Prosecution Insights
Last updated: May 29, 2026
Application No. 18/410,084

Leveraging Smart Home Technology for Energy Efficiency and Demand Management

Non-Final OA §103
Filed
Jan 11, 2024
Priority
Jan 18, 2023 — provisional 63/480,498 +1 more
Examiner
SIDDIQUEE, TAMEEM
Art Unit
2116
Tech Center
2100 — Computer Architecture & Software
Assignee
Shipshape Solutions Inc.
OA Round
1 (Non-Final)
62%
Grant Probability
Moderate
1-2
OA Rounds
10m
Est. Remaining
99%
With Interview

Examiner Intelligence

Grants 62% of resolved cases
62%
Career Allowance Rate
143 granted / 230 resolved
+7.2% vs TC avg
Strong +37% interview lift
Without
With
+37.2%
Interview Lift
resolved cases with interview
Typical timeline
3y 2m
Avg Prosecution
23 currently pending
Career history
259
Total Applications
across all art units

Statute-Specific Performance

§101
3.8%
-36.2% vs TC avg
§103
87.4%
+47.4% vs TC avg
§102
4.9%
-35.1% vs TC avg
§112
3.2%
-36.8% vs TC avg
Black line = Tech Center average estimate • Based on career data from 230 resolved cases

Office Action

§103
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 (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. Claim(s) 1-10 is/are rejected under 35 U.S.C. 103 as being unpatentable over Linn (US PUB. 20210312789, herein Linn) in view of Matsuoka et al (US PUB. 20170343229, herein Matsuoka). Regarding claim 1, Linn teaches A method for leveraging smart home technology to revise home system configurations iteratively over time in accordance with refined sets of one or more user goals of one or more occupants of a premises (0026 “continuously monitored and processed sensor-based and environmental data (historical as well as current), with integrated networks of homeowners and service and other providers, such as manufacturers, retailers, installers, insurers, home warranty companies and even institutional home-maintenance providers. The integration of these various components into a Virtual Facilities Manager (“VFM”) system enables a continuous feedback process in which abnormal conditions are detected and addressed by issuing contextual alerts with associated actions in an iterative manner over time, recognizing that many underlying problems can only be addressed effectively via a complex diagnostic and iterative troubleshooting process requiring multiple related actions over time (“related alert-action pairs”).”), the method including the following steps: (a) defining a set of home system configurations in accordance with a set of one or more user goals (0029 “the VFM system expands its iterative troubleshooting approach to align the goals of homeowners and providers. For example, the VFM system generates actions that are optimized to satisfy specified “User Goals” relating to cost, energy efficiency, reliability and a host of other related factors (alone or in combination) as described below. Such actions also take into account the capabilities of particular occupants—e.g., to perform particular tasks themselves rather than requiring help from an external provider.”); (b) monitoring characteristics of one or more devices on the premises over time, wherein such characteristics reflect the behavior of occupants, equipment and infrastructure of the premises during a current iteration with respect to a current set of home system configurations (0026 “continuously monitored and processed sensor-based and environmental data (historical as well as current), with integrated networks of homeowners and service and other providers, such as manufacturers, retailers, installers, insurers, home warranty companies and even institutional home-maintenance providers. The integration of these various components into a Virtual Facilities Manager (“VFM”) system enables a continuous feedback process in which abnormal conditions are detected and addressed by issuing contextual alerts with associated actions in an iterative manner over time, recognizing that many underlying problems can only be addressed effectively via a complex diagnostic and iterative troubleshooting process requiring multiple related actions over time (“related alert-action pairs”).”); (c) learning the behavior of the occupants, equipment and infrastructure of the premises during the current iteration based at least in part upon the monitoring of the characteristics of the one or more devices (0108 “Illustrated in diagram 300a of FIG. 3A, Scoring Engine 350a utilizes a set of inputs 310a (discussed above) to generate a set of outputs 320a representing the most probable assessment of the state of certain higher-level (e.g., whole-home) conditions and risks. For example, in one embodiment, it generates scores 325a for overall “Home Efficiency,” “Home Reliability,” “Safety,” “Maintenance” (e.g., how well a home has been maintained over time), “Fire Risk,” “Flood Risk” and “Air Quality.” All of these scores 325a facilitate the generation of alerts and actions by the other prediction engines.”); (d) identifying, during the current iteration, one or more conflicts among the learned behavior and a current set of one or more user goals (0141 “Action and Goals Optimization Engine 350c generates various different types of actions 322c. For example, many such actions 322c relate to troubleshooting steps regarding operational malfunctions of an individual unit of equipment or one or more of its components. An action might involve adjusting a setting, reporting status data that is not available via a sensor, flipping a switch, describing a sound and many other actions designed to yield feedback that will inform subsequent troubleshooting steps.”, 0140 “Action and Goals Optimization Engine 350c employs the scores 325a generated by Scoring Engine 350a (among other inputs) to generate actions 322c that facilitate these “win-win” outcomes between homeowners and various providers. For example, the integration of Home Efficiency scores enables “energy utility” providers to better manage energy usage by homeowners (e.g., by offering discounts for lower Home Efficiency scores over time). Similarly, Maintenance scores enable Warranty providers to incentivize more proactive preventive maintenance behavior over time. And Home Reliability scores enable Insurance providers to make much more targeted risk assessments, such as discounts for higher Home Reliability scores over time” 0143-0144). The cited prior art do not teach (e) addressing the one or more conflicts identified during the current iteration by refining at least one of the user goals of the current set of one or more user goals (f) generating revisions to the current set of home system configurations during the current iteration in accordance with the refined set of user goals; and (g) repeating steps (b) through (f) during one or more subsequent iterations, thereby continuously revising home system configurations in accordance with continuously refined user goals. Matsuoka teaches (e) addressing the one or more conflicts identified during the current iteration by refining at least one of the user goals of the current set of one or more user goals (0005 “current application is directed to intelligent controllers that continuously, periodically, or intermittently monitor progress towards one or more control goals under one or more constraints in order to achieve control that satisfies potentially conflicting goals. An intelligent controller may alter aspects of control, dynamically, while the control is being carried out, in order to ensure that goals are obtained and a balance is achieved between potentially conflicting goals. The intelligent controller uses various types of information to determine an initial control strategy as well as to dynamically adjust the control strategy as the control is being carried out”) (f) generating revisions to the current set of home system configurations during the current iteration in accordance with the refined set of user goals (0005 “current application is directed to intelligent controllers that continuously, periodically, or intermittently monitor progress towards one or more control goals under one or more constraints in order to achieve control that satisfies potentially conflicting goals. An intelligent controller may alter aspects of control, dynamically, while the control is being carried out, in order to ensure that goals are obtained and a balance is achieved between potentially conflicting goals. The intelligent controller uses various types of information to determine an initial control strategy as well as to dynamically adjust the control strategy as the control is being carried out”); and (g) repeating steps (b) through (f) during one or more subsequent iterations, thereby continuously revising home system configurations in accordance with continuously refined user goals (0005 “current application is directed to intelligent controllers that continuously, periodically, or intermittently monitor progress towards one or more control goals under one or more constraints in order to achieve control that satisfies potentially conflicting goals. An intelligent controller may alter aspects of control, dynamically, while the control is being carried out, in order to ensure that goals are obtained and a balance is achieved between potentially conflicting goals. The intelligent controller uses various types of information to determine an initial control strategy as well as to dynamically adjust the control strategy as the control is being carried out”). It would have been obvious to one of ordinary skill in the art before the effective filing date of the instant application to have modified the teachings of Linn with the teachings of Matsuoka since Matsuoka teaches that “manufactures, and users of intelligent controllers continue to seek control methods and systems that effectively control systems when two or more control goals may conflict” (0004). Regarding claim 2, the cited prior art teach The method of claim 1. Linn teaches wherein the revisions to the current set of home system configurations include recommending changes to occupant consumption patterns with respect to one or more items of equipment (0016). Regarding claim 3, the cited prior art teach The method of claim 1. Linn teaches wherein the revisions to the current set of home system configurations includes recommending the addition of one or more items of equipment (0016 “also includes a recommendation from its “recommendation database.” Such recommendations include information on cost/energy savings of other comparable appliances, as well as appliance diagnostics and manufacturer-recommended remedial or corrective actions (such as turning an appliance or its circuit on or off)”). Regarding claim 4, the cited prior art teach The method of claim 1. Linn teaches wherein the revisions to the current set of home system configurations include automatically modifying settings of one or more items of equipment (0016 “also includes a recommendation from its “recommendation database.” Such recommendations include information on cost/energy savings of other comparable appliances, as well as appliance diagnostics and manufacturer-recommended remedial or corrective actions (such as turning an appliance or its circuit on or off)”). Regarding claim 5, the cited prior art teach The method of claim 1. Linn teaches wherein the revisions to the current set of home system configurations include issuing an alert to the one or more occupants explaining, and requesting an acceptance or rejection of, the revisions (0016). Claims 6-10 are rejected using similar reasoning as the rejection of claims 1-5 due to reciting similar limitations. Claim(s) 11 is/are rejected under 35 U.S.C. 103 as being unpatentable over Linn (US PUB. 20210312789, herein Linn) in view of Pal et al (US PUB. 20130307702, herein Pal). Regarding claim 11, Linn teaches A method for leveraging smart home technology to shift a homeowner’s energy consumption patterns while complying with a utility provider’s demand-response program without sacrificing comfort, the method including the following steps: (a) monitoring one or more connected devices in the homeowner’s house to determine the homeowner’s energy consumption patterns and threshold comfort levels (0029 “the VFM system expands its iterative troubleshooting approach to align the goals of homeowners and providers. For example, the VFM system generates actions that are optimized to satisfy specified “User Goals” relating to cost, energy efficiency, reliability and a host of other related factors (alone or in combination) as described below. Such actions also take into account the capabilities of particular occupants—e.g., to perform particular tasks themselves rather than requiring help from an external provider.”, 0008);; (c) shifting the homeowner’s energy consumption patterns by turning the one or more connected devices on and off based on the homeowner’s energy consumption patterns and threshold comfort levels (0016 “also includes a recommendation from its “recommendation database.” Such recommendations include information on cost/energy savings of other comparable appliances, as well as appliance diagnostics and manufacturer-recommended remedial or corrective actions (such as turning an appliance or its circuit on or off)”). The cited prior art do not teach (b) enabling the utility provider’s demand-response program to control the one or more connected devices by turning them on and off in accordance with the utility provider’s real-time demand requirements and (d) overriding the utility provider’s attempt to control the one or more connected devices in the event such control would conflict with the homeowner’s threshold comfort levels. Pal teaches (b) enabling the utility provider’s demand-response program to control the one or more connected devices by turning them on and off in accordance with the utility provider’s real-time demand requirements (0060 “he user have the liberty to optimize the energy consumption by monitoring energy consumption of said appliances, regulating energy consumption of the said appliances by budgeting for the said appliances, wherein the said appliances are budgeted on monthly basis or energy tariff, scheduling the said appliances in the lower tariff zone of energy and overriding curtailment initiatives using a web user interface for optimizing the said energy consumption. The user have the liberty to optimize the energy consumption using displayed energy consumption information of household appliances on television (212) through low power and cost effective set top box (STB) (210). The energy consumption data collected through the set top box (STB) (210) also enables an energy provider/non-utility service provider to engage its customers in new ways. Through a web interface, users will be able to monitor their energy consumption, make changes in their usage, or override curtailment initiatives.”) and (d) overriding the utility provider’s attempt to control the one or more connected devices in the event such control would conflict with the homeowner’s threshold comfort levels (0060 “he user have the liberty to optimize the energy consumption by monitoring energy consumption of said appliances, regulating energy consumption of the said appliances by budgeting for the said appliances, wherein the said appliances are budgeted on monthly basis or energy tariff, scheduling the said appliances in the lower tariff zone of energy and overriding curtailment initiatives using a web user interface for optimizing the said energy consumption. The user have the liberty to optimize the energy consumption using displayed energy consumption information of household appliances on television (212) through low power and cost effective set top box (STB) (210). The energy consumption data collected through the set top box (STB) (210) also enables an energy provider/non-utility service provider to engage its customers in new ways. Through a web interface, users will be able to monitor their energy consumption, make changes in their usage, or override curtailment initiatives.”). It would have been obvious to one of ordinary skill in the art before the effective filing date of the instant application to have modified the teachings of Linn with the teachings of Pal since Pal teaches a means for “enable a user to monitor energy consumption of household appliances, regulating energy consumption of the said household appliances and overriding curtailment initiatives using a web user interface for optimizing the said energy consumption of household appliances” (0019). Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to TAMEEM SIDDIQUEE whose telephone number is (571)272-1627. The examiner can normally be reached M-F 8:00-4:00. 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, Kenneth Lo can be reached at (571) 272-9774. 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. /TAMEEM D SIDDIQUEE/ Primary Examiner Art Unit 2116
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Prosecution Timeline

Jan 11, 2024
Application Filed
Apr 13, 2026
Non-Final Rejection mailed — §103 (current)

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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
62%
Grant Probability
99%
With Interview (+37.2%)
3y 2m (~10m remaining)
Median Time to Grant
Low
PTA Risk
Based on 230 resolved cases by this examiner. Grant probability derived from career allowance rate.

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