Prosecution Insights
Last updated: October 02, 2026
Application No. 18/827,697

THERMOSTAT FOR CONTROLLING OPERATION OF A HEATING,VENTILATION, AND AIR CONDITIONING (HVAC) SYSTEM

Non-Final OA §103§112
Filed
Sep 07, 2024
Priority
Sep 18, 2023 — provisional 63/583,377
Examiner
JENKINS, TAJAUN DECARLO
Art Unit
Tech Center
Assignee
Carrier Corporation
OA Round
1 (Non-Final)
Grant Probability
Favorable
1-2
OA Rounds

Examiner Intelligence

Grants only 0% of cases
0%
Career Allowance Rate
0 granted / 0 resolved
-60.0% vs TC avg
Minimal +0% lift
Without
With
+0.0%
Interview Lift
resolved cases with interview
Typical timeline
Avg Prosecution
1 currently pending
Career history
1
Total Applications
across all art units
This examiner has no resolved cases yet (career too new); statute-level performance unavailable. The Grant Probability card shows Tech Center averages instead.

Office Action

§103 §112
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 Figure 1A and 1B should be designated by a legend such as --Prior Art-- because only that which is old is illustrated. See MPEP § 608.02(g). Corrected drawings in compliance with 37 CFR 1.121(d) are required in reply to the Office action to avoid abandonment of the application. The replacement sheet(s) should be labeled “Replacement Sheet” in the page header (as per 37 CFR 1.84(c)) so as not to obstruct any portion of the drawing figures. 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 § 112 The following is a quotation of 35 U.S.C. 112(b): (b) CONCLUSION.—The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the inventor or a joint inventor regards as the invention. The following is a quotation of 35 U.S.C. 112 (pre-AIA ), second paragraph: The specification shall conclude with one or more claims particularly pointing out and distinctly claiming the subject matter which the applicant regards as his invention. Claim 9 is rejected under 35 U.S.C. 112(b) or 35 U.S.C. 112 (pre-AIA ), second paragraph, as being indefinite for failing to particularly point out and distinctly claim the subject matter which the inventor or a joint inventor (or for applications subject to pre-AIA 35 U.S.C. 112, the applicant), regards as the invention. Regarding claim 9, Claim 9 recites the limitation “one or more processors” in line 19. There is insufficient antecedent basis for this limitation in the claim. Regarding claim 10, claims are rejected based on their dependency to a rejected claim. 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 nonobvious Ness. Claims 1-2, and 6-7 are rejected under 35 U.S.C. 103 as being unpatentable over Warren US 20220200658 A1 in view of Applicants admitted prior art. Regarding claim 1 Warren teaches: A thermostat to control operation of a heating, ventilation, and air conditioning (HVAC) system,( “HVAC interface 518 can include one or more interfaces that control whether a circuit involving various HVAC control wires that are connected either directly with thermostat 510… A heating system (e.g., furnace, heat pump), cooling system (e.g., air conditioner), and/or fan may be controlled via HVAC”. [061]). the thermostat comprising: a set of wires; (see at least fig.4, “electrical connections between thermostat 450 and HVAC control wires that have been connected with the receptacles of backplate 420” [50-51]). a memory; (“such as random access memory (RAM), flash memory, a hard disk drive (HDD), or a solid state drive (SSD) of thermostat 510” [062]). And one or more processors communicatively coupled to the memory and the set of wires, (“Such general-purpose processors may execute special-purpose software that is stored using one or more non-transitory processor-readable mediums, such as random access memory (RAM)” [062]). the one or more processors being configured to: determine an operation to be performed by the HVAC system based on at least one of a user input or one or more parameters associated with an indoor area, the indoor area being associated with the thermostat and the HVAC system: (“The touch strip located within housing 110 may represent the only user input component present on thermostat 300 through which a user can directly provide input to thermostat 300” … The depicted smart home environment includes a structure 1850, which can include, e.g., a house, office building, garage, or mobile home” [045,0122]) .transmit, to the HVAC system via the set of wires, (see at least fig.6, “an HVAC system may include a trigger circuit 604 that may be switched to activate the electrical system 602 to perform a heating function…The trigger circuit 604 may be associated with what is referred to herein as a “command wire” [070]). an HVAC signal indicative of the operation to be performed, wherein at least one wire of the set of wires is configured to communicate power signals and data signals associated with the HVAC signal; (see at least fig.17, “The controller may harvest power from the command wire using the power from the environmental system…The method may further include sending, by the controller, a plurality of pulses to the intermediate device using the command wire during a time interval (1708)”[117-120]). and cause the HV AC system to perform the operation based on the transmitted HVAC signal, (“The intermediate device may cause the environmental system to continuously perform the function during the time interval, in response to receiving the plurality of pulses” [0120]). … but does not teach wherein the set of wires comprises a common (C) line, a power line (R), and an outdoor activation (Y) line However, applicants admitted prior art teaches: wherein the set of wires comprises a common (C) line, a power line (R), and an outdoor activation (Y) line (“Referring to FIG. 1A, an arrangement 100 of thermostat 102 and a HVAC unit 104 is depicted, in accordance with existing art… multiple wirings 106 are installed between the thermostat 102 and the unit 104. In particular, each wire of the wirings 106 may correspond to an operational function of the unit 104” [0004]. It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have modified Warren based on the teaching of Applicant’s admitted prior art (FIG 1A) to make the system wherein the set of wires comprises a common (C) line, a power line (R), and an outdoor activation (Y) line. One ordinary skill in art would have been motivated to make this modification in order to provide the conventional electrical power, common return path, and activation functions needed for communication and operation between a thermostat and HVAC unit. Each wire would continue to perform its known function, and a modification would have resulted in a conventionally wired thermostat capable of powering the thermostat and controlling the HVAC equipment. The modification represents the combination of known prior art elements according to known methods to obtain predictable results. Regarding claim 2, Warren in view of Applicants admitted prior art teaches the device of claim 1. Warren further teaches: The thermostat of claim 1, wherein the one or more processors are configured monitor the one or more parameters associated with the indoor area; (Temperature sensor 517 may be used to measure the ambient temperature in the environment of thermostat 510… The depicted smart home environment includes a structure 1850, which can include, e.g., a house, office building, garage, or mobile home” [0059,0122]). receive the user input indicative of a command corresponding to the operation to be performed; (“Processing system 519 may output information for presentation to electronic display 511. Processing system 519 can receive information from touch sensor 512” [063]). and generate the HVAC signal based on at least one of the monitored environmental parameters and the received user input. (“The controller may determine that the environmental system should perform a function based on a predetermined set point in a set point schedule or an immediate input provided by a user through a user interface” [119]). Regarding claim 6 Warren teaches: A method for controlling operation of a heating, ventilation, and air conditioning (HVAC) system by a thermostat, (“HVAC interface 518 can include one or more interfaces that control whether a circuit involving various HVAC control wires that are connected either directly with thermostat 510… A heating system (e.g., furnace, heat pump), cooling system (e.g., air conditioner), and/or fan may be controlled via HVAC”. [061]) the thermostat comprising a set of wires, (“see at least fig.4, “electrical connections between thermostat 450 and HVAC control wires that have been connected with the receptacles of backplate 420” [50-51]). the method comprising: determining an operation to be performed by the HVAC system based on at least one of a user input or one or more parameters associated with an indoor area, the indoor area being associated with the thermostat and the HVAC system; (“The touch strip located within housing 110 may represent the only user input component present on thermostat 300 through which a user can directly provide input to thermostat 300” … The depicted smart home environment includes a structure 1850, which can include, e.g., a house, office building, garage, or mobile home” [045,0122]).transmitting, to the HVAC system via the set of wires, ( see at least fig.6, “an HVAC system may include a trigger circuit 604 that may be switched to activate the electrical system 602 to perform a heating function…The trigger circuit 604 may be associated with what is referred to herein as a “command wire” [070]). an HVAC signal indicative of the operation to be performed, wherein at least one wire of the set of wires is configured to communicate power signals and data signals associated with the HVAC signal; (“see at least fig.17, “The controller may harvest power from the command wire using the power from the environmental system…The method may further include sending, by the controller, a plurality of pulses to the intermediate device using the command wire during a time interval (1708)”[117-120]). and causing the HVAC system to perform the operation based on the transmitted HVAC signal, (“The intermediate device may cause the environmental system to continuously perform the function during the time interval, in response to receiving the plurality of pulses” [0120]). … but does not teach wherein the set of wires comprises a common (C) line, a power line (R), and an outdoor activation (Y) line. However, applicants admitted prior art teaches: wherein the set of wires comprises a common (C) line, a power line (R), and an outdoor activation (Y) line (“Referring to FIG. 1A, an arrangement 100 of thermostat 102 and a HVAC unit 104 is depicted, in accordance with existing art… multiple wirings 106 are installed between the thermostat 102 and the unit 104. In particular, each wire of the wirings 106 may correspond to an operational function of the unit 104” [0004]. Although the method claim 6 recites “wherein” clause which is in view of MPEP 2111.04 discloses: “the court noted that a "‘wherein/whereby clause in a method claim is not given weight when it simply expresses the intended result of a process step positively recited.’" Id. (quoting Minton v. Nat’l Ass’n of Securities Dealers, Inc., 336 F.3d 1373, 1381, 67 USPQ2d 1614, 1620 (Fed. Cir. 2003)).[AltContent: rect] It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have modified Warren based on the teaching of Applicant’s admitted prior art (FIG 1A) to make the system wherein the set of wires comprises a common (C) line, a power line (R), and an outdoor activation (Y) line. One ordinary skill in art would have been motivated to make this modification in order to provide the conventional electrical power, common return path, and activation functions needed for communication and operation between a thermostat and HVAC unit. Each wire would continue to perform its known function, and a modification would have resulted in a conventionally wired thermostat capable of powering the thermostat and controlling the HVAC equipment. The modification represents the combination of known prior art elements according to known methods to obtain predictable results. Regarding claim 7, Warren in view of Applicants admitted prior art teaches the method of claim 6. Warren further teaches: The method of claim 6, further comprising: monitoring the one or more parameters associated with the indoor area; (Temperature sensor 517 may be used to measure the ambient temperature in the environment of thermostat 510… The depicted smart home environment includes a structure 1850, which can include, e.g., a house, office building, garage, or mobile home” [0059,0122]). receiving the user input indicative of a command corresponding to the operation to be performed; (“Processing system 519 may output information for presentation to electronic display 511. Processing system 519 can receive information from touch sensor 512” [063]). and generate the HVAC signal based on at least one of the monitored environmental parameters and the received user input. (“The controller may determine that the environmental system should perform a function based on a predetermined set point in a set point schedule or an immediate input provided by a user through a user interface” [119]). Claims 3 and 8 are rejected under 35 U.S.C. 103 as being unpatentable over Warren (US 20220200658 A1) in view of Applicants admitted prior art in further view of Rossi (US 20060124759 A1). Regarding claim 3 Warren, in view of Applicants admitted prior art teaches the device of claim 1 but does not teach the at least one wire of the set of wires is associated with a powered state and an unpowered state, and the at least one wire is configured to communicate the data signals in the powered state and in the unpowered state. However, Rossi teaches in analgous art. The thermostat of claim 1, wherein: the at least one wire of the set of wires is associated with a powered state (see at least fig.3, “When the switch 312 is closed, the low voltage AC terminal319 is directly coupled to the Y-line terminal, such that the low voltge, 24-volt, AC input on the low-voltage AC power line 318 is passed through to the contactor coil 311.”[042]). And an unpowered state (“there is a bypass capacitor disposed about the switch “that the communication device 208 employs for communication when the switch 212 is open. Thus, an AC loop for communication exists regardless of the state of switch 212” [0036]). And the at least one wire is configured to communicate the data signals in the powered state and in the unpowered state. (“in FIG. 3 that the Y-line 301 effectively makes an AC loop throughout the system 300 regardless of the state of switch 312, thereby permitting the communication module 314 to communicate at all times.” [036]). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have modified Warren, in view of Applicants admitted prior art based on the teaching of Rossi, to make the system wherein the at least one wire of the set of wires is associated with a powered state and an unpowered state, and the at least one wire is configured to communicate the data signals in the powered state and in the unpowered state. One ordinary skill in art would have been motivated to make this modification in order to “improve communication system suitable for retrofitting into conventional HVAC systems that both requires no additional wiring and is capable of operating from the 24-volt power wire without adversely affecting the operation of the HVAC system” [Rossi 0010]). Regarding claim 8 Warren, in view of Applicants admitted prior art teaches the method of claim 6 but does not teach the at least one wire of the set of wires is associated with a powered state and an unpowered state, and the at least one wire is configured to communicate the data signals in the powered state and in the unpowered state. However, Rossi teaches in analogous art. The method of claim 6, wherein: the at least one wire of the set of wires is associated with a powered state (see at least fig.3, “When the switch 312 is closed, the low voltage AC terminal319 is directly coupled to the Y-line terminal, such that the low voltge, 24-volt, AC input on the low-voltage AC power line 318 is passed through to the contactor coil 311.”[042]). And an unpowered state (“there is a bypass capacitor disposed about the switch “that the communication device 208 employs for communication when the switch 212 is open. Thus, an AC loop for communication exists regardless of the state of switch 212” [0036]). And the at least one wire is configured to communicate the data signals in the powered state and in the unpowered state. (“in FIG. 3 that the Y-line 301 effectively makes an AC loop throughout the system 300 regardless of the state of switch 312, thereby permitting the communication module 314 to communicate at all times.” [036]). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have modified Warren, in view of Applicants admitted prior art based on the teaching of Rossi, to make the method wherein the at least one wire of the set of wires is associated with a powered state and an unpowered state, and the at least one wire is configured to communicate the data signals in the powered state and in the unpowered state. One ordinary skill in art would have been motivated to make this modification in order to “improve communication system suitable for retrofitting into conventional HVAC systems that both requires no additional wiring and is capable of operating from the 24-volt power wire without adversely affecting the operation of the HVAC system” [Rossi 0010]). Claims 4-5, and 9-10 are rejected under 35 U.S.C. 103 as being unpatentable over Warren (US 20220200658 A1) in view of Applicants admitted prior art in further view of Zikes (US 20070068179 A1). Regarding claim 4 Warren, in view of Applicants admitted prior art teaches the device of claim 1 but does not teach the HVAC system comprises a first HVAC unit and a second HVAC unit, and the one or more processors are configured to transmit the data signals to the first HVAC unit and the second HVAC unit via the Y line. However, Zikes teaches in the analogous art: The thermostat of claim 1, wherein: the HVAC system comprises a first HVAC unit and a second HVAC unit (“In one exemplary embodiment shown in FIG. 1, a control 20 for controlling a first HVAC unit 22 is provided that communicates with a like control 30 for controlling a second HVAC unit 32”[0016]). And the one or more processors are configured to transmit the data signals to the 10 first HVAC unit and the second HVAC (“The thermostat 40 accordingly sends signals to both HVAC controls 20 and 30 for initiating heating or cooling operation… The twinning control may be used to control any number of HVAC units but is described herein as controlling first and second HVAC units22 and 32.” [0016]). via the Y line (“The control 20 (control A) comprises a twinning connection that is connected via a single wire 44 with the at least one other control. The twinning connection 44A of control 20 is preferably a terminal, or other suitable connector for connecting a single wire between control 20 and at least one other control 30 (control B).” [0043]). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have modified Warren, in view of Applicants admitted prior art and based on the teaching of Zikes, to make the system wherein the HVAC system comprises a first HVAC unit and a second HVAC unit, and the one or more processors are configured to transmit the data signals to the first HVAC unit and the second HVAC unit via the Y line. One ordinary skill in art would have been motivated to make this modification in order to (“ensure that the other twinned control 30 establishes operation of its blower 34 at the same time and at the same speed as blower 24” [Zikes 0020]). Regarding claim 5 Warren, in view of Applicants admitted prior art in further view of Zikes teaches the device of claim 4. Zikes further teaches: The thermostat of claim 4, wherein the one or more processors are configured to simultaneously transmit the HVAC signal to the first HVAC unit and the second HVAC unit. (“Each of the controls 20 and 30 provide an interface between a thermostat 40 in the space 42 and each of the HVAC units 22 and 32. The thermostat 40 accordingly sends signals to both HVAC controls 20 and 30 for initiating heating or cooling operation for a controlled space” [0016]). Regarding claim 9 Warren, in view of Applicants admitted prior art teaches the method of claim 6 but does not teach the HVAC system comprises a first HVAC unit and a second HVAC unit, and the one or more processors are configured to transmit the data signals to the first HVAC unit and the second HVAC unit via the Y line. However, Zikes teaches in the analogous art: The method of claim 9, wherein: the HVAC system comprises a first HVAC unit and a second HVAC unit (“In one exemplary embodiment shown in FIG. 1, a control 20 for controlling a first HVAC unit 22 is provided that communicates with a like control 30 for controlling a second HVAC unit 32” [0016]). And the one or more processors are configured to transmit the data signals to the 10 first HVAC unit and the second HVAC (“The thermostat 40 accordingly sends signals to both HVAC controls 20 and 30 for initiating heating or cooling operation… The twinning control may be used to control any number of HVAC units but is described herein as controlling first and second HVAC units22 and 32.” [0016]). via the Y line (“The control 20 (control A) comprises a twinning connection that is connected via a single wire 44 with the at least one other control. The twinning connection 44A of control 20 is preferably a terminal, or other suitable connector for connecting a single wire between control 20 and at least one other control 30 (control B).” [0043]). It would have been obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have modified Warren, in view of Applicants admitted prior art based on the teaching of Zikes, to make the system wherein the HVAC system comprises a first HVAC unit and a second HVAC unit, and the one or more processors are configured to transmit the data signals to the first HVAC unit and the second HVAC unit via the Y line. One ordinary skill in art would have been motivated to make this modification in order to (“ensure that the other twinned control 30 establishes operation of its blower 34 at the same time and at the same speed as blower 24” [Zikes 0020]). Regarding claim 10 Warren, in view of Applicants admitted prior art in further view of Zikes teaches the method of claim 9. Zikes further teaches: The method of claim 9, further comprising simultaneously transmitting the HVAC signal to the first HVAC unit and the second HVAC unit.. (“Each of the controls 20 and 30 provide an interface between a thermostat 40 in the space 42 and each of the HVAC units 22 and 32. The thermostat 40 accordingly sends signals to both HVAC controls 20 and 30 for initiating heating or cooling operation for a controlled space” [0016]). Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. (US 20120126020 A1) Filson; john Benjamin – THERMOSTAT WIRING CONNECTOR Any inquiry concerning this communication or earlier communications from the examiner should be directed to TAJAUN DECARLO JENKINS whose telephone number is (571)270-7197. The examiner can normally be reached Monday-Friday(6:30-3pm) 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, Kamini Shah can be reached at 5712722279. 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. TJ Examiner, AU 2115 /KAMINI S SHAH/Supervisory Patent Examiner, Art Unit 2115
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Prosecution Timeline

Sep 07, 2024
Application Filed
Sep 24, 2026
Non-Final Rejection mailed — §103, §112 (current)

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