Prosecution Insights
Last updated: April 19, 2026
Application No. 18/234,192

APPARATUS AND METHOD FOR ACCESS CONTROL OF AN AEROSOL PROVISION DEVICE

Non-Final OA §102§103
Filed
Aug 15, 2023
Examiner
MOORE, STEPHANIE LYNN
Art Unit
1747
Tech Center
1700 — Chemical & Materials Engineering
Assignee
Rai Strategic Holdings Inc.
OA Round
1 (Non-Final)
60%
Grant Probability
Moderate
1-2
OA Rounds
3y 10m
To Grant
99%
With Interview

Examiner Intelligence

Grants 60% of resolved cases
60%
Career Allow Rate
117 granted / 196 resolved
-5.3% vs TC avg
Strong +40% interview lift
Without
With
+40.1%
Interview Lift
resolved cases with interview
Typical timeline
3y 10m
Avg Prosecution
39 currently pending
Career history
235
Total Applications
across all art units

Statute-Specific Performance

§101
0.4%
-39.6% vs TC avg
§103
58.4%
+18.4% vs TC avg
§102
17.1%
-22.9% vs TC avg
§112
16.3%
-23.7% vs TC avg
Black line = Tech Center average estimate • Based on career data from 196 resolved cases

Office Action

§102 §103
DETAILED ACTION 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 § 102 The following is a quotation of the appropriate paragraphs of 35 U.S.C. 102 that form the basis for the rejections under this section made in this Office action: A person shall be entitled to a patent unless – (a)(1) the claimed invention was patented, described in a printed publication, or in public use, on sale, or otherwise available to the public before the effective filing date of the claimed invention. (a)(2) the claimed invention was described in a patent issued under section 151, or in an application for patent published or deemed published under section 122(b), in which the patent or application, as the case may be, names another inventor and was effectively filed before the effective filing date of the claimed invention. Claims 1-6, 8-11, 13-18, and 20-23 are rejected under 35 U.S.C. 102(a)(1)as being anticipated by US 20200315259 A1 (hereinafter HUBBARD). HUBBARD was made of record on applicant's information disclosure statement filed January 14, 2025. Regarding claim 1, HUBBARD discloses a charger for an electronic delivery system including aerosol delivery devices providing functionality for authentication (abstract). HUBBARD discloses an apparatus (Figs. 11a-11b, accessory 1104, ¶124) for access control of an aerosol provision device (Figs. 11a-11b, device 1106, ¶124). HUBBARD further discloses the apparatus comprising a housing (¶53, ¶138, ¶154) structured to engage the aerosol provision device, and thereby engage the aerosol provision device with the apparatus (¶39). HUBBARD discloses that the accessory, such as a charger connects with the electronic nicotine delivery system (¶39). HUBBARD discloses a communication interface configured to enable a data connection with the aerosol provision device, when the aerosol provision device is engaged with the apparatus (Fig. 18, ¶152-¶153). HUBBARD discloses that a data communication 1804 handshake occurs between the data pin connection. HUBBARD further discloses processing circuitry configured to send an unlock signal (¶7) to the aerosol provision device over the data connection to cause the aerosol provision device to unlock and thereby enable use of the aerosol provision device to power an aerosol generator (¶51, the heater is an aerosol generator) to energize an aerosol-generating material to generate aerosol for delivery to a user (¶14, ¶41). HUBBARD discloses that an unlock signal is sent that may include age verification and that when that unlock signal is sent the power supply enable charging of the battery and that the device will not be powered without the authentication (¶7-¶10). Regarding claim 2, HUBBARD discloses the apparatus of claim 1 as discussed above. HUBBARD further discloses the apparatus is activated for use by the user, and activation of the apparatus includes verification that the user is of an age allowed to use the aerosol provision device (¶7), and wherein the processing circuitry is configured to send the unlock signal that includes authentication information interpretable by the aerosol provision device to indicate the user is verified (¶10-¶11, ¶15, ¶148). Regarding claim 3, HUBBARD discloses the apparatus of claim 1 as discussed above. HUBBARD further discloses the communication interface is configured to enable the data connection when and only for so long as the aerosol provision device is engaged with the apparatus (¶15, ¶144, ¶152-¶153). Regarding claim 4, HUBBARD discloses the apparatus of claim 1 as discussed above. HUBBARD further discloses the apparatus further comprises a user interface configured to receive input that uniquely identifies the user. HUBBARD discloses multiple user interfaces configured to receive input (¶147-¶151). Specifically, HUBBARD discloses that the charger accessory (i.e. apparatus) may include some form of finger print reader for verifying the user (¶150). HUBBARD discloses that the processing circuitry is configured to process the input to authenticate the user, and send the unlock signal when the user is authenticated (¶7, ¶64). Regarding claim 5, HUBBARD discloses the apparatus of claim 1 as discussed above. HUBBARD further discloses the housing includes a receptacle structured to receive a portion of the aerosol provision device, and thereby engage the aerosol provision device with the apparatus (¶128). Regarding claim 6, HUBBARD discloses the apparatus of claim 5 as discussed above. HUBBARD further discloses the apparatus is embodied as a sleeve for the aerosol provision device, and the receptacle is formed in the housing and sized to fit the portion of the aerosol provision device that is receivable into the receptacle (¶128). Regarding claim 8, HUBBARD discloses the apparatus of claim 1 as discussed above. HUBBARD further discloses the housing includes a port structured to receive a cable connected to the aerosol provision device, and thereby engage the aerosol provision device with the apparatus (¶12, ¶127). Regarding claim 9, HUBBARD discloses the apparatus of claim 8 as discussed above. HUBBARD further discloses various examples of the aerosol provision device, for example Fig. 2. As can be seen in Fig. 2, the aerosol provision device includes a power source (Fig. 2, power source 212, ¶64). HUBBARD further discloses the cable is configured to provide a power connection between the apparatus and the aerosol provision device (¶128). HUBBARD further discloses the apparatus further comprises: a built-in power source (Fig. 11b, power supply 1108, ¶124, ¶127-¶128, ¶137). HUBBARD further discloses and discharging circuitry configured to discharge the built-in power source to charge the power source of the aerosol provision device over the cable (¶124, ¶127-¶128, ¶137) the transfer of power from the apparatus to the aerosol provision device is considered to be discharging circuitry. Regarding claim 10, HUBBARD discloses the apparatus of claim 9 as discussed above. HUBBARD further discloses the aerosol provision device is configured to automatically lock responsive to a low-voltage condition in which the voltage level of the power source is below a specified cutoff voltage (¶116). HUBBARD further discloses the processing circuitry is configured to send the unlock signal to cause the aerosol provision device to unlock, when the aerosol provision device is engaged with the apparatus to charge the power source of the aerosol provision device (¶136). Further this limitation is considered to be a recitation of intended use. A recitation of the intended use of the claimed invention must result in a structural difference between the claimed invention and the prior art in order to patentably distinguish the claimed invention from the prior art. If the prior art structure is capable of performing the intended use, then it meets the claim. Here the structure of HUBBARD is capable of sending lock/unlock signals based on voltage and engaging with the apparatus. Since HUBBARD enumerates the ability and conditions for locking and unlocking, the device is able to lock/unlock through the process with predictable results. Regarding claim 11, HUBBARD discloses the apparatus of claim 1 as discussed above. HUBBARD further discloses the aerosol provision device is configured to periodically, automatically lock (¶10). HUBBARD discloses that the device cycles to require a new authentication each power cycle (¶10). HUBBARD further discloses the processing circuitry is configured to continuously send the unlock signal to cause the aerosol provision device to unlock, as the aerosol provision device is engaged with the apparatus (¶120). Regarding claim 13, HUBBARD discloses a charger for an electronic delivery system including aerosol delivery devices providing functionality for authentication (abstract). HUBBARD discloses a method for operating with an age restricted device to verify the age of a user; without verification electrically current is not provided to the device (¶15). HUBBARD discloses engaging the aerosol provision device (Figs. 11a-11b, device 1106, ¶124) with an apparatus (Figs. 11a-11b, accessory 1104, ¶124) that includes a communication interface enabling a data connection with the aerosol provision device when the aerosol provision device is engaged with the apparatus (Fig. 18, ¶152-¶153). HUBBARD further discloses sending an unlock signal from the apparatus to the aerosol provision device over the data connection to cause the aerosol provision device to unlock and thereby enable use of the aerosol provision device to power an aerosol generator to energize an aerosol-generating material to generate aerosol for delivery to a user. HUBBARD discloses that an unlock signal is sent that may include age verification and that when that unlock signal is sent the power supply enable charging of the battery and that the device will not be powered without the authentication (¶7-¶10). Regarding claim 14, HUBBARD discloses the method of claim 13 as discussed above. HUBBARD further discloses wherein the apparatus is activated for use by the user, and activation of the apparatus includes verification that the user is of an age allowed to use the aerosol provision device, and wherein the unlock signal that is sent includes authentication information interpretable by the aerosol provision device to indicate the user is verified (¶10-¶11, ¶15, ¶148). Regarding claim 15, HUBBARD discloses the method of claim 13 as discussed above. HUBBARD further discloses the communication interface enables the data connection when and only for so long as the aerosol provision device is engaged with the apparatus (¶15, ¶144, ¶152-¶153) Regarding claim 16, HUBBARD discloses the method of claim 13 as discussed above. HUBBARD further discloses the apparatus further comprises a user interface that receives input that uniquely identifies the user. HUBBARD discloses multiple user interfaces configured to receive input (¶147-¶151). Specifically, HUBBARD discloses that the charger accessory (i.e. apparatus) may include some form of finger print reader for verifying the user (¶150). HUBBARD further discloses and the method further comprises the apparatus: receiving the input that uniquely identifiers the user; and processing the input to authenticate the user, and sending the unlock signal when the user is authenticated (¶7, ¶64). Regarding claim 17, HUBBARD discloses the method of claim 13 as discussed above. HUBBARD further discloses the apparatus includes a receptacle, and engaging the aerosol provision device with the apparatus includes receiving a portion of the aerosol provision device into the receptacle (¶128). Regarding claim 18, HUBBARD discloses the method of claim 17 as discussed above. HUBBARD further discloses the apparatus is embodied as a sleeve for the aerosol provision device, and the receptacle is formed in the apparatus and sized to fit the portion of the aerosol provision device that is received into the receptacle (¶128). Regarding claim 20, HUBBARD discloses the method of claim 13 as discussed above. HUBBARD further discloses the apparatus includes a port, and engaging the aerosol provision device with the apparatus includes receiving a cable connected to the aerosol provision device in the port (¶12, ¶127). Regarding claim 21, HUBBARD discloses the method of claim 20 as discussed above. HUBBARD further discloses the aerosol provision device includes a power source(Fig. 2, power source 212, ¶64). HUBBARD further discloses the cable provides a power connection between the apparatus and the aerosol provision device (¶128). HUBBARD further discloses the apparatus further includes a built-in power source(Fig. 11b, power supply 1108, ¶124, ¶127-¶128, ¶137). HUBBARD further discloses discharging the built-in power source to charge the power source of the aerosol provision device over the cable (¶124, ¶127-¶128, ¶137) the transfer of power from the apparatus to the aerosol provision device is considered to be discharging circuitry. Regarding claim 22, HUBBARD discloses the method of claim 21 as discussed above. HUBBARD further discloses the aerosol provision device automatically locks responsive to a low-voltage condition in which the voltage level of the power source is below a specified cutoff voltage (¶116). HUBBARD further discloses and wherein the unlock signal is sent to cause the aerosol provision device to unlock, when the aerosol provision device is engaged with the apparatus to charge the power source of the aerosol provision device (¶136). Further this limitation is considered to be a recitation of intended use. A recitation of the intended use of the claimed invention must result in a structural difference between the claimed invention and the prior art in order to patentably distinguish the claimed invention from the prior art. If the prior art structure is capable of performing the intended use, then it meets the claim. Here the structure of HUBBARD is capable of sending lock/unlock signals based on voltage and engaging with the apparatus. Since HUBBARD enumerates the ability and conditions for locking and unlocking, the device is able to lock/unlock through the process with predictable results. Regarding claim 23, HUBBARD discloses the method of claim 13 as discussed above. HUBBARD further discloses the aerosol provision device periodically, automatically locks HUBBARD discloses that the device cycles to require a new authentication each power cycle (¶10). HUBBARD further discloses the unlock signal is continuously sent to cause the aerosol provision device to unlock, as the aerosol provision device is engaged with the apparatus (¶120). Claim Rejections - 35 USC § 103 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. Claims 7 and 19 are rejected under 35 U.S.C. 103 as being unpatentable over HUBBARD as applied to claims 1-6, 8-11, 13-18, and 20-23 above, and further in view of US 20220378111 A1 (hereinafter CHEUNG). Regarding claim 7, HUBBARD discloses the apparatus of claim 5 as discussed above. HUBBARD does not disclose the communication interface includes an optical transmitter disposed in the receptacle, the optical transmitter configured to enable the data connection with an optical receiver disposed on the portion of the aerosol provision device that the receptacle is structured to receive. CHEUNG teaches a method for activating a vaporization device based on an identifier and a computing device that communicated with the vaporizer device using optical signals corresponding to the activation data (abstract). CHEUNG teaches that the vaporizer device and/or the computing device may include hardware for optical communication (¶105). CHEUNG teaches that the optical communication occurs through optical transmitters such as LEDS, optical receivers and the like (¶105). CHEUNG further teaches that other communication methods and techniques can be interchanges to encode/decode signals (¶105). CHEUNG teaches that the vaporizer and the computing device engage in two-way optical communication via an optical transmitter to advantageously communicated without imposing cost and complexity of other hardware (¶154). It would have been prima facie obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have modified HUBBARD to provide the communication interface includes an optical transmitter disposed in the receptacle, the optical transmitter configured to enable the data connection with an optical receiver disposed on the portion of the aerosol provision device that the receptacle is structured to receive as taught in CHEUNG. A person of ordinary skill in the art would immediately recognize that CHEUNG teaches an equivalent option to the communication methods disclosed in HUBBARD. A person of ordinary skill in the art would obviously use an optical transmitter because doing so would communicate without imposing cost and complexity to the device (CHEUNG ¶154). Regarding claim 19, HUBBARD discloses the method of claim 17 as discussed above. HUBBARD does not disclose the communication interface includes an optical transmitter disposed in the receptacle, and the optical transmitter enables the data connection with an optical receiver disposed on the portion of the aerosol provision device that is received into the receptacle. CHEUNG teaches a method for activating a vaporization device based on an identifier and a computing device that communicated with the vaporizer device using optical signals corresponding to the activation data (abstract). CHEUNG teaches that the vaporizer device and/or the computing device may include hardware for optical communication (¶105). CHEUNG teaches that the optical communication occurs through optical transmitters such as LEDS, optical receivers and the like (¶105). CHEUNG further teaches that other communication methods and techniques can be interchanges to encode/decode signals (¶105). CHEUNG teaches that the vaporizer and the computing device engage in two-way optical communication via an optical transmitter to advantageously communicated without imposing cost and complexity of other hardware (¶154). It would have been prima facie obvious to one of ordinary skill in the art before the effective filing date of the claimed invention to have modified HUBBARD to provide the communication interface includes an optical transmitter disposed in the receptacle, and the optical transmitter enables the data connection with an optical receiver disposed on the portion of the aerosol provision device that is received into the receptacle as taught in CHEUNG. A person of ordinary skill in the art would immediately recognize that CHEUNG teaches an equivalent option to the communication methods disclosed in HUBBARD. A person of ordinary skill in the art would obviously use an optical transmitter because doing so would communicate without imposing cost and complexity to the device (CHEUNG ¶154). Claims 12 and 24 are rejected under 35 U.S.C. 103 as being unpatentable over HUBBARD. Regarding claim 12, HUBBARD discloses the apparatus of claim 1 as discussed above. HUBBARD further teaches the apparatus further comprises a second communication interface configured to enable a second, wireless data connection that is separate and distinct from the data connection with the aerosol provision device. HUBBARD teaches in other embodiments that the communication port may be established wirelessly (¶141). HUBBARD teaches that this is a non-limiting embodiment and the connection may communicate through a network, but not limited to the network (¶141). HUBBARD further teaches that the network may be between a cluster of machines that are analyzing signals and sub-networks (¶142-¶143). A person of ordinary skill in the art would immediately recognize this as second, third, fourth, etc data connections that may be done wirelessly with predictable results. HUBBARD further teaches the processing circuitry is further configured to: activate a timer to measure an elapsed time (¶92). HUBBARD teaches that the energy may be supplied for a pre-determined length of time, this is considered to read upon activating a timer to keep time to turn off. HUBBARD further teaches discontinue the unlock signal to the aerosol provision device to allow the aerosol provision device to automatically lock and remain locked, responsive to a timeout condition in which no computer on a whitelist of one or more computers is in wireless range of the second communication interface when the elapsed time reaches a specified period of time (¶92). HUBBARD teaches that in use the electrical energy is only provided for a pre-determined length of time (¶92). HUBBARD teaches that the age if verified and the aerosol production is powered for a production time period (¶116). HUBBARD further teaches that the switch is turned off to produce aerosol after a time and then the steps of unlocking are repeated (¶119). Since the device cannot unlock after the predetermined time without connection to a computer this satisfies the claimed recitation with predictable results for not unlocking if the signal from the computer cannot be established. Further HUBBARD broadly teaches that the locking/unlocking an need for reauthentication between the device and the accessory can be varied based on time, number of puffs, charges status, and/or other triggers (¶131). Regarding claim 24, HUBBARD discloses the method of claim 23 as discussed above. HUBBARD further taches the apparatus further comprises a second communication interface that enables a second, wireless data connection that is separate and distinct from the data connection with the aerosol provision device. HUBBARD teaches in other embodiments that the communication port may be established wirelessly (¶141). HUBBARD teaches that this is a non-limiting embodiment and the connection may communicate through a network, but not limited to the network (¶141). HUBBARD further teaches that the network may be between a cluster of machines that are analyzing signals and sub-networks (¶142-¶143). A person of ordinary skill in the art would immediately recognize this as second, third, fourth, etc data connections that may be done wirelessly with predictable results. HUBBARD further teaches activating a timer to measure an elapsed time (¶92). HUBBARD teaches that the energy may be supplied for a pre-determined length of time, this is considered to read upon activating a timer to keep time to turn off. HUBBARD further teaches discontinuing the unlock signal to the aerosol provision device to allow the aerosol provision device to automatically lock and remain locked, responsive to a timeout condition in which no computer on a whitelist of one or more computers is in wireless range of the second communication interface when the elapsed time reaches a specified period of time. (¶92). HUBBARD teaches that in use the electrical energy is only provided for a pre-determined length of time (¶92). HUBBARD teaches that the age if verified and the aerosol production is powered for a production time period (¶116). HUBBARD further teaches that the switch is turned off to produce aerosol after a time and then the steps of unlocking are repeated (¶119). Since the device cannot unlock after the predetermined time without connection to a computer this satisfies the claimed recitation with predictable results for not unlocking if the signal from the computer cannot be established. Further HUBBARD broadly teaches that the locking/unlocking an need for reauthentication between the device and the accessory can be varied based on time, number of puffs, charges status, and/or other triggers (¶131). Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to STEPHANIE L MOORE whose telephone number is (313)446-6537. The examiner can normally be reached Mon - Thurs 9 am to 5 pm. 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, Michael H Wilson can be reached at 571-270-3882. 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. /STEPHANIE LYNN MOORE/Examiner, Art Unit 1747 /Michael H. Wilson/Supervisory Patent Examiner, Art Unit 1747
Read full office action

Prosecution Timeline

Aug 15, 2023
Application Filed
Feb 25, 2026
Non-Final Rejection — §102, §103 (current)

Precedent Cases

Applications granted by this same examiner with similar technology

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Patent 12599163
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Patent 12593864
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Patent 12593875
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Study what changed to get past this examiner. Based on 5 most recent grants.

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Prosecution Projections

1-2
Expected OA Rounds
60%
Grant Probability
99%
With Interview (+40.1%)
3y 10m
Median Time to Grant
Low
PTA Risk
Based on 196 resolved cases by this examiner. Grant probability derived from career allow rate.

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