Prosecution Insights
Last updated: October 02, 2026
Application No. 18/392,332

CONTROLLING ENERGY LOADS TO MEET AN ENERGY BUDGET ASSIGNED TO A SITE

Non-Final OA §102§103
Filed
Dec 21, 2023
Priority
Dec 22, 2022 — provisional 63/434,519
Examiner
CAO, CHUN
Art Unit
2115
Tech Center
2100 — Computer Architecture & Software
Assignee
Carrier Corporation
OA Round
2 (Non-Final)
85%
Grant Probability
Favorable
2-3
OA Rounds
0m
Est. Remaining
97%
With Interview

Examiner Intelligence

Grants 85% — above average
85%
Career Allowance Rate
886 granted / 1046 resolved
+29.7% vs TC avg
Moderate +13% lift
Without
With
+12.6%
Interview Lift
resolved cases with interview
Typical timeline
2y 6m
Avg Prosecution
25 currently pending
Career history
1061
Total Applications
across all art units

Statute-Specific Performance

§101
9.9%
-30.1% vs TC avg
§103
28.0%
-12.0% vs TC avg
§102
35.8%
-4.2% vs TC avg
§112
16.0%
-24.0% vs TC avg
Black line = Tech Center average estimate • Based on career data from 1046 resolved cases

Office Action

§102 §103
FINAL REJECTION The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA . 1. Claims 1-20 are presented for examination. 2. The text of those applicable section of Title 35, U.S. Code not included in this action can be found in the prior Office Action. 3. The rejections are respectfully maintained that is applicable to the amended claims for applicant's convenience. 4. Claims 1-4, 7-14 and 17-20 are rejected under 35 U.S.C. 102(a)(1)/(a)(2) as being anticipated by Packer et al. (Packer), US patent no. 10019739 B11. As per claim 1, Packer discloses a thermostat of a heating, ventilation and air conditioning (HVAC) system [col. 3, lines 51-55, col. 7, lines 5-23], the thermostat comprising a controller operable to perform operations comprising: receiving an energy budget for a site [col. 5, lines 31-33], the energy budget comprising an allocated maximum total energy usage by energy loads of the site over a predetermined time duration [col. 4, lines 17-24]; the energy loads comprising the HVAC system and at least one non-HVAC energy load [col. 3, lines 49-59. Col. 8, lines 60-63]; generating an energy usage forecast for the energy loads over the redetermined time duration [col. 4, lines 17-35]; and based at least in part on a determination that the energy usage forecast exceeds the energy budget [col. 5, lines 10-44, col. 8, lines 35-42], generating an energy usage reduction plan; wherein the energy usage reduction plan comprises executable instructions operable to control operations of the energy loads such that an actual total energy usage by the energy loads over the predetermined time duration does not exceed the energy budget [col. 8, lines 43-67, col. 9, lines 55-62]. Packer teaches: One example of a component of a property may be a heating, ventilation and air conditioning (HVAC) system that controls the climate within the property using electricity, natural gas, and/or another commodity. The component may relate to one or more of a central heating device, a central air conditioning and heating system, an appliance, an electronic device, water heating system, a power generating device, a ventilation system, or an air filtration system. In some aspects, a computing device (e.g., an energy billing management system) can determine a target budget corresponding to a specified budget period. The target budget may relate to a desired energy usage amount for a corresponding utility customer. The computing device can obtain usage data relating to actual energy usage by one or more of a property associated with the corresponding utility customer or a component of the property. The computing device can determine a projected use relating to an estimated energy usage for a remaining amount of time in the specified budget period based at least in part on the usage data. The computing device can generate a message including an indication of a projected bill for the corresponding utility customer based at least in part on the usage data and the projected use. The computing device further can send the message to a climate control device associated with the corresponding utility customer based at least in part on a determination that the projected bill is greater than the target budget. The computing device may provide recommendations on how to modify usage so that actual usage can remain within the budgeted use for the specified budget period. The computing device may automatically adjust settings on the thermostat to modify usage so that actual usage can remain within the budgeted use for the specified budget period. The recommendation portion 312 may include recommendations on how to modify usage so that actual usage can remain within the budgeted use for the specified budget period. The recommendations may include set points or set point schedules that may be used on the climate control device, suggestion to turn off light sources and/or electronic devices, maintenance suggestions, and specific adjustments to the climate control device. As per claim 2, Packer discloses the operations further comprise monitoring the actual energy usage at the site during the predetermined time duration [col. 3, lines 21-24, col. 6, lines 32-34]. As per claim 3, Packer discloses the operations further comprise updating the energy usage forecast based at least in part on the actual energy usage at the site during the predetermined time duration [col. 8, lines 34-42, col. 13, lines 46-56]. As per claim 4, Packer discloses generating the energy budget is further based at least in part on a user constraint that prioritizes using a local energy source of the site; and the executable instructions control the at least one non-HVAC energy load to draw energy from the local energy source of the site [col. 3, lines 34-59, col. 8, lines 34-67, col. 9, lines 55-62]. As per claim 7, Packer discloses the energy usage reduction plan is based at least in part on local site information selected from the group consisting of: a size of the site; a forecasted weather condition at the site [col. 6, lines 59-67, col. 7, lines 14-33]; a capacity of at least one of the energy loads [col. 8, lines 43-67]; a usage schedule of the at least one of the energy loads; a temperature set point of the thermostat operable to control the at least one of the energy loads; and one or more user constraints [col. 9, lines 55-62]. As per claim 8, Packer discloses the controller is operable to utilize a machine learning algorithm that includes a machine learning model of the site and the energy loads [col. 6, lines 26-32, col. 7, lines 14-49, col. 8, lines 29-33]. As per claim 9, Packer discloses the machine learning algorithm is operable to generate the energy usage forecast and the energy usage reduction plan [col. 7, lines 14-49, col. 8, lines 29-67, col. 9, lines 55-62]. As per claim 10, Packer discloses the controller is a member of a federated learning system [predictive model]; and the machine learning model is trained using the federated learning system [col. 6, lines 26-32, col. 7, lines 14-49, col. 8, lines 29-33]. 5. Claims 5, 6, 15 and 16 are rejected under 35 U.S.C. 103 as being unpatentable over Packer et al. (Packer), US patent no. 10019739 B1 in view of Reeder et al. (Reeder), US publication no. 2022/0253078 A12. As per claim 5, Packer fails to disclose the energy usage reduction plan is based at least in part on an occupancy of the site. Reeder discloses the energy usage reduction plan is based at least in part on an occupancy of the site [para 49, 65]. It would have been obvious to one of ordinary skill in the art at time the invention to combine the teachings of Packer and Reeder because they both disclose a smart thermal control system, the specify teachings of Reeder stated above would have further enhanced the performance and functionality of Packer system to obtain predictable results to determine an occupancy of the site. As per claim 6, Reeder discloses the energy usage reduction plan is based at least in part on an assessment of a comfort level of occupants of the site [para 49, 63, 86]. As to claims 11-20, claims 1-10 basically are the corresponding elements that are carried out the method of operating step in claims 11-20. Accordingly, claims 11-20 are rejected for the same reason as set forth in claims 1-10. 6. Examiner's note: Examiner has cited particular paragraphs and columns and line numbers in the references as applied to the claims above for the convenience of the applicant. Although the specified citations are representative of the teachings of the art and are applied to the specific limitations within the individual claim, other passages and figures may apply as well. It is respectfully requested from the applicant in preparing responses, to fully consider the references in entirety as potentially teaching all or part of the claimed invention, as well as the context of the passage as taught by the prior art or disclosed by the examiner. MPEP 2141.02 VI: “PRIOR ART MUST BE CONSIDERED IN ITS ENTIRETY, INCLUDING DISCLOSURES THAT TEACH AWAY FROM THE CLAIMS." Response to Arguments 7. Applicant's arguments filed 06/22/26 have been fully considered but they are not persuasive. 8. In the remarks, applicants argued in substance that Packer fails to disclose the energy loads comprising the HVAC system and at least one non-HVAC energy load. 9. In response to applicant’s argument, Parker discloses the energy loads comprising the HVAC system and at least one non-HVAC energy load [col. 3, lines 51-59]. Also see detailed action above. Conclusion 10. 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 CHUN CAO whose telephone number is (571)272-3664. The examiner can normally be reached on M-F 7:30 am-4:00 pm. If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Kamini Shah can be reached on 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 an application may be obtained from the Patent Application Information Retrieval (PAIR) system. Status information for published applications may be obtained from either Private PAIR or Public PAIR. Status information for unpublished applications is available through Private PAIR only. For more information about the PAIR system, see http://pair-direct.uspto.gov. Should you have questions on access to the Private PAIR system, contact the Electronic Business Center (EBC) at 866-217-9197 (toll-free). /CHUN CAO/Primary Examiner, Art Unit 2115 1 Packer is cited by applicant. 2 Reeder is cited by applicant.
Read full office action

Prosecution Timeline

Dec 21, 2023
Application Filed
Mar 19, 2026
Non-Final Rejection mailed — §102, §103
Jun 22, 2026
Response Filed
Jul 22, 2026
Final Rejection mailed — §102, §103
Sep 21, 2026
Response after Non-Final Action

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Study what changed to get past this examiner. Based on 5 most recent grants.

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Prosecution Projections

2-3
Expected OA Rounds
85%
Grant Probability
97%
With Interview (+12.6%)
2y 6m (~0m remaining)
Median Time to Grant
Moderate
PTA Risk
Based on 1046 resolved cases by this examiner. Grant probability derived from career allowance rate.

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