Prosecution Insights
Last updated: September 17, 2026
Application No. 18/699,426

DEVICE FOR INDUCING SLEEP AND METHOD FOR OPERATING SAME

Non-Final OA §103
Filed
Apr 08, 2024
Priority
Oct 15, 2021 — nonprovisional of PCTKR2021014412
Examiner
DIETZ, NOE ROBERT
Art Unit
Tech Center
Assignee
Sleepwave Inc.
OA Round
1 (Non-Final)
0%
Grant Probability
At Risk
1-2
OA Rounds
1y 2m
Est. Remaining
0%
With Interview

Examiner Intelligence

Grants only 0% of cases
0%
Career Allowance Rate
0 granted / 4 resolved
-60.0% vs TC avg
Minimal +0% lift
Without
With
+0.0%
Interview Lift
resolved cases with interview
Typical timeline
3y 7m
Avg Prosecution
40 currently pending
Career history
31
Total Applications
across all art units

Statute-Specific Performance

§101
5.0%
-35.0% vs TC avg
§103
48.5%
+8.5% vs TC avg
§102
27.0%
-13.0% vs TC avg
§112
19.5%
-20.5% vs TC avg
Black line = Tech Center average estimate • Based on career data from 4 resolved cases

Office Action

§103
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 . 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. 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) 16-22, 24-26 is/are rejected under 35 U.S.C. 103 as being unpatentable over US 2017/0041699 hereinafter Mackellar in view of US 2012/0170771 hereinafter Tsai in view of US 8,355,769 hereinafter Levendowski. In regard to Claim 16: Mackellar teaches of a device for inducing sleep, the device comprising: a main body structured to be wearable on a body of a user (Mackellar, Paragraph 82; Figure 4A Item 240); a communication module configured to communicate with an external device (Mackellar, Paragraph 86 & 112; “Output device”); an output module configured to output a synthesized sound source, wherein the synthesized sound source includes a mixing of a first sound source for inducing sleep of the user with a second sound source other than the first sound source (Mackellar, Paragraphs 86 & 116; “speaker”; Item 260); and a controller configured to: control the communication module to transmit the obtained sleep-related signal to the external device (Mackellar, Paragraphs 71 & 86); control the communication module to receive sleep state information of the user from the external device, according to analysis of the sleep-related signal (Mackellar, Paragraph 71); and However, Mackellar does not teach a sensor detachably coupled to the main body and being configured to obtain a sleep- related signal in accordance with contact with a part of the body of the user; and control the output module to output the synthesized sound source by adjusting an output ratio of the first sound source to the second sound source, based on the received sleep state information of the user. Tsai teaches control the output module to output the synthesized sound source by adjusting an output ratio of the first sound source to the second sound source, based on the received sleep state information of the user (Tsai, Abstract). It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to add the adjustment of the output audio taught in Tsai to the system for collecting and processing bioelectrical and audio signals taught in Mackellar, the motivation being to provide real time adjustment to the user’s needs. Levendowski teaches a sensor detachably coupled to the main body and being configured to obtain a sleep- related signal in accordance with contact with a part of the body of the user (Levendowski, Claim 1). It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to add the detachable sensor taught in Levendowski to the system for collecting and processing bioelectrical and audio signals of a modified Mackellar, the motivation being to provide a way to monitor the user in real time. In regard to Claim 17: A modified Mackellar teaches of the device of claim 16, wherein the controller is further configured to: control the output module to output the synthesized sound source by increasing the output ratio of the first sound source to the second sound source at a preset rate (Tsai, Abstract), in response to determining entry into a sleep initiation state based on the sleep state information of the user (Levendowski, Claim 1). In regard to Claim 18: A modified Mackellar teaches of the device of claim 17, wherein the controller is further configured to: control the output module to gradually decrease volume of the second sound source until the volume of the second sound source is off, while the output ratio of the first sound source to the second sound source is gradually increased (Tsai, Abstract). In regard to Claim 19: A modified Mackellar teaches of the device of claim 17, wherein the controller is further configured to: repeatedly communicate with the external device to monitor a sleep state corresponding to a sleep-related signal obtained after the entry into the sleep initiation state (Mackellar, Paragraph 112 & 113); and adjust an increased rate of the output ratio of the first sound source to the second sound source differently, based on updated sleep state information associated with the monitored sleep state (Tsai, Abstract). In regard to Claim 20: A modified Mackellar teaches of the device of claim 16, wherein the controller is further configured to: control the communication module to transmit information related to a user interface configured to determine an initial volume value of the second sound source to the external device, based on the second sound source being selected through the external device (Mackellar, Paragraphs 112 & 113)(Tsai, Abstract; Examiner interprets that the modified device of Mackellar would allow a user to determine the initial volume of the second sound source). In regard to Claim 21: A modified Mackellar teaches of the device of claim 20, wherein the output ratio of the first sound source to the second sound source is determined differently, based on a type of the selected second sound source and an initial volume value of the second sound source, wherein the initial volume value is determined using the user interface (Mackellar Paragraph 38 & 86; “a display”) (Tsai, Abstract). In regard to Claim 22: A modified Mackellar teaches the device of claim 16, wherein the controller is further configured to: control the output module to output a further synthesized sound source for which an output of the second sound source is turned off and an output of the first sound source is gradually reduced for a certain period of time until it is turned off, in response to a sleep stage of the user reaching a preset level or above based on the sleep state information of the user (Mackellar, Paragraph 38)(Tsai, Abstract; Examiner interprets the system to be capable of executing the commands of the current claim). In regard to Claim 24: A modified Mackellar teaches the device of claim 16, wherein the controller is further configured to: maintain the output module in an inactivated state, in response to a sleep stage of the user reaching a preset level or above based on the sleep state information of the user (Mackellar, Paragraph 38 & 71; Tsai, Abstract; Examiner interprets the device of a modified Mackellar to be capable of performing the commands of the claim); and determine a time point when the output module is to be switched to an activated state based on information about an alarm time being received from the external device (Mackellar, Paragraph 38 & 71; Tsai, Abstract; Examiner interprets the device of a modified Mackellar to be capable of performing the commands of the claim). In regard to Claim 25: A modified Mackellar teaches of the device of claim 24, wherein the controller is further configured to: switch the output module to the activated state at the time point determined based on the received information about the alarm time (Mackellar, Paragraph 38 & 71; Tsai, Abstract; Examiner interprets the device of a modified Mackellar to be capable of performing the commands of the claim); and control the output module to output a sound source for inducing wake-up of the user (Mackellar, Paragraph 38 & 71; Tsai, Abstract; Examiner interprets the device of a modified Mackellar to be capable of performing the commands of the claim). In regard to Claim 26: A modified Mackellar teaches of the device of claim 16, wherein the controller is further configured to: collect information regarding a degree of adjustment of the output ratio of the first sound source to the second sound source during a preset period of time (Mackellar, Paragraph 38); and perform learning using the external device to output a further synthesized sound source updated based on the collected information (Mackellar, Paragraph 63; “machine learning”; s160). Claim(s) 23 is/are rejected under 35 U.S.C. 103 as being unpatentable over US 2017/0041699 hereinafter Mackellar in view of US 2012/0170771 hereinafter Tsai in view of US 8,355,769 hereinafter Levendowski in view of US 2019/0224443 hereinafter Jantunen. In regard to Claim 23: A modified Mackellar teaches of the device of claim 16, but does not teach wherein the controller is further configured to: control the output module to output a sound source for inducing improvement of memory, instead outputting the synthesized sound source, while a rapid eye movement (REM) sleep state of the user is monitored based on the sleep state information of the user; and control the output module to output a further synthesized sound source that is synthesized based on the sleep state information of the user, based on the REM sleep state being complete. Jantunen teaches wherein the controller is further configured to: control the output module to output a sound source for inducing improvement of memory (Jantunen, Paragraphs 124), instead outputting the synthesized sound source (Jantunen, Paragraphs 124), while a rapid eye movement (REM) sleep state of the user is monitored based on the sleep state information of the user (Jantunen, Paragraphs 137); and control the output module to output a further synthesized sound source that is synthesized based on the sleep state information of the user, based on the REM sleep state being complete (Jantunen, Paragraphs 137). It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to add the improvement of memory and determination of REM sleep taught to Jantunen to the system for collecting and processing bioelectrical and audio signals of a modified Mackellar, the motivation being to facilitate the user to have a deeper sleep. Claim(s) 27-29 is/are rejected under 35 U.S.C. 103 as being unpatentable over US 2017/0041699 hereinafter Mackellar in view of US 2012/0170771 hereinafter Tsai in view of US 8,355,769 hereinafter Levendowski in view of US 2021/0187296 hereinafter Sharma. In regard to Claim 27: A modified Mackellar teaches the device of claim 16 but does not teach wherein the sensor comprises a wiring structure to facilitate a detachable coupling to the main body and further comprises a plurality of electrodes disposed apart from each other. Sharma teaches wherein the sensor comprises a wiring structure to facilitate a detachable coupling to the main body and further comprises a plurality of electrodes disposed apart from each other (Sharma, Paragraph 42). It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to add the detachable electrodes taught in Sharma to the system for collecting and processing bioelectrical and audio signals of a modified Mackellar, the motivation being to provide an effective connection with the user to read signals from the body. In regard to Claim 28: A modified Mackellar teaches the device of claim 27, wherein at least one of the plurality of electrodes is located to contact an inner ear of the user and comprises conductive silicone material (Sharma, Paragraph 42). In regard to Claim 29: A modified Mackellar teaches the device of claim 27, wherein the communication module is structured to wirelessly transmit and receive signals to and from the external device (Mackellar, Paragraph 112). Claim(s) 30 is/are rejected under 35 U.S.C. 103 as being unpatentable over US 2017/0041699 hereinafter Mackellar in view of US 2012/0170771 hereinafter Tsai in view of US 8,355,769 hereinafter Levendowski in view of US 3,712,292 hereinafter Lafley. In regard to Claim 30: A modified Mackellar teaches the device of claim 27 but does not teach wherein the first sound source comprises at least one of binaural beats, white noise, or rain sound. Lafley teaches wherein the first sound source comprises at least one of binaural beats, white noise, or rain sound (Lafley, Column 6 Lines 15-21). It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to add the sound source being white noise taught by Lafley to the system for collecting and processing bioelectrical and audio signals taught by a modified Mackellar, the motivation being to provide a relaxing noise to the user. Claim(s) 31 & 32 is/are rejected under 35 U.S.C. 103 as being unpatentable over US 2017/0041699 hereinafter Mackellar in view of US 2012/0170771 hereinafter Tsai. In regard to claim 31: Mackellar teaches of a method of operating a device for inducing sleep, wherein the device is configured to be wearable on a body of a user, the method comprising: obtaining a sleep-related signal in accordance with contact with a part of the body of the user (Mackellar, Paragraph 25, 28, & 30); outputting a synthesized sound source, wherein the synthesized sound source includes a mixing of a first sound source for inducing sleep of the user with a second sound source other than the first sound source (Mackellar, Paragraph 86; Tsai, Abstract); transmitting the obtained sleep-related signal to an external device (Mackellar, Paragraph 112); receiving sleep state information of the user from the external device, according to analysis of the sleep-related signal (Mackellar, Paragraph 112); and However, Mackellar does not teach outputting the synthesized sound source by adjusting an output ratio of the first sound source to the second sound source, based on the received sleep state information of the user. Tsai teaches outputting the synthesized sound source by adjusting an output ratio of the first sound source to the second sound source, based on the received sleep state information of the user (Tsai, Abstract). It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to add the adjusting of an output ratio taught in Tsai to the system for collecting and processing bioelectrical and audio signals of a modified Mackellar, the motivation being to provide real time adjustment to the user’s needs. In regard to Claim 32: Mackellar teaches of anon-transitory computer readable medium having instructions stored thereon for execution by a processor to perform: obtaining a sleep-related signal in accordance with contact with a part of the body of the user (Mackellar, Paragraph 25, 28, & 30); outputting a synthesized sound source, wherein the synthesized sound source includes a mixing of a first sound source for inducing sleep of the user with a second sound source other than the first sound source (Mackellar, Paragraph 86; Tsai, Abstract); transmitting the obtained sleep-related signal to an external device (Mackellar, Paragraph 112); receiving sleep state information of the user from the external device, according to analysis of the sleep-related signal (Mackellar, Paragraph 112); and However, Mackellar does not teach outputting the synthesized sound source by adjusting an output ratio of the first sound source to the second sound source, based on the received sleep state information of the user. Tsai teaches outputting the synthesized sound source by adjusting an output ratio of the first sound source to the second sound source, based on the received sleep state information of the user (Tsai, Abstract). It would have been obvious to one of ordinary skill in the art before the effective filing date of the invention to add the adjusting of an output ratio taught in Tsai to the system for collecting and processing bioelectrical and audio signals, the motivation being to provide real time adjustment to the user’s needs. Conclusion Any inquiry concerning this communication or earlier communications from the examiner should be directed to NOE R DIETZ whose telephone number is (571)272-1135. The examiner can normally be reached Mon-Fri 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, Alexander Valvis can be reached at (571)-272-4233. 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. /N.R.D./Patent Examiner, Art Unit 3791 /ALEX M VALVIS/Supervisory Patent Examiner, Art Unit 3791
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Prosecution Timeline

Apr 08, 2024
Application Filed
Aug 28, 2026
Non-Final Rejection mailed — §103 (current)

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Prosecution Projections

1-2
Expected OA Rounds
0%
Grant Probability
0%
With Interview (+0.0%)
3y 7m (~1y 2m remaining)
Median Time to Grant
Low
PTA Risk
Based on 4 resolved cases by this examiner. Grant probability derived from career allowance rate.

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