Prosecution Insights
Last updated: October 02, 2026
Application No. 18/912,682

OPTIMIZED SETBACK CONTROL SYSTEM AND A METHOD THEREOF

Non-Final OA §103
Filed
Oct 11, 2024
Priority
Oct 17, 2023 — provisional 63/590,880
Examiner
LINDSAY, BERNARD G
Art Unit
Tech Center
Assignee
Carrier Corporation
OA Round
1 (Non-Final)
68%
Grant Probability
Favorable
1-2
OA Rounds
10m
Est. Remaining
99%
With Interview

Examiner Intelligence

Grants 68% — above average
68%
Career Allowance Rate
320 granted / 469 resolved
+8.2% vs TC avg
Strong +47% interview lift
Without
With
+46.9%
Interview Lift
resolved cases with interview
Typical timeline
2y 10m
Avg Prosecution
24 currently pending
Career history
494
Total Applications
across all art units

Statute-Specific Performance

§101
19.1%
-20.9% vs TC avg
§103
48.2%
+8.2% vs TC avg
§102
4.6%
-35.4% vs TC avg
§112
27.5%
-12.5% vs TC avg
Black line = Tech Center average estimate • Based on career data from 469 resolved cases

Office Action

§103
DETAILED ACTION Claims 1-12 are pending. 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 . 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 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 of this title, 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 set forth in Graham v. John Deere Co., 383 U.S. 1, 148 USPQ 459 (1966), that are applied 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. Claim(s) 1-4, 6-10 and 12 is/are rejected under 35 U.S.C. 103 as being unpatentable over Beckey et al. U.S. Patent No. 4702413 (hereinafter Beckey) in view of Wu et al. U.S. Patent Publication No. 20190024925 (hereinafter Wu). Regarding claim 1, Beckey teaches a setback control system for controlling setback of a heating, ventilation, and air conditioning (HVAC) system comprising a first HVAC unit and a second HVAC unit [col. 4 lines 15-60, Fig. 1 — a multiplant environmental unit 10 is disclosed made up of a heat pump 11 and electric auxiliary heat 12 (first and second HVAC units)… thermostat means 21 to control temperature between a night setback temperature, for instance 60 degrees Fahrenheit, and a normal daytime comfort temperature of, say 70 degrees Fahrenheit], the setback control system comprising: a memory; and one or more processors communicatively coupled to the memory [col. 4 lines 15-60, Fig. 1 — microprocessor 22 and a memory 23], the one or more processors being configured to: monitor an interior temperature of a target area associated with the HVAC system [col. 4 lines 15-60, Fig. 1 — The thermostat means 21 responds to the air temperature 31; col. 5 lines 15-23 — thermostat means 21 of FIG. 1 has a sensor means or sensor temperature that allows the thermostat means 21 to track the temperature within the building or enclosed space 17; col. 5 lines 50-67 — sensor temperature 50]; determine one or more operating parameters associated with the first HVAC unit of the HVAC system, wherein the one or more operating parameters include at least one of an excess capacity of the first HVAC unit or a relative cost of operation of the first HVAC unit with respect to the second HVAC unit [col. 8 lines 18-44 — a heat pump with auxiliary heat type of installation, it is more desirable to use the heat pump than the auxiliary heat for cost saving purposes. With the present concept a single recovery ramp rate (capacity of HVAC system) is used to initiate operation of the heat pump when that ramp rate is intersected by the sensor temperature during a pick up operation. The heat pump is locked into a continuously operating state. This operating state can cause the sensed temperature to rise in accordance with the preestablished ramp rate, can cause it to exceed that ramp rate, or can cause it to fall below the ramp rate. In the case that it follows or exceeds the ramp rate, only the heat pump is used. In the case where it falls below the ramp rate, the heat pump remains locked on while the auxiliary electric heat is cycled as needed to maintain a proper pick up operation. As soon as the space sensor temperature reaches a value near the comfort temperature, or the actual time is greater than the programmed comfort time, the recovery from setback is ended. The microprocessor within the thermostat means 21 changes the setpoint to the comfort temperature, and normal operation is begun. The ramp rate for the period is then increased or decreased depending on whether or not the recovery ended before the programmed setpoint change time.]; determine a recovery time based on the determined one or more operating parameters, the recovery time being indicative of a time required to recover an interior temperature value of the target area from a setback temperature setpoint value to a normal temperature setpoint value by the first HVAC unit [col. 4 line 67 – col. 5 line 37, col. 6 lines 31-56, Figs. 2-5 — FIGS. 2 through 5 plot temperature in degrees Fahrenheit at 36 versus time in hours at 35… time available for the recovery of the system is shown; col. 8 line 48 – col. 9 line 25, Fig. 6 — If the system is switching to a setback mode, normal operation at the setback temperature begins at 102. At 103… the system returns to normal operation at the comfort temperature at 117.]; and trigger a setback recovery based on the determined recovery time and a remaining time in a setback period associated with the setback of the HVAC system [col. 8 line 48 – col. 9 line 25, Fig. 6 — If the system is switching to a setback mode, normal operation at the setback temperature begins at 102. At 103… the system returns to normal operation at the comfort temperature at 117; col. 4 line 67 – col. 5 line 37, col. 6 lines 31-56, Figs. 2-5 — FIGS. 2 through 5 plot temperature in degrees Fahrenheit at 36 versus time in hours at 35… time available for the recovery of the system is shown]. But Beckey fails to clearly specify monitor an exterior temperature of the target area associated with the HVAC system. However, Wu teaches monitor an exterior temperature of the target area associated with the HVAC system [0050, Fig. 3 — the upcoming recovery rate to be utilized during the invoked setback mode is determined based on a comparison between the previously recorded temperature recovery rates stored in the database 308 and current conditions of the target area 310. The current target area conditions include, but are not limited to, a current IAT measured by the sensor 304, a current outside air temperature (OAT) 314, and a HVAC capacity 316 of the HVAC unit 302. The OAT 314 can be provided to the HVAC controller 306 using temperature sensors installed outside of the house]. Beckey and Wu are analogous art. They relate to HVAC systems, particularly involving temperature setbacks. Therefore at the time the invention was made, it would have been obvious to a person of ordinary skill in the art to modify the above system, as taught by Beckey, by incorporating the above limitations, as taught by Wu. One of ordinary skill in the art would have been motivated to do this modification to take the outside air temperature into consideration because it affects the temperature recovery rate, as suggested by Wu [0050]. Regarding claim 2, the combination of Beckey and Wu teaches all the limitations of the base claims as outlined above. Further, Beckey teaches the one or more processors [col. 4 line 67 – col. 5 line 37, col. 6 lines 31-56, Figs. 2-5 — FIGS. 2 through 5 plot temperature in degrees Fahrenheit at 36 versus time in hours at 35… enforcing a minimum amount of time available for the recovery of the system… time available for the recovery of the system is shown; col. 8 line 18 – col. 9 line 25, Fig. 6 — As soon as the space sensor temperature reaches a value near the comfort temperature, or the actual time is greater than the programmed comfort time, the recovery from setback is ended… If the system is switching to a setback mode, normal operation at the setback temperature begins at 102. At 103… the system returns to normal operation at the comfort temperature at 117]. Regarding claim 3, the combination of Beckey and Wu teaches all the limitations of the base claims as outlined above. Further, Beckey teaches to trigger the setback recovery, the one or more processors are configured to: compare the determined recovery time with the determined remaining time; and upon a determination that the determined recovery time is equal to the determined remaining time, trigger the setback recovery [col. 4 line 67 – col. 5 line 37, col. 6 lines 31-56, Figs. 2-5 — FIGS. 2 through 5 plot temperature in degrees Fahrenheit at 36 versus time in hours at 35… enforcing a minimum amount of time available for the recovery of the system… time available for the recovery of the system is shown; col. 8 line 18 – col. 9 line 25, Fig. 6 — As soon as the space sensor temperature reaches a value near the comfort temperature, or the actual time is greater than the programmed comfort time, the recovery from setback is ended… If the system is switching to a setback mode, normal operation at the setback temperature begins at 102. At 103… the system returns to normal operation at the comfort temperature at 117]. Regarding claim 4, the combination of Beckey and Wu teaches all the limitations of the base claims as outlined above. Further, Beckey teaches the normal temperature setpoint value is indicative of a temperature value maintained when the HVAC system operates in a normal mode, and wherein the setback temperature setpoint value is indicative of a temperature value maintained during the setback period when the HVAC system operates in a setback mode [col. 4 lines 45-67 — the operation of FIG. 1 includes the operation of the thermostat means 21 to control temperature between a night setback temperature, for instance 60 degrees Fahrenheit, and a normal daytime comfort temperature of, say 70 degrees Fahrenheit.]. Regarding claim 6, the combination of Beckey and Wu teaches all the limitations of the base claims as outlined above. Further, Beckey teaches to determine the recovery time, the one or more processors are further configured to determine the recovery time based on one or more of a current interior temperature value, a maximum capacity of the first HVAC unit, an operating cost of the first HVAC unit, a temperature difference between the interior temperature and the exterior temperature, a thermal conductivity of a barrier separating the target area and an area exterior to the target area [col. 5 line 24 – col. 6 line 56, Fig. 2 — recovery time depends at least on interior temperature 50, e.g. temperatures 51 and 61]. Regarding claim 7, Beckey teaches a method for controlling setback of a heating, ventilation, and air conditioning (HVAC) system comprising a first HVAC unit and a second HVAC unit, the method being performed by a setback control system [col. 4 lines 15-60, Fig. 1 — a multiplant environmental unit 10 is disclosed made up of a heat pump 11 and electric auxiliary heat 12 (first and second HVAC units)… thermostat means 21 to control temperature between a night setback temperature, for instance 60 degrees Fahrenheit, and a normal daytime comfort temperature of, say 70 degrees Fahrenheit; col. 8 line 48 – col. 9 line 25, Fig. 6 — If the system is switching to a setback mode, normal operation at the setback temperature begins at 102. At 103… the system returns to normal operation at the comfort temperature at 117 — Fig. 6 is a flowchart showing the method], the method comprising: monitoring an interior temperature of a target area associated with the HVAC system [col. 4 lines 15-60, Fig. 1 — The thermostat means 21 responds to the air temperature 31; col. 5 lines 15-23 — thermostat means 21 of FIG. 1 has a sensor means or sensor temperature that allows the thermostat means 21 to track the temperature within the building or enclosed space 17; col. 5 lines 50-67 — sensor temperature 50]; determining one or more operating parameters associated with the first HVAC unit of the HVAC system, wherein the one or more operating parameters include at least one of an excess capacity of the first HVAC unit or a relative cost of operation of the first HVAC unit with respect to the second HVAC unit [col. 8 lines 18-44 — a heat pump with auxiliary heat type of installation, it is more desirable to use the heat pump than the auxiliary heat for cost saving purposes. With the present concept a single recovery ramp rate (capacity of HVAC system) is used to initiate operation of the heat pump when that ramp rate is intersected by the sensor temperature during a pick up operation. The heat pump is locked into a continuously operating state. This operating state can cause the sensed temperature to rise in accordance with the preestablished ramp rate, can cause it to exceed that ramp rate, or can cause it to fall below the ramp rate. In the case that it follows or exceeds the ramp rate, only the heat pump is used. In the case where it falls below the ramp rate, the heat pump remains locked on while the auxiliary electric heat is cycled as needed to maintain a proper pick up operation. As soon as the space sensor temperature reaches a value near the comfort temperature, or the actual time is greater than the programmed comfort time, the recovery from setback is ended. The microprocessor within the thermostat means 21 changes the setpoint to the comfort temperature, and normal operation is begun. The ramp rate for the period is then increased or decreased depending on whether or not the recovery ended before the programmed setpoint change time.]; determining a recovery time based on the determined one or more operating parameters, the recovery time being indicative of a time required to recover an interior temperature value of the target area from a setback temperature setpoint value to a normal temperature setpoint value by the first HVAC unit [col. 4 line 67 – col. 5 line 37, col. 6 lines 31-56, Figs. 2-5 — FIGS. 2 through 5 plot temperature in degrees Fahrenheit at 36 versus time in hours at 35… time available for the recovery of the system is shown; col. 8 line 48 – col. 9 line 25, Fig. 6 — If the system is switching to a setback mode, normal operation at the setback temperature begins at 102. At 103… the system returns to normal operation at the comfort temperature at 117.]; and triggering a setback recovery based on the determined recovery time and a remaining time in a setback period associated with the setback of the HVAC system [col. 8 line 48 – col. 9 line 25, Fig. 6 — If the system is switching to a setback mode, normal operation at the setback temperature begins at 102. At 103… the system returns to normal operation at the comfort temperature at 117; col. 4 line 67 – col. 5 line 37, col. 6 lines 31-56, Figs. 2-5 — FIGS. 2 through 5 plot temperature in degrees Fahrenheit at 36 versus time in hours at 35… time available for the recovery of the system is shown]. But Beckey fails to clearly specify monitoring an exterior temperature of the target area associated with the HVAC system. However, Wu teaches monitoring an exterior temperature of the target area associated with the HVAC system [0050, Fig. 3 — the upcoming recovery rate to be utilized during the invoked setback mode is determined based on a comparison between the previously recorded temperature recovery rates stored in the database 308 and current conditions of the target area 310. The current target area conditions include, but are not limited to, a current IAT measured by the sensor 304, a current outside air temperature (OAT) 314, and a HVAC capacity 316 of the HVAC unit 302. The OAT 314 can be provided to the HVAC controller 306 using temperature sensors installed outside of the house]. Beckey and Wu are analogous art. They relate to HVAC systems, particularly involving temperature setbacks. Therefore at the time the invention was made, it would have been obvious to a person of ordinary skill in the art to modify the above method, as taught by Beckey, by incorporating the above limitations, as taught by Wu. One of ordinary skill in the art would have been motivated to do this modification to take the outside air temperature into consideration because it affects the temperature recovery rate, as suggested by Wu [0050]. Regarding claim 8, the combination of Beckey and Wu teaches all the limitations of the base claims as outlined above and this claim is otherwise rejected based on the same rationale as claim 2. Regarding claim 9, the combination of Beckey and Wu teaches all the limitations of the base claims as outlined above and this claim is otherwise rejected based on the same rationale as claim 3. Regarding claim 10, the combination of Beckey and Wu teaches all the limitations of the base claims as outlined above and this claim is otherwise rejected based on the same rationale as claim 4. Regarding claim 12, the combination of Beckey and Wu teaches all the limitations of the base claims as outlined above and this claim is otherwise rejected based on the same rationale as claim 6. Claim(s) 5 and 11 is/are rejected under 35 U.S.C. 103 as being unpatentable over the combination of Beckey and Wu in view of Atterbury U.S. Patent No. 5822997 (hereinafter Atterbury). Regarding claim 5, the combination of Beckey and Wu teaches all the limitations of the base claims as outlined above. Further, Beckey teaches one or more processors [col. 4 lines 15-60, Fig. 1 — microprocessor 22 and a memory 23] are configured to trigger the setback recovery [col. 8 line 48 – col. 9 line 25, Fig. 6 — If the system is switching to a setback mode, normal operation at the setback temperature begins at 102. At 103… the system returns to normal operation at the comfort temperature at 117; col. 4 line 67 – col. 5 line 37, col. 6 lines 31-56, Figs. 2-5 — FIGS. 2 through 5 plot temperature in degrees Fahrenheit at 36 versus time in hours at 35… time available for the recovery of the system is shown]. But the combination of Beckey and Wu fails to clearly specify trigger the setback recovery prior to the interior temperature value of the target area reaching the setback temperature setpoint value. However, Atterbury teaches trigger the setback recovery prior to the interior temperature value of the target area reaching the setback temperature setpoint value [col. 9 lines 10-20 — Under certain circumstances of weather and setpoint selections, the indoor temperature will never reach the setback temperature limit as shown by the setback decay line SD' in FIG. 10. Times t2' and t3' will be coincident at the intersection of the setback decay line SD' and the recovery line R. This is a fairly common circumstance; so the thermostat must be configured so that periodically during the setback period, the thermostat will compute an estimated time t3 based on the use of the current time for t2. When the estimated time t3 has passed, the thermostat will begin the recovery]. Beckey, Wu and Atterbury are analogous art. They relate to HVAC systems, particularly involving temperature setbacks. Therefore at the time the invention was made, it would have been obvious to a person of ordinary skill in the art to modify the above system, as taught by the combination of Beckey and Wu, by incorporating the above limitations, as taught by Atterbury. One of ordinary skill in the art would have been motivated to do this modification to account for certain combinations of weather and setpoint selections, as taught by Atterbury [col. 9 lines 10-20]. Regarding claim 11, the combination of Beckey and Wu teaches all the limitations of the base claims as outlined above and this claim is otherwise rejected based on the same rationale as claim 5. Citation of Pertinent Prior Art The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. Shah U.S. Patent No. 5555927 discloses a system and method for a setback thermostat with adaptive recovery. Note that any citations to specific, pages, columns, lines, or figures in the prior art references and any interpretation of the reference should not be considered to be limiting in any way. A reference is relevant for all it contains and may be relied upon for all that it would have reasonably suggested to one having ordinary skill in the art. See MPEP 2123. Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to BERNARD G. LINDSAY whose telephone number is (571)270-0665. The examiner can normally be reached Monday through Friday from 8:30 AM to 5:30 PM EST. If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Mohammad Ali can be reached on (571)272-4105. 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 Patent Center. Status information for published applications may be obtained from Patent Center. Status information for unpublished applications is available through Patent Center for authorized users only. Should you have questions about access to Patent Center, contact the Electronic Business Center (EBC) at 866-217-9197 (toll-free). Examiner interviews are available via telephone, in-person, and video conferencing using a USPTO supplied web-based collaboration tool. To schedule an interview, applicant may call the examiner or use the USPTO Automated Interview Request (AIR) Form at https://www.uspto.gov/patents/uspto-automated- interview-request-air-form. /BERNARD G LINDSAY/ Primary Examiner, Art Unit 2119
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Prosecution Timeline

Oct 11, 2024
Application Filed
Sep 23, 2026
Non-Final Rejection mailed — §103 (current)

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Prosecution Projections

1-2
Expected OA Rounds
68%
Grant Probability
99%
With Interview (+46.9%)
2y 10m (~10m remaining)
Median Time to Grant
Low
PTA Risk
Based on 469 resolved cases by this examiner. Grant probability derived from career allowance rate.

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