Prosecution Insights
Last updated: May 29, 2026
Application No. 18/472,988

STORAGE DEVICE DYNAMIC STATE OPTIMIZATION VIA AN APPLICATION-AWARE HOST PROCESS

Non-Final OA §103
Filed
Sep 22, 2023
Examiner
SAIN, GAUTAM
Art Unit
2135
Tech Center
2100 — Computer Architecture & Software
Assignee
DELL PRODUCTS, L.P.
OA Round
4 (Non-Final)
67%
Grant Probability
Favorable
4-5
OA Rounds
7m
Est. Remaining
91%
With Interview

Examiner Intelligence

Grants 67% — above average
67%
Career Allowance Rate
282 granted / 421 resolved
+12.0% vs TC avg
Strong +24% interview lift
Without
With
+24.4%
Interview Lift
resolved cases with interview
Typical timeline
3y 4m
Avg Prosecution
26 currently pending
Career history
455
Total Applications
across all art units

Statute-Specific Performance

§101
1.5%
-38.5% vs TC avg
§103
93.4%
+53.4% vs TC avg
§102
0.7%
-39.3% vs TC avg
§112
4.1%
-35.9% vs TC avg
Black line = Tech Center average estimate • Based on career data from 421 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 . Other References: Blagodurov (US 20180077228) Dynamic Configuration Of Inter-Chip And On-Chip Networks In Cloud Computing System Simionescu (US 20150286438) dynamically configuring operational mode in a storage controller Cariello (US 20200371702) safe mode or other modes can be determined (Fig. 3). Claim Rejections - 35 USC § 103 6. 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. 7. 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. 8. Claims 1-20 are rejected under 35 U.S.C. 103 as being unpatentable over Jung (US 20240168666) and further in view of Wicker (US 10963375) Claim 1. Jung discloses An information handling system comprising: (eg., FIG. 1, a storage system 100, 0029,) a storage device configured to operate in one of a plurality of operating modes (eg., storage device 301 may operate in one of the plurality of operation modes, 0049 Fig. 1); and a host operating system configured to determine (eg., FIGS. 1 and 2, by the mode manager 215 of the host device 200, a selected operation mode may be determined from among a plurality of operation modes of the storage device 301 (S100)… mode manager 215 may determine the selected operation mode, 0043; the selected operation mode may be notified to the storage device 301 , 0044); Jung does not disclose, but Wicker discloses a processor to instantiate a host operating system (eg., col 1:55-65 - distributed system may employ a load balancer to dispatch incoming client requests to a plurality of hosts (e.g., computing instances or servers), and the hosts may process the requests and supply a response to the request. The hosts may perform periodic maintenance operations, such as a garbage collection as a form of automatic memory management.) whether a workload is instantiated on the host operating system, to determine whether the storage device is in a housekeeping operating mode when the workload is not instantiated on the host operating system and to perform a housekeeping operation on the storage device when the storage device is in the housekeeping operating mode, and to direct the storage device to operate in a selected operating mode when the workload is instantiated on the host operating system (eg., col 9:27-32 - the load balancer 414 may direct service requests from clients to the computing instances and may also track maintenance operations for the computing instances and may control when the maintenance operations are performed.; col 10:40-46 - the hosts may request permission from the load balancer before performing the garbage collection operations. The load balancer may notify a host of a time when the host is to perform garbage collection. The load balancer may be allocated a predetermined amount of time for the host to perform the garbage collection. ; col 10:55-58 - After the host has completed the garbage collection operations, the load balancer may resume sending requests to the host ). wherein the storage device is further configured to implement the selected operating mode in response to the direction (eg., col 10:60-62 - After the host has completed the garbage collection operations, the load balancer may resume sending requests to the host.) It would have been obvious to one of ordinary skill in the art prior to the filing date of the claimed invention to modify the system with host and storage device as disclosed by Jung, with Wicker, providing the benefit of manage maintenance operations, such as garbage collection, a cooperative distributed scheduling effort to reduce latency in the distributed system (see Wicker, col 2:4-8) an improved way to manage maintenance operations in a distributed system. For example, rather than making maintenance operations the exclusive domain of a single computing instance on a single host, the technology makes the scheduling of maintenance operations into a cooperative distributed effort (col 2:56-61). Claim 2. Jung discloses wherein the operating state includes a low- power state of the information handling system (eg., by the mode manager 215 of the host device 200, a selected operation mode may be determined from among a plurality of operation modes of the storage device 301 (S100), 0043; operation modes of the storage device may include a normal mode, a read optimized mode, a write optimized mode, a gaming mode, and a power saving mode). Claim 3. Jung discloses wherein the operating modes include a low- input/output operating mode, and wherein, in response to determining that the information handling system is operating in the low-power state, the host operating system is configured to direct the storage device to operate in the low-input/output operating mode (eg., The power saving mode may be an operation mode corresponding to an operation condition suitable for execution of an application program having a significantly low frequency of access to the storage device., 0064; mode manager 215 may determine the selected operation mode by monitoring the input-output type of the storage device 301 or the operation pattern of the storage system 100., 0043). Claim 4. Jung discloses wherein, the operating modes further include a data write optimized mode and a data read optimized mode (eg., modes of the storage device may include a normal mode, a read optimized mode, a write optimized mode, 0064). Claim 5. Jung discloses wherein, in determining the operating state of the information handling system, the host operating system is further configured to determine a ratio of data writes to data reads from a workload instantiated on the information handling system to the storage device (eg., The read optimized mode may be an operation mode corresponding to an operation condition for improving read operation performance rather than write operation performance, and the write optimized mode corresponds to an operation condition for improving write operation performance rather than read operation performance, 0064; a ratio of read commands to write commands.). Claim 6. Jung discloses wherein, when the ratio is greater than a first threshold, the host operating system is further configured to direct the storage device to operate in the data write optimized mode (eg., the write optimized mode corresponds to an operation condition for improving write operation performance rather than read operation performance., 0064). Claim 7. Jung discloses wherein, when the ratio is less than a second threshold, the host operating system is further configured to direct the storage device to operate in the data read optimized mode, wherein the second threshold is lower than the first threshold (eg., the read optimized mode may be an operation mode corresponding to an operation condition for improving read operation performance rather than write operation performance, 0064). Claim 8. Jung discloses wherein, when the ratio is between the first and second threshold, the host operating system is further configured to direct the storage device to operate in a standard operating mode (eg, normal mode may be an operation mode corresponding to the most common operation conditions of a storage system, 0064). Claim 9. Jung discloses wherein the operating modes include a housekeeping operating mode (eg., The power saving mode may be an operation mode corresponding to an operation condition suitable for execution of an application program having a significantly low frequency of access to the storage device., 0064). Claim 10. Jung discloes a storage device driver configured to receive the direction from the host operating system and to provide the direction to the storage device (eg., mode controller MDC of the storage device 1170 may receive the notification of the selected operation mode from the SoC corresponding to the host device and set the operation condition of the storage device 1170 to the selected operation condition corresponding to the selected operation mode., 0170). Claim 11. Jung discloses A method (eg., FIG. 1, a storage system 100, 0029): providing, on an information handling system a storage device configured to operate in one of a plurality of operating modes (eg., storage device 301 may operate in one of the plurality of operation modes, 0049 Fig. 1); and determining, by a host operating system instantiated on the information handling system, whether of the information handling system (eg., 0043 FIG. 5, the mode manager 215 may be a portion of the operating system and the application, and the mode manager 215 may determine the selected operation mode by monitoring the input-output type of the storage device 301 or the operation pattern of the storage system 100.); Jung does not disclose, but Wicker discloses a processor to instantiate a host operating system (eg., col 1:55-65 - distributed system may employ a load balancer to dispatch incoming client requests to a plurality of hosts (e.g., computing instances or servers), and the hosts may process the requests and supply a response to the request. The hosts may perform periodic maintenance operations, such as a garbage collection as a form of automatic memory management.) determining whether the storage device is in a housekeeping operating mode when the workload is not instantiated on the hose operating system and performing a housekeeping operation on the storage device when the storage device is in the housekeeping operating mode; directing the storage device to operate in a selected operating mode when the workload is instantiated on the host operating system (eg., col 9:27-32 - the load balancer 414 may direct service requests from clients to the computing instances and may also track maintenance operations for the computing instances and may control when the maintenance operations are performed.; col 10:40-46 - the hosts may request permission from the load balancer before performing the garbage collection operations. The load balancer may notify a host of a time when the host is to perform garbage collection. The load balancer may be allocated a predetermined amount of time for the host to perform the garbage collection. ; col 10:55-58 - After the host has completed the garbage collection operations, the load balancer may resume sending requests to the host ). implementing, by the storage device, the selected operating mode in response to the direction (eg., col 10:60-62 - After the host has completed the garbage collection operations, the load balancer may resume sending requests to the host.) It would have been obvious to one of ordinary skill in the art prior to the filing date of the claimed invention to modify the system with host and storage device as disclosed by Jung, with Wicker, providing the benefit of manage maintenance operations, such as garbage collection, a cooperative distributed scheduling effort to reduce latency in the distributed system (see Wicker, col 2:4-8) an improved way to manage maintenance operations in a distributed system. For example, rather than making maintenance operations the exclusive domain of a single computing instance on a single host, the technology makes the scheduling of maintenance operations into a cooperative distributed effort (col 2:56-61). Claim 12 is rejected for reasons similar to Claim 2 above. Claim 13 is rejected for reasons similar to Claim 3 above. Claim 14 is rejected for reasons similar to Claim 4 above. Claim 15 is rejected for reasons similar to Claim 5 above. Claim 16 is rejected for reasons similar to Claim 6 above. Claim 17 is rejected for reasons similar to Claim 7 above. Claim 18 is rejected for reasons similar to Claim 8 above. Claim 19 is rejected for reasons similar to Claim 9 above. Claim 20. Jung discloses An information handling system comprising: (eg., FIG. 1, a storage system 100, 0029, a solid state drive (SSD) configured to operate in one of a plurality of operating modes (eg., storage device 301 may operate in one of the plurality of operation modes, 0049 Fig. 1); and a host operating system configured to determine (eg., FIGS. 1 and 2, by the mode manager 215 of the host device 200, a selected operation mode may be determined from among a plurality of operation modes of the storage device 301 (S100)… mode manager 215 may determine the selected operation mode, 0043; the selected operation mode may be notified to the storage device 301 , 0044); Jung does not disclose, but Wicker discloses a processor to instantiate a host operating system (eg., col 1:55-65 - distributed system may employ a load balancer to dispatch incoming client requests to a plurality of hosts (e.g., computing instances or servers), and the hosts may process the requests and supply a response to the request. The hosts may perform periodic maintenance operations, such as a garbage collection as a form of automatic memory management.) whether a workload is instantiated on the host operating system, to determine whether the SSD is in a housekeeping operating mode when the workload is not instantiated on the host operating system and to perform a housekeeping operation on the SSD when the storage device is in the housekeeping operating mode, and to direct the SSD to operate in a selected operating mode when the workload is instantiated on the host operating system (eg., col 9:27-32 - the load balancer 414 may direct service requests from clients to the computing instances and may also track maintenance operations for the computing instances and may control when the maintenance operations are performed.; col 10:40-46 - the hosts may request permission from the load balancer before performing the garbage collection operations. The load balancer may notify a host of a time when the host is to perform garbage collection. The load balancer may be allocated a predetermined amount of time for the host to perform the garbage collection. ; col 10:55-58 - After the host has completed the garbage collection operations, the load balancer may resume sending requests to the host ). wherein the SSD is further configured to implement the selected operating state in response to the direction (eg., col 10:60-62 - After the host has completed the garbage collection operations, the load balancer may resume sending requests to the host.) It would have been obvious to one of ordinary skill in the art prior to the filing date of the claimed invention to modify the system with host and storage device as disclosed by Jung, with Wicker, providing the benefit of manage maintenance operations, such as garbage collection, a cooperative distributed scheduling effort to reduce latency in the distributed system (see Wicker, col 2:4-8) an improved way to manage maintenance operations in a distributed system. For example, rather than making maintenance operations the exclusive domain of a single computing instance on a single host, the technology makes the scheduling of maintenance operations into a cooperative distributed effort (col 2:56-61). Response to Arguments Applicant's arguments filed 11/13/2025 have been fully considered but they are not persuasive. For claims 1, 11 and 20, Applicant argues that that the cited references do not disclose the amended limitations. The Office disagrees. In the present OA, the updated combination of references render the amended limitations as obvious. Specifically, Jung does not disclose, but Wicker discloses a processor to instantiate a host operating system (eg., col 1:55-65 - distributed system may employ a load balancer to dispatch incoming client requests to a plurality of hosts (e.g., computing instances or servers), and the hosts may process the requests and supply a response to the request. The hosts may perform periodic maintenance operations, such as a garbage collection as a form of automatic memory management.) whether a workload is instantiated on the host operating system, to determine whether the storage device is in a housekeeping operating mode when the workload is not instantiated on the host operating system and to perform a housekeeping operation on the storage device when the storage device is in the housekeeping operating mode, and to direct the storage device to operate in a selected operating mode when the workload is instantiated on the host operating system (eg., col 9:27-32 - the load balancer 414 may direct service requests from clients to the computing instances and may also track maintenance operations for the computing instances and may control when the maintenance operations are performed.; col 10:40-46 - the hosts may request permission from the load balancer before performing the garbage collection operations. The load balancer may notify a host of a time when the host is to perform garbage collection. The load balancer may be allocated a predetermined amount of time for the host to perform the garbage collection. ; col 10:55-58 - After the host has completed the garbage collection operations, the load balancer may resume sending requests to the host ). wherein the storage device is further configured to implement the selected operating mode in response to the direction (eg., col 10:60-62 - After the host has completed the garbage collection operations, the load balancer may resume sending requests to the host.) It would have been obvious to one of ordinary skill in the art prior to the filing date of the claimed invention to modify the system with host and storage device as disclosed by Jung, with Wicker, providing the benefit of manage maintenance operations, such as garbage collection, a cooperative distributed scheduling effort to reduce latency in the distributed system (see Wicker, col 2:4-8) an improved way to manage maintenance operations in a distributed system. For example, rather than making maintenance operations the exclusive domain of a single computing instance on a single host, the technology makes the scheduling of maintenance operations into a cooperative distributed effort (col 2:56-61). Applicant’s arguments for dependent claims are based on their respective base independent claims, which are addressed above. Conclusion THIS ACTION IS MADE FINAL. Applicant is reminded of the extension of time policy as set forth in 37 CFR 1.136(a). A shortened statutory period for reply to this final action is set to expire THREE MONTHS from the mailing date of this action. In the event a first reply is filed within TWO MONTHS of the mailing date of this final action and the advisory action is not mailed until after the end of the THREE-MONTH shortened statutory period, then the shortened statutory period will expire on the date the advisory action is mailed, and any nonprovisional extension fee (37 CFR 1.17(a)) pursuant to 37 CFR 1.136(a) will be calculated from the mailing date of the advisory action. In no event, however, will the statutory period for reply expire later than SIX MONTHS from the mailing date of this final action. Any inquiry concerning this communication or earlier communications from the examiner should be directed to GAUTAM SAIN whose telephone number is (571)270-3555. The examiner can normally be reached M-F 9-5. 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, Jared Rutz can be reached at 571-272-5535. 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. /GAUTAM SAIN/Primary Examiner, Art Unit 2135
Read full office action

Prosecution Timeline

Show 3 earlier events
May 13, 2025
Final Rejection mailed — §103
Jun 30, 2025
Response after Non-Final Action
Jul 18, 2025
Request for Continued Examination
Jul 22, 2025
Response after Non-Final Action
Aug 13, 2025
Non-Final Rejection mailed — §103
Nov 13, 2025
Response Filed
Jan 23, 2026
Final Rejection mailed — §103
Feb 04, 2026
Response after Non-Final Action

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Study what changed to get past this examiner. Based on 5 most recent grants.

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Prosecution Projections

4-5
Expected OA Rounds
67%
Grant Probability
91%
With Interview (+24.4%)
3y 4m (~7m remaining)
Median Time to Grant
High
PTA Risk
Based on 421 resolved cases by this examiner. Grant probability derived from career allowance rate.

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