Prosecution Insights
Last updated: July 17, 2026
Application No. 18/368,417

CONTROL CODE CORRECTION AND PINPOINTING SYSTEM USING THIN CLIENTS

Non-Final OA §102§103§112
Filed
Sep 14, 2023
Examiner
WANG, ZHIPENG
Art Unit
2115
Tech Center
2100 — Computer Architecture & Software
Assignee
Rockwell Automation Technologies Inc.
OA Round
1 (Non-Final)
81%
Grant Probability
Favorable
1-2
OA Rounds
0m
Est. Remaining
99%
With Interview

Examiner Intelligence

Grants 81% — above average
81%
Career Allowance Rate
436 granted / 538 resolved
+26.0% vs TC avg
Strong +22% interview lift
Without
With
+22.5%
Interview Lift
resolved cases with interview
Typical timeline
2y 9m
Avg Prosecution
18 currently pending
Career history
556
Total Applications
across all art units

Statute-Specific Performance

§101
4.2%
-35.8% vs TC avg
§103
80.0%
+40.0% vs TC avg
§102
8.9%
-31.1% vs TC avg
§112
4.6%
-35.4% vs TC avg
Black line = Tech Center average estimate • Based on career data from 538 resolved cases

Office Action

§102 §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 . Claims 1-20 are pending. 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 4 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. Claim 4 recites the limitation " the computing device" in line 1. There is insufficient antecedent basis for this limitation in the claim. 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. Claim(s) 1-14, 17-20 is/are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Miller et al. (hereinafter “Miller”) (US 20190101884 A1). As to claims 1, 8, and 17, Miller teaches the invention comprising: a computing system communicatively coupled to the one or more client devices (Figs 1-3 showing a visualization manager 40 communicatively coupled to the one or more client devices 24, 26, 72; [0026] The visualization manager is coupled to or includes interface circuitry 42 for transmitting data between the manager and HMIs (e.g., for authentication) and for permitting access to visualizations on the thin client HMIs….), wherein the computing system is configured to: receive an indication of an event-based trigger for deploying visualization content ([0005] a visualization manager that, in operation, communicates with a thin client HMI to cause the thin client HMI to access and display a visualization from an industrial automation visualization source of a controlled machine or process. The visualization is selected to provide adapted content based upon an event trigger of the controlled machine or process); receive tag data associated with the event-based trigger (Figs. 1, 3-4, 7-8 showing receiving policy data corresponding to the event trigger from policy 44; [0049-0052] Such event triggers may include, for example, errors as detected by one or more industrial automation components…. unplanned status of the machine or process may be considered as a criterion. Upon the occurrence of such criteria, the policies are applied, and one or more visualizations may be delivered to the users, and particularly to specific users at specific location where they can attention to the events resulting in the trigger… in FIG. 7, then, based upon the policies and any event triggers detected, a second or different visualization 218 may be delivered to one or more of the users… the use of “event triggers” in connection with other criteria in the policies for delivering the visualization content may be used to provide the content by either “pulling” by the HMI, or by “pushing” to the HMI… At step 228, the triggering event occurs, and it is detected at step 230. This will typically occur in an automation device that is the source of a visualization, such as an automation controller. The event is then reported that step 232, such as to the visualization manager which then recognizes the event as relating to a policy for the permitting of access to the new visualization. The policies are applied at step 234…); identify a client device executing an application associated with the tag data (Figs. 5-6 showing that according to the policy data, identifying a client HMI device 148 is connecting to factory communication system 158 and the visualization manager 40 by a particular user 146 within a particular location 36A for authentication, wherein performing and maintaining the authentication must be performed by a program/application and the authentication process begins with the user logging into the system via the client HMI. After the user and device are authenticated through the authentication program/application and stay connected, the visualization manager 40 will provide particular contents 156 to the particular user 146 since the particular user 146 is within the particular location 36A to receive the particular contents 156 based on the policy, therefore the user 146 must be executing an authentication program/application to indicate the user 146 and the client HMI 148 device meet the policy criteria in order to receive the particular contents 156 based on event trigger. And upon a change of the user of the client HMI 14, such as Fig. 5 shows change to a user 168 with client HMI 148, the particular contents 156 will no longer provided to the client HMI 148 because it is not associated with the policy and event trigger; [0040-0045] authentication scheme 144 for allowing user authentication via a thin client HMI and for receiving visualizations from a source… Based upon the data, and the policies stored in the visualization manager, then, the user is permitted access to one or more visualizations… Mechanisms for maintaining authentication once initial authentication has been made may avoid passing along of passwords or other data that the user or system may wish to maintain confidential… allowing users to freely move within automation environments while quickly receiving different visualizations adapted for locations, users, devices, events, times, and so forth…The systems may log the user into a domain 160 and maintain the authentication as the user moves, interacts with the machine or process, and so forth… As the user changes one or more criteria that …may include changing of areas or zones…changing HMI devices [the current user needs to be continued logging to let the system know the HMI device did not change user. once the changing HMI device occurred, even the HMI device logging to the system by a second user but it no longer associated with the policy and the event trigger, therefore the particular contents will not provide to the second user], changing situations as indicated by event triggers, and so forth. In such cases, the visualization may be different as indicated by reference 166); present visualization content comprising code associated with the event-based trigger, wherein the visualization content is received via the client device ([0026] these policies allow for highly customized provision of visualizations from visualization sources and for creation of derivative visualizations, such as partial visualizations, “faceplate” or reduced or limited dataset visualizations, and so forth, which may be based on factors such as the particular user, the user's particular role, the particular location where the visualizations may be viewed and/or interacted with, the particular thin client HMI device, the particular time, particular machine conditions, and so forth; [0037-0039] the desired visualizations and any derivative visualizations are selected as discussed above…These may be provided based upon automatically determined or monitored criteria, user-input criteria, and so forth, as indicated by reference numerals 116, 118, 120, 122, and 124. Such factors may be continuously monitored to allow for changing individual or combined visualizations in accordance with the established policies… during use, data may be provided at 126, including user data 128, device data 130, and location data 132, event data 134… At 136, the thin client HMI accesses the visualizations from sources, here indicated by block 138, as permitted by the policies. Utilizing the received individual visualizations, then, the combined visualization is compiled and displayed to the users on the thin client HMI device, as indicated at 140… Any desired and permitted changes, interactions, and alterations may then take place as discussed above. Permitted interactions may be done by the user at 142, moving or modifying screens, initiating control commands, and so forth (if allowed by the application instantiated on the source device), or otherwise interact with the thin client HMI…; [0047] interesting and meaningful adaptations of available data may be offered to users, and particularly to specific users, based upon their identification, role, location (e.g., proximity to a particular component), and events arising with particular components or products, and so forth; [0049] Upon the occurrence of such criteria, the policies are applied, and one or more visualizations may be delivered to the users, and particularly to specific users at specific location where they can attention to the events resulting in the trigger. The personnel are thus able to view any special visualizations based upon the event occurrence, and respond accordingly either via the thin client HMI… [0051-0052]) For example, in an automation setting, visualization content comprising a specific alarm and relevant information may be “pushed” to a maintenance person (e.g., based on that role) who is nearest to the occurrence of the event giving rise to the alarm (e.g., location in a factory)… At step 228, the triggering event occurs… and at step 236 access and display of the visualization are permitted based upon the programmed criteria. Of course, the criteria, and the event-driven visualization may allow for different content and different interactions than are available with other visualizations and content, often driven by the nature and desired response to the event); and send one or more instructions to the client device, wherein the one or more instructions are configured to modify the code ([0026] the visualizations accessed and displayed on one or more of the thin client HMIs may allow the user or operator to alter or otherwise interact with one or more of the visualizations, such as to carry out control functions in conjunction with an originating source, such as an automation controller, motor controller or drive, etc. [0039] Any desired and permitted changes, interactions, and alterations may then take place as discussed above. Permitted interactions may be done by the user at 142, moving or modifying screens, initiating control commands, and so forth (if allowed by the application instantiated on the source device), or otherwise interact with the thin client HMI… based on the policies, the content, including one or more of the visualizations may be altered or interacted with in real or near-real time by changing the user, the role, the device, or the location of the user or device, or upon the occurrence of a particular event; [0054] in accordance with the policies, it may be desired that only one of these users is permitted to perform control commands 256 allow by the visualization. Again, such commands will typically be returned to the source device so that controls of the machine or process can be implemented based upon the application instantiated on that device; [0063] The HMI may provide control commands based upon the visualization as indicated by reference 310, which will typically be returned to the automation device capable of performance of control, such as the automation controller or in this case the motor drive. Such commands may be made available to one or more users directly in the visualization, or by another visualization linked to the reducer or limited visualization and accessible by the user…). As to claims 2 and 9 and 18, Miller teaches the client device is configured to present the visualization content via a design time environment for modifying the code ([Figs. 11-12] [0061, 0063-0064, 0066] allow for creation and display of reduced or limited visualizations based upon data available from one or more automation sources. In some cases, as noted above, such visualizations may be referred to as “nameplate” or “faceplate” visualizations, and may provide a simple and efficient snapshot of component, machine or process, or product status… The visualization manager may serve the faceplate visualization…to a thin client HMI 306 where the visualization is displayed as indicated by reference numeral 308, or to another thin client HMI. The HMI may provide control commands based upon the visualization as indicated by reference 310, which will typically be returned to the automation device capable of performance of control, such as the automation controller or in this case the motor drive). As to claims 3 and 10 and 19, Miller teaches the computing system is configured to query a tag server based on the tag data, wherein the tag server is configured to identify the application based on the event-based trigger (Figs. 1, 3-4, 7-8 showing visualization manager querying from policy 44 for receiving policy data corresponding to the event trigger, to confirm the particular user is within the particular location for receiving the particular visualization contents is authenticated and logging in the system via the client HMI; [0049-0052] Mechanisms for maintaining authentication once initial authentication has been made may avoid passing along of passwords or other data that the user or system may wish to maintain confidential… allowing users to freely move within automation environments while quickly receiving different visualizations adapted for locations, users, devices, events, times, and so forth…The systems may log the user into a domain 160 and maintain the authentication as the user moves, interacts with the machine or process, and so forth…). As to claims 4 and 11 and 20, Miller teaches the computing device is configured to identify the client device based on communication data received via the application ([0049-0052] [Figs. 1, 3-4, 7-8 showing identifying the client HMI based on authentication data from the particular user within the particular location for receiving particular visualization contents based on the event trigger and policy]). As to claims 5 and 12, Miller teaches the visualization content comprises one or more inputs configured to perform one or more analysis functions on one or more datasets associated with the event-based trigger [0028-0031, 0049-0051, 0060-0064]. As to claims 6 and 13, Miller teaches the computing system is configured to: receive a selection of the one or more inputs; send an additional command to the client device to perform a respective analysis function on a respective dataset associated with the selection; and update the visualization content based on the respective analysis function performed by the client device ([0028-0031] The configurations for regulating access by the thin clients by the visualization manager may also cause the thin clients to access camera inputs in the form of streaming image data that can be incorporated into one or more visualizations… Also, illustrated in FIG. 2 are a series of data sources 70 from which the thin client HMIs, based upon the configurations from the visualization manager 40, may access the visualizations, and display the visualizations in accordance with the established policies. These may include, for example, cameras, resolvers, user data (e.g., input automatically, semi-automatically, or manually by human operators), device data (e.g., preconfigured or provided by manual input or automated detection)… [0051] In either case, the user may be provided with a notification of the availability of the visualization content, and then act to access and view it, such as by touching a portion of the HMI screen, or by any other selection method; [0062-0064] Moreover, automation controllers, workstations and other automation elements, may have data that provides indications of much broader and richer analysis, including multi-component data, compilations of data, historical and real or near-real time data, and so forth. Indeed, it is presently contemplated that the data on which the reduced or limited visualizations are based may include at least some streaming data that is updated on a regular basis in the visualization during operation of the machine or process…The visualization manager may serve the faceplate visualization to a workstation 304, or to a thin client HMI 306 where the visualization is displayed as indicated by reference numeral 308, or to another thin client HMI. The HMI may provide control commands based upon the visualization as indicated by reference 310, which will typically be returned to the automation device capable of performance of control, such as the automation controller or in this case the motor drive… the visualization may be displayed in response to a prompt provided to the user, or originating from the user). As to claims 7 and 14, Miller teaches the respective analysis function comprises a trend analysis, a statistical analysis, or both ([0062-0065] Moreover, automation controllers, workstations and other automation elements, may have data that provides indications of much broader and richer analysis, including multi-component data, compilations of data, historical and real or near-real time data, and so forth. Indeed, it is presently contemplated that the data on which the reduced or limited visualizations are based may include at least some streaming data that is updated on a regular basis in the visualization during operation of the machine or process...This particularly useful insomuch as the user and device may be in close proximity to the automation components for which the state is summarized in the visualization…the data will typically include component identification, component location, and so forth as well as real or near-real time operational data, which may include commanded operation or sensed operation (e.g., speeds, currents, voltages, power, counts, fluid levels, actuator states, and so forth).). 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. Claim(s) 15 is/are rejected under 35 U.S.C. 103 as being unpatentable over Miller view of SHOMURA et al. (hereinafter “SHOMURA”) (US 20240027304 A1). As to claim 15, Miller teaches the evet-based trigger comprises a pre-defined event trigger defined and stored in the visualization manager [0032-0033, 0061]. Miller does not explicitly teach the pre-defined event trigger identified based on one or more machine learning algorithms. However, SHOMURA teaches an abnormality diagnosis method and system for a monitored facility. Especially, SHOMURA teaches identifying a pre-defined event trigger based on one or more machine learning algorithms ([Abstract,0042, 0071-0074] determining the trigger condition by using the learning model, for the monitored signal for which the abnormality diagnosis is performed). Miller and SHOMURA are analogous art because they are from the same field of endeavor of collecting and processing data for a monitored facility to perform abnormality diagnosis. At the time before the effective filing date of the invention it would have been obvious to a person of ordinary skill in the art to determine trigger condition using machine learning algorithms. The suggestion for doing so would have been obvious to use machine learning algorithms to assist operators to process larger scale monitored data to automatically determine a trigger condition. Therefore, it would have been obvious to an ordinary person skilled in the art before the effective filing date of the invention to incorporate the teachings of SHOMURA with the teachings of Miller for the purpose of providing a solution by using machine learning algorithms to determine pre-defined event trigger as specified in the claim 15. Claim(s) 16 is/are rejected under 35 U.S.C. 103 as being unpatentable over Miller view of SHAW et al. (hereinafter “SHAW”) (US 20170235839 A1). As to claim 16, Miller teaches the data populated in the visualization may be provided in any useful graphical format, such as text, numerical fields, virtual gauges and graphical representations of components, and so forth [0065-0066]. Miller does not explicitly teach the visualization content is presented in a tile format. However, SHAW teaches a system and method for providing content to a user, especially controlling the recommendations provided to the user, wherein the recommendation is based on a given context of the user to present the visualization content in a tile format ([0279-0280] The user can configure the format to their taste on the companion device by suitable user input (for example, with a touch screen the user can change the size of tiles by gesture, or drag tiles to different locations). Once the user is satisfied with the new configuration this can be uploaded to the second device 4b so that the new configuration is shown on the screen 46b). Miller and SHAW are analogous art because they are from the same field of endeavor of providing and presenting particular contents to the user. At the time before the effective filing date of the invention it would have been obvious to a person of ordinary skill in the art to adjusting presentation formation to display contents based on user input. The suggestion for doing so would have been obvious to satisfy the user to view desired contents with desired configuration. Therefore, it would have been obvious to an ordinary person skilled in the art before the effective filing date of the invention to incorporate the teachings of SHAW with the teachings of Miller for the purpose of presenting the visualization content in a tile format based on user input as specified in the claim 16. Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to ZHIPENG WANG whose telephone number is (571)272-5437. The examiner can normally be reached Monday-Friday 10-7. 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. /ZHIPENG WANG/Primary Examiner, Art Unit 2115
Read full office action

Prosecution Timeline

Sep 14, 2023
Application Filed
Apr 28, 2026
Non-Final Rejection mailed — §102, §103, §112
Jul 01, 2026
Interview Requested

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Prosecution Projections

1-2
Expected OA Rounds
81%
Grant Probability
99%
With Interview (+22.5%)
2y 9m (~0m remaining)
Median Time to Grant
Low
PTA Risk
Based on 538 resolved cases by this examiner. Grant probability derived from career allowance rate.

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