Prosecution Insights
Last updated: April 19, 2026
Application No. 18/644,345

TRANSPORT REFRIGERATION UNIT WITH MULTI-HEATING MODE AND REFRIGERANT-BASED DEFROST CONTROL

Final Rejection §103§112
Filed
Apr 24, 2024
Examiner
MARTIN, ELIZABETH J
Art Unit
3763
Tech Center
3700 — Mechanical Engineering & Manufacturing
Assignee
Carrier Corporation
OA Round
2 (Final)
78%
Grant Probability
Favorable
3-4
OA Rounds
2y 7m
To Grant
99%
With Interview

Examiner Intelligence

Grants 78% — above average
78%
Career Allow Rate
729 granted / 930 resolved
+8.4% vs TC avg
Strong +21% interview lift
Without
With
+20.8%
Interview Lift
resolved cases with interview
Typical timeline
2y 7m
Avg Prosecution
28 currently pending
Career history
958
Total Applications
across all art units

Statute-Specific Performance

§101
0.5%
-39.5% vs TC avg
§103
47.8%
+7.8% vs TC avg
§102
21.6%
-18.4% vs TC avg
§112
27.3%
-12.7% vs TC avg
Black line = Tech Center average estimate • Based on career data from 930 resolved cases

Office Action

§103 §112
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 . Status This Office Action is in response to the remarks and amendments filed on 12/16/2025. The 35 USC 112 rejections have been withdrawn. Claims 1-7, 9-17, 19-22 remain pending for consideration on the merits. The Examiner notes there was a typographical error in the rejection of the claims 10 and 19 and the paragraph were directed to Saikkonen. Claim Rejections - 35 USC § 112 The following is a quotation of the first paragraph of 35 U.S.C. 112(a): (a) IN GENERAL.—The specification shall contain a written description of the invention, and of the manner and process of making and using it, in such full, clear, concise, and exact terms as to enable any person skilled in the art to which it pertains, or with which it is most nearly connected, to make and use the same, and shall set forth the best mode contemplated by the inventor or joint inventor of carrying out the invention. The following is a quotation of the first paragraph of pre-AIA 35 U.S.C. 112: The specification shall contain a written description of the invention, and of the manner and process of making and using it, in such full, clear, concise, and exact terms as to enable any person skilled in the art to which it pertains, or with which it is most nearly connected, to make and use the same, and shall set forth the best mode contemplated by the inventor of carrying out his invention. Claim 22 is rejected under 35 U.S.C. 112(a) or 35 U.S.C. 112 (pre-AIA ), first paragraph, as failing to comply with the written description requirement. The claim(s) contains subject matter which was not described in the specification in such a way as to reasonably convey to one skilled in the relevant art that the inventor or a joint inventor, or for applications subject to pre-AIA 35 U.S.C. 112, the inventor(s), at the time the application was filed, had possession of the claimed invention. In claim 22, applicant has added the limitation “the controller is further configured to adaptively select an operating mode of the TRU from a plurality of operating modes of the TRU based on the state of charge of the battery, and wherein each of the plurality of operating modes defines a different combination of the speed of the variable speed compressor and the heating level of the electric heater. Paragraph 0043 provides when the SOC of the battery associated with the TRU is detected to be low, the TRU may operate in the first heating mode or the second heating mode to save electrical power and maintain the permissible temperature limit within the storage space, paragraph 0049 provides when the SOC of the battery associated with the TRU is detected to be low, the controller may operate the TRU in the first mode or the second mode to save electrical power and maintain the permissible temperature limit within the storage space and paragraph 0055 provides the controller 202 may adaptively select the best heating mode in the TRU 100 based on the available SOC of the battery associated with the TRU 100, thereby making the TRU and refrigeration circuit 100 power efficient and reliable. There is nothing in the originally filed claims, specification or drawings to support this newly added limitation. Thus, the newly added limitation is deemed to be NEW MATTER. 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. This application currently names joint inventors. In considering patentability of the claims the examiner presumes that the subject matter of the various claims was commonly owned as of the effective filing date of the claimed invention(s) absent any evidence to the contrary. Applicant is advised of the obligation under 37 CFR 1.56 to point out the inventor and effective filing dates of each claim that was not commonly owned as of the effective filing date of the later invention in order for the examiner to consider the applicability of 35 U.S.C. 102(b)(2)(C) for any potential 35 U.S.C. 102(a)(2) prior art against the later invention. Claim(s) 1, 2, 12, 9, 19 is/are rejected under 35 U.S.C. 103 as being unpatentable over Lavrich et al (US 20220080803) in view of Van Wijk et al (US 20210252948). Regarding claim 1, Lavrich teaches a transport refrigeration unit (TRU) (100, 110) comprising: a variable speed compressor (255); a controller (107, 260, paragraph 0047) in communication with a battery (230, batteries, paragraph 0042) associated with the TRU (fig. 2); and an electric heater (275, inverter can power the heater, paragraph 0051, 0056, 0065) associated with an evaporator (265) of the TRU but fails to explicitly teach an electric heater configured downstream of evaporator coils; wherein the controller is configured to adjust a heating level of the electric heater based on one or more of a predefined temperature to be maintained at a storage space, ambient temperature, switching time between one or more heating modes and a cooling mode, a defrosting speed of the evaporator coils, and a state of charge of the battery wherein an outlet of the variable speed compressor is fluidically connected to the evaporator coils and a condenser of the TRU. However, Van Wijk teaches an electric heater (48) configured upstream of evaporator coils (38, coils, paragraph 0039); wherein the controller (30, corresponds to 260 of Lavich) is configured to adjust a heating level (activate heater, paragraph 0044) of the electric heater based on one or more of a predefined temperature (below a preset lower temperature limit, paragraph 0044) to be maintained at a storage space (temperature controlled storage box, paragraph 0044), wherein an outlet of the variable speed compressor (32 correspond to 255 of Lavirch) is fluidically connected to the evaporator coils and a condenser of the TRU (32 is connected to 34 and 38) to efficiently control the temperature of the storage box. Therefore, it would have been obvious to a person skilled in the art at the time of the invention to modify the transport refrigeration of Lavrich to include an electric heater configured downstream of evaporator coils; wherein the controller is configured to adjust a heating level of the electric heater based on one or more of a predefined temperature to be maintained at a storage space, wherein an outlet of the variable speed compressor is fluidically connected to the evaporator coils and a condenser of the TRU in view of the teachings of Van Wijk to efficiently control the temperature of the storage box. Regarding claims 2 and 12, the combined teachings the TRU comprises one or more fans (44 of Wijk) configured upstream of the evaporator (fig. 2 of Wijk) or the electric heater (fig. 2 of Wijk), wherein the one or more fans are configured to facilitate flow of air through the evaporator and the electric heater (arrows, Fig. 2 of Wijk). Regarding claims 9 and 19, the combined teachings teach the TRU comprises the controller is further in communication with the electric heater (275 of Lavrich), a motor (26 of Van Wijk) of the variable speed compressor (32 of Van Wijk, 255 of Lavrich), the one or more fans (265, 270 of Lavrich), the expansion device (expansion valve, paragraph 0060 of Lavrich). Claim(s) 3-4, 7, 11, 13-15, 17 is/are rejected under 35 U.S.C. 103 as being unpatentable over Lavrich et al (US 20220080803) in view of Van Wijk et al (US 20210252948) as applied to claim 1 and 11 in further view of Jacobsen (US 20040065100). Regarding claims 3 and 13, the combined teachings teach the invention as described above but fails to explicitly teach in a first heating mode, the TRU is configured to circulate hot refrigerant from the variable speed compressor to the evaporator coils and further enable the one or more fans to supply air comprising return air towards the storage space while passing the air across the hot refrigerant-carrying evaporator coils to heat the air to a first temperature and further supply the heated air into the storage space. However, Jacobsen teaches in a first heating mode (stage 1, paragraph 0121), the TRU is configured to circulate hot refrigerant from the compressor to the evaporator coils and further enable the one or more fans to supply air comprising return air towards the storage space while passing the air across the hot refrigerant-carrying evaporator coils to heat the air to a first temperature and further supply the heated air into the storage space (paragraph 0121-0124) to provide a transportable unit cooling which provides minimized energy consumption in combination with optimized temperature stability within the transport volume irrespective of the environment. Therefore, it would have been obvious to a person skilled in the art at the time of the invention to modify the transport refrigeration of the combined teachings to include in a first heating mode, the TRU is configured to circulate hot refrigerant from the compressor to the evaporator coils and further enable the one or more fans to supply air comprising return air towards the storage space while passing the air across the hot refrigerant-carrying evaporator coils to heat the air to a first temperature and further supply the heated air into the storage space in view of the teachings of Jacobsen to provide a transportable unit cooling which provides minimized energy consumption in combination with optimized temperature stability within the transport volume irrespective of the environment. Regarding claims 4 and 14, the combined teachings teach in a second heating mode (stage 2, paragraph 0126 of Jacobsen), the TRU is configured to actuate the electric heater and further enable one or more fans to supply air comprising return air towards the storage space while passing the air across the electric heater to heat the air to a second temperature and further supply the heated air into the storage space (paragraph 0125-0128 of Jacobsen). Regarding claims 5 and 15, the combined teachings teach in a third heating mode (paragraph 0121-0128 of Jacobsen), the TRU is configured to circulate hot refrigerant from the variable speed compressor to the evaporator coils and actuate the electric heater, and further enable the one or more fans to supply air comprising return air towards the storage space while passing the air across the hot refrigerant-carrying evaporator coils and the electric heater to heat the air to a third temperature and further supply the heated air into the storage space (paragraph 0121-0128 of Jacobsen). Regarding claims 7 and 17, the combined teachings teach in a cooling mode (paragraphs 0060-0068 of Jacobsen), the TRU is configured to: circulate refrigerant from the variable speed compressor to the condenser, through an expansion device and the evaporator, and then return to the variable speed compressor; and enable one or more fans to supply air comprising return air towards the storage space while passing the air across the refrigerant-carrying evaporator coils to cool the air to a fourth temperature and further supply the cool air into the storage space (paragraphs 0060-0068 of Jacobsen). Regarding claim 11, Jacobsen teaches all the limitations of claim 11 including a refrigeration circuit (circuit illustrated in Fig. 2 of Van Wijk) of a transport refrigeration unit (22 of Van Wijk), the refrigeration circuit an expansion device (36 of Wijk) downstream of the condenser. See rejection of claim 1. Claim(s) 6, 16 is/are rejected under 35 U.S.C. 103 as being unpatentable over Lavrich et al (US 20220080803) in view of Van Wijk et al (US 20210252948) as applied to claim 1 and 11 in further view of Hanson (US 20030024256). Regarding claims 6 and 16, the combined teachings teaches the invention as described above but fails to explicitly teach in a defrost mode, the TRU is configured to circulate hot refrigerant from the variable speed compressor to the evaporator through a drain pan heater associated with the evaporator to enable defrosting of a drain pan and the evaporator coils. However Hanson teaches a defrost mode (defrost cycles, paragraph 0022), the TRU (fig. 2) is configured to circulate hot refrigerant from the compressor to the evaporator through a drain pan heater (82) associated with the evaporator (62) to enable defrosting of the drain pan and the evaporator coils (fig. 2, paragraph 0022) to efficiently defrost the evaporator coils. Therefore, it would have been obvious to a person skilled in the art at the time of the invention to modify the transport refrigeration of the combined teachings to include a defrost mode, the TRU is configured to circulate hot refrigerant from the compressor to the evaporator through a drain pan heater associated with the evaporator to enable defrosting of the drain pan and the evaporator coils in view of the teachings of Hanson to efficiently defrost the evaporator coils. Claim(s) 10, 19 is/are rejected under 35 U.S.C. 103 as being unpatentable over Lavrich et al (US 20220080803) in view of Van Wijk et al (US 20210252948) as applied to claim 1 and 11 in further view of Renken et al (US 20220314741). Regarding claims 10 and 19, the combined teachings teaches the invention as described above but fails to explicitly teach the controller is further configured to adjust a speed of variable speed compressor based on one or more of a predefined temperature to be maintained at the storage space, ambient temperature, switching time between one or more heating modes and the cooling mode, defrosting speed of the evaporator coils, and a state of charge of the battery. Renken teaches the controller (114) is further configured to adjust a speed of variable speed compressor (control of compressor speed, paragraph 0050) based on one or more of a predefined temperature to be maintained at the storage space (116c, 116d, paragraph 0055) to efficiently manage the temperature of the transport unit. Therefore, it would have been obvious to a person skilled in the art at the time of the invention to modify the transport refrigeration of the combined teachings to include the controller is further configured to adjust a speed of variable speed compressor based on one or more of a predefined temperature to be maintained at the storage space in view of the teachings of Renken to efficiently manage the temperature of the transport unit. Claim(s) 20, 21 is/are rejected under 35 U.S.C. 103 as being unpatentable over Lavrich et al (US 20220080803) in view of Van Wijk et al (US 20210252948) as applied to claim 1 in further view of Zhao et al (US 20240336114). Regarding claim 20, the combined teachings teaches the invention as described above but fails to explicitly teach the controller is further configured to adaptively select an operating mode of the TRU from a plurality of operating modes of the TRU based on the state of charge of the battery, and wherein the plurality of operating modes comprises at least two different heating modes. However, Zhao teaches the controller (21) is further configured to adaptively select an operating mode (heating state, low temperature working conditions, paragraph 0103) of the TRU from a plurality of operating modes (heating state, low temperature working conditions, paragraph 0103) of the TRU based on the state of charge of the battery (charge, paragraph 0103), and wherein the plurality of operating modes comprises at least two different heating modes (heating state, low temperature working conditions, paragraph 00103) to meet the heat supply demand. Therefore, it would have been obvious to a person skilled in the art at the time of the invention to modify the transport refrigeration of the combined teachings to include the controller is further configured to adaptively select an operating mode of the TRU from a plurality of operating modes of the TRU based on the state of charge of the battery, and wherein the plurality of operating modes comprises at least two different heating modes in view of the teachings of Zhao to meet the heat supply demand. Regarding claim 20, the combined teachings teaches the controller is configured to select the first heating mode for a trim heating application (low temperature working conditions, paragraph 0103 of Zhao) to maintain a temperature of the storage space within a permissible limit (paragraph 0103 of Zhao) and wherein the selection is based on the state of charge of the battery (charge, paragraph 0103 of Zhao). Claim(s) 22 is/are rejected under 35 U.S.C. 103 as being unpatentable over Lavrich et al (US 20220080803) in view of Van Wijk et al (US 20210252948) and Renken et al (US 20220314741) as applied to claim 10 and in further view of Zhao et al (US 20240336114). Regarding claim 22, the combined teachings teaches the invention as described above but fails to explicitly teach the controller is further configured to adaptively select an operating mode of the TRU from a plurality of operating modes of the TRU based on the state of charge of the battery, and wherein each of the plurality of operating modes defines a different combination of the speed of the variable speed compressor and the heating level of the electric heater. However, Zhao teaches the controller (21 of Zhao) is further configured to adaptively select an operating mode (heating state, low temperature working conditions, paragraph 0103) of the TRU from a plurality of operating modes (heating state, low temperature working conditions, paragraph 0103) of the TRU based on the state of charge of the battery (charge, paragraph 0103), and wherein each of the plurality of operating modes defines a different combination of the speed of the variable speed compressor and the heating level of the electric heater (one of ordinary skill in the art would recognize the controller 21 would be capable of varying the speed and heating level based on the heating demand of 10) to meet the heat supply demand. Therefore, it would have been obvious to a person skilled in the art at the time of the invention to modify the transport refrigeration of the combined teachings to include the controller is further configured to adaptively select an operating mode of the TRU from a plurality of operating modes of the TRU based on the state of charge of the battery, and wherein each of the plurality of operating modes defines a different combination of the speed of the variable speed compressor and the heating level of the electric heater in view of the teachings of Zhao to meet the heat supply demand. Response to Arguments Applicant’s arguments with respect to claim(s) have been considered but are moot because 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. Conclusion 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 nonprovisional extension fee (37 CFR 1.17(a)) 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 mailing date of this final action. Any inquiry concerning this communication or earlier communications from the examiner should be directed to ELIZABETH J MARTIN whose telephone number is (571)270-3840. The examiner can normally be reached 8:30-3:00 CT pm M-F. 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, Jerry-Daryl Fletcher can be reached at (571) 270-5054. 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. /ELIZABETH J MARTIN/Primary Examiner, Art Unit 3763
Read full office action

Prosecution Timeline

Apr 24, 2024
Application Filed
Sep 19, 2025
Non-Final Rejection — §103, §112
Oct 17, 2025
Interview Requested
Nov 10, 2025
Examiner Interview Summary
Nov 10, 2025
Applicant Interview (Telephonic)
Dec 16, 2025
Response Filed
Jan 27, 2026
Final Rejection — §103, §112 (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
78%
Grant Probability
99%
With Interview (+20.8%)
2y 7m
Median Time to Grant
Moderate
PTA Risk
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