Carrier Corporation

Patent Trials and Appeals Board

Aug 11, 2020

14694448 - (D) (P.T.A.B. Aug. 11, 2020)

UNITED STATES PATENT AND TRADEMARK OFFICE
UNITED STATES DEPARTMENT OF COMMERCE
United States Patent and Trademark Office
Address: COMMISSIONER FOR PATENTS
P.O. Box 1450
Alexandria, Virginia 22313-1450
www.uspto.gov
APPLICATION NO. FILING DATE FIRST NAMED INVENTOR ATTORNEY DOCKET NO. CONFIRMATION NO.
14/694,448 04/23/2015 James Amick 76447US02 (U301649US2) 8644
87059 7590 08/11/2020
Cantor Colburn LLP - Carrier
20 Church Street, 22nd Floor
Hartford, CT 06103
EXAMINER
ASMELASH, BINIAM B
ART UNIT PAPER NUMBER
3761
NOTIFICATION DATE DELIVERY MODE
08/11/2020 ELECTRONIC
Please find below and/or attached an Office communication concerning this application or proceeding.
The time period for reply, if any, is set in the attached communication.
Notice of the Office communication was sent electronically on above-indicated "Notification Date" to the
following e-mail address(es):
usptopatentmail@cantorcolburn.com
PTOL-90A (Rev. 04/07)

UNITED STATES PATENT AND TRADEMARK OFFICE
____________

BEFORE THE PATENT TRIAL AND APPEAL BOARD
____________

Ex parte JAMES AMICK and KEVIN MERCER
____________

Appeal 2020-001009
Application 14/694,448
Technology Center 3700
____________

Before ANTON W. FETTING, AMEE A. SHAH, and
RACHEL H. TOWNSEND, Administrative Patent Judges.

FETTING, Administrative Patent Judge.

DECISION ON APPEAL

STATEMENT OF THE CASE1
James Amick and Kevin Mercer (Appellant2) seek review under
35 U.S.C. § 134 of a final rejection of claims 7, 8, 10, and 11, the only

1 Our decision will make reference to the Appellant’s Appeal Brief (“Br.,”
filed June 11, 2019) and the Examiner’s Answer (“Ans.,” mailed September
9, 2019), and Final Action (“Final Act.,” mailed January 11, 2019).
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Application 14/694,448

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claims pending in the application on appeal. We have jurisdiction over the
appeal pursuant to 35 U.S.C. § 6(b).
The Appellant invented an auxiliary heating assembly for use with
residential air handlers. Specification para. 2.
An understanding of the invention can be derived from a reading of
exemplary claim 7, which is reproduced below (bracketed matter and some
paragraphing added).
7. A residential air handler comprising:
[1] an enclosure including an interior surface and an exterior
surface;
[2] a fan assembly disposed within the enclosure,
the fan assembly configured to produce an air flow
stream,
the fan assembly including an axial fan including a stator
assembly;
and

[3] an auxiliary heating assembly mounted to the stator
assembly of the axial fan and disposed within the enclosure;
[3.1] wherein the auxiliary heating assembly comprises:
a heating apparatus having an apparatus
dimension, the heating apparatus arranged in a
geometric shape;
[3.2] wherein the heating apparatus includes
an opening having an opening length that is
between approximately 10% and approximately
50% of the apparatus dimension,

2 We use the word “Appellant” to refer to “applicant” as defined in
37 C.F.R. § 1.42. Appellant identifies the real party in interest as Carrier
Corporation (Appeal Br. 1).
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the heating apparatus is aligned with an air flow
stream produced by the fan assembly.
The Examiner relies upon the following prior art:
Name Reference Date
Mulder US 8,285,127 B2 Oct. 9, 2012
Pipkorn US 2007/0237656 A1 Oct. 11, 2007
Claims 7, 8, 10 and 11 stand rejected under 35 U.S.C. § 103(a) as
unpatentable over Mulder and Pipkorn.
ISSUES
The issues of obviousness turn primarily on whether the art describes
a heating assembly mounted to the stator assembly of an axial fan.
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FACTS PERTINENT TO THE ISSUES
Facts Related to the Prior Art
Mulder
01. Mulder is directed to supplemental heating and cooling devices,
especially for forced air heating or cooling systems in buildings.
Mulder 1:14–16.
02. Mulder describes its device as mounted in or in-line with or
connected with the air duct and includes an electric heater, a fan
adapted to blow air through the duct, and a housing for containing
the electric heater and fan. Mulder 1:45–49; Fig. 4 (128, 130,
134).
03. Mulder describes its heating device as being adapted to be
mounted or at least partially positioned or contained in its
housing. Mulder 5:33–35.
04. Mulder describes tube-axial fan being mounted in a tube or
cylinder to increase the efficiency of the fan. This is in turn
mounted in a housing. Mulder 7:46–48; Fig. 4(132).
Pipkorn
05. Pipkorn is directed to fan assemblies utilized for moving a fluid
in a heat transfer system. Pipkorn, para. 2. This is in the context
of heat exchangers to dissipate heat collected in the operation of
the motor vehicle to the ambient air. Pipkorn, para. 4.
06. Pipkorn describes a motor stator as adapted for receiving a fan
rotor with fan blades. Pipkorn, para. 7 (describing a conventional
rotor-stator relationship).
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07. Pipkorn describes a shroud 30 within which a fan assembly 24
is mounted. A stator fan 28 includes a radial array of stator fan
blades 34 converging centrally inward to a hub 36. The hub 36 is
supported by the stator fan blades 34. The rotary axial fan 26 is
mounted to the hub 36 for rotation of the fan 26 relative to the
hub 36. The rotary axial fan 26 has a series of rotary fan blades
38 extending from a fan hub 40. Pipkorn, para. 19.
08. Pipkorn describes cooling the motor 42 by transferring the heat
generated by the motor 42 to the stator fan 28 for dissipation into
air forced through the shroud 30. For example, heat generated by
the motor 42 may be transferred to the hub 36, and subsequently
to the stator fan blades 34 for convecting the heat to air passed
through the shroud 30 about the stator fan blades 34. Pipkorn,
para. 24.
09. Pipkorn describes facilitating heat transfer from the motor 42 to
the stator fan 28 by encapsulating a motor stator 44 of the motor
42 within the hub 36 of the stator fan 28. The motor stator 44
includes an end cap 46 with motor windings 47 that are disposed
about lamination plates 48. The motor windings 47 are the
primary source of heat and the lamination plates 48 may act as a
heat sink for transferring heat from the motor windings 47. The
lamination plates 48 are encapsulated within an inner diameter of
the hub 36 for direct contact with the hub 36 as illustrated in
Figure 3. This direct contact between the motor stator 44 and the
hub 36 permits heat generated by the motor 42 to be conducted
directly to the hub 36. The hub 36 may provide minimal clearance
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between the hub 36 and the motor stator 44 for reducing vibration
of the fan assembly 24 and for maximizing contact for enhancing
the conduction of heat therebetween. Additionally, the motor
stator 44 may be press fit or partially press fit within the hub 36
for further enhancing the contact and rate of heat transfer by an
interference connection. Thus, the hub 36 provides a heat sink for
the motor 42 that is in direct contact with the lamination plates 48
of the motor stator 44. Pipkorn, para. 25.
10. Pipkorn describes using the hub 36 of the stator fan 28 for
partially housing the motor 42, so the stator fan 28 functions as a
heat sink for drawing heat from the motor 42. Pipkorn, para. 28.
11. Pipkorn describes sealing the flange 50 of the motor stator 44
against the hub 36 of the stator fan 28. Pipkorn, paras. 33 and 34.
ANALYSIS
Claim 7 recites an air handler having an enclosure, a fan assembly that
includes an axial fan that includes a stator assembly, and a heating assembly
mounted to the stator assembly. The remaining limitations are not
contended. The Examiner determines that Mulder describes such a fan
assembly and heating assembly, and that Pipkorn describes mounting a fan
attachment to a fan stator assembly. Final Act. 3–4. The Examiner
determines that Pipkorn’s mounting structure for its fan and heat assembly is
a recognized substitution for that in Mulder. Ans. 6.
Claim 1 recites mounting to a stator assembly, not a stator. The
Specification does not define a stator assembly, and it is not shown in the
drawings (Spec. 6:11–12). The claims recite that the stator assembly is
included with an axial fan, in turn included with a fan assembly. The
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manner and scope of such inclusions are not recited and undefined. Thus the
scope of the recited stator assembly is broad.
Appellant contends that
Even if the stator fan 28 of Pipkorn is mounted in the housing
134 of Mulder, the housing 134 does not become part of the
stator fan 28. The housing 134 of Mulder and the stator fan 28
of Pipkorn are separate elements. Thus, even if Mulder and
Pipkorn are combined, the result cannot be “an auxiliary
heating assembly mounted to the stator assembly of the axial
fan” as recited in claim 7. The auxiliary heating assembly 128
of Mulder is mounted to the housing 134, not the fan 130.
App. Br. 4. Thus the dispositive issue is whether one of ordinary skill would
find mounting the heat source to a stator assembly to be predictable.
Appellant does not appear to appreciate that the Examiner is
proposing to substitute Pipkorn’s mounting structure for that of Mulder’s,
and to mount the recited heating assembly to Pipkorn’s stator assembly, not
to Mulder’s housing. See Final Act. 3–4. “[W]hen a patent claims a
structure already known in the prior art that is altered by the mere
substitution of one element for another known in the field, the combination
must do more than yield a predictable result.” KSR Int'l Co. v. Teleflex Inc.,
550 U.S. 398, 416 (2007) (citing United States v. Adams, 383 U.S. 39, 50–
51 (1966)).
Mulder itself mounts a fan to a mounting tube or cylinder, which
therefore becomes part of the fan assembly, and then mounts that assembly
to a housing. Pipkorn shows it was known to mount the equivalent of
Mulder’s heat source directly to its fan assembly instead of to the housing as
shown in Figure 4 below.

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Pipkorn Figure 4 showing how the parts are mounted together.
Pipkorn mounts its fan in a shroud, in turn attached to a vehicle as a
housing. Pipkorn’s fan blows air through Pipkorn’s stator fan, which is a
stationary set of fan-like vanes, and which absorbs heat from the motor
windings. Pipkorn aligns its stator fan, which is a heat source, with the air
flow direction of its rotary fan as recited in claim 7. The only issue then is
the mounting.
The stator fan is mounted to Pipkorn’s stator, which supports the fan
motor. Thus, Pipkorn’s stator and source of heat are mounted to each other.
The stator is mounted with the rotary fan and so is within the scope of a
fan’s stator assembly. This results in the source of heat (stator fan) being
mounted to the stator assembly. Fan, source of heat, and stator are all within
Pipkorn’s shroud, equivalent to the recited fan assembly. Thus the claim
limitations at issue are met.
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CONCLUSIONS OF LAW
The rejection of claims 7, 8, 10, and 11 under 35 U.S.C. § 103(a) as
unpatentable over Mulder and Pipkorn is proper.
CONCLUSION
The rejection of claims 7, 8, 10, and 11 is affirmed.
In summary:
Claims
Rejected
35 U.S.C. § Basis Affirmed Reversed
7, 8, 10, 11 103 Mulder
Pipkorn
7, 8, 10, 11

No time period for taking any subsequent action in connection with
this appeal may be extended under 37 C.F.R. § 1.136(a). See 37 C.F.R.
§ 1.136(a)(1)(iv) (2011).

AFFIRMED