Prosecution Insights
Last updated: April 19, 2026
Application No. 18/423,212

SLEEP STATE MONITORING EARPLUG

Non-Final OA §103§112
Filed
Jan 25, 2024
Examiner
WU, TONG E
Art Unit
3796
Tech Center
3700 — Mechanical Engineering & Manufacturing
Assignee
Shunsin Technology (Zhong Shan) Limited
OA Round
1 (Non-Final)
70%
Grant Probability
Favorable
1-2
OA Rounds
3y 0m
To Grant
86%
With Interview

Examiner Intelligence

Grants 70% — above average
70%
Career Allow Rate
447 granted / 640 resolved
At TC average
Strong +16% interview lift
Without
With
+16.5%
Interview Lift
resolved cases with interview
Typical timeline
3y 0m
Avg Prosecution
36 currently pending
Career history
676
Total Applications
across all art units

Statute-Specific Performance

§101
3.7%
-36.3% vs TC avg
§103
36.5%
-3.5% vs TC avg
§102
20.6%
-19.4% vs TC avg
§112
24.1%
-15.9% vs TC avg
Black line = Tech Center average estimate • Based on career data from 640 resolved cases

Office Action

§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 . Priority Receipt is acknowledged of certified copies of papers required by 37 CFR 1.55. 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 7 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 7, line 3: “the third blood oxygen threshold” lacks proper antecedent. 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 Chou (US 2022/0218293) in view of Hood (US 2015/0136146). PNG media_image1.png 215 176 media_image1.png Greyscale Regarding claim 1, Chou discloses substantially the same invention as claimed (Figure 9A shown above for example), including a sleep state monitoring earplug wearable in an ear canal of a user (abstract; Figure 9A), the sleep state monitoring earplug comprising: a main body (Figure 9A); and a detection module inside the main body (abstract), the detection module comprising: a processing unit (Figure 1); a respiratory detection unit connected to the processing unit and configured to generate respiratory rate information to the processing unit (Paragraphs 91-92); and an alert unit connected to the processing unit and configured to generate a warning signal if the respiratory rate information meets a respiratory threshold, and the alert unit to issue a warning according to the warning signal (Paragraph 95). Further regarding claim 1, Chou discloses alerting to stop a sleep apnea event (Paragraph 95), but does not specifically disclose the respiratory rate lower than a threshold. However, Hood teaches determining if a respiratory rate is lower than a threshold (Paragraph 74), in order to identify a sleep apnea event. Therefore, it would have been obvious to one with ordinary skill in the art before the effective filing date of the claimed invention to modify Chou as taught by Hood to include determining if a respiratory rate is lower than a threshold, in order to identify a sleep apnea event. Regarding claim 2, Chou discloses blood oxygen and pulse rate information (Paragraphs 91, 92) and a communication unit as recited (Paragraphs 63, 175). Regarding claim 3, Chou discloses transmitting a notification to an external device as recited (Paragraph 115). Regarding claims 4-5, Chou discloses an orientation detection unit (Paragraph 46), determining sensed information is outside a second range based on the angle information (Paragraph 20), and communicating a second notification as recited (Paragraph 115). Regarding claim 6, Chou discloses different thresholds for different positions (Paragraph 20), but does not specifically disclose certain thresholds being higher/lower or wider/narrower. However, Hood teaches a patient may be at higher risk (e.g. narrower threshold) in certain positions, including when respiratory rate is evaluated (Paragraph 84). Therefore, it would have been obvious to one with ordinary skill in the art before the effective filing date of the claimed invention to modify Chou as taught by Hood to include at least a narrower threshold for respiratory rate, in order to adapt different thresholds for high risk positions. Regarding claim 7, the sleep apnea detection of Hood can further include blood oxygen lower than a threshold as recited (Paragraph 74). Regarding claim 8, Chou teaches a sound unit as recited (Paragraph 60). Regarding claim 9, Chou teaches a microphone for respiratory detection (Paragraph 234). Regarding claim 10, Chou discloses a battery (Paragraph 64). Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. Ayers (US 2022/0096002) shows an earpiece for monitoring sleep apnea. Dugan (US 2021/0077010) shows different positions may be associated with higher/lower blood oxygen levels. Any inquiry concerning this communication or earlier communications from the examiner should be directed to Eugene T Wu whose telephone number is (571)270-5053. The examiner can normally be reached M-F 8am-5pm. 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, Carl Layno can be reached at 571-272-4949. 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. /Eugene T Wu/Primary Examiner, Art Unit 3796
Read full office action

Prosecution Timeline

Jan 25, 2024
Application Filed
Jan 09, 2026
Non-Final Rejection — §103, §112 (current)

Precedent Cases

Applications granted by this same examiner with similar technology

Patent 12589243
OCULAR DEVICES AND CONTROLLER INTERFACES FOR OCULAR THERAPY
2y 5m to grant Granted Mar 31, 2026
Patent 12558535
ADAPTIVE DEEP BRAIN STIMULATION USING MOVEMENT DESYNCHRONIZATION
2y 5m to grant Granted Feb 24, 2026
Patent 12558035
SYSTEMS FOR DETECTING FIT OF A WEARABLE DEVICE ON A USER BY MEASURING THE CURRENT DRAW TO AMPLIFY A BIOPOTENTIAL SIGNAL SENSOR AND METHOD OF USE THEREOF
2y 5m to grant Granted Feb 24, 2026
Patent 12551106
AUTOMATED DEVICE PAIRING USING BIOMETRIC IDENTIFIER
2y 5m to grant Granted Feb 17, 2026
Patent 12551167
TECHNIQUES FOR ADAPTIVE SENSORS OF A WEARABLE DEVICE
2y 5m to grant Granted Feb 17, 2026
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
70%
Grant Probability
86%
With Interview (+16.5%)
3y 0m
Median Time to Grant
Low
PTA Risk
Based on 640 resolved cases by this examiner. Grant probability derived from career allow rate.

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