([008, 084, 094, 0107]). Regarding claim 7, Jenks teaches the actuator of claim 1, wherein the magnetic slider is provided on an outer surface of an enclosure of the actuator ([0121], Figs. 5-6). Regarding claim 8, Jenks teaches the actuator of claim 7, wherein the magnetic slider is integral to the enclosure ([099, 0122], Figs. 5-6). Regarding claim 9, Jenks teaches the actuator of claim 7, wherein the magnetic slider is detachably coupled to the enclosure ([038, 099]). Regarding claim 10, the rejection of claim 1 is incorporated. Thus, Jenks teaches a heating, ventilating, or air conditioning device [“an actuator 500 for use in a HVAC system”], comprising: ([084], Figs. 5- 8); an exterior housing; an actuating arm [“actuator includes a motor and a drive device”]; a magnetic slider [“user input device”] disposed on the exterior housing and configured for selection of one of a plurality of stroke positions [settings] of the actuating arm and to be accessible above the exterior housing; a sensor [“one or more magnetic field sensors 602.”] ([036, 0101, 0120-0122]]); and a circuit [controller 606] configured to move the actuating arm based on a selected stroke position sensed by the sensor ([0102-0103], Fig. 9). Regarding claim 11, Jenks teaches the device of claim 10, wherein the circuit generates a first control signal to operate the actuating arm, where the first control signal is generated based on the selected stroke position and an auxiliary signal [“Actuator 500 may use the control signal to determine an appropriate PWM DC output for the BLDC motor”] provided by a controller ([087, 094, 0104]). Regarding claim 12, Jenks teaches the device of claim 10, wherein the circuit generates a second control signal to operate the actuating arm, where the second control signal is generated based on the selected stroke position ([0104-0105]). Regarding claim 13, Jenks teaches the device of claim 10, wherein the actuating arm is coupled to one of a valve, a damper, and a louver ([056, 084]). Regarding claim 14, Jenks teaches the device of claim 10, wherein the sensor is selected from a group consisting of hall effect sensors, 3-D magnetic sensors, potentiometers, optical sensors, proximity sensors, and magneto-resistive sensors ([056, 084]). Regarding claim 15, Jenks teaches the device of claim 10, wherein the magnetic slider is one of a linearly movable magnetic slider and a rotatably movable magnetic slider ([084, 094, 0107]). Regarding claim 16, Jenks teaches the device of claim 10, wherein the magnetic slider is provided on an outer surface of an enclosure of the device (Figs. 5- 6). Regarding claim 17, Jenks teaches the device of claim 10, wherein the selected stroke position overrides [“modifying a setting of the actuator”] an electronic stroke position ([016, 0126]). Regarding claim 18, the rejection of claim 1 is incorporated. Thus, Jenks teaches method of operating an actuator [“modifying a setting of actuator 500”], the method comprising: (Fig. 9); determining a position [“determining a location of a magnet 604 of a user input device 512, 514 with respect to a magnetic field sensor 602 (step 902)”] of a slider [“the user may slide one or more magnets 604 within the respective slotted portion 622of input device 514. Each of these movements may correspond to a different user input”] using magnetics, the slider being disposed on an exterior housing; and moving an actuating arm of the actuator to a stroke position of the actuating arm related to the position of the slider ([099, 0120-0122], Figs. 5-6, 9). Regarding claim 19, Jenks teaches the method of claim 18, wherein a processing circuit generates a first control signal to operate the actuating arm, where the first control signal is generated based on the position of the slider and an auxiliary signal provided by a controller ([087, 094, 0104]). Regarding claim 20, Jenks teaches the method of claim 19, wherein the processing circuit generates a second control signal to operate the actuating arm, where the second control signal is generated based on the position of the slider ([0104-0105]). Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. 1) Goh (US 20230353923 A1) substantially teaches invention of the claim 1 but for an hearing aid actuator to change the functionality of the hearing aid. That is, Goh teaches an actuator [“wearable hearing device”], comprising: an exterior housing; an actuating element; a magnetic slider [“a magnetic slider switch 580”] disposed on the exterior housing and configured to select one of a plurality of stroke positions of the actuating element; one or more sensors [“hall effect sensor 609 may transmit an indication that such movement or polarity change has occurred”] configured to determine a selected stroke position; and a processing circuit configured to operate [change in function like volume up and down of the hearing device depending on the position of the slider] the actuating element based on the selected stroke position (Figs. 2A- 3,5A [059-061]). 2) Patient et al. (US 20120076667 A1) teaches determining a pump stroke position and selecting a target control power based on the determined power stroke position ([031]). 3) Upston et al. (US 20140352549 A1) teaches an actuator [toaster] comprising a slider [item 50] disposed on the exterior housing of the actuator to allow a user to select toast darkness level by the movement of a sliding tab 51 ([076], fig 12). 4) Drees et al. (US 11042171 B2) teaches a smart HVAC actuator [item 600] with an exterior housing (fig. 6), an actuating arm and a processing circuit [“main actuator controller 532”] configured to operate the actuating arm (Abstract, Figs. 7- 9 & associated texts, Col 16 lines 55- 68). 5) Jenks’435 (US 20200408435 A1) teaches a linear type of a HVAC actuator 512 with slider disposed on the exterior of the housing [“actuator 512 is shown to include a stroke limiting component 604 coupled to an actuator housing 602”] (Figs 6- 7, [0101-0102]). Contacts Any inquiry concerning this communication or earlier communications from the examiner should be directed to SANTOSH R. POUDEL whose telephone number is (571)272-2347. The examiner can normally be reached Monday - Friday (8:30 am - 5:00 pm). 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, Kamini Shah can be reached at (571) 272-2279. 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. /SANTOSH R POUDEL/ Primary Examiner, Art Unit 2115 1 Spec, in para. 061 states “actuating arm may further operate the valve assembly 604 based on the first control signal.” The para. 056 states --“The actuating arm may be configured to control the valve assembly 604, for example, the actuating arm may actuate a valve member”. Hence, any movable element having a motor based on the command of a processing circuit of the actuator is interpreted to read on the claimed “actuating arm” under BRI. 2 Applicant’s specification in para. 050 states “Position sensors 522 may include Hall effect sensors, potentiometers, optical sensors, or other types of sensors configured to measure the rotational position of BLDC motor 528 and/or drive device 530.”
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Prosecution Timeline

Oct 10, 2023
Application Filed
Feb 10, 2026
Non-Final Rejection — §102 (current)

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Prosecution Projections

1-2
Expected OA Rounds
77%
Grant Probability
99%
With Interview (+31.1%)
2y 11m
Median Time to Grant
Low
PTA Risk
Based on 555 resolved cases by this examiner. Grant probability derived from career allow rate.

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