Nos. 2022-1974, 2023-1101
United States Court of Appeals
for the Federal Circuit

ECOFACTOR, INC.,
v.
GOOGLE LLC,
Defendant-Cross-Appellant.
____________
On Appeal from the United States District Court Western District of Texas
Case No. 6:20-cv-00075-ADA, Judge Alan D. Albright
____________
NON-CONFIDENTIAL JOINT APPENDIX
____________

Plaintiff-Appellant,

Reza Mirzaie
rmirzaie@raklaw.com
Marc A. Fenster
mfenster@raklaw.com
James N. Pickens
jpickens@raklaw.com
Minna Y. Chan
mchan@raklaw.com
Kristopher R. Davis
kdavis@raklaw.com
RUSS AUGUST & KABAT
12424 Wilshire Blvd.,12th Floor
Los Angeles, CA 90025
Tel: (310) 826-7474
Fax: (310) 826-6991
Attorneys for Plaintiff-Appellant
EcoFactor, Inc.

Robert A. Van Nest
rvannest@keker.com
Leo L. Lam
llam@keker.com
Eugene M. Paige
epaige@keker.com
R. Adam Lauridsen
alauridsen@keker.com
Keker, Van Nest & Peters LLP
633 Battery Street
San Francisco, CA 94111
Tel: (415) 391-5400
Attorneys for Defendant-Cross
Appellant Google LLC

May 9, 2023Docket
No.
244
209
215
N/A
N/A
N/A
N/A
N/A

111

111-5

APPENDIX TABLE OF CONTENTS
EcoFactor, Inc. v. Google LLC
Nos. 2022-1974, 2023-1101
Materials Required Pursuant to Fed. Cir. R. 25.1(e)(1)(b)
Description
Final Judgment, entered on May 26, 2022
Final Jury Instructions, entered on February 10, 2022
Jury Verdict, entered on February 10, 2022
U.S. Patent No. 8,180,492
U.S. Patent No. 8,412,488
U.S. Patent No. 8,738,327
U.S. Patent No. 10,534,382
Docket Sheet

Appx
Appx1-Appx2
Appx3-Appx43
Appx44-Appx51
Appx52-Appx66
Appx67-Appx84
Appx85-Appx102
Appx103-Appx121
Appx122-Appx161

Record
Excerpts from Defendants’ Joint Motion for Summary

Appx1134;

Judgment of Subject Matter Ineligibity Under 35 U.S.C § Appx1140;

Appx1142-Appx1144;
Appx1151;
Appx1154;
Appx1161-Appx1168;
Appx1170-Appx1176

101

Excerpts from Exhibit 4 to Defendants’ Joint Motion for
Summary Judgment of Subject Matter Ineligibity Under
35 U.S.C § 101 – Scott Hublou Deposition Excerpts,
August 10, 2021Appx1177-Appx1183

111-6 Exhibit 5 to Defendants’ Joint Motion for Summary
Judgment of Subject Matter Ineligibity Under 35 U.S.C §
101 – John A. Palmer Deposition Excerpts, November 8,
2021
111-8 Exhibit 7 to Defendants’ Joint Motion for Summary
Judgment of Subject Matter Ineligibity Under 35 U.S.C §
101 – Excerpts from Expert Report of Erik de la Iglesia
regarding Infringement by Google, September 27, 2021
114-2 [Sealed] Excerpts of Exhibit 1 to Google LLC’s Opposed Appx1194-Appx1201;
Motion to Exclude Expert Testimony of David Kennedy Appx1244-Appx1248;

Appx1189-Appx1193

Appx1258-Appx1259;
Appx1275-Appx1279

Corrected Expert Report of Mr. David Kennedy,
November 1, 2021

114-8 [Sealed] Exhibit 7 to Google LLC’s Opposed Motion to Appx1604-Appx1608
Exclude Expert Testimony of David Kennedy – Shayan
Habib Deposition Excerpts, September 16, 2021
114-11 [Sealed] Exhibit 10 to Google LLC’s Opposed Motion to Appx1617-Appx1619
Exclude Expert Testimony of David Kennedy Email
from Reza Mirzaie to Max Grant, April 12, 2020
(ECODCT_0029377-378)
115 [Sealed] Google’s Motion for Summary Judgment of
Invalidity of U.S. Patent No. 8,412,488, filed on
November 19, 2021
115-2 [Sealed] Exhibit A to Google’s Motion for Summary
Judgment of Invalidity of U.S. Patent No. 8,412,488-
Scott Hublou Deposition Excerpts, Inv. No. 337-TA-125,
August 10, 2021
115-3 [Sealed] Exhibit B to Google’s Motion for Summary
Judgment of Invalidity of U.S. Patent No. 8,412,488 –
Excerpts from Opening Expert Report of David H.
Willaims regarding Invalidity of U.S. Patent Nos.
8,412,488, 8,738,327, and 10,534,382, September 27,
2021

Appx1645-Appx1662

Appx1663-Appx1673

Appx1674-Appx1682115-4 [Sealed] Exhibit C to Google’s Motion for Summary
Judgment of Invalidity of U.S. Patent No. 8,412,488–
Excerpts from the Expert Report of John A. Palmer,
Ph.D. Regarding Invalidity, October 22, 2021
115-5 [Sealed] Exhibit D to Google’s Motion for Summary
Judgment of Invalidity of U.S. Patent No. 8,412,488–
John Palmer Deposition Excerpts, November 8, 2021
115-6 [Sealed] Exhibit E to Google’s Motion for Summary
Judgment of Invalidity of U.S. Patent No. 8,412,488 –
Erik de la Igelsia Deposition Excerpts, October 29, 2021
Excerpt from [Sealed] Exhibit 5 – Palmer Report
Excerpt

Appx1683-Appx1690

Appx1691-Appx1696

Appx1697-Appx1703

Appx1771-Appx1772;
Appx1776-Appx1777

Excerpt from [Sealed] Exhibit 6 – Hublou Transcript Appx1778-Appx1782;

Appx1800-Appx1802;
Appx1804
Appx1876;
Appx1881-Appx1898
Appx1901-
Appx1902;

Excerpts
134 Excerpt from [Sealed] Plaintiff’s Opposition to
Defendant’s Joint Motion for Summary Judgment of
Subject Matter Ineligibility Under 35 U.S.C. § 101
134-2 Excerpt from Exhibit A to Plaintiff’s Opposition to
Defendant’s Joint Motion for Summary Judgment of

Subject Matter Ineligibility Under 35 U.S.C. § 101 – ITC Appx1916-Appx1926
Inv. No. 337-TA-1185 Public Initial Determination
169 Proposed Joint Pre-Trial Order, filed on January 7, 2022 Appx2168;
Appx2200-Appx2201
Appx2208-Appx2209
Appx2210;
Appx2242-Appx2243

[Sealed] Exhibit A-4 – EcoFactor Physical Exhibit

List
177 Excerpt from Pre-Trial Order, entered on January 14,
2022186 Joint Statement Regarding Claim Construction, January Appx2250-Appx2253
26, 2022
192 Excerpt from [Sealed] Omnibus Order Regarding Pretrial Appx2254
Motions (Dkts. 109, 111, 113, 114, 115, 116, 117, 151,
and 153)
211 Excerpt from [Sealed] Jury Note 2
212 Excerpt from [Sealed] Jury Note 3
281 Google’s Notice of Cross-Appeal of Final Judgment,
filed on October 21, 2022
Excerpts from [Sealed] Pre-Trial Conference Transcript, Appx5016-Appx5017;

Appx2262
Appx2264
Appx2280-Appx2281

Appx5029-Appx5047;
Appx5112-Appx5114;
Appx5132-Appx5136
Appx5137-Appx5138;
Appx5320-Appx5322;
Appx5331-Appx5337;
Appx5344-Appx5347;
Appx5349-Appx5354;
Appx5357-Appx5364;
Appx5389-Appx5392;
Appx5395-Appx5399;
Appx5401-Appx5404;
Appx5410
Appx5411-Appx5412;
Appx5453-Appx5469;
Appx5531-Appx5546;
Appx5554-Appx5559;
Appx5561-Appx5583;
Appx5595-Appx5601;
Appx5618-Appx5621;
Appx5627-Appx5632;
Appx5639-Appx5642;
Appx5644

dated January 25, 2022

Excerpts from [Sealed] Trial Transcript, Day 1, dated
January 31, 2022

Excerpts from [Sealed] Trial Transcript, Day 2, dated
February 1, 2022Excerpts from [Sealed] Trial Transcript, Day 3, dated
February 2, 2022

Excerpts from [Sealed] Trial Transcript, Day 4, dated
February 7, 2022

Appx5645-Appx5646;
Appx5656-Appx5658;
Appx5666-Appx5683;
Appx5690-Appx5692;
Appx5694-Appx5699;
Appx5709-Appx5721;
Appx5732-Appx5734;
Appx5739-Appx5741;
Appx5743-Appx5747;
Appx5754-Appx5783;
Appx5793-Appx5799;
Appx5801-Appx5807;
Appx5809-Appx5814;
Appx5816-Appx5825;
Appx5830-Appx5833;
Appx5840-Appx5851;
Appx5865-Appx5869;
Appx5890-Appx5954;
Appx5957-Appx5959;
Appx5963
Appx5964-Appx5965;
Appx5999-Appx6002;
Appx6004-Appx6007;
Appx6053-Appx6059;
Appx6077-Appx6131;
Appx6148-Appx6162;
Appx6166-Appx6169;
Appx6217-Appx6232;
Appx6234Appx6235-Appx6236;
Appx6250-Appx6259;
Appx6265-Appx6266
Appx6267-Appx6271;
Appx6275-Appx6281;
Appx6284-Appx6287;
Appx6309-Appx6311;
Appx6343-Appx6345;
Appx6372-Appx6379;
Appx6387-Appx6395;
Appx6415-Appx6418;
Appx6424-Appx6437;
Appx6448-Appx6452;
Appx6471-Appx6475;
Appx6512
Appx6513-Appx6514;
Appx6519-Appx6521;
Appx6524-Appx6527;
Appx6531-Appx6533;
Appx6543-Appx6546;
Appx6568-Appx6586;
Appx6589
Excerpts from [Sealed] Motion Hearing Transcript, dated Appx6599;

Excerpts from [Sealed] Trial Transcript, Day 5, dated
February 8, 2022

Excerpts from [Sealed] Trial Transcript, Day 6, dated
February 9, 2022

Appx6661-Appx6663;
Appx6687-Appx6689;
Appx6691
36 Defendants’ Responsive Claim Construction Brief, filed Appx6721;

September 27, 2022

Appx6732;
Appx6734-Appx6735
Appx6750; Appx6752
Appx10106-

on October 27, 2020
40 Joint Claim Construction Statement
DTX-0219 – U.S. Patent Application Publication

2004/0117330 (“Ehlers”) (DC_PRIOR_ART_0000403) Appx10155

[Sealed] DTX-0665 – Energy Intelligence (GOOG
ITC1258-00162068)

Appx10181-
Appx10272Appx10273
Appx10274
Appx10275
Appx10279-
Appx10281;
Appx10291-
Appx10295
[Sealed] PTX-0096 – EcoFactor PowerPoint Presentation Appx10350-

DPX-1 – Photo of Nest Thermostat
DPX-2 – Photo of Nest Learning Thermostat
DPX-3 – Photo of Nest Thermostat E
Excerpt from [Sealed] PTX-0083 - – Google Utility
Zirconium Conjoint Findings (GOOG-ECOF-WDTX
00170017)

Appx10363
Appx10364;

(GOOG-ECOF-WDTX1-00000004)
Excerpt from [Sealed] PTX-0097 – EcoFactor

Intellectual Property (GOOG-ECOF-WDTX1-00000085) Appx10367

[Sealed] PTX-0256 – ECODCT_0001217
[Sealed] PTX-0257 – ECODCT_0001228
[Sealed] PTX-0258 – ECODCT_0001239
PTX-0281 – Nest Thermostat Guide (EF_0895825)
Excerpt from [Sealed] PTX-0298 – Nest State of
Business (GOOG-ECOF-WDTX-00111086)

Appx10389-
Appx10399
Appx10400-
Appx10410
Appx10411-
Appx10419
Appx10420-
Appx10434
Appx10439;
Appx10467

Excerpt from [Sealed] PTX-0315 – Zirconium Functional Appx10760;

Appx10765
Appx10797-
Appx10799
Appx10802-
Appx10804

Spec – HVAC Features dated April 25, 2020 (GOOG
ITC1258-00117926)
Excerpt from [Sealed] PTX-0594 – Email from Indranil
(Indy) Mukerji to Reza Mirzaie (ECODCT_0229453)
[Sealed] PTX-0915 – Habib Emails (EF_0663676)Appx10807-
Appx10809
Appx10819-

[Sealed] PTX-0919 – Emails Re EcoFactor (GOOG
ECOF-WDTX1-00000177)
[Sealed] PTX-0928 -- Remote Optimization of HVAC

for Efficiency and Demand Response: 2007-2008 Global Appx10881
Field Trial Results of EcoFactor’s Integrated Demand
Side Management solution
Excerpt from PTX-0929 – Sensors in Google Nest
devices
[Sealed] DTX-0171—Redacted email from Scott
McGaraghan
[Sealed] DTX-0287--Email from Danel Dayan to Nik
Sathe re: EcoFactor M&A Opportunity
Excerpt from PTX-0263 – Behind the scenes with the
new Nest Thermostat

Appx10882;
Appx10888
Appx10890
Appx10891
Appx10892;
Appx10894

CONFIDENTIAL MATERIAL OMITTED
Pursuant to Federal Circuit Rule 25.1(e)(1)(B), the material redacted from this Joint
Appendix is subject to a protective order. The following pages contain confidential
information relating to the technical operation of Google’s accused products and
confidential financial and licensing information of Google, EcoFactor, and third
parties. These materials have been designated as confidential under the Protective
Order entered in the litigation below.
Appx1194-Appx1201; Appx1244-Appx1248; Appx1258-Appx1259; Appx1275-
Appx1279; Appx1604-Appx1608; Appx1617-Appx1619; Appx1645-Appx1662;
Appx1663-Appx1673; Appx1674-Appx1682; Appx1683-Appx1690; Appx1691-
Appx1696; Appx1697-Appx1703; Appx1771-Appx1772; Appx1776-Appx1777;
Appx1778-Appx1782; Appx1800-Appx1802; Appx1804; Appx1876; Appx1881-
Appx1898; Appx2262; Appx2264; Appx5016-Appx5017; Appx5029-Appx5047;
Appx5112-Appx5114; Appx5132-Appx5136; Appx5137-Appx5138; Appx5320-
Appx5322; Appx5331-Appx5337; Appx5344-Appx5347; Appx5349-Appx5354;
Appx5357-Appx5364; Appx5389-Appx5392; Appx5395-Appx5399; Appx5401-
viiiAppx5404; Appx5410; Appx5411-Appx5412; Appx5453-Appx5469; Appx5531-
Appx5546; Appx5554-Appx5559; Appx5561-Appx5583; Appx5595-Appx5601;
Appx5618-Appx5621; Appx5627-Appx5632; Appx5639-Appx5642; Appx5644;
Appx5645-Appx5646; Appx5656-Appx5658; Appx5666-Appx5683; Appx5690-
Appx5692; Appx5694-Appx5699; Appx5709-Appx5721; Appx5732-Appx5734;
Appx5739-Appx5741; Appx5743-Appx5747; Appx5754-Appx5783; Appx5793-
Appx5799; Appx5801-Appx5807; Appx5809-Appx5814; Appx5816-Appx5825;
Appx5830-Appx5833; Appx5840-Appx5851; Appx5865-Appx5869; Appx5890-
Appx5954; Appx5957-Appx5959; Appx5963; Appx5964-Appx5965; Appx5999-
Appx6002; Appx6004-Appx6007; Appx6053-Appx6059; Appx6077-Appx6131;
Appx6148-Appx6162; Appx6166-Appx6169; Appx6217-Appx6232; Appx6234;
Appx6235-Appx6236; Appx6250-Appx6259; Appx6265-Appx6266; Appx6267-
Appx6271; Appx6275-Appx6281; Appx6284-Appx6287; Appx6309-Appx6311;
Appx6343-Appx6345; Appx6372-Appx6379; Appx6387-Appx6395; Appx6415-
Appx6418; Appx6424-Appx6437; Appx6448-Appx6452; Appx6471-Appx6475;
Appx6512; Appx6513-Appx6514; Appx6519-Appx6521; Appx6524-Appx6527;
Appx6531-Appx6533; Appx6543-Appx6546; Appx6568-Appx6586; Appx6589;
Appx6599; Appx6661-Appx6663; Appx6687-Appx6689; Appx6691; Appx10181-
Appx10272; Appx10279-Appx10281; Appx10291-Appx10295; Appx10350-
Appx10363; Appx10364; Appx10367; Appx10389-Appx10399; Appx10400-
Appx10410; Appx10411-Appx10419; Appx10439; Appx10467; Appx10760;
Appx10765; Appx10797-Appx10799; Appx10802-Appx10804; Appx10807-
Appx10809; Appx10819-Appx10881; Appx10890; and Appx10891.UNITED STATES DISTRICT COURT
FOR THE WESTERN DISTRICT OF TEXAS
WACO DIVISION

ECOFACTOR, INC.,
Plaintiff,

v.
GOOGLE LLC,

Case No. 6:20-cv-00075-ADA
JURY TRIAL DEMANDED

Defendant.

ECOFACTOR, INC.,
Plaintiff,

v.
ECOBEE, INC.,

Case No. 6:20-cv-00078-ADA
JURY TRIAL DEMANDED

Defendant.

ECOFACTOR, INC.,
Plaintiff,

v.
VIVINT, INC.,

Case No. 6:20-cv-00080-ADA
JURY TRIAL DEMANDED

Defendant.

PROTECTIVE ORDER
WHEREAS, documents and information may be sought, produced or exhibited by and
among the parties to the above captioned proceeding, which materials relate to trade secrets or
other confidential research, development or commercial information;
IT IS HEREBY ORDERED THAT:1. Confidential business information is information which has not been made public
and which concerns or relates to the trade secrets, processes, operations, style of work, or
apparatus, or to the production, sales, shipments, purchases, transfers, identification of customers,
inventories, amount or source of any income, profits, losses, or expenditures of any person, firm,
partnership, corporation, or other organization, the disclosure of which information is likely to
have the effect of either (i) impairing the Court’s ability to obtain such information as is necessary
to perform its functions; or (ii) causing substantial harm to the competitive position of the person,
firm, partnership, corporation, or other organization from which the information was obtained,
unless the Court is required by law to disclose such information.
2. (a) Any information submitted, in pretrial discovery or in a pleading, motion, or
response to a motion either voluntarily or pursuant to order, in this litigation, which is asserted by
a supplier to contain or constitute confidential business information shall be so designated by such
supplier in writing, or orally at a deposition, conference or hearing, and shall be segregated from
other information being submitted. Documents shall be clearly and prominently marked on their
face with the legends: “CONFIDENTIAL,” “RESTRICTED – ATTORNEYS’ EYES ONLY,” or
“RESTRICTED – CONFIDENTIAL SOURCE CODE.” Except for paragraph 3, every provision
of the Protective Order shall apply equally to the designations of “CONFIDENTIAL” and
“RESTRICTED – ATTORNEYS’ EYES ONLY.” For avoidance of doubt, any paragraph (except
paragraph 3) discussing or referring to “RESTRICTED – ATTORNEYS’ EYES ONLY” is
expressly incorporated by reference to apply to the “CONFIDENTIAL” designation. With regards
to paragraph 3, paragraph 3(a) shall apply to the designation of “RESTRICTED – ATTORNEYS’
EYES ONLY” and paragraph 3(b) shall apply to the paragraph of “CONFIDENTIAL”
(collectively referred to herein as “Protected Material”).
2
ii(b) The Court may determine that information alleged to be confidential is not
confidential, or that its disclosure is necessary for the proper disposition of the proceeding, before,
during, or after the close of a trial herein. If such a determination is made by the Court, opportunity
shall be provided to the supplier of such information to argue its confidentiality prior to the time
of such ruling.
3. (a) In the absence of written permission from the supplier or an order by the Court,
any confidential documents or business information designated “RESTRICTED – ATTORNEYS’
EYES ONLY” submitted in accordance with the provisions of paragraph 2 above shall not be
disclosed to any person other than:
(i) outside counsel for parties to this litigation, including necessary secretarial and support
personnel assisting such counsel;
(ii) qualified persons taking testimony involving such documents or information and
necessary stenographic and clerical personnel thereof;
(iii) technical experts and their staff who are employed for the purposes of this litigation to
the extent that the technical experts and their staff have agreed to be bound by the
provisions of the Protective Order by signing a copy of Attachment A;
(iv) independent litigation support services, including persons working for or as: court
reporters; graphics or design services; jury or trial consulting services; and photocopy;
document imaging; and litigation support or database services retained by counsel and
reasonably necessary to assist counsel with the litigation of this Action; and
(iv) the Court, the Court staff, and personnel of the Court.
(b) In the absence of written permission from the supplier or an order by the Court,
any confidential documents or business information designated “CONFIDENTIAL” submitted inaccordance with the provisions of paragraph 2 above shall not be disclosed to any person other
than:

(i) all persons identified in paragraph 3(a); and
(ii) up to three (3) in-house counsel for the opposing receiving party, to whom disclosure
is reasonably necessary for the management, supervision, and oversight of the litigation, provided
that each such person (1) is employed by the opposing receiving party and/or a parent corporation
thereof that has been disclosed in this litigation under Federal Rule of Civil Procedure 7.1 and (2)
has agreed to be bound by the provisions of the Protective Order by signing a copy of Attachment
A; (3) is not involved in any other licensing negotiations or legal proceedings against any
defendant; and (4) agrees not to participate in any other licensing negotiations or legal proceedings
against any Defendant for five (5) years from the first date on which the person receives
confidential documents or business information designated as CONFIDENTIAL. These
provisions for in-house counsel shall not restrict or apply to disclosures between Defendants.
4. If the Court orders, or if the supplier and all parties to the litigation agree, that
access to, or dissemination of information submitted as confidential business information shall be
made to persons not included in paragraph 3 above, such matter shall only be accessible to, or
disseminated to, such persons based upon the conditions pertaining to, and obligations arising from
this order, and such persons shall be considered subject to it, unless the Court finds that the
information is not confidential business information as defined in paragraph 1 hereof.
5. To the extent that any one Defendant in these above-captioned cases provides
Protected Material under the terms of this Order to Plaintiff, Plaintiff shall not share that material
with the other Defendants in this litigation, absent express written permission from the producing
Defendant, excepting instances where there is a reasonable belief that such other Defendantpreviously possessed or had access to such information in the ordinary course of business. This
Order does not confer any right to any one Defendant to access the Protected Material of any other
Defendant.
6. No Defendant is required to produce its Protected Material to any other Defendant
or Defendants in these above-captioned cases, but nothing in this Order shall preclude such
production. Notwithstanding the provisions of this Order, Plaintiff shall not disclose one
Defendant’s Protected Material to any other Defendant or Defendants through Court filings, oral
argument in Court, expert reports, deposition, discovery requests, discovery responses, or any
other means, without the express prior written consent of the Defendant that produced the
Protected Material, excepting instances where there is a reasonable belief that such other
Defendant previously possessed or had access to such information.
7. Any confidential business information submitted to the Court in connection with a
motion or other proceeding within the purview of this litigation shall be filed under seal pursuant
to paragraph 2 above.
8. The restrictions upon, and obligations accruing to, persons who become subject to
this order shall not apply to any information submitted in accordance with paragraph 2 above to
which the person asserting the confidential status thereof agrees in writing, or the Court rules, after
an opportunity for hearing, was publicly known at the time it was supplied to the receiving party
or has since become publicly known through no fault of the receiving party.
9. (a) Whenever a deposition taken on behalf of any party involves a disclosure of
confidential business information of any party, the deposition or portions of the deposition must
be designated as containing confidential business information subject to the provisions of this
Order. Such designation must be made on the record whenever possible, but a party may designate
5
vportions of depositions as containing confidential business information after transcription of the
proceedings. A party will have up to twenty-one (21) days after receipt of the deposition transcript
to inform the other party or parties to the action of the portions of the transcript to be designated
“CONFIDENTIAL” or “RESTRICTED – ATTORNEYS’ EYES ONLY.” Any transcript that is
prepared before the expiration of the 21-day period for designation shall be treated during that
period as if it had been designated “RESTRICTED – ATTORNEYS’ EYES ONLY” in its entirety
unless otherwise agreed. After the expiration of that period, the transcript shall be treated only as
actually designated.

(b) a party will have the right to exclude from attendance at the deposition, during
such time as the confidential business information is to be disclosed, any person other than the
deponent and those entitled to receive confidential business information provided in paragraph 3.
(c) the originals of the deposition transcripts and all copies of the deposition must
bear the legend “CONFIDENTIAL” or “RESTRICTED – ATTORNEYS’ EYES ONLY,” as
appropriate, and the original or any copy ultimately presented to a court for filing must not be filed
unless it can be accomplished under seal, identified as being subject to this Order, and protected
from being opened except by order of this Court.
10. If while the litigation is before the Court, a party to this order who is to be a recipient
of any business information designated as confidential and submitted in accordance with paragraph
2, disagrees with respect to such a designation, in full or in part, it shall notify the supplier in
writing, and they will thereupon confer as to the status of the subject information proffered within
the context of this order. If prior to, or at the time of such a conference, the supplier withdraws its
designation of such information as being subject to this order, but nonetheless submits such
information for purposes of the litigation, such supplier shall express the withdrawal, in writing,and serve such withdrawal upon all parties and the Court. If the recipient and supplier are unable
to concur upon the status of the subject information submitted as confidential business information
within ten days from the date of notification of such disagreement, any party to this order may
raise the issue of the designation of such a status to the Court who will rule upon the matter. The
Court may sua sponte question the designation of the confidential status of any information and,
after opportunity for hearing, may remove the confidentiality designation.
11. No less than 10 days (or any other period of time designated by the Court) prior to
the initial disclosure to a proposed expert of any confidential information submitted in accordance
with paragraph 2, the party proposing to use such expert shall submit in writing: (1) the general
categories of confidential business information submitted in accordance with paragraph 2 that the
party seeks permission to disclose to the proposed expert; (2) the full name of such proposed
expert; (3) a copy of the proposed expert’s current resume; (4) identification of the proposed
expert’s current employer(s); (5) each person or entity from whom the expert has received
compensation or funding for work in his or her areas of expertise or to whom the expert has
provided professional services, including in connection with a litigation, at any time during the
preceding five years; and (6) any litigation(s) in which the proposed expert has offered expert
testimony, including through a declaration, report, or testimony at a deposition or trial, during the
preceding five years. If the supplier objects to the disclosure of such confidential business
information to such proposed expert as inconsistent with the language or intent of this order or on
other grounds, it shall within seven (7) days notify the recipient in writing of its objection and the
grounds therefor. If the dispute is not resolved on an informal basis within ten days of receipt of
such notice of objection, the supplier shall submit immediately the objection(s) to the Court for aruling. No Protected Material shall be provided to the proposed expert pending the ruling of the
Court.

12. If confidential business information submitted in accordance with paragraph 2 is
disclosed to any person other than in the manner authorized by this protective order, the party
responsible for the disclosure must immediately bring all pertinent facts relating to such disclosure
to the attention of the supplier and the Court and, without prejudice to other rights and remedies
of the supplier, make every effort to prevent further disclosure by it or by the person who was the
recipient of such information.
13. Nothing in this order shall abridge the right of any person to seek judicial review
or to pursue other appropriate judicial action with respect to any ruling made by the Court
concerning the issue of the status of confidential business information.
14. If a supplier, through inadvertence, produces any confidential business information
without labeling or marking or otherwise designating it as such in accordance with this Order, the
supplier may give written notice to the receiving party that the document or thing produced is
deemed confidential business information, and that the document or thing produced should be
treated as such in accordance with that designation under this Order. Such inadvertent or
unintentional production shall not be deemed a waiver in whole or in part of a claim for
confidential treatment. The receiving party must treat the materials as confidential, once the
supplier so notifies the receiving party. If the receiving party has disclosed the materials before
receiving the designation, the receiving party must notify the supplier in writing of each such
disclosure. Counsel for the parties will agree on a mutually acceptable manner of labeling or
marking the inadvertently produced materials as “RESTRICTED – ATTORNEYS’ EYES
ONLY,” “CONFIDENTIAL,” or “RESTRICTED – CONFIDENTIAL SOURCE CODE.” Anysupplier that inadvertently or unintentionally produces any confidential business information
without labeling or marking or otherwise designating it as such may request destruction of the
produced materials by notifying the receiving party(s), as soon as reasonably possible after the
supplier becomes aware of the inadvertent or unintentional disclosure, and providing replacement
Protected Material that is properly designated. The receiving party(s) shall then destroy all copies
of the inadvertently or unintentionally produced Protected Materials and any documents,
information or material derived from or based thereon.
15. When a supplier gives notice to a receiving party that certain inadvertently
produced material is subject to a claim of privilege or other protection, the obligations of the
receiving party are those set forth in Federal Rule of Civil Procedure 26(b)(5)(B). This provision
is not intended to modify whatever procedure may be established in an e-discovery order that
provides for production without prior privilege review. Pursuant to Federal Rule of Evidence
502(d) and (e), insofar as the parties reach an agreement on the effect of disclosure of a
communication or information covered by the attorney-client privilege or work product protection,
the parties may incorporate their agreement in the stipulated protective order submitted to the
court.

16. Upon final termination of this litigation, each party that is subject to this order shall
within thirty (30) days assemble and return to the supplier all items containing confidential
business information submitted in accordance with paragraph 2 above, including all copies of such
matter which may have been made. Alternatively, the parties subject to this order may, with the
written consent of the supplier, destroy all items containing confidential business information and
certify to the supplier (or his counsel) that such destruction has taken place. This paragraph shall
not apply to the Court, which shall retain such material pursuant to statutory requirements and for
9
ixother recordkeeping purposes, but may destroy such material (including electronic media
containing such information) in its possession which it regards as surplusage. Notwithstanding,
outside counsel of record may retain one copy of all pleadings, filings, and deposition transcripts
as part of its internal records. Nothing in this paragraph requires any party or entity to delete or
destroy data from emergency backup systems so long as those systems recycle and/or update their
data on a revolving basis.
17. If any confidential business information which is supplied in accordance with
paragraph 2 above is supplied by a nonparty to this litigation, such a nonparty shall be considered
a “supplier” as that term is used in the context of this order.
18. Each nonparty supplier shall be provided a copy of this order by the party seeking
information from said supplier.
19. Source Code. A supplier may designate documents, information, or things as
“RESTRICTED – CONFIDENTIAL SOURCE CODE,” which shall mean litigation material of a
supplier or of any non-parties that a supplier is permitted to produce in this litigation that
constitutes or contains non-public Source Code.
A. “Source Code” shall mean source code, object code (i.e., computer
instructions and data definitions expressed in a form suitable for input to an assembler, compiler,
or other translator), microcode, register transfer language (“RTL”), firmware, and hardware
description language (“HDL”), as well as any and all programmer notes, annotations, and other
comments of any type related thereto and accompanying the code. For avoidance of doubt, this
includes source files, make files, intermediate output files, executable files, header files, resourcefiles, library files, module definition files, map files, object files, linker files, browse info files, and
debug files.

B. Materials designated as “RESTRICTED – CONFIDENTIAL SOURCE
CODE,” shall only be reviewable by SOURCE CODE QUALIFIED PERSONS. SOURCE CODE
QUALIFIED PERSONS include the following: (1) outside litigation counsel as necessarily
incident to this litigation; (2) personnel at document duplication, coding, imaging, or scanning
service establishments retained by, but not regularly employed by, outside litigation counsel as
necessarily incident to this litigation; (3) personnel at interpretation/translation service
establishments retained by, but not regularly employed by, outside litigation counsel as necessarily
incident to this litigation, including without limitation oral interpreters and document translators;
(4) the Court, Court personnel and contract personnel who are acting in the capacity of Court
employees as indicated in paragraph 3 of this Protective Order; (5) court reporters, stenographers
and videographers transcribing or recording testimony at depositions, hearings or trial in this
litigation; and (6) qualified consultants and/or qualified experts in this litigation (under paragraph
11 of the Protective Order in this litigation). Qualified consultants and/or qualified experts may
only review RESTRICTED – CONFIDENTIAL SOURCE CODE after being expressly identified
to the supplier as seeking access to RESTRICTED – CONFIDENTIAL SOURCE CODE. If the
receiving party wishes an already identified qualified consultant or qualified expert to receive
RESTRICTED – CONFIDENTIAL SOURCE CODE, it must re-comply with the provisions of
paragraph 10 of this Protective Order in this litigation, including allowing the supplier an
opportunity to object to this qualified consultant or qualified expert receiving RESTRICTED –CONFIDENTIAL SOURCE CODE, and identifying the proposed qualified consultant or qualified
expert as seeking access to RESTRICTED – CONFIDENTIAL SOURCE CODE.
C. Source Code shall be provided with the following additional protections:
(i) Nothing in this Protective Order shall obligate the parties to produce
any Source Code, nor act as an admission that any particular Source Code is discoverable.
(ii) Access to Source Code will be given only to SOURCE CODE

QUALIFIED PERSONS.

(iii) Access to Source Code shall be provided on no more than two
“stand-alone” computer(s) (i.e., the computer(s) may not be linked to any network, including a
local area network (“LAN”), an intranet, or the Internet, and may not be connected to any printer
or storage device other than the internal hard disk drive of the computer). The stand-alone
computer(s) shall be kept in a secure location at the offices of the supplier’s outside litigation
counsel, or at such other location as the supplier and receiving party mutually agree. The
standalone secure computer(s) may be password protected and shall have the Source Code stored
on a hard drive contained inside the computer(s). The supplier shall produce Source Code in
computer searchable format on the stand-alone computer(s). The stand-alone computer(s) shall, at
the receiving party’s request, include reasonable analysis tools appropriate for the type of Source
Code. The receiving party shall be responsible for providing the tools or licenses to the tools that
it wishes to use to the supplier so that the supplier may install such tools on the standalone
computer. To the extent that such tools record local working files or other records reflecting the
work performed by the receiving party, such files and records shall not be reviewed, altered, or
deleted by the supplier. Notwithstanding the foregoing, supplying and receiving parties may, at alater date, agree to remote source code inspection as appropriate including, for example, by
providing source code through a VPN or software solution.
(iv) The receiving party shall provide at least five (5) business days’
notice to access the source code and make reasonable efforts to restrict its requests for access to
the stand-alone secure computer to normal business hours, which for purposes of this paragraph
shall be 9:00 a.m. through 5:30 p.m. local time at the reviewing location. The parties are to
cooperate in good faith such that maintaining the Source Code at the offices of the supplier’s
outside litigation counsel shall not unreasonably hinder the receiving party’s ability to efficiently
conduct the prosecution or defense in this litigation. It is expected that access to the Source Code
shall be provided at the site of any hearing or trial. Proper identification of all SOURCE CODE
QUALIFIED PERSONS shall be provided prior to any access to the stand alone secure computer.
(v) All SOURCE CODE QUALIFIED PERSONS who will review
Source Code on behalf of a receiving party shall be identified in writing to the supplier at least two
(2) business days in advance of the first time that such person reviews such Source Code. Such
identification shall be in addition to any disclosure required under paragraph 19(B) of this
Protective Order. The supplier shall provide these individuals with information explaining how to
start, log on to, and operate the stand-alone computer in order to access the produced Source Code
on the stand-alone secure computer. For subsequent reviews by SOURCE CODE QUALIFIED
PERSONS, the receiving party shall give at least one business day (and at least 24 hours’) notice
to the supplier of such review.

(vi) No person other than the supplier may alter, dismantle, disassemble
or modify the stand-alone computer in any way, or attempt to circumvent any security feature of
the computer.(vii) No copies shall be made of Source Code, whether physical,
electronic, or otherwise, other than volatile copies necessarily made in the normal course of
accessing the Source Code on the stand-alone computer, except for: (1) print outs of reasonable
portions of the Source Code in accordance with the provisions of paragraphs 19(C)(ix)-(x) of this
Protective Order; and (2) such other uses to which the parties may agree or that the Court may
order. The receiving party shall not use any outside electronic device to copy, record, photograph,
or otherwise reproduce Source Code. “Reasonable portions of the Source Code” shall be limited
to the portions that are necessary to understand a relevant feature of an accused product in this
litigation. The supplier shall not unreasonably withhold approval and the parties shall meet and
confer in good faith to resolve any disputes. The receiving party may take notes on a laptop or
other personal electronic device, provided such device does not have a camera, and such notes are
treated as RESTRICTED – CONFIDENTIAL SOURCE CODE under the Protective Order. The
supplier may exercise personal supervision from outside the review room over the receiving party
when the receiving party is in the Source Code review room. Such supervision, however, shall not
entail review of attorney work product generated by the receiving party, e.g., monitoring the screen
of the stand-alone computer, monitoring any surface reflecting any notes or work product of the
receiving party, or monitoring the key strokes of the receiving party. There will be no video
supervision by any supplier.

1) To enable electronic note taking during Source Code
reviews, the Supplier of Source Code shall also provide an additional “note-taking” computer
loaded with at least Microsoft One Note and Microsoft Word software, unless otherwise agreed
by the Supplier and the Receiving Party. The note-taking computer shall either be a portable laptop
or be located in close proximity to the Source Code Computer to facilitate electronic note taking.
14
xiv2) At the beginning of a Source Code review session, the
Supplier shall, when requested by the reviewer, upload to the note-taking computer an encrypted
notes file (e.g., uploading an encrypted notes file from a USB memory stick provided by the
reviewer to the note-taking computer).

3) The reviewer may then decrypt and open the notes file using
the note-taking computer for the purpose of taking notes during the Source Code review session.
During the source Code review session, the Supplier may disable any input and/or output devices
on the note-taking computer (e.g., disable any USB ports, Wi-Fi or Ethernet connectivity, and/or
optical disc drives) except as necessary to enable to reviewer to take notes (e.g., enable mouse and
keyboard). Use or possession of any input/output device (e.g., USB memory stick, mobile phone
or tablet, camera or any camera-enabled device, CD, floppy disk, portable hard drive,
laptop/computer, or any device that can access the Internet or any other network or external system,
etc.) is prohibited while accessing the note-taking computer.
4) At the end of a Source Code review session, the reviewer
may save any notes in the same encrypted notes file. The Supplier shall, when requested by the
reviewer, download from the note-taking computer the encrypted notes file and provide an
electronic copy to the reviewer (e.g., downloading the encrypted notes file from the note-taking
computer to a USB memory stick provided by the reviewer).
5) Notwithstanding this stipulation, no reviewer may at any
time copy or include in electronic notes any portions or sections of the Source Code. Reviewers
using electronic note-taking will be directed by undersigned counsel not to copy or include in
electronic notes any portions or sections of the Source Code.6) If requested by the Supplier, a copy of the encrypted notes
file shall remain on the note-taking computer, so long as it remains encrypted.
7) If requested by the Supplier, a representative for the Supplier
may oversee the transfer of the encrypted notes file from the secure data storage device to the note
taking computer, and vice-versa, without reviewing the substance of the electronic notes.
8) The reviewer shall not take notes electronically on the
Source Code Computer itself or any other computer or electronic device (besides the note-taking
computer) while conducting a review.
(viii) Nothing may be removed from the stand-alone computer, either by
the receiving party or at the request of the receiving party, except for (1) print outs of reasonable
portions of the Source Code in accordance with the provisions of paragraphs 19(C)(ix)-(x) of this
Protective Order; and (2) such other uses to which the parties may agree or that the Court may
order.

(ix) At the request of the receiving party, the supplier shall within three
(3) business days provide one (1) hard copy print out of the specific lines, pages, or files of the
Source Code that the receiving party believes in good faith are necessary to understand a relevant
feature of an accused product. If the supplier objects in any manner to the production of the
requested source code (e.g., the request is too voluminous), it shall state its objection within the
allotted two (2) business days pursuant to this paragraph. In the event of a dispute, the parties will
meet and confer within five (5) business days of the objection being raised and if they cannot
resolve it the parties will raise it with the Court.
(x) Hard copy print outs of Source Code shall be provided on Bates
numbered and watermarked or colored paper clearly labeled RESTRICTED – CONFIDENTIALSOURCE CODE on each page and shall be maintained by the receiving party’s outside litigation
counsel or SOURCE CODE QUALIFIED PERSONS in a secured locked area. The receiving party
may also temporarily keep the print outs at: (1) the Court for any proceedings(s) relating to the
Source Code, for the dates associated with the proceeding(s); (2) the sites where any deposition(s)
relating to the Source Code are taken, for the dates associated with the deposition(s); and (3) any
intermediate location reasonably necessary to transport the print outs (e.g., a hotel prior to a Court
proceeding or deposition). For avoidance of doubt, an access-restricted location within the
facilities of outside litigation counsel or a qualified expert, such as a conference room within an
access restricted office or a locked drawer or cabinet, shall constitute a secured locked area. The
receiving party shall exercise due care in maintaining the security of the print outs at these
temporary locations. No further hard copies of such Source Code shall be made and the Source
Code shall not be transferred into any electronic format or onto any electronic media except that:The receiving party is permitted to make up to five (5)
additional hard copies for use at a deposition. One hard copy of the source code may be marked as
an exhibit for the deposition, and then maintained by counsel for the party presenting the exhibit
during the deposition in a secured locked area. All other copies shall be destroyed immediately
after the deposition is concluded. In the case of remote or video depositions, the parties should
indicate beforehand that use of hard copy source code will be utilized at the deposition to ensure
all counsel and the witness have a hard copy of the source code at the time of the deposition.
Electronic copies of source code shall not be made or used for purposes of remote depositions.
The receiving party is permitted to make up to five (5)
additional hard copies for the Court in connection with a Court filing, hearing, or trial, and of only
the specific pages directly relevant to and necessary for deciding the issue for which the portions
of the Source Code are being filed or offered. To the extent portions of Source Code are quoted in
a Court filing, either (1) the entire document will be stamped and treated as RESTRICTED –
CONFIDENTIAL SOURCE CODE; or (2) those pages containing quoted Source Code will be
separately stamped and treated as RESTRICTED – CONFIDENTIAL SOURCE CODE.
Electronic copies of Source Code may be made to be
included in documents which, pursuant to the Court’s rules, procedures, and order(s), may be filed
or served electronically. Only the necessary amount of electronic copies to effectuate such filing
or service may be stored on any receiving party server, hard drive, thumb drive, or other electronic
storage device at any given time. After any such electronic filing or service, the receiving party
may maintain reasonable copies of such filings, but shall delete all other electronic copies of
Source Code from all receiving party electronic storage devices.The receiving party is permitted to possess up to seven (7)
additional paper copies of the hard copy print-outs of Source Code provided by the supplier. The
receiving party may provide these paper copies to qualified consultants or qualified experts, who
may use such paper copies solely for active review of the source code. The receiving party is also
permitted to make temporary copies necessarily made in the production of these paper copies
provided any such copies are immediately deleted once the temporary copies are no longer required
for the production of the paper copies. The paper copies shall not be copied in whole or in part
under any other circumstances. A receiving party may destroy one or more of the seven (7)
previously created paper copies and create one or more new paper copies provided that the total
number in possession of the receiving party does not exceed seven (7). Absent further agreement,
all paper copies shall be destroyed after the completion of the litigation or the supplying party’s
exit from the litigation, whichever occurs first. The receiving party shall keep and maintain a log
of all custodians for all of the paper copies as well as the destruction of all paper copies.
The supplier shall, on request, make a searchable electronic
copy of the Source Code available on a stand-alone computer during depositions of witnesses who
would otherwise be permitted access to such Source Code. The receiving party shall make such
request at the time of the notice for deposition.
(xi) Nothing in this Protective Order shall be construed to limit how a
supplier may maintain material designated as “RESTRICTED – CONFIDENTIAL SOURCE
CODE.”

(xii) Outside litigation counsel for the receiving party with custody of
“RESTRICTED – CONFIDENTIAL SOURCE CODE” shall maintain a source code log
containing the following information: (1) the identity of each person granted access to the“RESTRICTED – CONFIDENTIAL SOURCE CODE”; and (2) the first date on which such
access was granted. Outside litigation counsel for the receiving party will produce, upon request,
each such source code log to the supplier within twenty (20) days of the final determination of the
litigation.

(xiii) Any print request that consists of more than 40 pages of a continuous
block of source code shall be presumed to be excessive, and the burden shall be on the receiving
party to demonstrate the need for such a printed copy. The receiving party may request printed
source code of up to 800 pages total from each producing party. Each print request shall be made
in writing to the producing party and shall include the complete path, file name, and line numbers
of the source code to be printed. The parties acknowledge that they produced source code printouts
in connection with U.S. ITC Investigation No. 337-TA-1185 (“the 1185 Investigation”), with the
same page limits. A receiving party may request that printouts from the 1185 Investigation be
deemed produced in the instant action (or re-produced with new Bates numbers, if the producing
party prefers). Such a request will count toward the above page limitations. Any request for source
code printouts exceeding the 800- and 40-page limits shall be made only if the requesting party
has good cause to make such a request. The parties agree to negotiate, in good faith and in a timely
fashion, any request exceeding these limits in order to avoid burdening the Court unnecessarily.
The burden shall be on the receiving party to demonstrate the need for exceeding these limits.
20. No prejudice. Paragraph 19 above is without prejudice to any party’s rights to
propose, request, or otherwise move for different provisions relating to source code production in
this litigation.
21. Prosecution Bar. Any person (i) who prosecutes patents or patent applications at
any time between the date on which such person subscribes to the Protective Order and the dateon which the termination of this litigation, and any appeals thereto, is final and (ii) who reviews
any supplier’s Confidential Business Information or RESTRICTED – CONFIDENTIAL
SOURCE CODE, but excluding financial data or non-technical business information, (all of which
shall also be automatically designated as ‘PROSECUTION BAR MATERIALS”) shall not, for a
period commencing upon receipt of such information and ending two years following the absolute
final termination of this litigation, prosecute patents or patent applications relating to smart
thermostats or smart HVAC systems (“Prosecution Activity”). Prosecution includes, for example,
original prosecution, reissue, reexamination, and any other post-grant proceedings that may affect
the scope of the claims of a patent or patent application. Prosecution does not include representing
a party challenging or defending a patent before an agency (including, but not limited to, a reissue
protest, ex parte reexamination, post-grant review, or inter partes review), provided that there is
no participation in or assistance with any claim drafting or amendment of claims in such
proceedings. Nothing in this paragraph shall prevent any attorney from sending non-confidential
prior art to an attorney involved in patent prosecution for purposes of ensuring that such prior art
is submitted to the U.S. Patent and Trademark Office (or any similar agency of a foreign
government) to assist a patent applicant in complying with its duty of candor. Nothing in this
provision shall prohibit any attorney of record in this litigation from discussing any aspect of this
case that is reasonably necessary for the prosecution or defense of any claim or counterclaim in
this Investigation with his/her client. The parties expressly agree that the Prosecution Bar set forth
herein shall be personal to any attorney who reviews PROSECUTION BAR MATERIALS and
shall not be imputed to any other persons or attorneys at the attorneys’ law firm. It is expressly
agreed that attorneys who work on this matter without reviewing PROSECUTION BARMATERIALS shall not be restricted from engaging in Prosecution Activity on matters that fall
within the Prosecution Bar.
22. As used herein, the term “final termination” means the availability of appeal has
been exhausted, and the time for a petition of certiorari has elapsed or a petition for certiorari is
denied.

23. Production of Protected Material by each of the Parties shall not be deemed a
publication of the documents, information, or material (or the contents thereof) produced so as to
void or make voidable whatever claim the Parties may have as to the proprietary and confidential
nature of the documents, information, or other material or its contents.
24. Nothing in this Order shall be construed to effect an abrogation, waiver, or
limitation of any kind on the rights of each of the Parties to assert any applicable discovery or trial
privilege.

25. Documents, information or material produced in this case, including but not limited
to Protected Material, shall be used by the Parties only in this case and shall not be used for any
other purpose. Any person or entity who obtains access to Protected Material or the contents
thereof pursuant to this Order shall not make any copies, duplicates, extracts, summaries or
descriptions of such Protected Material or any portion thereof except as may be reasonably
necessary in the litigation of this Action. Any such copies, duplicates, extracts, summaries or
descriptions shall be classified Protected Material and subject to all of the terms and conditions of
this Order. Nothing herein modifies or permits violation of a protective order in any other action,
nor does it authorize the parties to use discovery from any other action to the extent it is not
properly discoverable under the Federal Rules of Civil Procedure or is not otherwise consistent
with the rules of any other relevant court, agency, or tribunal.26. Each of the Parties shall also retain the right to file a motion with the Court (a) to
modify this Order to allow disclosure of Protected Material to additional persons or entities if
reasonably necessary to prepare and present this Action and (b) to apply for additional protection
of Protected Material.June 9

Dated: ____________________, 2021

Alan D Albright
United States District JudgeAttachment A
NONDISCLOSURE AGREEMENT FOR
REPORTER/STENOGRAPHER/TRANSLATOR
I, __________________, do solemnly swear or affirm that I will not divulge any
information communicated to me in any confidential portion of the investigation or hearing in
EcoFactor, Inc. v. Google LLC, No. 6:20-cv-00075-ADA; EcoFactor, Inc. v. Ecobee, Inc., No.
6:20-cv-00078-ADA; and EcoFactor, Inc. v. Vivint, Inc., No. 6:20-cv-00080-ADA, except as
permitted in the protective order issued in this case. I will not directly or indirectly use, or allow
the use of such information for any purpose other than that directly associated with my official
duties in this case.
Further, I will not by direct action, discussion, recommendation, or suggestion to any
person reveal the nature or content of any information communicated during any confidential
portion of the investigation or hearing in this case.
I also affirm that I do not hold any position or official relationship with any of the
participants in said investigation.
I am aware that the unauthorized use or conveyance of information as specified above is a
violation of the Federal Criminal Code and punishable by a fine of up to $10,000, imprisonment
of up to ten (10) years, or both.
Signed
Dated
Firm or affiliationUNITED STATES DISTRICT COURT
FOR THE WESTERN DISTRICT OF TEXAS
WACO DIVISION

ECOFACTOR, INC.
Plaintiff,
v.
GOOGLE LLC,
Defendant.

Case No. 6:20-cv-00075-ADA

FINAL JUDGMENT
In accordance with the jury verdict and pursuant to Rule 54(b) of the Federal Rules of
Civil Procedure, it is hereby ORDERED and ADJUDGED that:
1. Claim 5 of U.S. Patent No. 8,738,327 (“the ’327 patent”) is infringed by Google;
2. Claim 5 of the ’327 patent is not willfully infringed by Google;
3. Claims 2 and 12 of U.S. Patent No. 10,534,382 (“the ’382 patent”) are not infringed
by Google;
4. Claim 5 of the ’327 patent and claims 2 and 12 of the ’382 patent are not invalid;
5. Claims 1, 2, 5, and 8 of U.S. Patent No. 8,412,488 are invalid for indefiniteness
under 35 U.S.C. § 112;
6. Judgment is hereby entered in favor of EcoFactor and against Google in the lump
sum of $20,019,300.00;
7. EcoFactor is further awarded prejudgment interest at the one-year Treasury Bill
constant maturity rate, compounded annually, in the amount of $127,971;
8. EcoFactor is awarded post-judgment interest pursuant to 28 U.S.C. § 1961; and
9. EcoFactor shall be entitled to recover costs of court.10. This FINAL JUDGMENT starts the time for filing any post-trial motions or appeal.

Signed this 26th day of May, 2022.FILED
February 10, 2022
CLERK, U.S. DISTRICT COURT
WESTERN DISTRICT OF TEXAS
Jennifer Clark

BY: ________________________________

DEPUTYFILED
February 10, 2022
CLERK, U.S. DISTRICT COURT
WESTERN DISTRICT OF TEXAS
Jennifer Clark

BY: ________________________________

DEPUTY(12) United States Patent
Steinberg

US008180492B2
(10) Patent No.: US 8,180,492 B2
(45) Date of Patent: May 15, 2012

(54) SYSTEMAND METHOD FOR USINGA
NETWORKED ELECTRONIC DEVICE ASAN
OCCUPANCY SENSOR FOR AN ENERGY
MANAGEMENT SYSTEM
(75) Inventor: John Douglas Steinberg, Millbrae, CA
(US)
(73) Assignee: EcoFactor, Inc., Millbrae, CA (US)
(*) Notice: Subject to any disclaimer, the term of this
patent is extended or adjusted under 35
(21) Appl. No.: 12/502,064
(22) Filed: Jul. 13, 2009

O O
Prior Publication Data
US 2010/028.0667 A1 Nov. 4, 2010
Related U.S. Application Data
(60) Provisional application No. 61/134,714, filed on Jul.
14, 2008.
(51) Int. Cl.
G05B I5/00
G05D 23/00

(65)

(2006.01)
(2006.01)

(52) U.S. Cl. ........ ...- - - - - - 700/276; 700/299; 236/46 R
(58) Field of Classification Search .................. 700/276,
700,278, 295, 296; 62/1766, 236/46 R
See application file for complete search history.
References Cited
U.S. PATENT DOCUMENTS
4,136,732 A 1/1979 Demaray et al.
4,341,345 A 7, 1982 Hammer et al.
4,403,644 A 9, 1983 Hebert
4,655,279 A 4, 1987 Harmon
4,674,027 A 6/1987 Beckey
5,244,146 A 9, 1993 Jefferson et al.

(56)

S. A ck AE Ray cal . . . . . . . . . . . . . . 165,237

4.- : W

ams et al.

5,314,004 A 5/1994 Strand et al.
5,462,225. A 10/1995 Massara et al.
5,544,036 A 8, 1996 Brown et al.
5,555,927 A 9, 1996 Shah
5,572.438 A 1 1/1996 Ehlers et al.
5,682,949 A * 1 1/1997 Ratcliffe et al. .............. 165,209
5,717,609 A 2f1998 Packa et al.
5,761,083 A * 6/1998 B tal. ................. TOOf 296

5,818,347 A 10/1998 SE
5,977.964 A * 1 1/1999 Williams et al. .............. 71.5/721
6,145,751 A 1 1/2000 Ahmed
6,178,362 B1 1/2001 Woollard et al.
(Continued)
OTHER PUBLICATIONS
Wang, D.; Arens, E.; Federspiel, C., Opportunities to Save Energy
and Improve Comfort by Using Wireless Sensor Networks in Build
ings. Energy Systems Laboratory (http://esl.tamu.edu), 2003
Retrieved Sep. 1, 2011 Downloaded from http://repository.tamu.
edu/handle/1969.1/5210.*

(Continued)
Primary Examiner — Dave Robertson
(74) Attorney, Agent, or Firm — Knobbe, Martens, Olson &
Bear, LLP
(57)

ABSTRACT

The invention comprises systems and methods for detecting
the use of networked consumer electronics devices as indica
tions of occupancy of a structure for purposes of automati
cally adjusting the temperature setpoint on a thermostatic
HVAC control. At least one thermostat is located inside a
structure and is used to control an HVAC system in the struc
ture. At least one networked electronic device is used to
indicate the state of occupancy of the structure. The state of
occupancy is used to alter the setpoint on the thermostatic
HVAC control to reduce unneeded conditioning of unoccu
pied spaces.

18 Claims, 8 Drawing Sheets

indicating activity - 302

receive message

Retrieve setting

iformation r so
for database
Éces curren / 306

-Yes-X setting as occupied

setting?
Austratic -
adjustment
eabed?

3

or

Transmitmessage
to use? requesting
actio to chose
or sect change
Y 1ser

- 3 &

32
st

Yes Adjust

temperature

accept

changs
Update
database

settingPage 2

U.S. PATENT DOCUMENTS
2583 NS 1
82002 E. It al.
1/2002 se
11/2002 Pi 1
1/2002 E. et cal
3/2003 SS . a.
4/2003 O. ca.

CBS R
6.437,692 B
6.478,233 B1
6,480.803 B1
6,483,906 B1
6.536,675 Bi
6542,076 B1

- 14

OO

6,549,130 B1
6,574,537 B2
-
6,580,950 B1
6,594,825 B1
6,595,430 B1
6,598,056 B1
6615555 B2
6622,097 B2
6622,115 Bf

4/2003 Joao
6, 2003 Ki toketal
perSZLOK et al.
6, 2003 Johnson
7/2003 Goldschmidlki et al.
7, 2003 Shah
T/2003 Hull 1
9/2003 s et al.
9/2003 E.
9/2003 E. tal

was a
6,622,925 B2
6,622,926 B1
6,628,997 B1
6,633,823 B2
6,643,567 B2
6,671,586 B2
6,695,218 B2
6,726, 113 B2
6,731,992 B1
6,734.806 B1
6,772,052 B1
6,785,592 B1
6,785,630 B2
6,789,739 B2
6,853,959 B2
6,868,293 B1
6,868,319 B2
6,882,712 B1
6,889,908 B2
6,891,838 B1

OW ca.
9, 2003 Carner et al.
9, 2003 Sartain et al.
9, 2003 Fox et al.
10/2003 Bartone et al.
11/2003 Kolk et al.
12/2003 Davis et al.
2/2004 Fleckenstein
4/2004 Guo
5/2004 Ziegler
5/2004 Cratsley
8/2004 Amundsen
8, 2004 Smith
8, 2004 Kolk
9, 2004 Rosen
2/2005 Ikeda et al.
3/2005 Schurr
3/2005 KiperSztok et al.
4/2005 Iggulden et al.
5/2005 Crippen et al.
5, 2005 Petite et al.

6,912,429 B1* 6/2005 Bilger ............................. TOOf 19

6,991,029 B2
29.

1/2006 Orfield et al.
3.3. w al

56 RE"

78)

7,055,759 B2 * 6/2006 Wacker et al. .................. 23.5.

7,061,393 B2 * 6/2006 Buckingham et al. ... 340/693.3

7,089,088 B2
7,130,719 B2
7,130,832 B2

8/2006 Terry et al.
10/2006 Ehlers et al.
10/2006 Bannai et al.

H2176 H * 12/2006 Meyer et al. .................... 236/51

7,167,079 B2
7,187,986 B2
7,205,892 B2
7,215,746 B2
7,216,015 B2
7,231,424 B2

1/2007 Smyth et al.
3/2007 Johnson et al.
4/2007 Luebke et al.
5/2007 Iggulden et al.
5/2007 Poth
6, 2007 Bodin et al.

7,232,075 B1

6, 2007 Rosen

7,242.988 B1* 7/2007 Hoffberg et al. ................ TOO/28
7,260,823 B2 * 8/2007 Schlacket al. .
7.354,005 B2 * 4/2008 Carey et al. ................. 236,46R

7,356,384 B2
7.483,964 B1*
7.565,225 B2 *
7,644,869 B2
7,784,704 B2

4/2008 Gull et al.
1/2009 Jackson et al. ................ TO9,221
7/2009 Dushane et al. .............. 7OO/276
1/2010 Hoglund et al.
8, 2010 Harter

7,802,618 B2* 9/2010 Simon et al. .................. 165,254

7,848,900 B2
7,894,943 B2
2003/004O934 A1
2005/0222889 A1
2005/0288822 A1

12/2010 Steinberg et al.
2/2011 Sloup et al.
22003 Skidmore et al.
10, 2005 Lai et al.
12/2005 Rayburn

2006/0045105 A1 3/2006 DobOSZ et al. ................ 370/401
2007/0043477 A1 2/2007 Elhers et al.
2007/0045431 A1* 3/2007 Chapman et al. ........... 236,46 C
2007/0146126 A1* 6/2007 Wang ............................ 340,517
2008, 0083234 A1 4/2008 Krebs et al.
2008/0281472 A1* 1 1/2008 Podgorny et al. ............. 7OO/276
2008/0283621 A1* 1 1/2008 Quirino et al. ...... 236/1 C
2009/0052859 A1* 2/2009 Greenberger et al. .......... 386/46
2009/0099699 A1 4/2009 Steinberg et al.
2009/0125151 A1 5/2009 Steinberg et al.
2009, 0240381 A1 9, 2009 Lane
2009,028.1667 A1 11/2009 Masui et al.

ck

2010, OO19051 A1 1/2010 Rosen ......................... 236,46R

2010, OO19052 A1 1/2010 Yip
2010, 0070.086 A1 3/2010 Harrod et al.
2010, 0070089 A1 3, 2010 Harrod et al.
2010, 0070.093 A1 3, 2010 Harrod et al.
2010.0156608 A1* 6, 2010 Bae et al. ..... ... 34.0/10.5
2010/0162285 A1 6, 2010 Cohen et al. .................... 725/12
2010, 0211224 A1 8/2010 Keeling et al.
2010. 0235004 A1 9, 2010 Thind
2010/0289643 A1 11/2010 Trundle et al.
2011 OO31323 A1 2/2011 Nold etal
OTHER PUBLICATIONS
Johnson Controls T600HCX-3 Single-Stage Thermostats Installation
Instructions T600HCN-3, T600HCP-3 Part No. 24-9890-560,
Rev. Issued Sep. 20, 2006.*
Emerson Climate Technologies. Network Thermostat for E2 Build
ing Controller Installation and Operation Manual. 026-1721 Rev 0
Oct. 30, 2007.
- W
text Estable Thermostat Owner's Guide, www.
oneywell.com/yournome.
Honeywell Programmable Thermostat Owner's Guide, www.
honeywell.com/yourhome, 2004.
Honeywell, W7600/W7620 Controller Reference Manual,
HW0021207, Oct. 1992.
Arnes, Federspeil, Wang, Huizenga, How Ambient Intelligence Will
Improve Habitability and Energy Efficiency in Buildings, 2005,
research paper, Center for the Built Environment. Controls and

statelyer

ONSWESTRosa Broch

O P e S. W. OCUe.

ooper Power Systems Web Page.
Enernoc Web Page.
Enerwise Website.
Johnson Contorls, Touch4 building automation system brochure,
2007.
Kilicotte, Piette, Watson, , Dynamic Controls for Energy Efficiency
and Demand Response: Framework Concepts and a New Construc
tion Study Case in New York, Proceedings of the 2006 ACEEE
Summer Study of Energy Efficiency in Buildings, Pacific Grove,
CA. Aug. 13-18, 2006.
Lin. Auslander and Federspeil. “Multi-Sensor Single-Actuator Con

9.

Jerspell,
trol of HVAC Systems", 2002.
Pier, Southern California Edision, Deman Responsive Control of Air
Conditioning via Programmable Communicating Thermostats Draft
Report.
Proliphix. Thermostat Brochure.
Wang, Arens, Federspiel, “Opportunities to Save Energy and
Improve Comfort by Using Wireless Sensor networks in Buildings.”
(2003), Center for Environmental Design Research.
Wetter, Wright. A comparision of deterministic and probabilistic
optimization algorithms for nonsmooth simulation-based optimiza
tion. Building and Environment 39, 2004, pp.989-999.
* cited by examinerUtility

Database
Database
Deraand Reduction
Service ServersF. Cure

Microprocessor

1S 2.

2.5

2S-

2 (OFigure S

C Temperature O HoO
Thermostat Settings
C Energy Bills
HVAC Hardware
Weather

So O
&C) O
7 OO
st SOO

Product & Service

OOFig 7

Receive message 1 (3o 2
indicating activity
Retrieve setting - 3o

information

fron database
Does Current 1 foe
Yes setting it occupied
setting?

Automatic
adjustment
enabled?

Transmit message
to user requesting
action to choose
or reject change

/ is 6

Adjust
temperature
setting

Update
databaseFig 8

Transmit / O1
Content data
Retrieve logged - I - O

program

preference data
Retrieve logged / 106
user data

Match Content
data to user

Transmit matching
query to user

ls actual user =
identified user?

Retrieve temperature
settings for
identified user

Write programming
and matching data
to database1.
SYSTEMAND METHOD FOR USINGA
NETWORKED ELECTRONIC DEVICE ASAN
OCCUPANCY SENSOR FOR AN ENERGY
MANAGEMENT SYSTEM
CROSS-REFERENCE TO RELATED
APPLICATIONS
This application claims priority to U.S. Provisional Appli
cation No. 61/134,714, filed Jul. 14, 2008, the entirety of
which is incorporated herein by reference and is to be con
sidered part of this specification.
BACKGROUND OF THE INVENTION
Field of the Invention
This invention relates to the use of thermostatic HVAC and
other energy management controls that are connected to a
computer network. More specifically, the present invention
pertains to the use of user interactions with an interface Such
as a personal computer or an Internet-enabled television as
signal related to occupancy to inform an energy management
system.
Heating and cooling systems for buildings (heating, venti
lation and cooling, or HVAC systems) have been controlled
for decades by thermostats. At the most basic level, a thermo
stat includes a means to allow a user to set a desired tempera
ture, a means to sense actual temperature, and a means to
signal the heating and/or cooling devices to turn on or offin
order to try to change the actual temperature to equal the
desired temperature. The most basic versions of thermostats
use components such as a coiled bi-metallic spring to mea
Sure actual temperature and a mercury Switch that opens or
completes a circuit when the spring coils or uncoils with
temperature changes. More recently, electronic digital ther
mostats have become prevalent. These thermostats use solid
state devices Such as thermistors orthermal diodes to measure
temperature, and microprocessor-based circuitry to control
the Switch and to store and operate based upon user-deter
mined protocols for temperature Vs. time.
These programmable thermostats generally offer a very
restrictive user interface, limited by the cost of the devices,
the limited real estate of the small wall-mounted boxes, and
the inability to take into account more than two variables: the
desired temperature set by the user, and the ambient tempera
ture sensed by the thermostat. Users can generally only set
one series of commands per day, and in order to change one
parameter (e.g., to change the late-night temperature) the user
often has to cycle through several other parameters by repeat
edly, pressing one or two buttons.
Because the interface of programmable thermostats is so
poor, the significant theoretical savings that are possible with
them (sometimes cited as 25% of heating and cooling costs)
are rarely realized. In practice, studies have found that more
than 50% of users never program their thermostats at all.
Significant percentages of the thermostats that are pro
grammed are programmed Sub-optimally, in part because,
once programmed, people tend to not to re-invest the time
needed to change the settings very often.
A second problem with standard programmable thermo
stats is that they represent only a small evolutionary step
beyond the first, purely mechanical thermostats. Like the first
thermostats, they only have two input signals—ambient tem
perature and the preset desired temperature. The entire
advance with programmable thermostats is that they can shift

2
between multiple present temperatures at different times
without real-time involvement of a human being.
Because most thermostats control HVAC systems that do
not offerinfinitely variable output, traditional thermostats are
designed to permit the temperature as seen by the thermostat
to vary above and below the setpoint to prevent the HVAC
system from constantly and rapidly cycling on and off, which
is inefficient and harmful to the HVAC system. The tempera
ture range in which the thermostat allows the controlled envi
ronment to drift is known as both the dead Zone and, more
formally, the hysteresis Zone. The hysteresis Zone is fre
quently set at +/-1 degree Fahrenheit. Thus if the setpoint is
68 degrees, in the heating context the thermostat will allow
the inside temperature to fall to 67 degrees before turning the
heating system on, and will allow it to rise to 69 degrees
before turning it off again.
As energy prices rise, more attention is being paid to ways
of reducing energy consumption. Because energy consump
tion is directly proportional to setpoint—that is, the further a
given setpoint diverges from the balance point (the inside
temperature assuming no HVAC activity) in a given house
under given conditions, the higher energy consumption will
be to maintain temperature at that setpoint), energy will be
saved by virtually any strategy that over a given time frame
lowers the average heating setpoint or raises the cooling set
point. Conventional programmable thermostats allow home
owners to save money and energy by pre-programming set
point changes based upon comfort or schedule. For example,
in the Summer, allowing the setpoint to rise by several degrees
(or even shutting off the air conditioner) when the home is
unoccupied will generally save significantly on energy. But
such thermostats have proven to be only minimally effective
in practice. Because they have Such primitive user interfaces,
they are difficult to program, and so many users never bother
at all, or set them up once and do not alter the programming
even if their schedules change.
In the hotel industry, the heating and cooling decisions
made in hundred or even thousands of individual rooms with
independently controlled HVAC systems are aggregated into
a single energy bill, so hotel owners and managers are sensi
tive to energy consumption by those systems. Hotel guests
often turn the air conditioner to a low temperature setting and
then leave the room for hours at a time, thereby wasting
considerable energy. An approach commonly used outside of
the United States to combat this problem is to use a keycard to
control the HVAC system, such that guests place the keycard
into a slot mounted on the wall near the door of the room
which then triggers the lights and HVAC system to power up,
and turn them off when the guest removes the card upon
leaving the room. However, because most hotels give each
guest two cards, it is easy to simply leave the extra card in the
slot, thus defeating the purpose of the system. Recently, sys
tems have been introduced in which a motion sensor is con
nected to the control circuitry for the HVAC system. If no
motion is detected in the room for some predetermined inter
val, the system concludes that the room is unoccupied, and
turns off or alters the setpoint of the HVAC system to a more
economical level. When the motion sensor detects motion
(which is assumed to coincide with the return of the guest),
the HVAC system resets to the guest’s chosen setting.
Adding occupancy detection capability to residential
HVAC systems could also add considerable value in the form
of energy savings without significant tradeoff in terms of
comfort. But the systems used in hotels do not easily transfer
to the single-family residential context. Hotel rooms tend to
be small enough that a single motion sensor is sufficient to
determine with a high degree of accuracy whether or not the3
room is occupied. A single motion sensor in the average home
today would have limited value because there are likely to be
many places one or more people could be home and active yet
invisible to the motion sensor. The most economical way to
include a motion sensor in a traditional programmable ther
mostat would be to build it into the thermostat itself. But
thermostats are generally located in hallways, and thus are
unlikely to be exposed to the areas where people tend to spend
their time. Wiring a home with multiple motion sensors in
order to maximize the chances of detecting occupants would
involve considerable expense, both for the sensors them
selves and for the considerable cost of installation, especially
in the retrofit market. Yet if control is ceded to a single-sensor
system that cannot reliably detect presence, the resulting
errors would likely lead the homeowner to reject the system.
It would thus be desirable to provide a system that could
detect occupancy without requiring the installation of addi
tional hardware; that could accurately detect occupancy
regardless of which room in the house is occupied, and could
optimize energy consumption based upon dynamic and indi
vidually configurable heuristics.
SUMMARY OF THE INVENTION
In one embodiment, the invention comprises a thermostat
attached to an HVAC system, a local network connecting the
thermostatto a larger network Such as the Internet, and one or
more computers attached to the network, and a server in
bi-directional communication with a plurality of such ther
mostats and computers. The server pairs each thermostat with
one or more computers or other consumer electronic devices
which are determined to be associated with the home in which
the thermostat is located. The server logs the ambient tem
perature sensed by each thermostat vs. time and the signals
sent by the thermostats to their HVAC systems. The server
also monitors and logs activity on the computers or other
consumer electronic devices associated with each thermostat.
Based on the activity patterns evidenced by keystrokes, cur
sor movement or other inputs, or lack thereof, the server
instructs the thermostat to change temperature settings
between those optimized for occupied and unoccupied States.
At least one embodiment of the invention comprises the
steps of determining whether one or more networked elec
tronic devices inside a structure are in use; determining
whether said use of said networked electronic devices indi
cates occupancy of said structure; and adjusting the tempera
ture setpoint on athermostatic controller for an HVAC system
for said structure based upon whether or not said structure is
deemed to be occupied.
At least one embodiment of the invention comprises at
least one said thermostat having at least one temperature
setting associated with the presence of one or more occupants
in said structure, and at least one temperature setting associ
ated with the absence of occupants in said structure; one or
more electronic devices having at least a user interface; where
said electronic devices and said thermostat are connected to a
network; where said setpoint on said thermostat is adjusted
between said temperature setting associated with the pres
ence of one or more occupants in said structure and said
temperature setting associated with the absence of occupants
in said structure based upon the use of said user interface for
said electronic device.
BRIEF DESCRIPTION OF THE DRAWINGS
FIG. 1 shows an example of an overall environment in
which an embodiment of the invention may be used.

4
FIG. 2 shows a high-level illustration of the architecture of
a network showing the relationship between the major ele
ments of one embodiment of the subject invention.
FIG. 3 shows an embodiment of the website to be used as
part of the subject invention.
FIG. 4 shows a high-level schematic of the thermostat used
as part of the Subject invention.
FIG. 5 shows one embodiment of the database structure
used as part of the Subject invention.
FIG. 6 shows the browser as seen on the display of the
computer used as part of the Subject invention.
FIG. 7 is a flowchart showing the steps involved in the
operation of one embodiment of the subject invention.
FIG. 8 is a flowchart that shows how the invention can be
used to select different HVAC settings based upon its ability
to identify which of multiple potential occupants is using the
computer attached to the system.
DETAILED DESCRIPTION OF THE PREFERRED
EMBODIMENT
FIG. 1 shows an example of an overall environment 100 in
which an embodiment of the invention may be used. The
environment 100 includes an interactive communication net
work 102 with computers 104 connected thereto. Also con
nected to network 102 are one or more server computers 106,
which store information and make the information available
to computers 104. The network 102 allows communication
between and among the computers 104 and 106.
Presently preferred network 102 comprises a collection of
interconnected public and/or private networks that are linked
to together by a set of standard protocols to form a distributed
network. While network 102 is intended to refer to what is
now commonly referred to as the Internet, it is also intended
to encompass variations which may be made in the future,
including changes additions to existing standard protocols.
When a user of the subject invention wishes to access
information on network 102, the buyer initiates connection
from his computer 104. For example, the user invokes a
browser, which executes on computer 104. The browser, in
turn, establishes a communication link with network 102.
Once connected to network 102, the user can direct the
browser to access information on server 106.
One popular part of the Internet is the World Wide Web.
The World WideWeb contains a large number of computers
104 and servers 106, which store HyperText Markup Lan
guage (HTML) documents capable of displaying graphical
and textual information. HTML is a standard coding conven
tion and set of codes for attaching presentation and linking
attributes to informational content within documents.
The servers 106 that provide offerings on the World Wide
Web are typically called websites. A website is often defined
by an Internet address that has an associated electronic page.
Generally, an electronic page is a document that organizes the
presentation of text graphical images, audio and video.
In addition to the Internet, the network 102 can comprise a
wide variety of interactive communication media. For
example, network 102 can include local area networks, inter
active television networks, telephone networks, wireless data
systems, two-way cable systems, and the like.
In one embodiment, computers 104 and servers 106 are
conventional computers that are equipped with communica
tions hardware Such as modem or a network interface card.
The computers include processors such as those sold by Intel
and AMD. Other processors may also be used, including
general-purpose processors, multi-chip processors, embed
ded processors and the like.5
Computers 104 can also be handheld and wireless devices
Such as personal digital assistants (PDAs), cellular telephones
and other devices capable of accessing the network. Comput
ers 104 can also be microprocessor-controlled home enter
tainment equipment including advanced televisions, televi
sions paired with home entertainment/media centers, and
wireless remote controls.
Computers 104 may utilize a browser configured to interact
with the World Wide Web. Such browsers may include
Microsoft Explorer, Mozilla, Firefox, Opera or Safari. They
may also include browsers or similar Software used on hand
held, home entertainment and wireless devices. The storage
medium may comprise any method of storing information. It
may comprise random access memory (RAM), electronically
erasable programmable read only memory (EEPROM), read
only memory (ROM), hard disk, floppy disk, CD-ROM, opti
cal memory, or other method of storing data. Computers 104
and 106 may use an operating system Such as Microsoft
Windows, Apple Mac OS, Linux, Unix or the like. Computers
106 may include a range of devices that provide information,
Sound, graphics and text, and may use a variety of operating
systems and software optimized for distribution of content via
networks.
FIG. 2 illustrates in further detail the architecture of the
specific components connected to network 102 showing the
relationship between the major elements of one embodiment
of the subject invention. Attached to the network are thermo
stats 108 and computers 104 of various users. Connected to
thermostats 108 are HVAC units 110. The HVAC units may be
conventional air conditioners, heat pumps, or other devices
for transferring heat into or out of a building. Each user is
connected to the server 106 via wired or wireless connection
such as Ethernet or a wireless protocol such as IEEE 802.11,
a gateway 110 that connects the computer and thermostat to
the Internet via a broadband connection Such as a digital
subscriber line (DSL) or other form of broadband connection
to the World WideWeb. Server 106 contains the content to be
served as web pages and viewed by computers 104, as well as
databases containing information used by the servers.
In the currently preferred embodiment, the website 200
includes a number of components accessible to the user, as
shown in FIG. 3. Those components may include a means to
enter temperature settings 202, a means to enter information
about the user's home 204, a means to enter the user's elec
tricity bills 206, means to calculate energy savings that could
result from various thermostat-setting strategies 208, and
means to enable and choose between various arrangements
210 for demand reduction with their electric utility provider
as intermediated by the demand reduction service provider.
FIG. 4 shows a high-level block diagram of thermostat 108
used as part of the subject invention. Thermostat 108 includes
temperature sensing means 252, which may be a thermistor,
thermal diode or other means commonly used in the design of
electronic thermostats. It includes a microprocessor 254,
memory 256, a display 258, a power source 260, a relay 262,
which turns the HVAC system on an and off in response to a
signal from the microprocessor, and contacts by which the
relay is connected to the wires that lead to the HVAC system.
To allow the thermostatto communicate bi-directionally with
the computer network, the thermostat also includes means
264 to connect the thermostat to a local computer or to a
wireless network. Such means could be in the form of Ether
net, wireless protocols such as IEEE 802.11, IEEE 802.15.4,
Bluetooth, cellular systems such as CDMA, GSM and GPRS,
or other wireless protocols. The thermostat 250 may also
include controls 266 allowing users to change settings

6
directly at the thermostat, but Such controls are not necessary
to allow the thermostatto function.
The data used to generate the content delivered in the form
of the website is stored on one or more servers 106 within one
or more databases. As shown in FIG. 5, the overall database
structure 300 may include temperature database 400, thermo
stat settings database 500, energy bill database 600, HVAC
hardware database 700, weather database 800, user database
900, transaction database 1000, product and service database
1100 and such other databases as may be needed to support
these and additional features.
The website 200 will allow users of connected thermostats
250 to create personal accounts. Each user's account will
store information in database 900, which tracks various
attributes relative to users of the site. Such attributes may
include the make and model of the specific HVAC equipment
in the user's home; the age and square footage of the home,
the solar orientation of the home, the location of the thermo
stat in the home, the user's preferred temperature settings,
whether the user is a participant in a demand reduction pro
gram, etc.
As shown in FIG.3, the website 200 will permit thermostat
users to perform through the web browser substantially all of
the programming functions traditionally performed directly
at the physical thermostat, such as temperature set points, the
time at which the thermostat should be at each set point, etc.
Preferably the website will also allow users to accomplish
more advanced tasks Such as allow users to program in Vaca
tion settings for times when the HVAC system may be turned
off or run at more economical settings, and set macros that
will allow changing the settings of the temperature for all
periods with a single gesture such as a mouse click.
FIG. 6 represents the screen of a computer or other device
104 using a graphical user interface connected to the Internet.
The screen shows that a browser 1200 is displayed on com
puter 104. In one embodiment, a background application
installed on computer 104 detects activity by a user of the
computer, Such as cursor movement, keystrokes or otherwise,
and signals the application running on server 106 that activity
has been detected. Server 106 may then, depending on con
text, (a) transmit a signal to thermostat 108 changing setpoint
because occupancy has been detected at a time when the
system did not expect occupancy; (b) signal the background
application running on computer 104 to trigger a software
routine that instantiates a pop-up window 1202 that asks the
user if the server should change the current setpoint, alter the
overall programming of the system based upon a new occu
pancy pattern, etc. The user can respond by clicking the
cursor on “yes” button 1204 or “No” button 1206. Equilvalent
means of signalling activity may be employed with interac
tive television programming, gaming Systems, etc.
FIG.7 represents a flowchart showing the steps involved in
the operation of one embodiment of the subject invention. In
step 1302, computer 104 transmits a message to server 106
via the Internet indicating that there is user activity on com
puter 104. This activity can be in the form of keystrokes,
cursor movement, input via a television remote control, etc. In
step 1304 the application queries database 300 to retrieve
setting information for the HVAC system. In step 1306 the
application determines whether the current HVAC program is
intended to apply when the home is occupied or unoccupied.
If the HVAC settings then in effect are intended to apply for an
occupied home, then the application terminates for a specified
interval. If the HVAC settings then in effect are intended to
apply when the home is unoccupied, then in step 1308 the
application will retrieve from database 300 the user's specific
preferences for how to handle this situation. If the user has7
previously specified (at the time that the program was initially
set up or subsequently modified) that the user prefers that the
system automatically change settings under Such circum
stances, the application then proceeds to step 1316, in which
it changes the programmed setpoint for the thermostat to the
setting intended for the house when occupied. If the user has
previously specified that the application should not make
such changes without further user input, then in step 1310 the
application transmits a command to computer 104 directing
the browser to display a message informing the user that the
current setting assumes an unoccupied house and asking the
user in step 1312 to choose whether to either keep the current
settings or revert to the pre-selected setting for an occupied
home. If the user selects to retain the current setting, then in
step 1314 the application will write to database 300 the fact
that the users has so elected and terminate. If the user elects to
change the setting, then in step 1316 the application transmits
the revised setpoint to the thermostat. In step 1314 the appli
cation writes the updated setting information to database 300.
FIG. 8 is a flowchart that shows how the invention can be
used to select different HVAC settings based upon its ability
to identify which of multiple potential occupants is using the
computer attached to the system. In step 1402 computer 104
transmits to server 106 information regarding the type of
activity detected on computer 104. Such information could
include the specific program or channel being watched if, for
example, computer 104 is used to watch television. The infor
mation matching, for example, TV channel 7 at 4:00 PM on a
given date to specific content may be made by referring to
Internet-based or other widely available scheduling sources
for such content. In step 1404 server 106 retrieves from data
base 300 previously logged data regarding viewed programs.
In step 1406 server 106 retrieves previously stored data
regarding the residents of the house. For example, upon ini
tiating the service, one or more users may have filled out
online questionnaires sharing their age, gender, schedules,
viewing preferences, etc. In step 1408, server 106 compares
the received information about user activity to previously
stored information retrieved from database 300 about the
occupants and their viewing preferences. For example, if
computer 104 indicates to server 106 that the computer is
being used to watch golf, the server may conclude that an
adult male is watching; if computer 104 indicates that it is
being used to watch children's programming, server 106 may
conclude that a child is watching. In step 1410 the server
transmits a query to the user in order to verify the match,
asking, in effect, “Is that you. Bob?' In step 1412, based upon
the user's response, the application determines whether the
correct user has been identified. If the answer is no, then the
application proceeds to step 1416. If the answer is yes, then in
step 1414 the application retrieves the temperature settings
for the identified occupant. In step 1416 the application writes
to database 300 the programming information and informa
tion regarding matching of users to that programming.
In an alternative embodiment, the application running on
computer 104 may respond to general user inputs (that is,
inputs not specifically intended to instantiate communication
with the remote server) by querying the user whether a given
action should be taken. For example, in a system in which the
computer 104 is a web-enabled television or web-enabled
set-top device connected to a television as a display, Software
running on computer 104 detects user activity, and transmits
a message indicating Such activity to server 106. The trigger
for this signal may be general. Such as changing channels or
adjusting Volume with the remote control or a power-on
event. Upon receipt by server 104 of this trigger, server 104

8
transmits instructions to computer 104 causing it to display a
dialog box asking the user whether the user wishes to change
HVAC settings.
What is claimed is:
1. A method for varying temperature setpoints for an
HVAC system comprising:
storing at least a first HVAC temperature setpoint associ
ated with a structure that is deemed to be non-occupied
and at least a second HVAC temperature setpoint asso
ciated with said structure deemed to be occupied;
determining whether one or more networked electronic
devices inside said structure are in use, wherein said
networked electronic devices comprise a graphic user
interface comprising a display, wherein said networked
electronic devices receive input from one or more users
and wherein use of said networked electronic devices
comprises at least one of cursor movement, keystrokes
or other user interface actions intended to alter a state of
one or more of said networked electronic devices by one
or more users;
in response to use of said one or more networked devices,
determining that said HVAC system is set to said first
HVAC temperature setpoint indicating that said struc
ture is deemed to be non occupied;
determining that said one or more users has previously
indicated a preference that said user's input be obtained
before automatically changing said first HVAC tempera
ture setpoint to said second HVAC temperature setpoint
indicating that said structure is deemed to be occupied;
prompting said one or more users based on said determin
ing that said one or more of said user's input should be
obtained, wherein said prompting sends a message to at
least one of said networked electronic devices that said
first HVAC system is set for a non-occupied structure
and whether to change said first HVAC temperature
setpoint to said second HVAC temperature setpoint
associated with occupancy of said structure;
in response to said prompting, receiving input from said
one or more users to keep said first HVAC temperature
setpoint; and
keeping said first HVAC temperature setpoint based upon
said input from said one or more users.
2. The method of claim 1 in which at least one of said
networked electronic devices is a television.
3. The method of claim 1 in which at least one of said
networked electronic devices is a personal computer.
4. The method of claim 1 in which at least one of said
networked electronic devices is connected to the Internet.
5. The method of claim 1 in which programming being
watched or listened to using at least one of said networked
electronic devices is used to determine which occupant of
said structure is likely to be present, and the second HVAC
temperature setpoint for said thermostatic controller is
selected based upon the preferences of the occupant, deter
mined to be using said at least one networked electronic
device.
6. The method of claim 1 in which at least one of said
networked electronic devices is a game console.
7. The method of claim 1 in which at least one of said
networked electronic devices communicates with a remote
SeVe.
8. The method of claim 1 further comprising adjusting said
temperature setpoint with a remote computer.
9. The method of claim 1 in which said first HVAC tem
perature setpoint is varied automatically based on said input
from said one or more users.US 8, 180,492 B2
10. A system for altering the setpoint on a thermostat for
space conditioning of a structure comprising:
at least one thermostat having at least a first temperature
setpoint associated with a non-occupied structure, and at
least a second temperature setpoint associated with the
existence of occupants in said structure;
one or more electronic devices having at least a graphic
user interface comprising a display wherein said elec
tronic devices receive input from one or more users and
wherein use of said electronic devices comprises at least
one of cursor movement, keystrokes or other user inter
face actions intended to alter a state of one or more of
said electronic devices by one or more users wherein
activity of one or more networked electronic devices
indicates whether said thermostat should be changed
from said first temperature setpoint to said second tem
perature setpoint;
wherein said electronic devices and said thermostat are
connected to a network;
an application comprising one or more computer proces
sors in communication with said network, wherein said
application determines whether said one or more elec
tronic devices are in use and in response, whether said
thermostat is set to said first temperature setpoint that
indicates said structure is not occupied,
said application determining that said one or more users
has previously indicated a preference that said user's
input be obtained before automatically changing said
first HVAC temperature setpoint to said second HVAC
temperature setpoint indicating that said structure is
deemed to be occupied;
said application prompting said one or more users based on
said determining that said one or more of said users
input should be obtained,

10
wherein said application provides electronic notice to one
or more of said users of said electronic devices that said
thermostat is set for a non-occupied structure and
whether to keep said first temperature setpoint or change
to said second temperature setpoint; and
wherein said application in response to said prompting,
receives input from said one or more users to keep said
first HVAC temperature setpoint; and
wherein said thermostat is kept at said first temperature
setpoint based upon said input from said one or more

USCS.

11. The system of claim 10 in which at least one of said
electronic devices is a television.
12. The system of claim 10 in which at least one of said
electronic devices is a personal computer.
13. The system of claim 10 in which at least one of said
electronic devices is connected to the Internet.
14. The system of claim 10 in which the programming
being watched or listened to using said electronic devices is
used to determine which occupant of said structure is likely to
be using at least one of said electronic devices, and the set
point for said thermostatic controller is selected based upon
the preferences of the occupant determined to be using said at
least one electronic device.
15. The system of claim 10 in which at least one of said
electronic devices is a game console.
16. The system of claim 10 in which at least one of said
electronic devices communicates with a remote server.
17. The system of claim 10 further comprising a remote
computer that varies said first temperature setpoint.
18. The system of claim 10 in which said first temperature
setpoint is varied automatically based on said input from said
Ole O O USS.Exhibit 2(12) United States Patent
Steinberg et al.

(54) SYSTEMAND METHOD FOR USINGA
NETWORK OF THERMOSTATS AS TOOL TO
VERIFY PEAK DEMAND REDUCTION
(75) Inventors: John Douglas Steinberg, Millbrae, CA
(US); Scott Douglas Hublou, Redwood
City, CA (US)
(73) Assignee: EcoFactor, Inc., Millbrae, CA (US)
(*) Notice: Subject to any disclaimer, the term of this
patent is extended or adjusted under 35
U.S.C. 154(b) by 0 days.
This patent is Subject to a terminal dis-
claimer.
(21) Appl. No.: 13/409,697
1-1.
(22) Filed: Mar. 1, 2012

Prior Publication Data
US 2012/O221294 A1 Aug. 30, 2012
Related U.S. Application Data
(63) Continuation of application No. 13/037,162, filed on
Feb. 28, 2011, now Pat. No. 8,131,506, which is a
continuation of application No. 12/183,949, filed on
Jul. 31, 2008, now Pat. No. 7,908,116.
(60) Provisional application No. 60/963, 183, filed on Aug.
3, 2007, provisional application No. 60/994,011, filed
on Sep. 17, 2007.
(51) Int. Cl.
G0IB I5/00 (2006.01)
(52) U.S. Cl. ........ 702/182; 702/176; 702/183: 702/184:
700/276; 700/278; 236/1 C; 236/46A: 236/46 R:
165/238; 165/239
(58) Field of Classification Search .................. 702/176,
702/182-184: 700/276, 278; 236/1 C, 46A,
236/46 R; 165/236,239
See application file for complete search history.
References Cited
U.S. PATENT DOCUMENTS
4,136,732 A 1/1979 Demaray et al.

(65)

(56)

TILY

USOO841.2488B2
(10) Patent No.: US 8,412,488 B2
(45) Date of Patent: *Apr. 2, 2013

4,341,345 A 7, 1982 Hammer et al.
1593; A 8. E. St. tal
4,655,279 A 4, 1987 Harmon
4 E. A g 3. E. tal
5,270,952 A 12/1993 Adams et al.
5,314,004 A 5/1994 Strand et al.
(Continued)
FOREIGN PATENT DOCUMENTS
O415747 3, 1991

-

aCO a

SO a

EP

KR 10-1994-001 1902

6, 1994

KR 10-2000-0059.532 10, 2000
OTHER PUBLICATIONS
Arens, et al., “How Ambient Intelligence Will Improve Habitability
and Energy Efficiency in Buildings”, 2005, research paper, Centerfor
the Built Environment, Controls and Information Technology.
Bourhan, et al., “Cynamic model of an HVAC system for control

analysis”. Elsevier 2004.

Comverge SuperStat Flyer.

(Continued)
Primary Examiner — Sujoy Kundu
(74) Attorney, Agent, or Firm — Knobbe, Martens, Olson &
Bear, LLP
(57)

ABSTRACT

The invention comprises systems and methods for estimating
the rate of change in temperature inside a structure. At least
one thermostat located is inside the structure and is used to
controlan climate control system in the structure. At least one
remote processor is in communication with said thermostat
and at least one database stores data reported by the thermo
Stat. At least one processor compares the outside temperature
at least one location and at least one point in time to informa
tion reported to the remote processor from the thermostat.
The processor uses the relationship between the inside tem
perature and the outside temperature to determine whether
the climate control system is “on” or “off”.
16 Claims, 10 Drawing Sheets

AABASE

DEMAND REDUCTN
SERWE SERWERSU.S. PATENT DOCUMENTS

10, 1995
8, 1996
9, 1996
11, 1996
11, 1997
2, 1998
10, 1998
11, 1999
9, 2000
11, 2000

Massara et al.
Brown et al.
Shah
Ehlers et al.
Ratcliffe et al.
Packa et al.
Dolan et al.
Williams et al.
Pascucci et al.
Ahmed

5,462,225
5,544,036
5,555,927
5,572.438
5,682,949
5,717.609
5,818,347
5,977.964
6,115,713
6,145,751
6,178,362
6,260,765
6,351,693
6,400,996
6,437,692
6,478,233
6,480,803
6,483,906
6,536,675
6,542,076
6,549,130
6,574,537
6,580,950
6,594,825
6,595,430
6,598,056
6,619,555
6,622,097
6,622,115
6,622,925
6,622,926
6,628,997
6,633,823
6,643,567
6,671,586
6,695.218
6,726,113
6,731,992
6,734,806
6,772,052
6,785,592
6,785,630
6,789,739
6,853,959
6,868,293
6,868,319
6,882,712
6,889,908
6,891,838
6,912,429
6,991,029
7,009,493
7,031,880
7,039,532
7,061,393
7,089,088

1, 2001 Woolard et al.

T/2001
2, 2002
6, 2002
8, 2002
11, 2002
11, 2002
11, 2002
3, 2003
4, 2003
4, 2003
6, 2003
6, 2003
T/2003
T/2003
T/2003
9, 2003
9, 2003
9, 2003
9, 2003
9, 2003
9, 2003
10, 2003
11, 2003
12, 2003
2, 2004
4, 2004
5, 2004
5, 2004
8, 2004

Natale et al.
Monie
Hoffberg et al.
Petite et al.
Shah
Pierret et al.
Lggulden et al.
Pesko et al.
Joao
Joao
KiperSztok et al.
Johnson
Goldschmidt et al.
Shah
Hull et al.
Rosen
Hunter
Brown et al.
Carner et al.
Sartain et al.
Fox et al.
Bartone et al.
Kolk et al.
Davis et al.
Fleckenstein
Guo
Ziegler
Cratsley
Amundsen

8, 2004 Smith
8, 2004 Kolk

9, 2004
2, 2005
3, 2005
3, 2005

Rosen
Ikeda et al.
Schurr
KiperSztok et al.

1, 2006 Iggulden et al.

4, 2005
5/2005
5/2005
6, 2005

Crippen et al.

Petite et al.
Bilger
Orfield et al.

3, 2006 Howard et al.
4, 2006 Seem et al.

5, 2006 Buckingham et al.

Hunter

6, 2006

8, 2006 Terry et al.

10, 2006

Ehlers et al.

7,130,719
7,130,832

H2176 B2

10, 2006
12, 2006

1/2007 Bannai et al.

B2

Meyer et al.
Smyth et al.

7,167,079
7,187,986
7,205,892
7,215,746
7,216,015
7,231,424
7,232,075

B2
B2
B2
B2
B2
B2
B1

3, 2007
4, 2007
5/2007
5/2007
6, 2007
6, 2007

Johnson et al.
Luebke et al.
Iggulden et al.
Poth
Bodin et al.
Rosen

7/2007 Hoffberg et al.
8, 2007 Schlack et al.

7,242.988 B1
7,260,823 B2

4, 2008
1/2009

Gull et al.
Jackson et al.

7,356,384
7,483,964
7,644,869
7,784,704
7,848,900
7,894,943

7,908,116 B2

B1
B2
B2
B2
B2
B2

1, 2010 Hoglund et al.

8, 2010
12, 2010
2, 2011
3, 2011

Harter
Steinberg et al.
Sloup et al.
Steinberg et al.

3, 2011 Steinberg et al.
8, 2011 Cheung et al.
9, 2011 Steinberg et al.

7,908,117 B2
8,010,237 B2
8,019,567 B2

Page 2

8,090.477 B1
8, 131497 B2

1/2012 Steinberg
3/2012 Steinberg et al.

8,131.506 B2 * 3/2012 Steinberg et al. ............. TO2, 182

8, 180,492 B2
2003/004.0934 A1
2004/0176880 A1
2005/0222889 A1
2005/0288822 A1
2006, OO45105 A1
2006/0214014 A1
2007/0043477 A1
2007/0045431 A1
2007, 0146126 A1
2008, 0083234 A1
2008. O198549 A1
2008/0281472 A1
2009/0052859 A1
2009.00996.99 A1
2009.0125151 A1
2009, 0240381 A1
2009,028.1667 A1
2010, OO19052 A1
2010, 0070.086 A1
2010, 0070089 A1
2010.007OO93 A1
2010.0156608 A1
2010, 0162285 A1
2010, 0211224 A1
2010. 0235004 A1
2010/0282857 A1
2010/0289643 A1
2010/0308119 A1
2010/0318227 A1
2011 OO31323 A1
2011/0290893 Al
2011/0307103 Al
2012 OO65935 A1
2012fOO86562 A1
2012/01583.50 A1
2012fO221151 A1
2012fO221294 A1

5/2012 Steinberg
2/2003 Skidmore et al.
9, 2004 Obradovich et al.
10, 2005 Lai et al.
12/2005 Rayburn
3/2006 DobOSZ. et al.
9, 2006 Bash et al.
2/2007 Ehlers et al.
3/2007 Chapman et al.
6/2007 Wang
4/2008 Krebs et al.
8/2008 Rasmussen et al.
1 1/2008 Podgorny et al.
2/2009 Greenberger et al.
4/2009 Steinberg et al.
5/2009 Steinberg et al.
9, 2009 Lane
11/2009 Masui et al.
1/2010 Yip
3/2010 Harrod et al.
3/2010 Harrod et al.
3/2010 Harrod et al.
6, 2010 Bae et al.
6, 2010 Cohen et al.
8/2010 Keeling et al.
9, 2010 Thind
1 1/2010 Steinberg
11/2010 Trundle et al.
12/2010 Steinberg et al.
12/2010 Steinberg et al.
2/2011 Nold et al.
12/2011 Steinberg
12/2011 Cheung et al.
3/2012 Steinberg et al.
4/2012 Steinberg
6/2012 Steinberg et al.
8/2012 Steinberg
8/2012 Steinberg et al.
OTHER PUBLICATIONS
Control4 Wireless Thermostat Brochure.
Cooper Power Systems Web Page.
Emerson Climate Technologies, “Network Thermostat for E2 Build
ing Controller Installation and Operation Manual”. 2007.
Enernoc Web Page.
Enerwise Website.
Honeywell Programmable Thermostat Owner's Guide, www.
honeywell.com/yourhome.
Honeywell, W7600/W7620 Controller Reference Manual,
HW0021207, Oct. 1992.
Johnson Controls, “T600HCX-3 Single-Stage Thermostats', 2006.
Johnson Controls, Touch4 building automation system brochure,
2007.
Kilicotte, et al., “Dynamic Controls for Energy Efficiency and
Demand Response: Framework Concepts and a New Construction
Study Case in New York”. Proceedings of the 2006 ACEEE Summer
Study of Energy Efficiency in Buildings, Pacific Grove. CA, Aug.
13-18, 2006.
Lin, et al., “Multi-Sensor Single-Actuator Control of HVAC Sys
tems', 2002.
Pier, Southern California Edison, Demand Responsive Control of Air
Conditioning via Programmable Communicating Thermostats Draft
Report.
Proliphix. Thermostat Brochure.
Wang, et al., “Opportunities to Save Energy and Improve Comfort by
Using Wireless Sensor Networks in Buildings.” (2003), Center for
Environmental Design Research.
Wetter, et al. A comparison of deterministic and probabilistic opti
mization algorithms for nonsmooth simulation-based optimization.
Building and Environment 39, 2004, pp. 989-999.
Written Opinion and Search Report for PCT/US2011/032537, dated
Dec. 12, 2011.
* cited by examinerf/22

UTILITY

DEMAND REDUCTION
SERVICE SERVERS

A76, 2&q& xou;10g dnufiis

nok ©ADSp??OM DIE

OG†

:sse uppý :499 ielipnbS ÁuonuptSEHO LIMAS

WNNELNÝ SSHT38||M W?GOWTEMPERATURE
THERMOSTAT SETTINGS

HVAC HARDWARE

TRANSACTION
PRODUCT & SERVICE

AV2 2.t

>
2
a

- S.
o NS

Old

as a

E

N

NS g E
s

s

WNNYYNYNYN
/ 4NNNNNNN a
3 3. & S-
e
s
d

N

N
S

L

a L. ac

f

S S.
o N

as 2. as S KYN "a

s

W

o
ver

C

o

O
N.US 8.412,488 B2

UTILITY TRANSMTS DEMAND
REDUCTION RECUEST TO
DEMAND REDUCTION
SERVICE

40?

1S USER A
DEMAND REDUCTION
SUBSCRIBER

423
CONTRIBUTION REQUIREDYNO
TO MEET DR
REOUEST
p

IS USER'S

YES
SEND DEMAND RECUEST 474
SGNAL TO THERMOSTAT

A/2 2.RECEIVE EMPERATURE
READINGS FROM THERMOSTAT
CALCULATE PREDCTED
TEMPERATURE READING

IS ACTUAL READING
ROUGHLY EOUA TO
PREDICTED READING

DEMAND REDUCTION -97.2
NOT CONFIRMED

DEMAND REDUCTION -2
CONFIRMED

A7% fU.S. Patent Apr. 2, 2013 Sheet 10 of 10 US 8,412,488 B2

42,2/2/

A2/9

ÅL?T! Lf]1.
SYSTEMAND METHOD FOR USINGA
NETWORK OF THERMOSTATS AS TOOL TO
VERIFY PEAK DEMAND REDUCTION
CROSS-REFERENCE TO RELATED
APPLICATIONS
This application is a continuation of U.S. patent applica
tion Ser. No. 137037,162, filed Feb. 28, 2011, now U.S. Pat.
No. 8,131.506 which is a continuation of U.S. patent appli
cation Ser. No. 12/183,949, filed Jul. 31, 2008, now U.S. Pat.
No. 7,908,116, issued on Mar. 15, 2011, which claims the
benefit of priority under 35 U.S.C. S 119(e) to both U.S.
Provisional Application 60/963,183, filed Aug. 3, 2007; and
U.S. Provisional Application No. 60/994,011, filed Sep. 17,
2007, the entireties of which are incorporated herein by ref
erence and are to be considered part of this specification.
BACKGROUND OF THE INVENTION
1. Field of the Invention
This invention relates to the use of thermostatic HVAC
controls that are connected to a computer network as a part of
a system for offering peak demand reduction to electric utili
ties. More specifically, the present invention pertains to use of
communicating thermostat combined with a computer net
work to verify that demand reduction has occurred.
2. Background
Climate control systems such as heating and cooling sys
tems for buildings (heating, ventilation and cooling, or HVAC
systems) have been controlled for decades by thermostats. At
the most basic level, athermostat includes a means to allow a
user to set a desired temperature, a means to sense actual
temperature, and a means to signal the heating and/or cooling
devices to turn on or offin order to try to change the actual
temperature to equal the desired temperature. The most basic
versions of thermostats use components such as a coiled
bi-metallic spring to measure actual temperature and a mer
cury Switch that opens or completes a circuit when the spring
coils or uncoils with temperature changes. More recently,
electronic digital thermostats have become prevalent. These
thermostats use solid-state devices such as thermistors or
thermal diodes to measure temperature, and microprocessor
based circuitry to control the switch and to store and operate
based upon user-determined protocols for temperature Vs.
time.
These programmable thermostats generally offer a very
restrictive user interface, limited by the cost of the devices,
the limited real estate of the small wall-mounted boxes, and
the inability to take into account more than two variables: the
desired temperature set by the user, and the ambient tempera
ture sensed by the thermostat. Users can generally only set
one series of commands per day, and to change one parameter
(e.g., to change the late-night temperature) the user often has
to cycle through several other parameters by repeatedly press
ing one or two buttons.
As both the cost of energy and the demand for electricity
have increased, utilities Supplying electricity increasingly
face unpleasant choices. The demand for electricity is not
Smooth over time. In so-called "Summer peaking locations,
on the hottest days of the year, peak loads may be twice as
high as average loads. During Such peak load periods (gen
erally in the late afternoon), air conditioning can be the largest
single element of demand.
Utilities and their customers generally see reductions of
Supply (brownouts and blackouts) as an unacceptable out
come. But their other options can be almost as distasteful. In

2
the long term, they can build additional generating capacity,
but that approach is very expensive given the fact that Such
capacity may be needed for only a few hours a year. And this
option is of course unavailable in the short term. When con
fronted with an immediate potential shortfall, a utility may
have reserve capacity it can choose to bring online. But
because utilities are assumed to try to operate as efficiently as
possible, the reserve capacity is likely to be the least efficient
and most expensive and/or more polluting plants to operate.
Alternatively, the utility may seek to purchase additional
power on the open market. But the spot market for electricity,
which cannot efficiently be stored, is extremely volatile,
which means that spot prices during peak events may be as
much as 10x the average price.
More recently, many utilities have begun to enter into
agreements with certain customers to reduce demand, as
opposed to increasing Supply. In essence, these customers
agree to reduce usage during a few critical periods in
exchange for incentives from the utility. Those incentives
may take the form of a fixed contract payment in exchange for
the right to cut the amount of power Supplied at specified
times, or a reduced overall price per kilowatt-hour, or a rebate
each time power is reduced, or Some other method.
The bulk of these peak demand reduction (PDR) contracts
have been entered into with large commercial and industrial
customers. This bias is in large part due to the fact that
transaction costs are much lower today for a single contract
with a factory that can offer demand reduction of 50 mega
watts than they would be for the equivalent from residential
customers it could take 25,000 or more homes to equal that
reduction if these homes went without air conditioning.
But residential air conditioning is the largest single com
ponent of peak demand in California, and is a large percent
age in many other places. There are numerous reasons why it
would be economically advantageous to deploy PDR in the
residential market. Whereas cutting energy consumption at a
large factory could require shutting down or curtailing pro
duction, which has direct economic costs, cutting consump
tion for a couple of hours in residences is likely to have no
economic cost, and may only result in minor discomfort—or
none at all if no one is at home at the time.
Residential PDR has been attempted. But there have been
numerous command and control issues with these implemen
tations. The standard approach to residential PDR has been to
attach a radio-controlled switch to the control circuitry
located outside the dwelling. These switches are designed to
receive a signal from a transmitter that signals the compressor
to shut off during a PDR call.
There are a number of technical complications with this
approach. There is some evidence that “hard cycling the
compressor in this manner can damage the air conditioning
system. There are also serious issues resulting from the fact
that the communication system is unidirectional. When utili
ties contract for PDR, they expect verification of compliance.
One-way pagers allow the utility to send a signal that will shut
of the A/C, but the pager cannot confirm to the utility that the
NC unit has in fact been shut off. If a consumer tampers with
the system so that the A/C can be used anyway, the utility will
not be able to detect it, absent additional verification systems.
One way in which some utilities are seeking to address this
issue is to combine the pager-controlled thermostat with so
called advanced metering infrastructure (AMI). This
approach relies on the deployment of 'Smart meters' elec
tric meters that are more sophisticated than the traditional
meter with its mechanical odometer mechanism for logging
only cumulative energy use. Smart meters generally include a
means for communicating instantaneous readings. That com3
munication may in the form of a signal sent over the power
lines themselves, or a wireless communication over a data
network arranged by the utility. These meters allow utilities to
accomplish a number of goals, including offering pricing that
varies by time of day in order to encourage customers to move
consumption away from peak demand hours. These Smart
meters can cost hundreds of dollars, however, and require
both a “truck roll' a visit from a trained service person—
and most likely the scheduling of an appointment with the
occupants, because Swapping the meter will require turning
off power to the house.
If the utility installs a smart meter at each house that con
tracts to participate in a PDR program, it may be possible to
verify that the A/C is in fact switched off. But this approach
requires two separate pieces of hardware, two separate com
munications systems, and the ability to match them for veri
fication purposes.
It would be desirable to have a system that could both
implement and verify residential peak demand reduction with
reduced expenses.
SUMMARY OF THE INVENTION
At least one embodiment of the invention that includes
system for predicting the rate of change in temperature inside
a structure comprising at least one thermostat located inside
the structure and controlling an HVAC system in said struc
ture; at least one remote processor that is in communication
with said thermostat; at least one database for storing data
reported by said thermostat; at least one processor that com
pares outside temperature at least location and at least one
point in time to information reported to said remote processor
from said thermostat, and wherein said processor uses the
relationship between the inside temperature and the outside
temperature over time to derive a first prediction for the rate of
change in inside temperature assuming that the operating
status of the HVAC system is “on”; and said processor uses
the relationship between the inside temperature and the out
side temperature over time to derive a second prediction for
the rate of change in inside temperature assuming that the
operating status of the HVAC system is “off”; and said pro
cessor compares at least one of the first prediction and the
second prediction to the actual inside temperature recorded
inside the structure to determine whether the actual inside
temperature is closer to the first prediction or the second
prediction.
In one embodiment, the invention comprises a thermostat
attached to an HVAC system, a local network connecting the
thermostat to a larger network Such as the Internet, one or
more additional thermostats attached to the network and to
other HVAC systems, and a server in bi-directional commu
nication with the thermostats. The server logs the ambient
temperature sensed by each thermostat vs. time and the sig
nals sent by the thermostats to the HVAC systems to which
they are attached. The server preferably also logs outside
temperature and humidity data for the geographic locations
for the buildings served by the connected HVAC systems.
Such information is widely available from various sources
that publish detailed weather information based on geo
graphic areas such as by ZIP code. The server also stores other
data affecting the load upon the system, Such as specific
model of HVAC system, occupancy, building characteristics,
etc. Some of this data may be supplied by the individual users
of the system, while other data may come from commercial
Sources such as the electric and other utilities who supply
energy to those users.

4
By using these multiple data streams to compare the per
formance of one system versus another, and one system ver
sus the same system at other times, the server is able to
estimate the effective thermal mass of the structure, and
thereby predict the expected thermal performance of a given
structure in response to changes in outside temperature. Thus,
for example, if the air conditioning is shut off on a hot after
noon, given a known outside temperature, it will be possible
to predict how quickly the temperature in the house should
rise. If the actual temperature change is significantly different
from the predicted rate of change, or does not change at all, it
is possible to infer that the air conditioning has not, in fact
been shut off.
This and other advantages of the present invention are
explained in the detailed description and claims that make
reference to the accompanying diagrams and flowcharts.
BRIEF DESCRIPTION OF THE DRAWINGS
FIG. 1 shows an example of an overall environment in
which an embodiment of the invention may be used.
FIG. 2 shows a high-level illustration of the architecture of
a network showing the relationship between the major ele
ments of one embodiment of the subject invention.
FIG. 3 shows an embodiment of the website to be used as
part of the subject invention.
FIG. 4 shows a high-level schematic of the thermostat used
as part of the Subject invention.
FIG. 5 shows one embodiment of the database structure
used as part of the Subject invention
FIGS. 6A and 6B show a graphical representation of the
manner in which the subject invention may be used to verify
that a demand reduction event has occurred.
FIG. 7 is a flow chart illustrating the steps involved in
generating a demand reduction event for a given Subscriber.
FIG. 8 is a flow chart illustrating the steps involved in
confirming that a demand reduction event has taken place.
FIG.9 is a representation of the movement of messages and
information between the components of the subject inven
tion.

DETAILED DESCRIPTION OF THE PREFERRED
EMBODIMENTS
FIG. 1 shows an example of an overall environment 100 in
which an embodiment of the invention may be used. The
environment 100 includes an interactive communication net
work 102 with computers 104 connected thereto. Also con
nected to network 102 are one or more server computers 106,
which store information and make the information available
to computers 104. The network 102 allows communication
between and among the computers 104 and 106.
Presently preferred network 102 comprises a collection of
interconnected public and/or private networks that are linked
to together by a set of standard protocols to form a distributed
network. While network 102 is intended to refer to what is
now commonly referred to as the Internet, it is also intended
to encompass variations which may be made in the future,
including changes additions to existing standard protocols.
When a user of the subject invention wishes to access
information on network 102, the buyer initiates connection
from his computer 104. For example, the user invokes a
browser, which executes on computer 104. The browser, in
turn, establishes a communication link with network 102.
Once connected to network 102, the user can direct the
browser to access information on server 106.5
One popular part of the Internet is the World Wide Web.
The World WideWeb contains a large number of computers
104 and servers 106, which store HyperText Markup Lan
guage (HTML) documents capable of displaying graphical
and textual information. HTML is a standard coding conven
tion and set of codes for attaching presentation and linking
attributes to informational content within documents.
The servers 106 that provide offerings on the World Wide
Web are typically called websites. A website is often defined
by an Internet address that has an associated electronic page.
Generally, an electronic page is a document that organizes the
presentation of text graphical images, audio and video.
In addition to the Internet, the network 102 can comprise a
wide variety of interactive communication media. For
example, network 102 can include local area networks, inter
active television networks, telephone networks, wireless data
systems, two-way cable systems, and the like.
In one embodiment, computers 104 and servers 106 are
conventional computers that are equipped with communica
tions hardware such as modem or a network interface card.
The computers include processors such as those sold by Intel
and AMD. Other processors may also be used, including
general-purpose processors, multi-chip processors, embed
ded processors and the like.
Computers 104 can also be handheld and wireless devices
Such as personal digital assistants (PDAs), cellular telephones
and other devices capable of accessing the network.
Computers 104 utilize a browser configured to interact
with the World Wide Web. Such browsers may include
Microsoft Explorer, Mozilla, Firefox, Opera or Safari. They
may also include browsers used on handheld and wireless
devices.
The storage medium may comprise any method of storing
information. It may comprise random access memory
(RAM), electronically erasable programmable read only
memory (EEPROM), read only memory (ROM), hard disk,
floppy disk, CD-ROM, optical memory, or other method of
storing data.
Computers 104 and 106 may use an operating system such
as Microsoft Windows, Apple Mac OS, Linux, Unix or the
like.
Computers 106 may include a range of devices that provide
information, Sound, graphics and text, and may use a variety
of operating systems and software optimized for distribution
of content via networks.
FIG. 2 illustrates in further detail the architecture of the
specific components connected to network 102 showing the
relationship between the major elements of one embodiment
of the subject invention. Attached to the network are thermo
stats 108 and computers 104 of various users. Connected to
thermostats 108 are HVAC units 110. The HVAC units may be
conventional air conditioners, heat pumps, or other devices
for transferring heat into or out of a building. Each user is
connected to the servers 106a via wired or wireless connec
tion such as Ethernet or a wireless protocol such as IEEE
802.11, a gateway 110 that connects the computer and ther
mostat to the Internet via a broadband connection Such as a
digital subscriber line (DSL) or other form of broadband
connection to the World Wide Web. In one embodiment,
electric utility server 106a and demand reduction service
server 106b are in communication with the network 102.
Servers 106a and 106bcontain the content to be served as web
pages and viewed by computers 104, as well as databases
containing information used by the servers. Also connected to
the servers 106a via the Internet are computers located at one
or more electrical utilities 106b.

6
In the currently preferred embodiment, the website 200
includes a number of components accessible to the user, as
shown in FIG. 3. Those components may include a means to
store temperature settings 202, a means to enter information
about the user's home 204, a means to enter the user's elec
tricity bills 206, means to calculate energy savings that could
result from various thermostat-setting strategies 208, and
means to enable and choose between various arrangements
210 for demand reduction with their electric utility provider
as intermediated by the demand reduction service provider.
FIG. 4 shows a high-level block diagram of thermostat 108
used as part of the subject invention. Thermostat 108 includes
temperature sensing means 252, which may be a thermistor,
thermal diode or other means commonly used in the design of
electronic thermostats. It includes a microprocessor 254,
memory 256, a display 258, a power source 260, a relay 262,
which turns the HVAC system on and off in response to a
signal from the microprocessor, and contacts by which the
relay is connected to the wires that lead to the HVAC system.
To allow the thermostatto communicate bi-directionally with
the computer network, the thermostat also includes means
264 to connect the thermostat to a local computer or to a
wireless network. Such means could be in the form of Ether
net, wireless protocols such as IEEE 802.11, IEEE 802.15.4,
Bluetooth, or other wireless protocols. (Other components as
needed) The thermostat 250 may also include controls 266
allowing users to change settings directly at the thermostat,
but Such controls are not necessary to allow the thermostatto
function.
The data used to generate the content delivered in the form
of the website is stored on one or more servers 106 within one
or more databases. As shown in FIG. 5, the overall database
structure 300 may include temperature database 400, thermo
stat settings database 500, energy bill database 600, HVAC
hardware database 700, weather database 800, user database
900, transaction database 1000, product and service database
1100 and such other databases as may be needed to support
these and additional features.
The website will allow users of connected thermostats 250
to create personal accounts. Each user's account will store
information in database 900, which tracks various attributes
relative to users of the site. Such attributes may include the
make and model of the specific HVAC equipment in the user's
home; the age and square footage of the home, the Solar
orientation of the home, the location of the thermostat in the
home, the user's preferred temperature settings, whether the
user is a participant in a demand reduction program, etc.
As shown in FIG.3, the website 200 will permit thermostat
users to perform through the web browser substantially all of
the programming functions traditionally performed directly
at the physical thermostat, such as temperature set points, the
time at which the thermostat should be at each set point, etc.
Preferably the website will also allow users to accomplish
more advanced tasks Such as allow users to program in Vaca
tion settings for times when the HVAC system may be turned
off or run at more economical settings, and set macros that
will allow changing the settings of the temperature for all
periods with a single gesture Such as a mouse click.
In addition to using the system to allow better signaling and
control of the HVAC system, which relies primarily on com
munication running from the server to the thermostat, the
bi-directional communication will also allow the thermostat
108 to regularly measure and send to the server information
about the temperature in the building. By comparing outside
temperature, inside temperature, thermostat settings, cycling
behavior of the HVAC system, and other variables, the system8
service provider Zrequesting W megawatts of demand reduc
tion. Demand reduction service provider server determines
that it will turn off the air conditioner at house A in order to
achieve the required demand reduction. At the time the event
is triggered, the inside temperature as reported by the ther
mostat in house A is 72 degrees F. The outside temperature
near house A is 96 degrees Fahrenheit. The inside temperature
at House B, which is not part of the demand reduction pro
gram, but is both connected to the demand reduction service
server and located geographically proximate to House A, is
74 F. Because the A/C in house A has been turned off, the
temperature inside House A begins to rise, so that at 4 PM it
has increased to 79 F. Because the server is aware of the
outside temperature, which remains at 96 F, and of the rate of
temperature rise inside house A on previous days on which
temperatures have been at or near 96 F, and the temperature in
house B, which has risen only to 75 F because the air condi
tioning in house B continues to operate normally, the server is
able to confirm with a high degree of certainty that the A/C in
house A has indeed been shut off.
In contrast, if the HVAC system at house A has been tam
pered with, so that a demand reduction signal from the server
does not actually result in shutting off the A/C in house A,
when the server compares the rate of temperature change at
house A against the other data points, the server will receive
data inconsistent with the rate of increase predicted. As a
result, it will conclude that the A/C has not been shut off in
house A as expected, and will not credit house A with the
financial credit that would be associated with demand reduc
tion compliance, or may trigger a business process that could
result in termination of house A's participation in the demand
reduction program.
FIG. 9 illustrates the movement of signals and information
between the components of the Subject invention to trigger
and verify a demand reduction response. In step 602 the
electric utility server 106b transmits a message to demand
reduction service server 106a requesting a demand reduction
of a specified duration and size. Demand reduction service
server 106a uses database 300 to determine which subscrib
ers should be included in the demand reduction event. For
each included subscriber, the server then sends a signal 604 to
the subscriber's thermostat instructing it (a) to shut down at
the appropriate time or (b) to allow the temperature as mea
Sured by the thermostatto increase to a certain temperature at
the specified time, depending upon the agreement between
the homeowner and the demand reduction aggregator. The
server then receives 606 temperature signals from the sub
scriber's thermostat. At the conclusion of the demand reduc
tion event, the server transmits a signal 608 to the thermostat
permitting the thermostat to signal its attached HVAC system
to resume cooling, if the system has been shutoff, or to reduce
the target temperature to its pre-demand reduction setting, if
the target temperature was merely increased. After determin
ing the total number of Subscribers actually participating in
the DR event, the server then calculates the total demand
reduction achieved and sends a message 610 to the electric
utility confirming Such reduction.
Additional steps may be included in the process. For
example, if the subscriber has previously requested that
notice be provided when a peak demand reduction event
occurs, the server will also send an alert, which may be in the
form of an email message or an update to the personalized
web page for that user, or both. If the server determines that a

7
will be capable of numerous diagnostic and controlling func
tions beyond those of a standard thermostat.
For example, FIG. 6a shows a graph of inside temperature,
outside temperature and HVAC activity for a 24 hour period.
When outside temperature 302 increases, inside temperature
304 follows, but with some delay because of the thermal mass
of the building, unless the air conditioning 306 operates to
counteract this effect. When the air conditioning turns on, the
inside temperature stays constant (or rises at a much lower
rate) despite the rising outside temperature. In this example, 10
frequent and heavy use of the air conditioning results in only
a very slight temperature increase inside o the house of 4
degrees, from 72 to 76 degrees, despite the increase in outside
temperature from 80 to 100 degrees.
FIG. 6b shows a graph of the same house on the same day,
but assumes that the air conditioning is turned off from noon
to 7 PM. As expected, the inside temperature 304a rises with
increasing outside temperatures 302 for most of that period,
reaching 88 degrees at 7 PM.
Because server 106a logs the temperature readings from
inside each house (whether once per minute or over some
other interval), as well as the timing and duration of air
conditioning cycles, database 300 will contain a history of the
thermal performance of each house. That performance data
will allow the server 106a to calculate an effective thermal
mass for each Such structure—that is, the speed with the
temperature inside a given building will change in response to
changes in outside temperature. Because the server will also
log these inputs against other inputs including time of day,
humidity, etc. the server will be able to predict, at any given
time on any given day, the rate at which inside temperature
should change for given inside and outside temperatures.
As shown in FIG.3, website 200 will allow the users to opt
210 into a plan that offers incentives such as cash or rebates in
exchange for reduced air conditioning use during peak load
periods.
FIG. 7 shows the steps followed in order to initiate air
conditioner shutoff. When a summer peak demand situation
occurs, the utility will transmit an email 402 or other signal to
server 106a requesting a reduction in load. Server 106a will
determine 404 if the user's house is served by the utility
seeking reduction; determine 406 if a given user has agreed to
reduce peak demand; and determine 408 if a reduction of
consumption by the user is required or desirable in order to
achieve the reduction in demand requested by the utility. The
server will transmit 410 a signal to the user's thermostat 108
signaling the thermostat to shut off the air conditioner 110.
FIG. 8 shows the steps followed in order to verify that the
air conditioner has in fact been shut off. Server 106a will
receive and monitor 502 the temperature readings sent by the
users thermostat 108. The server then calculates 504 the
temperature reading to be expected for that thermostat given
inputs such as current and recent outside temperature, recent
inside temperature readings, the calculated thermal mass of
the structure, temperature readings in other houses, etc. The
server will compare 506 the predicted reading with the actual
reading. If the server determines that the temperature inside
the house is rising at the rate predicted if the air conditioning
is shutoff, then the server confirms 508 that the air condition
ing has been shut off. If the temperature reading from the
thermostat shows no increase, or significantly less increase
than predicted by the model, then the server concludes 510
that the air conditioning was not Switched off, and that no
contribution to the demand response request was made.

5

15

20

25

30

35

40

45

50

55

60

For example, assume that on at 3 PM on date Y utility X 65 given home has (or has not) complied with the terms of its

demand reduction agreement, the server will send a message
to the subscriber confirming that fact.

wishes to trigger a demand reduction event. A server at utility
X transmits a message to the server at demand reductionIt should also be noted that in some climate Zones, peak
demand events occur during extreme cold weather rather than
(or in addition to) during hot weather. The same process as
discussed above could be employed to reduce demand by
shutting off electric heaters and monitoring the rate at which
temperatures fall.
It should also be noted that the peak demand reduction
service can be performed directly by a power utility, so that
the functions of server 106a can be combined with the func
tions of server 106b.
The system installed in a subscriber's home may optionally
include additional temperature sensors at different locations
within the building. These additional sensors may we con
nected to the rest of the system via a wireless system such as
802.11 or 802.15.4, or may be connected via wires. Addi
tional temperature and/or humidity sensors may allow
increased accuracy of the system, which can in turn increase
user comfort, energy savings or both.
While particular embodiments of the present invention
have been shown and described, it is apparent that changes
and modifications may be made without departing from the
invention in its broader aspects and, therefore, the invention
may carried out in other ways without departing from the true
spirit and scope. These and other equivalents are intended to
be covered by the following claims:
What is claimed is:
1. A system for monitoring the operational status of an
HVAC system comprising:
at least one HVAC control system associated with a first
structure that receives temperature measurements from
at least a first structure conditioned by at least one HVAC
system;
one or more processors that receive measurements of out
side temperatures from at least one source other than
said HVAC system,
wherein said one or more processors compares the inside
temperature of said first structure and the outside tem
perature over time to derive an estimation for the rate of
change in inside temperature of said first structure in
response to outside temperature, and
wherein said one or more processors compare an inside
temperature recorded inside the first structure with said
estimation for the rate of change in inside temperature of
said first structure to determine whether the first HVAC
system is on or off.
2. A system as in claim 1 in which said one or more
processors receive measurements of outside temperatures for
geographic regions such as ZIP codes from Sources other than
said HVAC system.
3. A system as in claim 1 in which said HVAC system is
located within a single family dwelling.
4. A system as in claim 1 in which said HVAC system
comprises a programmable thermostat.

10
5. A system as in claim 1 in which said HVAC system
comprises a programmable thermostat that communicates
with a mesh networking protocol.
6. A system as in claim 1 in which said HVAC system
comprises a programmable thermostat that communicates
with a network.
7. A system as in claim 1 in which said one or more
processors communicate with said HVAC system using a
network that includes an electricity meter.
8. A system as in claim 1 in which said estimation is a
prediction about the future rate of change in temperature
inside said structure.
9. A method for monitoring the operation of an HVAC
system comprising:
receiving temperature measurements from at least one
HVAC control system associated with a first structure
conditioned by at least one HVAC system;
receiving at one or more processors, measurements of out
side temperatures from at least one source other than
said HVAC system;
comparing with said one or more processors the inside
temperature of said first structure and the outside tem
perature over time to derive an estimation for the rate of
change in inside temperature of said first structure in
response to outside temperature, and
comparing with said one or more processors, an inside
temperature recorded inside the first structure with said
estimation for the rate of change in inside temperature of
said first structure to determine whether the first HVAC
system is on or off.
10. A method as in claim 9 in which said one or more
processors receive measurements of outside temperatures for
geographic regions such as ZIP codes from sources other than
said HVAC system.
11. A method as in claim 9 in which said HVAC system is
located within a single family dwelling.
12. A method as in claim 9 in which said HVAC system
comprises a programmable thermostat.
13. A method as in claim 9 in which said HVAC system
comprises a programmable thermostat that communicates
with a mesh networking protocol.
14. A method as in claim 9 in which said HVAC system
comprises a programmable thermostat that communicates
with a network.
15. A method as in claim 9 in which said one or more
processors communicate with said HVAC system using a
network that includes an electricity meter.
16. A method as in claim 9 in which said estimation is a
prediction about the future rate of change in temperature
inside said structure.(12) United States Patent
Steinberg et al.
(54) SYSTEMAND METHOD FOR USINGA
NETWORK OF THERMOSTATS AS TOOL TO
VERIFY PEAK DEMAND REDUCTION
(71) Applicant: EcoFactor, Inc., Millbrae, CA (US)

72) Inventors: John Douglas

g Millbrae, CA

g Steinberg,

(US); Scott Douglas Hublou, Redwood
City, CA (US)
(73) Assignee: EcoFactor, Inc., Mllbrae, CA (US)
(*) Notice: Subject to any disclaimer, the term of this
patent is extended or adjusted under 35
U.S.C. 154(b) by 0 days.
This patent is Subject to a terminal dis
claimer.
(21) Appl. No.: 13/852.577
(22) Filed: Mar. 28, 2013

Prior Publication Data
US 2013/O238143 A1 Sep. 12, 2013
Related U.S. Application Data
(63) Continuation of application No. 13/409,697, filed on
Mar. 1, 2012, now Pat. No. 8,412,488, which is a
continuation of application No. 13/037,162, filed on
Feb. 28, 2011, now Pat. No. 8,131,506, which is a
continuation of application No. 12/183,949, filed on
Jul. 31, 2008, now Pat. No. 7,908,116.
(60) Provisional application No. 60/963, 183, filed on Aug.
3, 2007, provisional application No. 60/994,011, filed
on Sep. 17, 2007.
(51) Int. Cl.
G06F II/30
G2IC 17/00
GOIM I/38
G05B I3/00
G05B I5/00
G05D 23/00
F24F II/053
G05D 23/2
G05D 23/85
G05D 23/9

(65)

(2006.01)
(2006.01)
(2006.01)
(2006.01)
(2006.01)
(2006.01)
(2006.01)
(2006.01)
(2006.01)
(2006.01)

ATABASE
DataBase

BAABASE

TILY

DEMAN REDUCTION
SERWE servers

US008738327B2
(10) Patent No.: US 8,738,327 B2
(45) Date of Patent: *May 27, 2014
(52) U.S. Cl.
USPC ............ 702/182: 700/276; 700/278; 236/1 C:
165/238; 165/239

(58) Field of Classification Search
USPC .................. 702/176, 182-184; 700/276, 278:
236/1 C, 46 A, 46 R; 165/238,239
See application file for complete search history.
References Cited
U.S. PATENT DOCUMENTS
1/1979 Demaray et al.
7, 1982 Hammer et al.
(Continued)
FOREIGN PATENT DOCUMENTS

(56)

4,136,732 A
4,341,345 A

EP
JP

O415747
05-189659

3, 1991
7, 1993
(Continued)
OTHER PUBLICATIONS
U.S. Appl. No. 13/523,697, filed Jun. 14, 2012, Hublou, Scott
Douglas et al.

(Continued)
Primary Examiner – John Breene
Assistant Examiner — Manuel Rivera Vargas
(74) Attorney, Agent, or Firm — Knobbe, Martens, Olson &
Bear, LLP
(57)

ABSTRACT

The invention comprises systems and methods for estimating
the rate of change in temperature inside a structure. At least
one thermostat located is inside the structure and is used to
controlan climate control system in the structure. At least one
remote processor is in communication with said thermostat
and at least one database stores data reported by the thermo
Stat. At least one processor compares the outside temperature
at at least one location and at least one point in time to
information reported to the remote processor from the ther
mostat. The processor uses the relationship between the
inside temperature and the outside temperature to determine
whether the climate control system is “on” or “off”.
19 Claims, 10 Drawing Sheets

- USE
INSIDE
Ayo ACTWITY(56)

References Cited
U.S. PATENT DOCUMENTS
9, 1983 Hebert
10/1984 Grimado et al.
4, 1987 Harmon
6/1987 Beckey
9, 1993 Jefferson et al.
12/1993 Adams et al.
5, 1994 Strand et al.
10/1995 Massara et al.
8, 1996 Brown et al.
9, 1996 Shah
11/1996 Ehlers et al.
1 1/1997 Ratcliffe et al.
2f1998 Packa et al.
3, 1998 Hildebrand et al.
10, 1998 Dolan et al.
1 1/1999 Williams et al.
9, 2000 Pascucci et al.
11/2000 Ahmed
1/2001 Woollard et al.
6, 2001 Kline et al.
7/2001 Natale et al.
2, 2002 Monie
62002 Richton
62002 Hoffberg et al.

4,403,644 A
4,475,685. A
4655.279 A
4.674.027 A
5,244,146 A
5,270,952 A
5314004 A
5,462,225. A
5,544,036 A
5,555,927 A
5,572.438 A
5,682,949 A
5,717.606 A
5,729.474. A
5,818,347 A
5,977.964. A
6,115,713 A
6,145,751 A
6,178,362 B1
6,241,156 B1
6.260.765 B1
6.351,693 Bi
6400,956 Bf
6,400.996 Bi

6.437,692 B1

8, 2002 Petite et al.

1/2002 Shah
1/2002 Pierret et al.
1 1/2002 Iggulden et al.
3/2003 Pesko et al.
4/2003 Joao
4/2003 Joao
6/2003 KiperSztok et al.
6/2003 Johnson
7/2003 Goldschmidt Iki et al.

6.478,233 B1
6,480,803 B1
6,483,906 B1
6,536,675 B1
6542,076 B1
6,549,130 B1
6574537 B2
6,580,950 B1
6,594,825 B1

6,595.430 B1

7, 2003 Shah

72003 Hullet al.
9/2003 Rosen
9/2003 Hunter
92003 Brown et al.

6,598,056 B
6615555 B2
6,622,097 B2
6,622.15 Bf

6,622.925 B2

9, 2003 Carner et al.

6,622,926 Bf
6628.997 B1

9/2003 Sartaineral
9/2003 Foxetal.

6.633,823 B2 10/2003 Bartone et al.

6643,567 B2
6671586 B2
6,695.2 is B2
6,726.113 B2
6.731992 B1
6,734,806 B1
6,772,052 B1
6,785.59 B
6,785,630 B2
6,789.739 B2
6.853,959 B2
6868,293 B1
6868,319 B2
6,882,712 B1
6,889,908 B2
6,891838 B1
6,912.429 Bi
6.991,029 B2
7,009.493 B2
7031880 B1
7039532 B2
7061393 B2
7,089,088 B2
7,130,719 B2
7,130,832 B2
H2176 H
7,167,079 B2
7,187,986 B2
7.205,892 B2
7.215,746 B2
7,216,015 B2
7,231,424 B2

1/2003 Kolketal
12/2003 Davis et al.
2/2004 Fleckenstein
4/2004 Guo
5/2004 Ziegler
5/2004 Cratsley
8/2004 Amundsen
8, 2004 Smith
& 2004 Kolk
92004 Rosen
2/2005 Ikeda et al.
3/2005 Schur
3/2005 KiperSztok et al.
4/2005 Iggulden et al.
5/2005 Crippen et al.
5, 2005 Petite et al.
6/2005 Bilger
1/2006 Orfield et al.
3/2006 Howard
4/2006 Seem et al.
5/2006 Hunter
6/2006 Buckingham et al.
8/2006 Terry et al.
10/2006 Ehlers et al.
10/2006 Bannai et al.
12/2006 Meyer et al.
1/2007 Smyth et al.
3/2007 Johnson et al.
4/2007 Luebke et al.
5/2007 Iggulden et al.
5/2007 Poth
6/2007 Bodin et al.

Page 2

6/2007 Rosen
7/2007 Hoffberg et al.
8/2007 Schlack et al.
4/2008 Gullet al.
1/2009 Jackson et al.
1/2010 Hoglund et al.
8/2010 Harter
12/2010 Steinberg et al.
2/2011 Sloup et al.
3/2011 Steinberg et al.
3/2011 Steinberg et al.
8/2011 Cheung et al.
9/2011 Steinberg et al.
1/2012 Steinberg
3/2012 Steinberg et al.
3/2012 Steinberg et al.
5/2012 Steinberg
12/2012 Steinberg
4/2013 Steinberg et al.
4/2013 Steinberg et al.
6/2013 Imes et al.
2/2003 Skidmore et al.
9, 2004 Obradovich et al.
10, 2005 Lai et al.

7,232,075 B1
7,242.988 B1
7,260,823 B2
7,356,384 B2
7,483,964 B1
7,644,869 B2
7,784,704 B2
7,848,900 B2
7,894,943 B2
7,908,116 B2
7,908,117 B2
8,010,237 B2
8,019,567 B2
8,090.477 B1
8, 131497 B2
8,131.506 B2
8, 180,492 B2
8,340,826 B2
8,412,488 B2
8,423.322 B2
8.457,797 B2
2003/004.0934 A1
2004/0176880 A1
2005/0222889 A1

2005/0288822 A1* 12/2005 Rayburn ....................... 7OO/276

3/2006 DobOSZ et al.
9, 2006 Bash et al.
2/2007 Elhers et al.

2006/0045105 A1
2006/0214014 A1
2007.0043477 A1

2007/0045431 A1

3/2007 Chapman et al.

6/2007 Wang
4/2008 Krebs et al.
8/2008 Rasmussen et al.
1 1/2008 Podgorny et al.
2/2009 Greenberger et al.
4/2009 Steinberg et al.
5/2009 Steinberg et al.
9, 2009 Lane
11/2009 Masui et al.

2007/0146126 A1
2008, 0083234 A1
2008. O198549 A1
2008/0281472 A1
2009/0052859 A1
2009/0099699 A1
2009.0125151 A1
2009 O240381 A1
2009/028.1667 Al

2010, OO19052 A1

1/2010 Yip

2010, 0070.086 A1
2010, 0070089 A1
2010, 0070.093 A1
2010.0156608 A1

3/2010 Harrod et al.
3, 2010 Harrod et al.
3, 2010 Harrod et al.
6, 2010 Bae et al.

2010, 0162285 A1

6, 2010 Cohen et al.

2010/0211224 A1
2010. 0235004 A1
2010/0282857 A1
2010/0289643 A1
2010/0308119 A1
2010/0318227 A1
2011 OO31323 A1
2011/0046792 A1
2011, 0046798 A1
2011, 0046799 A1
2011/0046800 A1
2011/0046801 A1
2011/0051823 A1
2011/0054699 A1
2011/005471.0 A1
2011/0173542 A1
2011/0202185 A1
2011/0214060 A1
2011/0224838 A1
2011/0246898 A1
2011/0290893 Al
2011/0307101 All
2011/0307103 Al
2012/0023225 A1
2012, 0046859 A1
2012fOO64923 A1
2012/0065935 A1
2012/0072033 A1
2012/0086562 A1
2012/0093141 A1
2012/0101637 A1
2012/0135759 A1
2012/0158350 A1
2012/0215725 A1
2012/0221151 A1

8/2010 Keeling et al.
9, 2010 Thind
1/2010 Steinberg

1

11/2010 Trundle et al.
12/2010 Steinberg et al.
12/2010 Steinberg et al.
2/2011 Nold et al.
2/2011 Imes et al.
2/2011 Imes et al.
2/2011 Imes et al.
2/2011 Imes et al.
2/2011 Imes et al.
3/2011 Imes et al.
3/2011 Imes et al.
3/2011 Imes et al.
7/2011 Imes et al.
8/2011 Imes et al.
9, 2011 Imes et al.
9, 2011 Imes et al.
10, 2011 Imes et al.
12/2011 Steinberg
12/2011 Imes et al.
12/2011 Cheung et al.
1/2012 Imes et al.
2/2012 Imes et al.
3/2012 Imes et al.
3/2012 Steinberg et al.
3/2012 Imes et al.
4/2012 Steinberg
4/2012 Imes et al.
4/2012 Imes et al.
5, 2012 Imes et al.
6/2012 Steinberg et al.
8/2012 Imes et al.
8/2012 SteinbergPage 3

(56)
2012fO221718 A1

References Cited
U.S. PATENT DOCUMENTS
8, 2012 Imes et al.

2012fO252430 A1 10/2012 Imes et al.
2012/0324119 A1 12/2012 Imes et al.

2013,0053054 A1
2013,0054758 A1
2013,0054863 A1
2013, OO60387 A1
2013, O144445 A1
2013, O144453 A1
2013,0167035 A1
2013/023.1785 A1

2/2013 Lovitt et al.
2/2013 Imes et al.
2/2013 Imes et al.
3/2013 Imes et al.
6/2013 Steinberg
6, 2013 Subbloie
6, 2013 Imes et al.
9/2013 Steinberg et al.

2013,0310989 A1 11/2013 Steinberg et al.
FOREIGN PATENT DOCUMENTS

JP
JP

2010-038377

2, 2010

2010-286218 12/2010

KR 10-1994-001 1902
KR 10-1999-0070368

6, 1994
9, 1999

KR 10-2000-0059.532 10, 2000
WO WO 2011, 149600 12/2011
WO WO 2012/O24534 2, 2012
OTHER PUBLICATIONS
U.S. Appl. No. 13/861,189, filed Apr. 11, 2013, Steinberg, John
Douglas et al.
Arens, et al., “How Ambient Intelligence Will Improve Habitability
and Energy Efficiency in Buildings”, 2005, researchpaper, Centerfor
the Built Environment, Controls and Information Technology.
Bourhan, et al., “Cynamic model of an HVAC system for control
analysis”. Elsevier 2004.
Brush, et al., Preheat—Controlling Home Heating with Occupancy
Prediction, 2013.
Comverge SuperStat Flyer, prior to Jun. 28, 2007.
Control4 Wireless Thermostat Brochure, 2006.
Cooper Power Systems Web Page, 2000-2009.
Emerson Climate Technologies, “Network Thermostat for E2 Build
ing Controller Installation and Operation Manual”. 2007.
Enernoc Web Page, 2004-2009.
Enerwise Website, 1999-2009.

Gupta, Adding GPS-Control to Traditional Thermostats: An Explo
ration of Potential Energy Savings and Design Challenges, MIT,
2009.
Gupta, et al., A Persuasive GPS-Controlled Thermostat System, MIT,
2008.
Honeywell Programmable Thermostat Owner's Guide, www.
honeywell.com/yourhome, 2004.
Honeywell, W7600/W7620 Controller Reference Manual,
HW0021207, Oct. 1992.
Johnson Controls, “T600HCX-3 Single-Stage Thermostats', 2006.
Johnson Controls, Touch4 building automation system brochure,
2007.
Kilicotte, et al., “Dynamic Controls for Energy Efficiency and
Demand Response: Framework Concepts and a New Construction
Study Case in New York”. Proceedings of the 2006 ACEEE Summer
Study of Energy Efficiency in Buildings, Pacific Grove. CA, Aug.
13-18, 2006.
Krumm, et al., Learning Time-Based Presence Probabilities, Jun.
2011.
Lin, et al., “Multi-Sensor Single-Actuator Control of HVAC Sys
tems', 2002.
Pier, Southern California Edison, Demand Responsive Control of Air
Conditioning via Programmable Communicating Thermostats Draft
Report, 2006.
Proliphix. Thermostat Brochure, prior to Jun. 2007.
Raji, "SmartNetworks for Control', IEEE Spectrum, Jun. 1994.
Scott, et al., Home Heating Using GPS-Based Arrival Prediction,
2010.
Wang, et al., “Opportunities to Save Energy and Improve Comfort by
Using Wireless Sensor Networks in Buildings.” (2003), Center for
Environmental Design Research.
Wetter, et al. A comparison of deterministic and probabilistic opti
mization algorithms for nonsmooth simulation-based optimization.
Building and Environment 39, 2004, pp. 989-999.
Written Opinion and Search Report for PCT/US2011/032537, dated
Dec. 12, 2011.
U.S. Appl. No. 13/470,074, filed Aug. 30, 2012, Steinberg.
U.S. Appl. No. 13/725,447, filed Jun. 6, 2013, Steinberg.
U.S. Appl. No. 13/852,577, filed Mar. 28, 2013, Steinberg et al.
U.S. Appl. No. 13/858,710, filed Sep. 5, 2013, Steinberg et al.
International Search Report and Written Opinion for PCT/US2013/
035726, dated Aug. 6, 2013.
* cited by examiner- - - - - - - e - or - - - - - - - - - - - - - - - - - - - - - - - -UTILITY

DEMAND REDUCTION
SERVICE SERVERS

A7%. 2U.S. Patent

WNNELNÝ SSHT38|ÅÅ W?GOWTEMPERATURE
THERMOSTAT SETTINGS

HVAC HARDWARE

TRANSACTION
PRODUCT & SERVICE

AV2 2.Xe
2.
s S.

25 s

as a

S

o N

S
NS

as
g
s

NNN

d
C
ert

d

o

o
d

d
N.d
e
Sl. 3

5 S.

as a

O N
S

S.

8 5

S.
S

N

e

NN
N WNN
--
ANN

3

sUILITY TRANSMTS DEMAND
REDUCTION REQUEST TO
DEMAND REDUCTION
SERVICE

402?

IS USER A NO
DEMAND REDUCTION
SUBSCRIBER

42
CONTRIBUTION REQUIREDYNO
TO MEET DR
REQUEST

IS USER'S

SEND DEMAND REQUEST -1/2
SIGNAL TO THERMOSTAT

AV2 2.RECEIVE TEMPERATURE 522
READINGS FROM THERMOSTAT

CALCULATE PREDCTED 22-f
TEMPERATURE READING

S ACTUAL READING
ROUGHLY EOUA TO
PREDICTED READING

DEMAND REDUCTION
NOT CONFIRMED

DEMAND REDUCTION 129
CONFIRMED

A7%. 1U.S. Patent May 27, 2014 Sheet 10 of 10 US 8,738,327 B2

%291.
SYSTEMAND METHOD FOR USINGA
NETWORK OF THERMOSTATS AS TOOL TO
VERIFY PEAK DEMAND REDUCTION
CROSS-REFERENCE TO RELATED
APPLICATIONS
This application is a continuation of U.S. patent applica
tion Ser. No. 13/409,697, filed Mar. 1, 2012, which is a
continuation of U.S. patent application Ser. No. 13/037,162,
filed Feb. 28, 2011, which is a continuation of U.S. patent
application Ser. No. 12/183,949, filed Jul. 31, 2008, which
claims the benefit of priority under 35 U.S.C. S 119(e) to both
U.S. Provisional Application 60/963,183, filed Aug. 3, 2007:
and U.S. Provisional Application No. 60/994,011, filed Sep.
17, 2007, the entireties of which are incorporated herein by
reference and are to be considered part of this specification.
BACKGROUND OF THE INVENTION
1. Field of the Invention
This invention relates to the use of thermostatic HVAC
controls that are connected to a computer network as a part of
a system for offering peak demand reduction to electric utili
ties. More specifically, the present invention pertains to use of
communicating thermostat combined with a computer net
work to verify that demand reduction has occurred.
2. Background
Climate control systems such as heating and cooling sys
tems for buildings (heating, ventilation and cooling, or HVAC
systems) have been controlled for decades by thermostats. At
the most basic level, athermostat includes a means to allow a
user to set a desired temperature, a means to sense actual
temperature, and a means to signal the heating and/or cooling
devices to turn on or offin order to try to change the actual
temperature to equal the desired temperature. The most basic
versions of thermostats use components such as a coiled
bi-metallic spring to measure actual temperature and a mer
cury Switch that opens or completes a circuit when the spring
coils or uncoils with temperature changes. More recently,
electronic digital thermostats have become prevalent. These
thermostats use solid-state devices such as thermistors or
thermal diodes to measure temperature, and microprocessor
based circuitry to control the switch and to store and operate
based upon user-determined protocols for temperature Vs.
time.
These programmable thermostats generally offer a very
restrictive user interface, limited by the cost of the devices,
the limited real estate of the small wall-mounted boxes, and
the inability to take into account more than two variables: the
desired temperature set by the user, and the ambient tempera
ture sensed by the thermostat. Users can generally only set
one series of commands per day, and to change one parameter
(e.g., to change the late-night temperature) the user often has
to cycle through several other parameters by repeatedly press
ing one or two buttons.
As both the cost of energy and the demand for electricity
have increased, utilities Supplying electricity increasingly
face unpleasant choices. The demand for electricity is not
Smooth over time. In so-called "Summer peaking locations,
on the hottest days of the year, peak loads may be twice as
high as average loads. During Such peak load periods (gen
erally in the late afternoon), air conditioning can be the largest
single element of demand.
Utilities and their customers generally see reductions of
Supply (brownouts and blackouts) as an unacceptable out
come. But their other options can be almost as distasteful. In

2
the long term, they can build additional generating capacity,
but that approach is very expensive given the fact that Such
capacity may be needed for only a few hours a year. And this
option is of course unavailable in the short term. When con
fronted with an immediate potential shortfall, a utility may
have reserve capacity it can choose to bring online. But
because utilities are assumed to try to operate as efficiently as
possible, the reserve capacity is likely to be the least efficient
and most expensive and/or more polluting plants to operate.
Alternatively, the utility may seek to purchase additional
power on the open market. But the spot market for electricity,
which cannot efficiently be stored, is extremely volatile,
which means that spot prices during peak events may be as
much as 10x the average price.
More recently, many utilities have begun to enter into
agreements with certain customers to reduce demand, as
opposed to increasing Supply. In essence, these customers
agree to reduce usage during a few critical periods in
exchange for incentives from the utility. Those incentives
may take the form of a fixed contract payment in exchange for
the right to cut the amount of power Supplied at specified
times, or a reduced overall price per kilowatt-hour, or a rebate
each time power is reduced, or Some other method.
The bulk of these peak demand reduction (PDR) contracts
have been entered into with large commercial and industrial
customers. This bias is in large part due to the fact that
transaction costs are much lower today for a single contract
with a factory that can offer demand reduction of 50 mega
watts than they would be for the equivalent from residential
customers it could take 25,000 or more homes to equal that
reduction if these homes went without air conditioning.
But residential air conditioning is the largest single com
ponent of peak demand in California, and is a large percent
age in many other places. There are numerous reasons why it
would be economically advantageous to deploy PDR in the
residential market. Whereas cutting energy consumption at a
large factory could require shutting down or curtailing pro
duction, which has direct economic costs, cutting consump
tion for a couple of hours in residences is likely to have no
economic cost, and may only result in minor discomfort—or
none at all if no one is at home at the time.
Residential PDR has been attempted. But there have been
numerous command and control issues with these implemen
tations. The standard approach to residential PDR has been to
attach a radio-controlled switch to the control circuitry
located outside the dwelling. These switches are designed to
receive a signal from a transmitter that signals the compressor
to shut off during a PDR call.
There are a number of technical complications with this
approach. There is some evidence that “hard cycling the
compressor in this manner can damage the air conditioning
system. There are also serious issues resulting from the fact
that the communication system is unidirectional. When utili
ties contract for PDR, they expect verification of compliance.
One-way pagers allow the utility to send a signal that will shut
of the NC, but the pager cannot confirm to the utility that the
NC unit has in fact been shut off. If a consumer tampers with
the system so that the NC can be used anyway, the utility will
not be able to detect it, absent additional verification systems.
One way in which some utilities are seeking to address this
issue is to combine the pager-controlled thermostat with so
called advanced metering infrastructure (AMI). This
approach relies on the deployment of 'Smart meters' elec
tric meters that are more sophisticated than the traditional
meter with its mechanical odometer mechanism for logging
only cumulative energy use. Smart meters generally include a
means for communicating instantaneous readings. That com3
munication may in the form of a signal sent over the power
lines themselves, or a wireless communication over a data
network arranged by the utility. These meters allow utilities to
accomplish a number of goals, including offering pricing that
varies by time of day in order to encourage customers to move
consumption away from peak demand hours. These Smart
meters can cost hundreds of dollars, however, and require
both a “truck roll' a visit from a trained service person—
and most likely the scheduling of an appointment with the
occupants, because Swapping the meter will require turning
off power to the house.
If the utility installs a smart meter at each house that con
tracts to participate in a PDR program, it may be possible to
verify that the NC is in fact switched off. But this approach
requires two separate pieces of hardware, two separate com
munications systems, and the ability to match them for veri
fication purposes.
It would be desirable to have a system that could both
implement and verify residential peak demand reduction with
reduced expenses.
SUMMARY OF THE INVENTION
At least one embodiment of the invention that includes
system for predicting the rate of change in temperature inside
a structure comprising at least one thermostat located inside
the structure and controlling an HVAC system in said struc
ture; at least one remote processor that is in communication
with said thermostat; at least one database for storing data
reported by said thermostat; at least one processor that com
pares outside temperature at at least location and at least one
point in time to information reported to said remote processor
from said thermostat, and wherein said processor uses the
relationship between the inside temperature and the outside
temperature over time to derive a first prediction for the rate of
change in inside temperature assuming that the operating
status of the HVAC system is “on”; and said processor uses
the relationship between the inside temperature and the out
side temperature over time to derive a second prediction for
the rate of change in inside temperature assuming that the
operating status of the HVAC system is “off”; and said pro
cessor compares at least one of the first prediction and the
second prediction to the actual inside temperature recorded
inside the structure to determine whether the actual inside
temperature is closer to the first prediction or the second
prediction.
In one embodiment, the invention comprises a thermostat
attached to an HVAC system, a local network connecting the
thermostat to a larger network Such as the Internet, one or
more additional thermostats attached to the network and to
other HVAC systems, and a server in bi-directional commu
nication with the thermostats. The server logs the ambient
temperature sensed by each thermostat vs. time and the sig
nals sent by the thermostats to the HVAC systems to which
they are attached. The server preferably also logs outside
temperature and humidity data for the geographic locations
for the buildings served by the connected HVAC systems.
Such information is widely available from various sources
that publish detailed weather information based on geo
graphic areas such as by ZIP code. The server also stores other
data affecting the load upon the system, Such as specific
model of HVAC system, occupancy, building characteristics,
etc. Some of this data may be supplied by the individual users
of the system, while other data may come from commercial
Sources such as the electric and other utilities who supply
energy to those users.

4
By using these multiple data streams to compare the per
formance of one system versus another, and one system ver
sus the same system at other times, the server is able to
estimate the effective thermal mass of the structure, and
thereby predict the expected thermal performance of a given
structure in response to changes in outside temperature. Thus,
for example, if the air conditioning is shut off on a hot after
noon, given a known outside temperature, it will be possible
to predict how quickly the temperature in the house should
rise. If the actual temperature change is significantly different
from the predicted rate of change, or does not change at all, it
is possible to infer that the air conditioning has not, in fact
been shut off.
This and other advantages of the present invention are
explained in the detailed description and claims that make
reference to the accompanying diagrams and flowcharts.
BRIEF DESCRIPTION OF THE DRAWINGS
FIG. 1 shows an example of an overall environment in
which an embodiment of the invention may be used.
FIG. 2 shows a high-level illustration of the architecture of
a network showing the relationship between the major ele
ments of one embodiment of the subject invention.
FIG. 3 shows an embodiment of the website to be used as
part of the subject invention.
FIG. 4 shows a high-level schematic of the thermostat used
as part of the Subject invention.
FIG. 5 shows one embodiment of the database structure
used as part of the Subject invention
FIGS. 6A and 6B show a graphical representation of the
manner in which the subject invention may be used to verify
that a demand reduction event has occurred.
FIG. 7 is a flow chart illustrating the steps involved in
generating a demand reduction event for a given Subscriber.
FIG. 8 is a flow chart illustrating the steps involved in
confirming that a demand reduction event has taken place.
FIG.9 is a representation of the movement of messages and
information between the components of the subject inven
tion.

DETAILED DESCRIPTION OF THE PREFERRED
EMBODIMENTS
FIG. 1 shows an example of an overall environment 100 in
which an embodiment of the invention may be used. The
environment 100 includes an interactive communication net
work 102 with computers 104 connected thereto. Also con
nected to network 102 are one or more server computers 106,
which store information and make the information available
to computers 104. The network 102 allows communication
between and among the computers 104 and 106.
Presently preferred network 102 comprises a collection of
interconnected public and/or private networks that are linked
to together by a set of standard protocols to form a distributed
network. While network 102 is intended to refer to what is
now commonly referred to as the Internet, it is also intended
to encompass variations which may be made in the future,
including changes additions to existing standard protocols.
When a user of the subject invention wishes to access
information on network 102, the buyer initiates connection
from his computer 104. For example, the user invokes a
browser, which executes on computer 104. The browser, in
turn, establishes a communication link with network 102.
Once connected to network 102, the user can direct the
browser to access information on server 106.5
One popular part of the Internet is the World Wide Web.
The World WideWeb contains a large number of computers
104 and servers 106, which store HyperText Markup Lan
guage (HTML) documents capable of displaying graphical
and textual information. HTML is a standard coding conven
tion and set of codes for attaching presentation and linking
attributes to informational content within documents.
The servers 106 that provide offerings on the World Wide
Web are typically called websites. A website is often defined
by an Internet address that has an associated electronic page.
Generally, an electronic page is a document that organizes the
presentation of text graphical images, audio and video.
In addition to the Internet, the network 102 can comprise a
wide variety of interactive communication media. For
example, network 102 can include local area networks, inter
active television networks, telephone networks, wireless data
systems, two-way cable systems, and the like.
In one embodiment, computers 104 and servers 106 are
conventional computers that are equipped with communica
tions hardware such as modem or a network interface card.
The computers include processors such as those sold by Intel
and AMD. Other processors may also be used, including
general-purpose processors, multi-chip processors, embed
ded processors and the like.
Computers 104 can also be handheld and wireless devices
Such as personal digital assistants (PDAs), cellular telephones
and other devices capable of accessing the network.
Computers 104 utilize a browser configured to interact
with the World Wide Web. Such browsers may include
Microsoft Explorer, Mozilla, Firefox, Opera or Safari. They
may also include browsers used on handheld and wireless
devices.
The storage medium may comprise any method of storing
information. It may comprise random access memory
(RAM), electronically erasable programmable read only
memory (EEPROM), read only memory (ROM), hard disk,
floppy disk, CD-ROM, optical memory, or other method of
storing data.
Computers 104 and 106 may use an operating system such
as Microsoft Windows, Apple Mac OS, Linux, Unix or the
like.
Computers 106 may include a range of devices that provide
information, Sound, graphics and text, and may use a variety
of operating systems and software optimized for distribution
of content via networks.
FIG. 2 illustrates in further detail the architecture of the
specific components connected to network 102 showing the
relationship between the major elements of one embodiment
of the subject invention. Attached to the network are thermo
stats 108 and computers 104 of various users. Connected to
thermostats 108 are HVAC units 110. The HVAC units may be
conventional air conditioners, heat pumps, or other devices
for transferring heat into or out of a building. Each user is
connected to the servers 106a via wired or wireless connec
tion such as Ethernet or a wireless protocol such as IEEE
802.11, a gateway 110 that connects the computer and ther
mostat to the Internet via a broadband connection Such as a
digital subscriber line (DSL) or other form of broadband
connection to the World Wide Web. In one embodiment,
electric utility server 106a and demand reduction service
server 106b are in communication with the network 102.
Servers 106a and 106bcontain the content to be served as web
pages and viewed by computers 104, as well as databases
containing information used by the servers. Also connected to
the servers 106a via the Internet are computers located at one
or more electrical utilities 106b.

6
In the currently preferred embodiment, the website 200
includes a number of components accessible to the user, as
shown in FIG. 3. Those components may include a means to
store temperature settings 202, a means to enter information
about the user's home 204, a means to enter the user's elec
tricity bills 206, means to calculate energy savings that could
result from various thermostat-setting strategies 208, and
means to enable and choose between various arrangements
210 for demand reduction with their electric utility provider
as intermediated by the demand reduction service provider.
FIG. 4 shows a high-level block diagram of thermostat 108
used as part of the subject invention. Thermostat 108 includes
temperature sensing means 252, which may be a thermistor,
thermal diode or other means commonly used in the design of
electronic thermostats. It includes a microprocessor 254,
memory 256, a display 258, a power source 260, a relay 262,
which turns the HVAC system on and off in response to a
signal from the microprocessor, and contacts by which the
relay is connected to the wires that lead to the HVAC system.
To allow the thermostatto communicate bi-directionally with
the computer network, the thermostat also includes means
264 to connect the thermostat to a local computer or to a
wireless network. Such means could be in the form of Ether
net, wireless protocols such as IEEE 802.11, IEEE 802.15.4,
Bluetooth, or other wireless protocols. (Other components as
needed) The thermostat 250 may also include controls 266
allowing users to change settings directly at the thermostat,
but Such controls are not necessary to allow the thermostatto
function.
The data used to generate the content delivered in the form
of the website is stored on one or more servers 106 within one
or more databases. As shown in FIG. 5, the overall database
structure 300 may include temperature database 400, thermo
stat settings database 500, energy bill database 600, HVAC
hardware database 700, weather database 800, user database
900, transaction database 1000, product and service database
1100 and such other databases as may be needed to support
these and additional features.
The website will allow users of connected thermostats 250
to create personal accounts. Each user's account will store
information in database 900, which tracks various attributes
relative to users of the site. Such attributes may include the
make and model of the specific HVAC equipment in the user's
home; the age and square footage of the home, the Solar
orientation of the home, the location of the thermostat in the
home, the user's preferred temperature settings, whether the
user is a participant in a demand reduction program, etc.
As shown in FIG.3, the website 200 will permit thermostat
users to perform through the web browser substantially all of
the programming functions traditionally performed directly
at the physical thermostat, such as temperature set points, the
time at which the thermostat should be at each set point, etc.
Preferably the website will also allow users to accomplish
more advanced tasks Such as allow users to program in Vaca
tion settings for times when the HVAC system may be turned
off or run at more economical settings, and set macros that
will allow changing the settings of the temperature for all
periods with a single gesture Such as a mouse click.
In addition to using the system to allow better signaling and
control of the HVAC system, which relies primarily on com
munication running from the server to the thermostat, the
bi-directional communication will also allow the thermostat
108 to regularly measure and send to the server information
about the temperature in the building. By comparing outside
temperature, inside temperature, thermostat settings, cycling
behavior of the HVAC system, and other variables, the system8
service provider Zrequesting W megawatts of demand reduc
tion. Demand reduction service provider server determines
that it will turn off the air conditioner at house A in order to
achieve the required demand reduction. At the time the event
is triggered, the inside temperature as reported by the ther
mostat in house A is 72 degrees F. The outside temperature
near house A is 96 degrees Fahrenheit. The inside temperature
at House B, which is not part of the demand reduction pro
gram, but is both connected to the demand reduction service
server and located geographically proximate to House A, is
74 F. Because the A/C in house A has been turned off, the
temperature inside House A begins to rise, so that at 4 PM it
has increased to 79 F. Because the server is aware of the
outside temperature, which remains at 96 F., and of the rate of
temperature rise inside house A on previous days on which
temperatures have been at or near 96 F., and the temperature
in house B, which has risen only to 75 F. because the air
conditioning in house B continues to operate normally, the
server is able to confirm with a high degree of certainty that
the A/C in house A has indeed been shut off.
In contrast, if the HVAC system at house A has been tam
pered with, so that a demand reduction signal from the server
does not actually result in shutting off the A/C in house A,
when the server compares the rate of temperature change at
house A against the other data points, the server will receive
data inconsistent with the rate of increase predicted. As a
result, it will conclude that the A/C has not been shut off in
house A as expected, and will not credit house A with the
financial credit that would be associated with demand reduc
tion compliance, or may trigger a business process that could
result in termination of house A's participation in the demand
reduction program.
FIG. 9 illustrates the movement of signals and information
between the components of the Subject invention to trigger
and verify a demand reduction response. In step 602 the
electric utility server 106b transmits a message to demand
reduction service server 106a requesting a demand reduction
of a specified duration and size. Demand reduction service
server 106a uses database 300 to determine which subscrib
ers should be included in the demand reduction event. For
each included subscriber, the server then sends a signal 604 to
the subscriber's thermostat instructing it (a) to shut down at
the appropriate time or (b) to allow the temperature as mea
Sured by the thermostatto increase to a certain temperature at
the specified time, depending upon the agreement between
the homeowner and the demand reduction aggregator. The
server then receives 606 temperature signals from the sub
scriber's thermostat. At the conclusion of the demand reduc
tion event, the server transmits a signal 608 to the thermostat
permitting the thermostat to signal its attached HVAC system
to resume cooling, if the system has been shutoff, or to reduce
the target temperature to its pre-demand reduction setting, if
the target temperature was merely increased. After determin
ing the total number of Subscribers actually participating in
the DR event, the server then calculates the total demand
reduction achieved and sends a message 610 to the electric
utility confirming Such reduction.
Additional steps may be included in the process. For
example, if the subscriber has previously requested that
notice be provided when a peak demand reduction event
occurs, the server will also send an alert, which may be in the
form of an email message or an update to the personalized
web page for that user, or both. If the server determines that a

7
will be capable of numerous diagnostic and controlling func
tions beyond those of a standard thermostat.
For example, FIG. 6a shows a graph of inside temperature,
outside temperature and HVAC activity for a 24 hour period.
When outside temperature 302 increases, inside temperature
304 follows, but with some delay because of the thermal mass
of the building, unless the air conditioning 306 operates to
counteract this effect. When the air conditioning turns on, the
inside temperature stays constant (or rises at a much lower
rate) despite the rising outside temperature. In this example, 10
frequent and heavy use of the air conditioning results in only
a very slight temperature increase inside o the house of 4
degrees, from 72 to 76 degrees, despite the increase in outside
temperature from 80 to 100 degrees.
FIG. 6b shows a graph of the same house on the same day,
but assumes that the air conditioning is turned off from noon
to 7 PM. As expected, the inside temperature 304a rises with
increasing outside temperatures 302 for most of that period,
reaching 88 degrees at 7 PM.
Because server 106a logs the temperature readings from
inside each house (whether once per minute or over some
other interval), as well as the timing and duration of air
conditioning cycles, database 300 will contain a history of the
thermal performance of each house. That performance data
will allow the server 106a to calculate an effective thermal
mass for each Such structure—that is, the speed with the
temperature inside a given building will change in response to
changes in outside temperature. Because the server will also
log these inputs against other inputs including time of day,
humidity, etc. the server will be able to predict, at any given
time on any given day, the rate at which inside temperature
should change for given inside and outside temperatures.
As shown in FIG.3, website 200 will allow the users to opt
210 into a plan that offers incentives such as cash or rebates in
exchange for reduced air conditioning use during peak load
periods.
FIG. 7 shows the steps followed in order to initiate air
conditioner shutoff. When a summer peak demand situation
occurs, the utility will transmit an email 402 or other signal to
server 106a requesting a reduction in load. Server 106a will
determine 404 if the user's house is served by the utility
seeking reduction; determine 406 if a given user has agreed to
reduce peak demand; and determine 408 if a reduction of
consumption by the user is required or desirable in order to
achieve the reduction in demand requested by the utility. The
server will transmit 410 a signal to the user's thermostat 108
signaling the thermostat to shut off the air conditioner 110.
FIG. 8 shows the steps followed in order to verify that the
air conditioner has in fact been shut off. Server 106a will
receive and monitor 502 the temperature readings sent by the
users thermostat 108. The server then calculates 504 the
temperature reading to be expected for that thermostat given
inputs such as current and recent outside temperature, recent
inside temperature readings, the calculated thermal mass of
the structure, temperature readings in other houses, etc. The
server will compare 506 the predicted reading with the actual
reading. If the server determines that the temperature inside
the house is rising at the rate predicted if the air conditioning
is shutoff, then the server confirms 508 that the air condition
ing has been shut off. If the temperature reading from the
thermostat shows no increase, or significantly less increase
than predicted by the model, then the server concludes 510
that the air conditioning was not Switched off, and that no
contribution to the demand response request was made.

5

15

20

25

30

35

40

45

50

55

60

For example, assume that on at 3 PM on date Y utility X 65 given home has (or has not) complied with the terms of its

demand reduction agreement, the server will send a message
to the subscriber confirming that fact.

wishes to trigger a demand reduction event. A server at utility
X transmits a message to the server at demand reductionIt should also be noted that in some climate Zones, peak
demand events occur during extreme cold weather rather than
(or in addition to) during hot weather. The same process as
discussed above could be employed to reduce demand by
shutting off electric heaters and monitoring the rate at which
temperatures fall.
It should also be noted that the peak demand reduction
service can be performed directly by a power utility, so that
the functions of server 106a can be combined with the func
tions of server 106b.
The system installed in a subscriber's home may optionally
include additional temperature sensors at different locations
within the building. These additional sensors may we con
nected to the rest of the system via a wireless system such as
802.11 or 802.15.4, or may be connected via wires. Addi
tional temperature and/or humidity sensors may allow
increased accuracy of the system, which can in turn increase
user comfort, energy savings or both.
While particular embodiments of the present invention
have been shown and described, it is apparent that changes
and modifications may be made without departing from the
invention in its broader aspects and, therefore, the invention
may carried out in other ways without departing from the true
spirit and scope. These and other equivalents are intended to
be covered by the following claims:
What is claimed is:
1. A system for controlling the operational status of an
HVAC system comprising:
at least one thermostat associated with a structure that
receives temperature measurements from inside the
structure, the structure conditioned by at least one
HVAC system, the thermostat having at least a first set
ting stored therein;
one or more servers located remotely from the structure,
the one or more servers configured to receive measure
ments of outside temperatures from at least one source
other than the HVAC system,
the one or more servers are further configured to commu
nicate with the thermostat via a network, wherein the
one or more servers receive inside temperatures from the
thermostat and compares the inside temperatures of the
structure and the outside temperatures over time to
derive an estimation for the rate of change in inside
temperature of the structure in response to outside tem
perature,
the one or more servers are further configured to receive a
demand reduction request and determine whether the
structure is associated with demand rejection request,
and
based on the determination that the structure is associated
with the demand reduction request, the one or more
servers are further configured to send a signal to the
thermostat to change the setting to a second setting to
reduce electricity demand by the HVAC system.
2. The system as inclaim 1 in which the one or more servers
receive measurements of outside temperatures for geographic
regions such as ZIP codes from sources other than the HVAC
system.
3. The system as in claim 1 in which the thermostat com
prises a programmable thermostat that communicates with a
mesh networking protocol.
4. The system as inclaim 1 in which the one or more servers
communicate with the HVAC system using a network that
includes an electricity meter.
5. The system as in claim 1 in which the estimation is a
prediction about the future rate of change in temperature
inside the structure.

10
6. The system as in claim 1 wherein the signal sent by the
one or more servers directs the thermostat to shut down the
HVAC system.
7. The system as in claim 1 wherein the signal identifies a
time.
8. The system as in claim 1 wherein the second setting
allows the inside temperature of the structure to increase to a
certain temperature during a specified time interval.
9. The system as in claim 1 wherein the second setting is
based on an agreement between a homeowner and a demand
reduction aggregator.
10. The system as in claim 1 wherein the one or more
servers are further configured to send an alert to a user asso
ciated with the structure.
11. A method for controlling the operation of an HVAC
system comprising:
receiving temperature measurements inside a structure
from at least one thermostat, the structure conditioned
by at least one HVAC system, the thermostat having at
least a first setting stored therein;
receiving at one or more servers located remotely from the
structure, measurements of outside temperatures from at
least one source other than the HVAC system;
the one or more servers communicating with the thermo
stat via a network;
receiving at the one or more servers, inside temperatures
from the thermostat;
comparing with the one or more servers, the inside tem
peratures of the structure and the outside temperatures
overtime to derive an estimation for the rate of change in
inside temperature of the structure in response to outside
temperature;
receiving a demand reduction request and determining
whether the structure is associated with demand rejec
tion request; and
based on the determination that the structure is associated
with the demand reduction request, sending with the one
or more servers a signal to the thermostat to change the
first setting to a second setting to reduce electricity
demand by the HVAC system.
12. The method as in claim 11 in which the one or more
processors receive measurements of outside temperatures for
geographic regions such as ZIP codes from sources other than
the HVAC system.
13. The method as in claim 11 in which the thermostat
comprises a programmable thermostat that communicates
with a mesh networking protocol.
14. The method as in claim 11 in which the one or more
servers communicate with the HVAC system using a network
that includes an electricity meter.
15. The method as in claim 11 in which the estimation is a
prediction about the future rate of change in temperature
inside the structure.
16. The method as in claim 11 wherein the signal sent by
the one or more servers directs the thermostatto shutdown the
HVAC system.
17. The method as in claim 11 wherein the signal identifies
a time.
18. The method as in claim 11 wherein the second setting
allows the inside temperature of the structure to increase to a
certain temperature during a specified time interval.
19. The method as in claim 11 wherein the second setting
is based on an agreement between a homeowner and a
demand reduction aggregator.
k k k k kExhibit 4Query Reports Utilities Help Log Out

APPEAL,PATENT

U.S. District Court [LIVE]
Western District of Texas (Waco)
CIVIL DOCKET FOR CASE #: 6:20-cv-00075-ADA
Date Filed: 01/31/2020
Date Terminated: 05/26/2022
Jury Demand: Both
Nature of Suit: 830 Patent
Jurisdiction: Federal Question

EcoFactor, Inc. v. Google LLC
Assigned to: Judge Alan D Albright
Related Case: 6:21-cv-00244-ADA
Case in other court: USCA Federal Circuit, 23-01101-ED
USCA Federal Circuit, 21-00144
USCA Federal Circuit, 22-01974-ED
Cause: 35:271 Patent Infringement
Plaintiff
EcoFactor, Inc.

represented by Brian W. Lewis
Latham & Watkins LLP
505 Montgomery Street, Suite 2000
San Francisco, CA 94111
(415) 391-0600
Fax: (415) 395-8095
Email: brian.lewis@lw.com
TERMINATED: 11/03/2021
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
C. Jay Chung
Russ August & Kabat
12424 Wilshire Blvd., 12th Floor
Los Angeles, CA 90025
310-826-7474
Fax: 310-826-6991
Email: jchung@raklaw.com
TERMINATED: 11/03/2021
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
James N. Pickens
Russ August & Kabat
12424 Wilshire Blvd, 12th Floor
Los Angeles, CA 90025
(310)826-7474Fax: (310)826-6991
Email: jpickens@raklaw.com
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Jason M Wietholter
Russ August & Kabat
12424 Wilshire Boulevard, 12th Floor
Los Angeles, CA 90025
(310) 826-7474
Fax: (310) 826-6991
Email: jwietholter@raklaw.com
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Marc A. Fenster
Russ August & Kabat
12424 Wilshire Blvd., 12th Floor
Los Angeles, CA 90025
(310) 826-7474
Fax: (310) 826-6991
Email: mafenster@raklaw.com
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Paul A. Kroeger
Russ August & Kabat
12424 Wilshire Blvd., 12th Floor
Los Angeles, CA 90025
(310) 826-7474
Fax: (310) 826-6991
Email: pkroeger@raklaw.com
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Adam Hoffman
Russ August & Kabat
12424 Wilshire Blvd, 12th Floor
Los Angeles, CA 90025
(310)826-7474
Fax: (310)826-6991
Email: ahoffman@raklaw.com
ATTORNEY TO BE NOTICED
Kristopher R. Davis
Russ August & Kabat
12424 Wilshire Blvd., 12th FloorLos Angeles, CA 90025
310-826-7474
Fax: 310-826-6991
Email: kdavis@raklaw.com
ATTORNEY TO BE NOTICED
Matthew Aichele
Russ August & Kabat
915 E St NW, Suite 405
Washington, DC 20004
310-826-7474
Fax: 310-826-6991
Email: maichele@raklaw.com
ATTORNEY TO BE NOTICED
Minna Y. Chan
Russ August & Kabat
12424 Wilshire Blvd, 12th Floor
Los Angeles, CA 90025
(310) 826-7474
Fax: (310) 826-6991
Email: mchan@raklaw.com
ATTORNEY TO BE NOTICED
Reza Mirzaie
Russ August & Kabat
12424 Wilshire Blvd., 12th Floor
Los Angeles, CA 90025
310-826-7474
Fax: 310-826-6991
Email: rmirzaie@raklaw.com
ATTORNEY TO BE NOTICED

V.
Defendant
Google LLC

represented by Bijal V. Vakil
Allen & Overy LLP
550 High Street
Ste 2nd Floor
Palo Alto, CA 94301
650-388-1703
Email: bijal.vakil@allenovery.com
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Eric B. HansonKeker, Van Nest & Peters LLP
633 Battery Street
San Francisco, CA 94111
(415) 391-5400
Fax: (415) 397-7188
Email: ehanson@keker.com
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Eric Lancaster
Allen & Overy LLP
500 High Street
Palo Alto, CA 94301
(650) 388-1700
Fax: (650) 388-1699
Email: eric.lancaster@allenovery.com
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Gregory D. Washington
Keker, Van Nest & Peters LLP
633 Battery Street
San Francisco, CA 94111
(415) 391-5400
Fax: (415) 397-7188
Email: gwashington@keker.com
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Henry Yee-Der Huang
White & Case LLP
3000 El Camino Real, 2 Palo Alto Square,
Suite 900
Palo Alto, CA 94306
(650) 213-0300
Fax: (650) 213-8158
Email: henry.huang@whitecase.com
TERMINATED: 11/03/2021
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
James P. Gagen
Allen & Overy LLP
1101 New York Avenue Nw
Washington, DC 20005
(202) 683-3896
Fax: (202) 683-3999Email: james.gagen@allenovery.com
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
James Reed
Allen & Overy LLP
1221 Avenue of the Americas
New York, NY 10020
(646) 344-6719
Fax: (212) 610-6399
Email: james.reed@allenovery.com
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Michael E. Jones
Potter Minton PC
110 N College
Suite 500
Tyler, TX 75702
903-597-8311
Fax: 903-531-3939
Email: mikejones@potterminton.com
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Michael J. Songer
White & Case LLP
701 13th Street, Nw
Washington, DC 20005-3807
(202) 626-3200
Fax: (202) 639-9355
Email: michael.songer@whitecase.com
TERMINATED: 11/03/2021
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
R. Adam Lauridsen
Keker, Van Nest & Peters LLP
633 Battery Street
San Francisco, CA 94111
(415) 391-5400
Fax: (415) 397-7188
Email: alauridsen@keker.com
LEAD ATTORNEY
PRO HAC VICE
ATTORNEY TO BE NOTICEDShamita D. Etienne-Cummings
Allen & Overy LLP
1101 New York Ave
11th Floor
Washington, DC 20005
202-683-3810
Email: shamita.etienne@allenovery.com
LEAD ATTORNEY
ATTORNEY TO BE NOTICED
Anna Porto
Keker, Van Nest & Peters LLP
633 Battery Street
San Francisco, CA 94111
(415) 391-5400
Fax: (415) 397-7188
Email: aporto@keker.com
PRO HAC VICE
ATTORNEY TO BE NOTICED
Eugene M. Paige
Keker, Van Nest & Peters LLP
633 Battery Street
San Francisco, CA 94111
(415) 391-5400
Fax: (415) 397-7188
Email: epaige@keker.com
ATTORNEY TO BE NOTICED
Jennifer A. Huber
Keker, Van Nest & Peters LLP
633 Battery Street
San Francisco, CA 94111
(415) 391-5400
Fax: (415) 397-7188
Email: jhuber@keker.com
TERMINATED: 05/27/2022
PRO HAC VICE
ATTORNEY TO BE NOTICED
Kristin E. Hucek
Keker, Van Nest & Peters LLP
633 Battery Street
San Francisco, CA 94111-1809
(415) 391-5400
Fax: (415) 397-7188
Email: khucek@keker.comPRO HAC VICE
ATTORNEY TO BE NOTICED
Leo Lam
Keker, Van Nest & Peters LLP
633 Battery Street
San Francisco, CA 94111
(415) 391-5400
Fax: (415) 397-7188
Email: llam@keker.com
PRO HAC VICE
ATTORNEY TO BE NOTICED
Matthias Andreas Kamber
Paul Hastings LLP
101 California Street, 48th Floor
San Francisco, CA 94111
(415) 856-7000
Fax: (415) 856-7100
Email: matthiaskamber@paulhastings.com
TERMINATED: 01/27/2022
ATTORNEY TO BE NOTICED
Patrick E. Murray
Keker, Van Nest & Peters LLP
633 Battery Street
San Francisco, CA 94111
(415) 391-5400
Fax: (415) 397-7188
Email: pmurray@keker.com
TERMINATED: 03/02/2022
PRO HAC VICE
ATTORNEY TO BE NOTICED
Robert A. Van Nest
Keker, Van Nest & Peters LLP
633 Battery Street
San Francisco, CA 94111-1809
(415) 391-5400
Fax: (415) 397-7188
Email: rvannest@keker.com
PRO HAC VICE
ATTORNEY TO BE NOTICED
Shaun William Hassett
Potter Minton PC
110 North College, Suite 500Tyler, TX 75702
903-525-2272
Fax: 903-593-0846
Email: shaunhassett@potterminton.com
ATTORNEY TO BE NOTICED

Date Filed # Docket Text

01/31/2020

01/31/2020
01/31/2020
01/31/2020
01/31/2020

01/31/2020
02/03/2020

02/03/2020

03/03/2020
03/04/2020
03/04/2020

1 COMPLAINT ( Filing fee $ 400 receipt number 0542-13152928), filed by EcoFactor,
Inc.. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Civil
Cover Sheet)(Mirzaie, Reza) (Entered: 01/31/2020)
2 RULE 7 DISCLOSURE STATEMENT filed by EcoFactor, Inc.. (Mirzaie, Reza)
(Entered: 01/31/2020)
3 NOTICE of AO 120 Patent Report Form by EcoFactor, Inc. (Mirzaie, Reza) (Entered:
01/31/2020)
4 REQUEST FOR ISSUANCE OF SUMMONS by EcoFactor, Inc.. (Mirzaie, Reza)
(Entered: 01/31/2020)
Case assigned to Judge Alan D Albright. CM WILL NOW REFLECT THE JUDGE
INITIALS AS PART OF THE CASE NUMBER. PLEASE APPEND THESE JUDGE
INITIALS TO THE CASE NUMBER ON EACH DOCUMENT THAT YOU FILE IN
THIS CASE. (bw) (Entered: 02/03/2020)
7 Summons Issued as to Google LLC. (bw) (Entered: 02/03/2020)
5 Pursuant to the Standing Order Regarding Patent Trademark Cases effective 12/9/19,
Attorneys filing Patent/Trademark cases in TXWD Waco division must prepare the
attached form AO120 and e-file upon opening of the case using the event NOTICE OF
FILING OF PATENT/TRADEMARK FORM. (Attachments: # 1 Blank AO120) (bw)
(Entered: 02/03/2020)
6 Notice of Filing of Patent/Trademark Form (AO 120). AO 120 forwarded to the
Director of the U.S. Patent and Trademark Office. (Mirzaie, Reza) (Entered:
02/03/2020)
8 Unopposed MOTION for Extension of Time to File Answer re 1 Complaint by Google
LLC. (Attachments: # 1 Proposed Order)(Jones, Michael) (Entered: 03/03/2020)
9 Amended MOTION for Extension of Time to File Answer re 1 Complaint by Google
LLC. (Attachments: # 1 Proposed Order)(Jones, Michael) (Entered: 03/04/2020)
Text Order GRANTING 9 Motion for Extension of Time to Answer entered by Judge
Alan D Albright. Before the Court is Defendant's Unopposed Amended Motion to
Extend Time to Move, Answer, or Otherwise Respond to First Amended Complaint.
The Court GRANTS the motion. It is therefore ORDERED that Defendant shall have
until and through April 6, 2020 to answer, plead, move, or otherwise respond, in any
manner whatsoever, included but not limited to Rule 12 motion(s), to Plaintiff'sComplaint. (This is a text-only entry generated by the court. There is no document
associated with this entry.) (jy) (Entered: 03/04/2020)
Text Order MOOTING 8 Motion for Extension of Time to Answer entered by Judge
Alan D Albright. In light of the filing of ECF No. 9, the Court MOOTS this motion.
(This is a text-only entry generated by the court. There is no document associated with
this entry.) (jy) (Entered: 03/04/2020)
Reset Answer Deadlines: Google LLC answer due 4/6/2020. (bw) (Entered:
03/04/2020)
03/24/2020 10 STANDING ORDER from U.S. District Judge Alan D. Albright regarding scheduled
civil hearings. (tada) (Entered: 03/25/2020)
03/27/2020 11 MOTION to Appear Pro Hac Vice by Michael E. Jones for Eric Lancaster ( Filing fee
$ 100 receipt number 0542-13396337) by on behalf of Google LLC. (Attachments: # 1
Proposed Order)(Jones, Michael) (Entered: 03/27/2020)
Text Order GRANTING 11 Motion to Appear Pro Hac Vice. Before the Court is the
Motion for Admission Pro Hac Vice. The Court, having reviewed the Motion, finds it
should be GRANTED and therefore orders as follows: IT IS ORDERED the Motion
for Admission Pro Hac Vice is GRANTED. IT IS FURTHER ORDERED that
Applicant, if he/she has not already done so, shall immediately tender the amount of
$100.00, made payable to: Clerk, U.S. District Court, in compliance with Local Rule
AT-I (f)(2). Pursuant to our Administrative Policies and Procedures for Electronic
Filing, the attorney hereby granted to practice pro hac vice in this case must register
for electronic filing with our court within 10 days of this order. entered by Judge Alan
D Albright. (This is a text-only entry generated by the court. There is no document
associated with this entry.) (jy) (Entered: 03/28/2020)
03/30/2020 12 Second MOTION for Extension of Time to File Answer re 1 Complaint or Otherwise
Respond by Google LLC. (Attachments: # 1 Proposed Order)(Jones, Michael)
(Entered: 03/30/2020)
Text Order GRANTING 12 Motion for Extension of Time to Answer entered by Judge
Alan D Albright. Came on for consideration is Defendant's Motion. Noting that it is
unopposed, the Court GRANTS the Motion. Defendant shall have up to and including
May 27, 2020 to answer or otherwise respond to Plaintiff's Complaint. (This is a text
only entry generated by the court. There is no document associated with this entry.)
(jy) (Entered: 03/31/2020)
Reset Answer Deadlines: Google LLC answer due 5/27/2020. (bw) (Entered:
03/31/2020)
04/01/2020 13 NOTICE of Attorney Appearance by Bijal V. Vakil on behalf of Google LLC.
Attorney Bijal V. Vakil added to party Google LLC(pty:dft) (Vakil, Bijal) (Entered:
04/01/2020)
04/01/2020 14 NOTICE of Attorney Appearance by Shamita D. Etienne-Cummings on behalf of
Google LLC. Attorney Shamita D. Etienne-Cummings added to party Google
LLC(pty:dft) (Etienne-Cummings, Shamita) (Entered: 04/01/2020)

03/04/2020

03/04/2020

03/28/2020

03/31/2020

03/31/202004/23/2020 15 MOTION to Appear Pro Hac Vice by Michael E. Jones Michael J. Songer ( Filing fee
$ 100 receipt number 0542-13493184) by on behalf of Google LLC. (Jones, Michael)
(Entered: 04/23/2020)
Text Order GRANTING 15 Motion to Appear Pro Hac Vice. Before the Court is the
Motion for Admission Pro Hac Vice. The Court, having reviewed the Motion, finds it
should be GRANTED and therefore orders as follows: IT IS ORDERED the Motion
for Admission Pro Hac Vice is GRANTED. IT IS FURTHER ORDERED that
Applicant, if he/she has not already done so, shall immediately tender the amount of
$100.00, made payable to: Clerk, U.S. District Court, in compliance with Local Rule
AT-I (f)(2). Pursuant to our Administrative Policies and Procedures for Electronic
Filing, the attorney hereby granted to practice pro hac vice in this case must register
for electronic filing with our court within 10 days of this order. entered by Judge Alan
D Albright. (This is a text-only entry generated by the court. There is no document
associated with this entry.) (jy) (Entered: 04/24/2020)
05/27/2020 16 ANSWER to 1 Complaint by Google LLC.(Jones, Michael) (Entered: 05/27/2020)
05/27/2020 17 RULE 7 DISCLOSURE STATEMENT filed by Google LLC. (Jones, Michael)
(Entered: 05/27/2020)
05/27/2020 18 Opposed Motion for leave to File Sealed Document (Attachments: # 1 Sealed
Document, # 2 Sealed Document, # 3 Sealed Document, # 4 Sealed Document, # 5
Sealed Document, # 6 Sealed Document, # 7 Proposed Order) (Jones, Michael)
(Entered: 05/27/2020)
05/27/2020 19 Opposed MOTION to Change Venue by Google LLC. (Attachments: # 1 Affidavit
Sealed, # 2 Affidavit Sealed, # 3 Exhibit 1 Lexis Advance search, # 4 Exhibit 2
EcoFactor SEC Form D, # 5 Exhibit 3 PAIR attorneys, # 6 Exhibit Sealed, # 7 Exhibit
Sealed, # 8 Exhibit Sealed, # 9 Exhibit 7 Steinberg LinkedIn, # 10 Exhibit 8 Steinberg
CA Bar, # 11 Exhibit 9 EcoFactor Field Trial Results, # 12 Exhibit 10 CIEE report, #
13 Exhibit 11 Arens, # 14 Exhibit 12 Ota thesis, # 15 Exhibit 13 ITC complaint -
public, # 16 Exhibit 14 Docket Navigator, # 17 Proposed Order)(Jones, Michael)
(Entered: 05/27/2020)
05/27/2020 20 Unopposed Motion for leave to File Sealed Document (Attachments: # 1 Sealed
Document, # 2 Sealed Document, # 3 Sealed Document, # 4 Sealed Document, # 5
Sealed Document, # 6 Sealed Document, # 7 Proposed Order) (Jones, Michael)
(Entered: 05/27/2020)
Text Order MOOTING 18 Motion for Leave to File Sealed Document entered by
Judge Alan D Albright. In light of ECF No. 20, the Court MOOTS this motion. (This
is a text-only entry generated by the court. There is no document associated with this
entry.) (jy) (Entered: 05/29/2020)
Text Order GRANTING 20 Motion for Leave to File Sealed Document entered by
Judge Alan D Albright. Before the Court is Defendant Google LLC's Unopposed
Motion for Leave to File Under Seal. The Court GRANTS the motion. The Clerk's
Office is directed to file under seal Defendant Google LLCs Opposed Motion to
Transfer Venue to the Northern District of California, the Declaration of Shannon

04/24/2020

05/29/2020

05/29/2020Shaper, and Exhibits 4-6 to the Declaration of Bijal Vakil. (This is a text-only entry
generated by the court. There is no document associated with this entry.) (jy) (Entered:
05/29/2020)
05/29/2020 21 Sealed Motion filed: Google LLCs Opposed Motion to Transfer Venue to the Northern
District of California (Attachments: # 1 DECLARATION OF SHANNON SHAPER,
# 2 DECLARATION OF BIJAL VAKIL, # 3 Exhibit, # 4 Exhibit, # 5 Exhibit) (lad)
(Entered: 05/29/2020)
06/03/2020 22 Unopposed Motion for leave to File Sealed Document (Attachments: # 1 Sealed
Document Opposition, # 2 Proposed Order) (Chung, C.) (Entered: 06/03/2020)
06/03/2020 23 Response in Opposition to Motion, filed by EcoFactor, Inc., re 19 Opposed MOTION
to Change Venue filed by Defendant Google LLC (Attachments: # 1 Affidavit of
Shayan Habib, # 2 Affidavit of C. Jay Chung, # 3 Exhibit 1, # 4 Exhibit 2, # 5 Exhibit
3, # 6 Exhibit 4, # 7 Exhibit 5, # 8 Exhibit 6, # 9 Exhibit 7, # 10 Exhibit 8, # 11
Exhibit 9, # 12 Exhibit 10, # 13 Proposed Order)(Chung, C.) (Entered: 06/03/2020)
Text Order GRANTING 22 Motion for Leave to File Sealed Document entered by
Judge Alan D Albright. Before the Court is Plaintiff EcoFactor, Inc.'s Unopposed
Motion to Seal Its Opposition to Google's Motion to Transfer Venue to the Northern
District of California. The Court GRANTS the motion. The Clerk's Office is directed
to file EcoFactor's Opposition to Google's Motion to Transfer Venue to the Northern
District of California shall be filed under seal. (This is a text-only entry generated by
the court. There is no document associated with this entry.) (jy) (Entered: 06/05/2020)
06/05/2020 24 Sealed Document filed. (bw) (Entered: 06/08/2020)
06/10/2020 25 Unopposed Motion for leave to File Sealed Document (Attachments: # 1 Exhibit 1 -
Reply filed under seal, # 2 Exhibit 2 - Declaration filed under seal, # 3 Proposed
Order) (Jones, Michael) (Entered: 06/10/2020)
Text Order GRANTING 25 Motion for Leave to File Sealed Document entered by
Judge Alan D Albright. Before the Court is Defendant Google LLC's Unopposed
Motion for Leave to File Under Seal. The Court GRANTS the motion. The Clerk's
Office is directed to file under seal Defendant Google LLCs Reply in Support of its
Motion to Transfer Venue to the Northern District of California and the Supplemental
Declaration of Shannon Shaper.(This is a text-only entry generated by the court. There
is no document associated with this entry.) (jy) (Entered: 06/11/2020)
06/11/2020 26 ORDER GOVERNING PROCEEDINGS PATENT CASE. This case is SET for a
telephonic Rule 16 Case Management Conference on Friday, June 26, 2020 at 2:00
p.m before Judge Alan D Albright. Signed by Judge Alan D Albright. (bw) (Entered:
06/11/2020)
06/11/2020 27 Sealed Document filed. GOOGLE LLCS REPLY IN SUPPORT OF ITS MOTION TO
TRANSFER VENUE TO THE NORTHERN DISTRICT OF CALIFORNIA.
(Attachments: # 1 Exhibit) (bw) (Entered: 06/11/2020)
06/17/2020 28 AMENDED COMPLAINT FOR PATENT INFRINGEMENT against Google LLC
amending 1 Complaint., filed by EcoFactor, Inc.. (Attachments: # 1 Exhibit 1, # 2

06/05/2020

06/11/2020Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4)(Mirzaie, Reza) (Entered: 06/17/2020)
06/26/2020 29 ORDER setting Telephone Conference for 6/29/2020 02:30 PM before Judge Alan D
Albright. Signed by Judge Alan D Albright. (lad) (Entered: 06/26/2020)
06/29/2020 30 ORDER CANCELLING TELEPHONIC SCHEDULING CONFERENCE.
TELEPHONIC SCHEDULING CONFERENCE on Monday, June 29, 2020 at 02:30
PM is hereby CANCELLED until further order of the court. Signed by Judge Alan D
Albright. (bw) (Entered: 06/29/2020)
07/01/2020 31 ANSWER to 28 Amended Complaint with Jury Demand by Google LLC.(Jones,
Michael) (Entered: 07/01/2020)
07/14/2020 32 CORRECTED MOTION for Agreed Scheduling Order by EcoFactor, Inc..
(Attachments: # 1 Exhibit A)(Mirzaie, Reza) (Entered: 07/14/2020)
Text Order GRANTING 32 Motion entered by Judge Alan D Albright. Before the
Court is the Parties' Joint Motion for Entry of the Scheduling Order. The Court
GRANTS the motion. The Clerk's Office is directed to enter Exhibit A attached hereto
as the scheduling order for this case. (This is a text-only entry generated by the court.
There is no document associated with this entry.) (jy) (Entered: 07/16/2020)
07/16/2020 33 AGREED SCHEDULING ORDER: Markman Hearing set for 12/9/2020 01:30 PM
before Judge Alan D Albright. Joinder of Parties due by 1/20/2021. Amended
Pleadings due by 3/3/2021. Dispositive Motions due by 9/15/2021. Pretrial
Conference set for 11/17/2021 09:00 AM before Judge Alan D Albright. Jury
Selection and Trial set for 12/6/2021 09:00AM before Judge Alan D Albright. (bw)
(Entered: 07/16/2020)
10/06/2020 34 BRIEF by Google LLC. (Attachments: # 1 Declaration of D. Turnbull, # 2 Declaration
of B. Vakil, # 3 Ex. 1 US8180492 file history, # 4 Ex. 2 US8180492 file history, # 5
Ex. 3 US8180492 file history, # 6 Ex. 4 US8180492 file history, # 7 Ex. 5 WDTX-DF
EE_0000001, # 8 Ex. 6 WDTX-DF-EE_0000013, # 9 Ex. 7 WDTX-DF-EE_0000019,
# 10 Ex. 8 WDTX-DF-EE_0000029, # 11 Ex. 9 WDTX-DF-EE_0000006, # 12 Ex. 10
WDTX-DF-EE_0000003, # 13 Ex. 11 WDTX-DF-EE_0000005, # 14 Ex. 12 WDTX
DF-EE_0000050, # 15 Ex. 13 WDTX-DF-EE_0000056)(Jones, Michael) (Entered:
10/06/2020)
10/06/2020 35 BRIEF by EcoFactor, Inc.. (Attachments: # 1 Affidavit of Robert Zeidman, # 2
Affidavit of Reza Mirzaie, # 3 Exhibit 1, # 4 Exhibit 2, # 5 Exhibit 3, # 6 Exhibit 4, #
7 Exhibit 5, # 8 Exhibit 6, # 9 Exhibit 7, # 10 Exhibit 8, # 11 Exhibit 9, # 12 Exhibit
10, # 13 Exhibit 11)(Mirzaie, Reza) (Entered: 10/06/2020)
10/27/2020 36 BRIEF regarding 35 Brief, by Google LLC. (Attachments: # 1 Turnbull Declaration)
(Jones, Michael) (Entered: 10/27/2020)
10/27/2020 37 BRIEF regarding 34 Brief,, by EcoFactor, Inc.. (Attachments: # 1 Affidavit of Robert
Zeidman)(Mirzaie, Reza) (Entered: 10/27/2020)
11/10/2020 38 BRIEF regarding 35 Brief, by EcoFactor, Inc.. (Mirzaie, Reza) (Entered: 11/10/2020)
11/10/2020 39 BRIEF regarding 35 Brief, by Google LLC. (Jones, Michael) (Entered: 11/10/2020)

07/16/202011/17/2020 40 NOTICE Joint Claim Construction Statement by Google LLC (Jones, Michael)
(Entered: 11/17/2020)
11/24/2020 41 Opposed MOTION to Stay Case Pending Transfer by Google LLC. (Attachments: # 1
Proposed Order)(Jones, Michael) (Entered: 11/24/2020)
11/30/2020 42 NOTICE of Attorney Appearance by Kristopher R. Davis on behalf of EcoFactor, Inc..
Attorney Kristopher R. Davis added to party EcoFactor, Inc.(pty:pla) (Davis,
Kristopher) (Entered: 11/30/2020)
11/30/2020 43 MOTION to Appear Pro Hac Vice by C. Jay Chung for Brian W. Lewis ( Filing fee $
100 receipt number 0542-14230640) by on behalf of EcoFactor, Inc.. (Chung, C.)
(Entered: 11/30/2020)
12/01/2020 44 MOTION to Appear Pro Hac Vice by C. Jay Chung for James N. Pickens ( Filing fee
$ 100 receipt number 0542-14235456) by on behalf of EcoFactor, Inc.. (Chung, C.)
(Entered: 12/01/2020)
12/01/2020 45 Response in Opposition to Motion, filed by EcoFactor, Inc., re 41 Opposed MOTION
to Stay Case Pending Transfer filed by Defendant Google LLC (Chung, C.) (Entered:
12/01/2020)
12/02/2020 46 NOTICE of Waiver of Reply by Google LLC re 41 Opposed MOTION to Stay Case
Pending Transfer (Jones, Michael) (Entered: 12/02/2020)
Text Order GRANTING 43 Motion to Appear Pro Hac Vice for Attorney Brian W.
Lewis for EcoFactor, Inc. Before the Court is the Motion for Admission Pro Hac Vice.
The Court, having reviewed the Motion, finds it should be GRANTED and therefore
orders as follows: IT IS ORDERED the Motion for Admission Pro Hac Vice is
GRANTED. IT IS FURTHER ORDERED that Applicant, if he/she has not already
done so, shall immediately tender the amount of $100.00, made payable to: Clerk,
U.S. District Court, in compliance with Local Rule AT-I (f)(2). Pursuant to our
Administrative Policies and Procedures for Electronic Filing, the attorney hereby
granted to practice pro hac vice in this case must register for electronic filing with our
court within 10 days of this order entered by Judge Alan D Albright. (This is a text
only entry generated by the court. There is no document associated with this entry.)
(mm6) (Entered: 12/03/2020)
Text Order GRANTING 44 Motion to Appear Pro Hac Vice for Attorney James N.
Pickens for EcoFactor, Inc. Before the Court is the Motion for Admission Pro Hac
Vice. The Court, having reviewed the Motion, finds it should be GRANTED and
therefore orders as follows: IT IS ORDERED the Motion for Admission Pro Hac Vice
is GRANTED. IT IS FURTHER ORDERED that Applicant, if he/she has not already
done so, shall immediately tender the amount of $100.00, made payable to: Clerk,
U.S. District Court, in compliance with Local Rule AT-I (f)(2). Pursuant to our
Administrative Policies and Procedures for Electronic Filing, the attorney hereby
granted to practice pro hac vice in this case must register for electronic filing with our
court within 10 days of this order entered by Judge Alan D Albright. (This is a text
only entry generated by the court. There is no document associated with this entry.)
(mm6) (Entered: 12/03/2020)

12/03/2020

12/03/202012/08/2020 47 MOTION to Appear Pro Hac Vice by Michael E. Jones ( Filing fee $ 100 receipt
number 0542-14258465) by on behalf of Google LLC. (Jones, Michael) (Entered:
12/08/2020)
12/08/2020 48 NOTICE of Attorney Appearance by Brian W. Lewis on behalf of EcoFactor, Inc.
(Lewis, Brian) (Entered: 12/08/2020)
12/08/2020 49 NOTICE of Attorney Appearance by James N. Pickens on behalf of EcoFactor, Inc.
(Pickens, James) (Entered: 12/08/2020)
Text Order GRANTING 47 Motion to Appear Pro Hac Vice for Attorney Henry
Huang for Google LLC. Before the Court is the Motion for Admission Pro Hac Vice.
The Court, having reviewed the Motion, finds it should be GRANTED and therefore
orders as follows: IT IS ORDERED the Motion for Admission Pro Hac Vice is
GRANTED. IT IS FURTHER ORDERED that Applicant, if he/she has not already
done so, shall immediately tender the amount of $100.00, made payable to: Clerk,
U.S. District Court, in compliance with Local Rule AT-I (f)(2). Pursuant to our
Administrative Policies and Procedures for Electronic Filing, the attorney hereby
granted to practice pro hac vice in this case must register for electronic filing with our
court within 10 days of this order entered by Judge Alan D Albright. (This is a text
only entry generated by the court. There is no document associated with this entry.)
(mm6) (Entered: 12/09/2020)
12/09/2020 50 Minute Entry for proceedings held before Judge Alan D Albright: Markman Hearing
held on 12/9/2020. Case called for Markman Hearing for this and 2 companion cases.
The Court heard argument regarding one claim term. After hearing argument the Court
determined that he will adopt the defendant's alternative proposed construction. The
Court swore Todd Lanis into the TXWD. The Court states that December 6, 2021 is
the jury trial date with the voir dire being handled either Thursday or Friday before
that by the magistrate judge. There will be 7 jurors, 4 strikes on each side. The Court
will determine the number of hours allowed at the pretrial conference. (Minute entry
documents are not available electronically.). (Court Reporter Kristie Davis.)(am)
(Entered: 12/09/2020)
12/09/2020 51 TRANSCRIPT REQUEST by Google LLC for proceedings held on 12/9/20.
Proceedings Transcribed: Markman Hearing. Court Reporter: Kristie Davis. (Jones,
Michael) (Main Document 51 replaced on 12/9/2020) (am). (Entered: 12/09/2020)
12/09/2020 52 TRANSCRIPT REQUEST by EcoFactor, Inc. for proceedings held on 12/9/20.
Proceedings Transcribed: Markman Hearing. Court Reporter: Kristie Davis. (Chung,
C.) (Entered: 12/09/2020)
12/11/2020 53 Transcript filed of Proceedings held on 12-9-20, Proceedings Transcribed: Markman
hearing. Court Reporter/Transcriber: Kristie Davis, Telephone number: 254-340-6114.
Parties are notified of their duty to review the transcript to ensure compliance with the
FRCP 5.2(a)/FRCrP 49.1(a). A copy may be purchased from the court reporter or
viewed at the clerk's office public terminal. If redaction is necessary, a Notice of
Redaction Request must be filed within 21 days. If no such Notice is filed, the
transcript will be made available via PACER without redaction after 90 calendar days.
The clerk will mail a copy of this notice to parties not electronically noticed Redaction

12/09/2020Request due 1/1/2021, Redacted Transcript Deadline set for 1/11/2021, Release of
Transcript Restriction set for 3/11/2021, (kd) (Entered: 12/11/2020)
02/09/2021 54 Opposed MOTION for Hearing re 41 Opposed MOTION to Stay Case Pending
Transfer by Google LLC. (Attachments: # 1 Proposed Order)(Jones, Michael)
(Entered: 02/09/2021)
02/12/2021 55 Standing Order Regarding Filing Documents Under Seal and Redacted Pleadings in
Patent Cases. Signed by Judge Alan D Albright. as of 2/12/2021. (bot1) (Entered:
02/24/2021)
02/26/2021 56 ORDER Setting Zoom Motion Hearing for 3/8/2021 01:30 PM before Judge Alan D
Albright. Signed by Judge Alan D Albright. (bot1) (Entered: 02/26/2021)
03/04/2021 57 Joint MOTION to Stay Case by Google LLC. (Attachments: # 1 Proposed Order)
(Jones, Michael) (Entered: 03/04/2021)
03/05/2021 58 ORDER GRANTING 57 Motion to Stay Case Signed by Judge Alan D Albright. (lad)
(Entered: 03/05/2021)
03/05/2021 59 ORDER CANCELLING Motion Hearing. Signed by Judge Alan D Albright. (bot1)
(Entered: 03/05/2021)
03/12/2021 60 MOTION to Withdraw as Attorney Brian Lewis by EcoFactor, Inc.. (Attachments: # 1
Proposed Order)(Mirzaie, Reza) (Entered: 03/12/2021)
03/14/2021 61 ORDER GRANTING 41 Motion to Stay Case. Signed by Judge Alan D Albright.
(bw) (Entered: 03/12/2021)
04/16/2021 62 ORDER DENYING 19 Motion to Change Venue. Having considered the Section 1404
(a) factors, the Court finds that Google has not met its significant burden to
demonstrate that the NDCA is clearly more convenient than this District. Therefore,
the Court DENIES Googles Motion to Transfer. Signed by Judge Alan D Albright.
(bw) (Entered: 04/18/2021)
Case No Longer Stayed. (jc5) (Entered: 01/24/2022)

04/16/2021

04/20/2021 63 Agreed MOTION for Entry of Protective Order and Stipulated Discovery Order by
EcoFactor, Inc.. (Attachments: # 1 Proposed Order Protective Order, # 2 Proposed
Order Discovery Order)(Mirzaie, Reza) (Entered: 04/20/2021)
04/29/2021 64 Opposed MOTION to Amend/Correct for Leave to Amend Invalidity Contentions by
Google LLC. (Attachments: # 1 Vakil Declaration, # 2 Ex. 1 90014679 file history
compressed, # 3 Ex. 2 2021-02-03 Final Invalidity Contentions, # 4 Ex. 3 2021-04-27
Email, # 5 Proposed Order)(Jones, Michael) (Entered: 04/29/2021)
05/06/2021 65 Joint MOTION to Modify re 33 Scheduling Order,, Set Hearings, by Google LLC.
(Attachments: # 1 Proposed Order)(Jones, Michael) (Entered: 05/06/2021)
05/06/2021 66 Response in Opposition to Motion, filed by EcoFactor, Inc., re 64 Opposed MOTION
to Amend/Correct for Leave to Amend Invalidity Contentions filed by Defendant
Google LLC (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, #
5 Exhibit 5)(Chung, C.) (Entered: 05/06/2021)05/13/2021 67 REPLY to Response to Motion, filed by Google LLC, re 64 Opposed MOTION to
Amend/Correct for Leave to Amend Invalidity Contentions filed by Defendant Google
LLC (Jones, Michael) (Entered: 05/13/2021)
06/01/2021 68 ORDER GRANTING 65 Motion Amend Scheduling Order Signed by Judge Alan D
Albright. (lad) (Entered: 06/01/2021)
Set Deadlines/Hearings: Dispositive/Daubert Motions due by 11/10/2021, Pretrial
Conference set for 1/12/2022 before Judge Alan D Albright, Jury Trial set for
1/31/2022 before Judge Alan D Albright. (lad) (Entered: 06/01/2021)
06/09/2021 69 ORDER GRANTING 63 Motion for Entry of Protective Order and Stipulated
Discovery Order Signed by Judge Alan D Albright. (ab4) (Entered: 06/15/2021)
06/09/2021 70 MOTION for Discovery. (ab4) (Entered: 06/15/2021)
06/16/2021 71 Standing Order regarding Scheduling Order. Signed by Judge Alan D Albright.
(Entered: 06/17/2021)
06/16/2021 72 Standing Order regarding Scheduling Order. Signed by Judge Alan D Albright.
(Entered: 06/17/2021)
07/14/2021 73 NOTICE of Attorney Appearance by Matthew Aichele on behalf of EcoFactor, Inc..
Attorney Matthew Aichele added to party EcoFactor, Inc.(pty:pla) (Aichele, Matthew)
(Entered: 07/14/2021)
07/27/2021 74 MOTION to Withdraw as Attorney C. Jay Chung by EcoFactor, Inc.. (Attachments: #
1 Proposed Order)(Mirzaie, Reza) (Entered: 07/27/2021)
07/29/2021 75 MOTION to Appear Pro Hac Vice by Michael E. Jones for Robert Van Nest ( Filing
fee $ 100 receipt number 0542-15064371) by on behalf of Google LLC. (Jones,
Michael) (Entered: 07/29/2021)
07/29/2021 76 MOTION to Appear Pro Hac Vice by Michael E. Jones for Leo Lam ( Filing fee $ 100
receipt number 0542-15064381) by on behalf of Google LLC. (Jones, Michael)
(Entered: 07/29/2021)
07/29/2021 77 MOTION to Appear Pro Hac Vice by Michael E. Jones for Eugene Paige ( Filing fee
$ 100 receipt number 0542-15064401) by on behalf of Google LLC. (Jones, Michael)
(Entered: 07/29/2021)
07/29/2021 78 MOTION to Appear Pro Hac Vice by Michael E. Jones for Matthias Kamber ( Filing
fee $ 100 receipt number 0542-15064408) by on behalf of Google LLC. (Jones,
Michael) (Entered: 07/29/2021)
07/29/2021 79 MOTION to Appear Pro Hac Vice by Michael E. Jones for Jennifer A. Huber ( Filing
fee $ 100 receipt number 0542-15064413) by on behalf of Google LLC. (Jones,
Michael) (Entered: 07/29/2021)
07/29/2021 80 MOTION to Appear Pro Hac Vice by Michael E. Jones for Kristin Hucek ( Filing fee
$ 100 receipt number 0542-15064419) by on behalf of Google LLC. (Jones, Michael)
(Entered: 07/29/2021)

06/01/202107/29/2021 81 MOTION to Appear Pro Hac Vice by Michael E. Jones for Anna Porto ( Filing fee $
100 receipt number 0542-15064434) by on behalf of Google LLC. (Jones, Michael)
(Entered: 07/29/2021)
07/29/2021 82 MOTION to Appear Pro Hac Vice by Michael E. Jones for Patrick E. Murray ( Filing
fee $ 100 receipt number 0542-15064449) by on behalf of Google LLC. (Jones,
Michael) (Entered: 07/29/2021)
07/29/2021 83 ATTACHMENT Signature Page for Matthias Kamber to 78 MOTION to Appear Pro
Hac Vice by Michael E. Jones for Matthias Kamber ( Filing fee $ 100 receipt number
0542-15064408) by Google LLC. (Jones, Michael) (Entered: 07/29/2021)
07/29/2021 84 ATTACHMENT Signature Page for Kristin Hucek to 80 MOTION to Appear Pro Hac
Vice by Michael E. Jones for Kristin Hucek ( Filing fee $ 100 receipt number 0542-
15064419) by Google LLC. (Jones, Michael) (Entered: 07/29/2021)
Text Order GRANTING 75 Motion to Appear Pro Hac Vice for Attorney Robert A.
Van Nest for Google LLC. Before the Court is the Motion for Admission Pro Hac
Vice. The Court, having reviewed the Motion, finds it should be GRANTED and
therefore orders as follows: IT IS ORDERED the Motion for Admission Pro Hac Vice
is GRANTED. IT IS FURTHER ORDERED that Applicant, if he/she has not already
done so, shall immediately tender the amount of $100.00, made payable to: Clerk,
U.S. District Court, in compliance with Local Rule AT-I (f)(2). Pursuant to our
Administrative Policies and Procedures for Electronic Filing, the attorney hereby
granted to practice pro hac vice in this case must register for electronic filing with our
court within 10 days of this order entered by Judge Alan D Albright. (This is a text
only entry generated by the court. There is no document associated with this entry.)
(jc5) (Entered: 07/30/2021)
Text Order GRANTING 77 Motion to Appear Pro Hac Vice for Attorney Eugene M.
Paige for Google LLC. Before the Court is the Motion for Admission Pro Hac Vice.
The Court, having reviewed the Motion, finds it should be GRANTED and therefore
orders as follows: IT IS ORDERED the Motion for Admission Pro Hac Vice is
GRANTED. IT IS FURTHER ORDERED that Applicant, if he/she has not already
done so, shall immediately tender the amount of $100.00, made payable to: Clerk,
U.S. District Court, in compliance with Local Rule AT-I (f)(2). Pursuant to our
Administrative Policies and Procedures for Electronic Filing, the attorney hereby
granted to practice pro hac vice in this case must register for electronic filing with our
court within 10 days of this order entered by Judge Alan D Albright. (This is a text
only entry generated by the court. There is no document associated with this entry.)
(jc5) (Entered: 07/30/2021)
Text Order GRANTING 80 Motion to Appear Pro Hac Vice for Attorney Kristin E.
Hucek for Google LLC. Before the Court is the Motion for Admission Pro Hac Vice.
The Court, having reviewed the Motion, finds it should be GRANTED and therefore
orders as follows: IT IS ORDERED the Motion for Admission Pro Hac Vice is
GRANTED. IT IS FURTHER ORDERED that Applicant, if he/she has not already
done so, shall immediately tender the amount of $100.00, made payable to: Clerk,
U.S. District Court, in compliance with Local Rule AT-I (f)(2). Pursuant to our

07/29/2021

07/29/2021

07/29/202107/29/2021

07/29/2021

07/29/2021

07/29/2021

Administrative Policies and Procedures for Electronic Filing, the attorney hereby
granted to practice pro hac vice in this case must register for electronic filing with our
court within 10 days of this order entered by Judge Alan D Albright. (This is a text
only entry generated by the court. There is no document associated with this entry.)
(jc5) (Entered: 07/30/2021)
Text Order GRANTING 76 Motion to Appear Pro Hac Vice for Attorney Leo Lam for
Google LLC. Before the Court is the Motion for Admission Pro Hac Vice. The Court,
having reviewed the Motion, finds it should be GRANTED and therefore orders as
follows: IT IS ORDERED the Motion for Admission Pro Hac Vice is GRANTED. IT
IS FURTHER ORDERED that Applicant, if he/she has not already done so, shall
immediately tender the amount of $100.00, made payable to: Clerk, U.S. District
Court, in compliance with Local Rule AT-I (f)(2). Pursuant to our Administrative
Policies and Procedures for Electronic Filing, the attorney hereby granted to practice
pro hac vice in this case must register for electronic filing with our court within 10
days of this order entered by Judge Alan D Albright. (This is a text-only entry
generated by the court. There is no document associated with this entry.) (jc5)
(Entered: 07/30/2021)
Text Order GRANTING 78 Motion to Appear Pro Hac Vice for Attorney Matthias
Kamber for Google LLC. Before the Court is the Motion for Admission Pro Hac Vice.
The Court, having reviewed the Motion, finds it should be GRANTED and therefore
orders as follows: IT IS ORDERED the Motion for Admission Pro Hac Vice is
GRANTED. IT IS FURTHER ORDERED that Applicant, if he/she has not already
done so, shall immediately tender the amount of $100.00, made payable to: Clerk,
U.S. District Court, in compliance with Local Rule AT-I (f)(2). Pursuant to our
Administrative Policies and Procedures for Electronic Filing, the attorney hereby
granted to practice pro hac vice in this case must register for electronic filing with our
court within 10 days of this order entered by Judge Alan D Albright. (This is a text
only entry generated by the court. There is no document associated with this entry.)
(jc5) (Entered: 07/30/2021)
Text Order GRANTING 79 Motion to Appear Pro Hac Vice for Attorney Jennifer A.
Huber for Google LLC. Before the Court is the Motion for Admission Pro Hac Vice.
The Court, having reviewed the Motion, finds it should be GRANTED and therefore
orders as follows: IT IS ORDERED the Motion for Admission Pro Hac Vice is
GRANTED. IT IS FURTHER ORDERED that Applicant, if he/she has not already
done so, shall immediately tender the amount of $100.00, made payable to: Clerk,
U.S. District Court, in compliance with Local Rule AT-I (f)(2). Pursuant to our
Administrative Policies and Procedures for Electronic Filing, the attorney hereby
granted to practice pro hac vice in this case must register for electronic filing with our
court within 10 days of this order entered by Judge Alan D Albright. (This is a text
only entry generated by the court. There is no document associated with this entry.)
(jc5) (Entered: 07/30/2021)
Text Order GRANTING 81 Motion to Appear Pro Hac Vice for Attorney Anna Porto
for Google LLC. Before the Court is the Motion for Admission Pro Hac Vice. The
Court, having reviewed the Motion, finds it should be GRANTED and therefore orders
as follows: IT IS ORDERED the Motion for Admission Pro Hac Vice is GRANTED.IT IS FURTHER ORDERED that Applicant, if he/she has not already done so, shall
immediately tender the amount of $100.00, made payable to: Clerk, U.S. District
Court, in compliance with Local Rule AT-I (f)(2). Pursuant to our Administrative
Policies and Procedures for Electronic Filing, the attorney hereby granted to practice
pro hac vice in this case must register for electronic filing with our court within 10
days of this order entered by Judge Alan D Albright. (This is a text-only entry
generated by the court. There is no document associated with this entry.) (jc5)
(Entered: 07/30/2021)
Text Order GRANTING 82 Motion to Appear Pro Hac Vice for Attorney Patrick E.
Murray for Google LLC. Before the Court is the Motion for Admission Pro Hac Vice.
The Court, having reviewed the Motion, finds it should be GRANTED and therefore
orders as follows: IT IS ORDERED the Motion for Admission Pro Hac Vice is
GRANTED. IT IS FURTHER ORDERED that Applicant, if he/she has not already
done so, shall immediately tender the amount of $100.00, made payable to: Clerk,
U.S. District Court, in compliance with Local Rule AT-I (f)(2). Pursuant to our
Administrative Policies and Procedures for Electronic Filing, the attorney hereby
granted to practice pro hac vice in this case must register for electronic filing with our
court within 10 days of this order entered by Judge Alan D Albright. (This is a text
only entry generated by the court. There is no document associated with this entry.)
(jc5) (Entered: 07/30/2021)
08/04/2021 85 Federal Circuit ORDER filed denying Petition for Writ of Mandamus filed by Google
LLC. Signed by Judge Unassigned. (bw) (Entered: 08/04/2021)
08/16/2021 86 NOTICE of Attorney Appearance by Adam Hoffman on behalf of EcoFactor, Inc..
Attorney Adam Hoffman added to party EcoFactor, Inc.(pty:pla) (Hoffman, Adam)
(Entered: 08/16/2021)
08/17/2021 87 NOTICE of Change of Address by Shamita D. Etienne-Cummings (Etienne
Cummings, Shamita) (Entered: 08/17/2021)
08/17/2021 88 NOTICE of Change of Address by Bijal V. Vakil (Vakil, Bijal) (Entered: 08/17/2021)
08/30/2021 89 MOTION to Appear Pro Hac Vice by Michael E. Jones for Gregory Washington (
Filing fee $ 100 receipt number 0542-15167262) by on behalf of Google LLC. (Jones,
Michael) (Entered: 08/30/2021)
09/01/2021 90 ORDER GRANTING 89 Motion to Appear Pro Hac Vice for Attorney Gregory D.
Washington. Attorney added for Google LLC. Pursuant to our Administrative Policies
and Procedures for Electronic Filing, the attorney hereby granted to practice pro hac
vice in this case must register for electronic filing with our court within 10 days of this
order, if he/she has not previously done so for a prior case in this District. Signed
by Judge Alan D Albright. (jkda) (Entered: 09/02/2021)
09/14/2021 91 Unopposed MOTION to Withdraw as Attorney on behalf of Michael Songer and
Henry Yee-Der Huang by Google LLC. (Attachments: # 1 Proposed Order)(Jones,
Michael) (Entered: 09/14/2021)
09/16/2021 92 STIPULATION to Change Certain Discovery Deadlines by Google LLC.

07/29/2021(Attachments: # 1 Proposed Order)(Vakil, Bijal) (Entered: 09/16/2021)
10/08/2021 93 Standing Order Regarding Order Governing Proceedings Patent Cases. Signed by
Judge Alan D Albright. (Entered: 10/13/2021)
10/18/2021 94 ORDER setting Discovery Hearing by Zoom for 10/18/2021 02:00 PM before Judge
Alan D Albright. Signed by Judge Alan D Albright. (klw) (Entered: 10/18/2021)
10/18/2021 95 Minute Entry for proceedings held before Judge Alan D Albright: Discovery Hearing
held on 10/18/2021. Case called for Discovery Hearing. Plaintiff is requesting that the
defendants (specifically Ecobee) provide the calculation of royalty rate. Deft
represents to the court that they have produced everything to the plaintiff that they are
going to rely on for trial. Court directs that the plaintiffs provide information
supporting the 5.16 royalty rate to the Defendants by Friday. No other pending
matters. Hearing concluded. (Minute entry documents are not available electronically.)
(Court Reporter Shelly Holmes.)(jc5) (Entered: 10/18/2021)
10/18/2021 96 TRANSCRIPT REQUEST by Google LLC for proceedings held on 10/18/2021.
Proceedings Transcribed: Discovery Hearing. Court Reporter: Shelly Holmes. (Jones,
Michael) (Entered: 10/18/2021)
10/19/2021 97 TRANSCRIPT REQUEST by EcoFactor, Inc. for proceedings held on 10/18/2021.
Proceedings Transcribed: Discovery Hearing. Court Reporter: Shelly Holmes. (Davis,
Kristopher) (Entered: 10/19/2021)
10/29/2021 98 MOTION to Appear Pro Hac Vice by Michael E. Jones for R. Adam Lauridsen ( Filing
fee $ 100 receipt number 0542-15388080) by on behalf of Google LLC. (Jones,
Michael) (Entered: 10/29/2021)
Text Order GRANTING 60 Motion to Withdraw Brian Lewis as Attorney, entered by
Judge Alan D Albright. (This is a text-only entry generated by the court. There is no
document associated with this entry.) (JZ) (Entered: 11/03/2021)
Text Order GRANTING 74 Motion to Withdraw C. Jay Chung as Attorney, entered by
Judge Alan D Albright. (This is a text-only entry generated by the court. There is no
document associated with this entry.) (JZ) (Entered: 11/03/2021)
Text Order GRANTING 91 Motion to Withdraw as Attorney, entered by Judge Alan D
Albright. IT IS HEREBY ORDERED that Michael Songer and Henry Yee-DerHuang
are hereby withdrawn as counsel of record for Defendant Google LLC and that they be
removed from the Clerks service list.(This is a text-only entry generated by the court.
There is no document associated with this entry.) (JZ) (Entered: 11/03/2021)
11/04/2021 99 MOTION to Appear Pro Hac Vice by Michael E. Jones for Eric B. Hanson ( Filing fee
$ 100 receipt number 0542-15406206) by on behalf of Google LLC. (Jones, Michael)
(Entered: 11/04/2021)
11/04/2021 100 NOTICE of Attorney Appearance by Jason M Wietholter on behalf of EcoFactor, Inc..
Attorney Jason M Wietholter added to party EcoFactor, Inc.(pty:pla) (Wietholter,
Jason) (Entered: 11/04/2021)
11/05/2021 101 ORDER GRANTING 98 Motion to Appear Pro Hac Vice for Attorney R. Adam

11/03/2021

11/03/2021

11/03/2021Lauridsen. Attorney added for Google LLC. Pursuant to our Administrative Policies
and Procedures for Electronic Filing, the attorney hereby granted to practice pro hac
vice in this case must register for electronic filing with our court within 10 days of this
order, if he/she has not previously done so for a prior case in this District. Signed
by Judge Alan D Albright. (jkda) (Entered: 11/05/2021)
11/05/2021 102 Joint MOTION to Amend/Correct 68 Order on Motion for Miscellaneous Relief
Scheduling Order by Google LLC. (Attachments: # 1 Amended Scheduling Order)
(Jones, Michael) (Entered: 11/05/2021)
11/09/2021 103 ORDER GRANTING 99 Motion to Appear Pro Hac Vice for Attorney Eric B.
Hanson. Attorney added for Google LLC. Pursuant to our Administrative Policies and
Procedures for Electronic Filing, the attorney hereby granted to practice pro hac vice
in this case must register for electronic filing with our court within 10 days of this
order, if he/she has not previously done so for a prior case in this District. Signed
by Judge Alan D Albright. (jkda) (Entered: 11/09/2021)
11/10/2021 104 STATUS REPORT JOINT REPORT ON NARROWING OF ASSERTED CLAIMS AND
PRIOR ART REFERENCES by EcoFactor, Inc.. (Mirzaie, Reza) (Entered: 11/10/2021)
11/16/2021 105 Joint MOTION to Amend/Correct 68 Order on Motion for Miscellaneous Relief
Amend Scheduling Order by Google LLC. (Attachments: # 1 Proposed Order)(Jones,
Michael) (Entered: 11/16/2021)
11/16/2021 106 DEFICIENCY NOTICE: re 105 Joint MOTION to Amend/Correct 68 Order on
Motion for Miscellaneous Relief Amend Scheduling Order (jc5) (Entered: 11/16/2021)
11/16/2021 107 STIPULATION Joint Notice of Stipulation to Amend Scheduling Order [Dkt. 68] by
Google LLC. (Jones, Michael) (Entered: 11/16/2021)
11/19/2021 108 Sealed Motion Defendants' Joint Daubert Motion to Exclude Certain Testimony of Dr.
Palmer by Google LLC (Attachments: # 1 Declaration of Bijal Vakil, # 2 Exhibit A, #
3 Exhibit B, # 4 Exhibit C, # 5 Exhibit D, # 6 Exhibit E, # 7 Exhibit F, # 8 Proposed
Order) (Vakil, Bijal) (Entered: 11/19/2021)
11/19/2021 109 Opposed Sealed Motion TO STRIKE EXPERT OPINIONS ON NON-INFRINGING
ALTERNATIVES by EcoFactor, Inc. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3
Exhibit C, # 4 Exhibit D, # 5 Exhibit Exhibit 12) (Mirzaie, Reza) (Entered:
11/19/2021)
11/19/2021 110 Opposed MOTION to Strike EXPERT OPINIONS ON NON-INFRINGING
ALTERNATIVES by EcoFactor, Inc.. (Attachments: # 1 Affidavit of Reza Mirzaie, # 2
Exhibit A, # 3 Exhibit B, # 4 Exhibit C, # 5 Exhibit D, # 6 Exhibit E, # 7 Exhibit F, # 8
Proposed Order)(Mirzaie, Reza) (Entered: 11/19/2021)
11/19/2021 111 Joint MOTION for Summary Judgment of Subject Matter Ineligibility Under 35
U.S.C. Sec. 101 by Google LLC. (Attachments: # 1 Hucek Decl ISO Section 101 MSJ,
# 2 Ex 1 - '488 Patent, # 3 Ex 2 - '327 Patent, # 4 Ex 3 - '382 Patent, # 5 Ex 4 - 081021
Hublou depo excerpts, # 6 Ex 5 - 110821 Palmer depo excerpts, # 7 Ex 6 - 102921
Iglesia depo excerpts, # 8 Ex 7 - Iglesia Report excerpts, # 9 Proposed Order)(Jones,
Michael) (Entered: 11/19/2021)11/19/2021 112 Opposed MOTION to Exclude PRINTED PUBLICATION OPINIONS AND
SUMMARY JUDGMENT AS TO PUBLIC AVAILABILITY OF REFERENCES by
EcoFactor, Inc.. (Attachments: # 1 Affidavit of Reza Mirzaie, # 2 Exhibit A, # 3
Exhibit B, # 4 Exhibit C, # 5 Proposed Order)(Mirzaie, Reza) (Entered: 11/19/2021)
11/19/2021 113 CORRECTED Sealed Motion Defendants' Joint Daubert Motion to Exclude Certain
Testimony of Dr. Palmer by Google LLC (Attachments: # 1 Declaration of Bijal Vakil,
# 2 Exhibit A, # 3 Exhibit B, # 4 Exhibit C, # 5 Exhibit D, # 6 Exhibit E, # 7 Exhibit F,
# 8 Proposed Order) (Vakil, Bijal) (Entered: 11/19/2021)
11/19/2021 114 Sealed Motion Opposed Motion to Exclude the Expert Testimony of David Kennedy
by Google LLC (Attachments: # 1 Porto Declaration, # 2 Exhibit 1, # 3 Exhibit 2, # 4
Exhibit 3, # 5 Exhibit 4, # 6 Exhibit 5, # 7 Exhibit 6, # 8 Exhibit 7, # 9 Exhibit 8, # 10
Exhibit 9, # 11 Exhibit 10, # 12 Exhibit 11, # 13 Exhibit 12, # 14 Exhibit 13, # 15
Exhibit 14, # 16 Exhibit 15, # 17 Proposed Order) (Jones, Michael) (Entered:
11/19/2021)
11/19/2021 115 Sealed Motion Google LLC's Motion for Summary Judgment by Google LLC
(Attachments: # 1 Declaration of Bijal Vakil, # 2 Exhibit A, # 3 Exhibit B, # 4 Exhibit
C, # 5 Exhibit D, # 6 Exhibit E, # 7 Exhibit F, # 8 Exhibit G, # 9 Proposed Order)
(Vakil, Bijal) (Entered: 11/19/2021)
11/19/2021 116 Sealed Motion --PLAINTIFFS MOTION FOR SUMMARY JUDGMENT OF
DEFENDANT'S AFFIRMATIVE DEFENSES by EcoFactor, Inc. (Attachments: # 1
Affidavit of Reza Mirzaie, # 2 Exhibit A, # 3 Exhibit B, # 4 Exhibit C, # 5 Exhibit D,
# 6 Exhibit E, # 7 Exhibit F, # 8 Exhibit G, # 9 Exhibit H, # 10 Exhibit I, # 11
Proposed Order) (Mirzaie, Reza) (Entered: 11/19/2021)
11/19/2021 117 Sealed Motion MOTION TO EXCLUDE EXPERT OPINIONS OF TODD
SCHOETTELKOTTE by EcoFactor, Inc. (Attachments: # 1 Affidavit of Reza
Mirzaie, # 2 Exhibit A, # 3 Exhibit B, # 4 Exhibit C, # 5 Exhibit D, # 6 Exhibit E, # 7
Exhibit F, # 8 Exhibit G, # 9 Exhibit H, # 10 Exhibit I, # 11 Exhibit J, # 12 Exhibit K,
# 13 Exhibit L, # 14 Exhibit M, # 15 Exhibit N, # 16 Exhibit O, # 17 Proposed Order)
(Mirzaie, Reza) (Entered: 11/20/2021)
11/24/2021 118 Joint MOTION to Extend Scheduling Order Deadlines by Google LLC. (Attachments:
# 1 Proposed Order Amended Scheduling Order)(Van Nest, Robert) (Entered:
11/24/2021)
11/24/2021 119 Redacted Copy of 114 Sealed Motion Opposed Motion to Exclude the Expert
Testimony of David Kennedy by Google LLC by Google LLC. (Jones, Michael)
(Entered: 11/24/2021)
11/24/2021 120 Redacted Copy of 117 Sealed Motion MOTION TO EXCLUDE EXPERT OPINIONS
OF TODD SCHOETTELKOTTE by EcoFactor, Inc. by EcoFactor, Inc..
(Attachments: # 1 Affidavit of Reza Mirzaie, # 2 Exhibit F, # 3 Exhibit G, # 4 Exhibit
J, # 5 Exhibit K, # 6 Exhibit N, # 7 Exhibit O, # 8 Proposed Order)(Mirzaie, Reza)
(Entered: 11/24/2021)
11/24/2021 121 Redacted Copy of 116 Sealed Motion --PLAINTIFFS MOTION FOR SUMMARYJUDGMENT OF DEFENDANT'S AFFIRMATIVE DEFENSES by EcoFactor, Inc. by
EcoFactor, Inc.. (Attachments: # 1 Affidavit of Reza Mirzaie, # 2 Exhibit A, # 3
Exhibit B, # 4 Exhibit D, # 5 Exhibit G, # 6 Exhibit I, # 7 Proposed Order)(Mirzaie,
Reza) (Entered: 11/24/2021)
11/26/2021 122 Redacted Copy of 108 Sealed Motion Defendants' Joint Daubert Motion to Exclude
Certain Testimony of Dr. Palmer by Google LLC by Google LLC. (Attachments: # 1
Affidavit of Bijal Vakil, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6
Exhibit F)(Vakil, Bijal) (Entered: 11/26/2021)
11/26/2021 123 Redacted Copy of 115 Sealed Motion Google LLC's Motion for Summary Judgment
by Google LLC by Google LLC. (Attachments: # 1 Affidavit of Bijal Vakil, # 2
Exhibit A, # 3 Exhibit B, # 4 Exhibit D, # 5 Exhibit G)(Vakil, Bijal) (Entered:
11/26/2021)
12/03/2021 124 Sealed Document: Response to of 116 Sealed Motion --PLAINTIFFS MOTION FOR
SUMMARY JUDGMENT OF DEFENDANT'S AFFIRMATIVE DEFENSES by
EcoFactor, Inc. by Google LLC (Attachments: # 1 Declaration of G. Washington, # 2
Ex. 1 GOOG-ECOF-WDTX1-00000519 at 533, # 3 Ex. 2 GOOG-ECOF-WDTX
00099022, # 4 Ex. 3 GOOG-ECOF-WDTX1-00000694) (Jones, Michael) (Entered:
12/03/2021)
12/03/2021 125 Redacted Copy Response to 116 Motion for Summary Judgment of 124 Sealed
Document, by Google LLC. (Jones, Michael) (Entered: 12/03/2021)
12/03/2021 126 RESPONSE to Motion, filed by Google LLC, re 112 Opposed MOTION to Exclude
PRINTED PUBLICATION OPINIONS AND SUMMARY JUDGMENT AS TO PUBLIC
AVAILABILITY OF REFERENCES filed by Plaintiff EcoFactor, Inc. (Attachments: # 1
Declaration of K. Hucek, # 2 Ex A, # 3 Ex B, # 4 Ex C, # 5 Ex D, # 6 Ex E)(Jones,
Michael) (Entered: 12/03/2021)
12/03/2021 127 Sealed Document: Response in Opposition of 117 Sealed Motion MOTION TO
EXCLUDE EXPERT OPINIONS OF TODD SCHOETTELKOTTE by EcoFactor,
Inc. by Google LLC (Attachments: # 1 List of Publicly Filed Documents, # 2 Sealed
Document Ex 1, # 3 Sealed Document Ex 2, # 4 Sealed Document Ex 3, # 5 Sealed
Document Ex 4, # 6 Sealed Document Ex 5, # 7 Sealed Document Ex 8, # 8 Sealed
Document Ex 9, # 9 Sealed Document Ex 10, # 10 Sealed Document Ex 12, # 11
Sealed Document Ex 13, # 12 Sealed Document Ex15, # 13 Sealed Document Ex 16)
(Jones, Michael) (Entered: 12/03/2021)
12/03/2021 128 Response in Opposition to Motion, filed by Google LLC, re 117 Sealed Motion
MOTION TO EXCLUDE EXPERT OPINIONS OF TODD SCHOETTELKOTTE by
EcoFactor, Inc. filed by Plaintiff EcoFactor, Inc. (Attachments: # 1 Porto Declaration,
# 2 Ex 6, # 3 Ex 7, # 4 Ex 11, # 5 Ex 14)(Jones, Michael) (Entered: 12/03/2021)
12/03/2021 129 Sealed Document: PLAINTIFF'S OPPOSITION TO GOOGLE'S MOTION FOR
SUMMARY JUDGEMENT of 115 Sealed Motion Google LLC's Motion for
Summary Judgment by Google LLC by EcoFactor, Inc. (Attachments: # 1 Affidavit of
Reza Mirzaie, # 2 Exhibit 1, # 3 Exhibit 2, # 4 Exhibit 3, # 5 Exhibit 4, # 6 Exhibit 5,
# 7 Exhibit 6) (Mirzaie, Reza) (Entered: 12/03/2021)12/03/2021 130 Sealed Document: PLAINTIFFS OPPOSITION TO DEFENDANTS CORRECTED
JOINT MOTION TO EXCLUDE CERTAIN TESTIMONY OF DR. PALMER of 113
CORRECTED Sealed Motion Defendants' Joint Daubert Motion to Exclude Certain
Testimony of Dr. Palmer by Google LLC by EcoFactor, Inc. (Attachments: # 1
Affidavit of Reza Mirzaie, # 2 Exhibit 1, # 3 Exhibit 2, # 4 Exhibit 3, # 5 Exhibit 4, #
6 Exhibit 5, # 7 Exhibit 6) (Mirzaie, Reza) (Entered: 12/03/2021)
12/03/2021 131 RESPONSE to Motion, filed by Google LLC, re 110 Opposed MOTION to Strike
EXPERT OPINIONS ON NON-INFRINGING ALTERNATIVES filed by Plaintiff
EcoFactor, Inc., 109 Opposed Sealed Motion TO STRIKE EXPERT OPINIONS ON
NON-INFRINGING ALTERNATIVES by EcoFactor, Inc. filed by Plaintiff
EcoFactor, Inc. GOOGLE LLC'S STATEMENT REGARDING MOOTNESS OF
PLAINTIFF'S MOTION TO STRIKE EXPERT OPINIONS OF NON-INFRINGING
ALTERNATIVES (Attachments: # 1 Affidavit of Bijal Vakil, # 2 Exhibit A)(Vakil,
Bijal) (Entered: 12/03/2021)
12/03/2021 132 Sealed Document: OPPOSITION TO DEFENDANT GOOGLE LLCS MOTION TO
EXCLUDE EXPERT TESTIMONY OF DAVID KENNEDY of 114 Sealed Motion
Opposed Motion to Exclude the Expert Testimony of David Kennedy by Google LLC
by EcoFactor, Inc. (Attachments: # 1 Declaration of Reza Mirzaie, # 2 Exhibit A, # 3
Exhibit B, # 4 Exhibit C, # 5 Exhibit D, # 6 Exhibit E, # 7 Exhibit F, # 8 Exhibit G)
(Mirzaie, Reza) (Entered: 12/03/2021)
12/03/2021 133 Transcript filed of Proceedings held on 10/18/21, Proceedings Transcribed: Discovery
Hearing. Court Reporter/Transcriber: Shelly Holmes, CSR, TCRR, Telephone number:
(903) 720-6009 (shellyholmes@hotmail.com). Parties are notified of their duty to
review the transcript to ensure compliance with the FRCP 5.2(a)/FRCrP 49.1(a). A
copy may be purchased from the court reporter or viewed at the clerk's office public
terminal. If redaction is necessary, a Notice of Redaction Request must be filed within
21 days. If no such Notice is filed, the transcript will be made available via PACER
without redaction after 90 calendar days. The clerk will mail a copy of this notice to
parties not electronically noticed Redaction Request due 12/27/2021, Redacted
Transcript Deadline set for 1/3/2022, Release of Transcript Restriction set for
3/3/2022, (kd) (Entered: 12/03/2021)
12/04/2021 134 Sealed Document: PLAINTIFFS OPPOSITION TO DEFENDANTS JOINT
MOTION FOR SUMMARY JUDGMENT OF SUBJECT MATTER INELIGIBILITY
of 111 Joint MOTION for Summary Judgment of Subject Matter Ineligibility Under
35 U.S.C. Sec. 101 by EcoFactor, Inc. (Attachments: # 1 Affidavit of Reza Mirzaie, #
2 Exhibit A, # 3 Exhibit B, # 4 Exhibit C, # 5 Exhibit D, # 6 Exhibit E) (Mirzaie,
Reza) (Entered: 12/04/2021)
12/04/2021 135 ATTACHMENT to 130 Sealed Document, by EcoFactor, Inc.. (Attachments: # 1
Certificate of Service)(Mirzaie, Reza) (Entered: 12/04/2021)
12/10/2021 136 Redacted Copy of OPPOSITION TO DEFENDANTS JOINT MOTION FOR
SUMMARY JUDGMENT OF SUBJECT MATTER INELIGIBILITY UNDER 35 U.S.C.
§ 101 of 134 Sealed Document, by EcoFactor, Inc.. (Attachments: # 1 Declaration of
Reza Mirzaie, # 2 Exhibit A, # 3 Exhibit C, # 4 Exhibit D)(Mirzaie, Reza) (Entered:12/10/2021)
12/10/2021 137 Redacted Copy of OPPOSITION TO DEFENDANT GOOGLE LLCS MOTION TO
EXCLUDE EXPERT TESTIMONY OF DAVID KENNEDY of 132 Sealed Document,
by EcoFactor, Inc.. (Attachments: # 1 Declaration of Reza Mirzaie, # 2 Exhibit D)
(Mirzaie, Reza) (Entered: 12/10/2021)
12/10/2021 138 Redacted Copy OPPOSITION TO DEFENDANTS CORRECTED JOINT MOTION TO
EXCLUDE CERTAIN TESTIMONY OF DR. PALMER [DKT. NO. 113] of 130 Sealed
Document, by EcoFactor, Inc.. (Attachments: # 1 Declaration of Reza Mirzaie, # 2
Exhibit 1, # 3 Exhibit 2, # 4 Exhibit 3, # 5 Exhibit 5, # 6 Exhibit 6)(Mirzaie, Reza)
(Entered: 12/10/2021)
12/10/2021 139 Redacted Copy of 129 Sealed Document, by EcoFactor, Inc.. (Attachments: # 1
Affidavit of Reza Mirzaie, # 2 Exhibit 1, # 3 Exhibit 2, # 4 Exhibit 3, # 5 Exhibit 5, #
6 Exhibit 6)(Mirzaie, Reza) (Entered: 12/10/2021)
12/10/2021 140 REPLY to Response to Motion, filed by Google LLC, re 111 Joint MOTION for
Summary Judgment of Subject Matter Ineligibility Under 35 U.S.C. Sec. 101 filed by
Defendant Google LLC (Jones, Michael) (Entered: 12/10/2021)
12/10/2021 141 Redacted Copy Response to Schoettelkotte Daubert Motion of 127 Sealed Document,,
by Google LLC. (Jones, Michael) (Entered: 12/10/2021)
12/10/2021 142 Sealed Document: Reply in Support of Motion to Exclude Testimony of Expert
Testimony of David Kennedy of 114 Sealed Motion Opposed Motion to Exclude the
Expert Testimony of David Kennedy by Google LLC by Google LLC (Attachments: #
1 Porto Declaration, # 2 Sealed Ex. 16, # 3 Sealed Ex. 17, # 4 Sealed Ex. 18, # 5
Sealed E. 19) (Jones, Michael) (Entered: 12/10/2021)
12/10/2021 143 Sealed Document: PLAINTIFF'S REPLY IN SUPPORT OF ITS MOTION FOR
SUMMARY JUDGMENT OF DEFENDANT'S AFFIRMATIVE DEFENSES of 116
Sealed Motion --PLAINTIFFS MOTION FOR SUMMARY JUDGMENT OF
DEFENDANT'S AFFIRMATIVE DEFENSES by EcoFactor, Inc. by EcoFactor, Inc.
(Attachments: # 1 Affidavit of Reza Mirzaie, # 2 Exhibit 1) (Mirzaie, Reza) (Entered:
12/10/2021)
12/10/2021 144 REPLY to Response to Motion, filed by Google LLC, re 115 Sealed Motion Google
LLC's Motion for Summary Judgment by Google LLC filed by Defendant Google
LLC Motion for Summary Judgment of Invalidity Under 35 U.S.C. § 112
(Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C)(Vakil, Bijal) (Entered:
12/10/2021)
12/10/2021 145 Sealed Document: Defendants' Joint Reply in support of Daubert Motion to Exclude
Certain Testimony of Dr. Palmer of 113 CORRECTED Sealed Motion Defendants'
Joint Daubert Motion to Exclude Certain Testimony of Dr. Palmer by Google LLC by
Google LLC (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D)
(Vakil, Bijal) (Entered: 12/10/2021)
12/10/2021 146 Sealed Document: REPLY IN SUPPORT of 117 Sealed Motion MOTION TO
EXCLUDE EXPERT OPINIONS OF TODD SCHOETTELKOTTE by EcoFactor,Inc. by EcoFactor, Inc. (Attachments: # 1 Declaration of Adam S. Hoffman, # 2
Exhibit P) (Mirzaie, Reza) (Entered: 12/10/2021)
12/10/2021 147 Redacted Copy Defendants' Joint Reply in support of Daubert Motion to Exclude
Certain Testimony of Dr. Palmer of 145 Sealed Document, by Google LLC.
(Attachments: # 1 Exhibit A - [Redacted in its entirety], # 2 Exhibit B, # 3 Exhibit C, #
4 Exhibit D)(Vakil, Bijal) (Entered: 12/10/2021)
12/17/2021 148 Redacted Copy Reply In support of Motion to Exclude Testimony of Kennedy of 142
Sealed Document, by Google LLC. (Jones, Michael) (Entered: 12/17/2021)
12/20/2021 149 Redacted Copy of 146 Sealed Document, by EcoFactor, Inc.. (Attachments: # 1
Exhibit P)(Mirzaie, Reza) (Entered: 12/20/2021)
12/20/2021 150 Redacted Copy of 143 Sealed Document, by EcoFactor, Inc.. (Attachments: # 1
Affidavit of Reza Mirzaie)(Mirzaie, Reza) (Entered: 12/20/2021)
12/22/2021 151 Sealed Motion Omnibus Motion in Limine by Google LLC (Attachments: # 1 Porto
Declaration, # 2 Ex. 1 - SEALED, # 3 Ex. 2 - SEALED, # 4 Ex. 3 - SEALED, # 5 Ex.
5 - SEALED, # 6 Ex. 6 - SEALED, # 7 Ex. 7 - SEALED, # 8 Ex. 8 - SEALED, # 9
Ex. 9 - SEALED, # 10 Ex. 10 - SEALED) (Jones, Michael) (Entered: 12/22/2021)
12/22/2021 152 ATTACHMENT Index of Non-Confidential Attachments to 151 Sealed Motion
Omnibus Motion in Limine by Google LLC by Google LLC. (Attachments: # 1 Ex. 4
- PTX0384, # 2 Proposed Order)(Jones, Michael) (Entered: 12/22/2021)
12/22/2021 153 Sealed Motion: PLAINTIFF ECOFACTOR, INC.S OPPOSED MOTIONS IN LIMINE
by EcoFactor, Inc. (Attachments: # 1 Declaration of Reza Mirzaie, # 2 Exhibit A, # 3
Exhibit B, # 4 Exhibit C, # 5 Exhibit D, # 6 Exhibit E, # 7 Proposed Order) (Mirzaie,
Reza) Modified to Motion on 1/31/2022 (lad). (Entered: 12/22/2021)
12/23/2021 154 ATTACHMENT to 151 Sealed Motion Omnibus Motion in Limine by Google LLC by
Google LLC. (Attachments: # 1 Ex. A - Certificate of Conference)(Jones, Michael)
(Entered: 12/23/2021)
12/29/2021 155 NOTICE of Request for Daily Transcript and Real Time Reporting of Trial and
Pretrial Proceedings by Google LLC (Jones, Michael) (Entered: 12/29/2021)
12/29/2021 156 Sealed Document: Google's Response to Plaintiff's Opposed Motions in Limine of 153
Sealed Document, by Google LLC (Attachments: # 1 Murray Declaration, # 2 Ex. 1 -
Sealed, # 3 Ex. 2 - Sealed, # 4 Ex. 3 - Sealed, # 5 Ex. 4 - Sealed, # 6 Ex. 5 - Sealed, #
7 Ex. 6 - Sealed, # 8 Ex. 7 - Sealed, # 9 Ex. 8 - Sealed, # 10 Ex. 9 - Sealed, # 11 Ex. 10
- Sealed, # 12 Ex. 11 - Sealed, # 13 Ex. 12 - Sealed, # 14 Ex. 13 - Sealed) (Jones,
Michael) (Entered: 12/29/2021)
12/29/2021 157 NOTICE --PLAINTIFF'S NOTICE OF REQUEST FOR DAILY TRANSCRIPT AND
REAL TIME REPORTING OF TRIAL AND PRETRIAL PROCEEDINGS by
EcoFactor, Inc. re 93 Order (Mirzaie, Reza) (Entered: 12/29/2021)
12/29/2021 158 Sealed Document: PLAINTIFF ECOFACTOR, INC.S OPPOSITION TO
DEFENDANT GOOGLE LLCS OMNIBUS MOTIONS IN LIMINE of 151 SealedMotion Omnibus Motion in Limine by Google LLC by EcoFactor, Inc. (Attachments:
# 1 Affidavit of Reza Mirzaie, # 2 Exhibit A, # 3 Exhibit B, # 4 Exhibit C, # 5 Exhibit
D) (Mirzaie, Reza) (Entered: 12/29/2021)
12/29/2021 159 Redacted Copy EcoFactor's Opposed Motions in Limine of 153 Sealed Document, by
EcoFactor, Inc.. (Attachments: # 1 Affidavit of Reza Mirzaie, # 2 Exhibit A, # 3
Exhibit C, # 4 Exhibit D, # 5 Proposed Order)(Mirzaie, Reza) (Entered: 12/29/2021)
12/30/2021 160 Redacted Copy of 151 Sealed Motion Omnibus Motion in Limine by Google LLC by
Google LLC. (Jones, Michael) (Entered: 12/30/2021)
01/04/2022 161 ORDER, (Pretrial Conference RESET for 1/25/2022 01:30 PM before Judge Alan D
Albright). Signed by Judge Alan D Albright. (bot1) (Entered: 01/04/2022)
01/04/2022 162 Sealed Document: PLAINTIFF ECOFACTOR, INC.S CORRECTED OPPOSITION
TO DEFENDANT GOOGLE LLCS OMNIBUS MOTIONS IN LIMINE of 151
Sealed Motion Omnibus Motion in Limine by Google LLC by EcoFactor, Inc.
(Mirzaie, Reza) (Entered: 01/04/2022)
01/04/2022 163 AFFIDAVIT in Support of 162 Sealed Document by EcoFactor, Inc.. (Attachments: #
1 Exhibit C)(Mirzaie, Reza) (Entered: 01/04/2022)
01/05/2022 164 Redacted Copy of 156 Sealed Document, by Google LLC. (Jones, Michael) (Entered:
01/05/2022)
01/06/2022 165 NOTICE of Change of Address by Eric Lancaster (Lancaster, Eric) (Entered:
01/06/2022)
01/06/2022 166 MOTION to Appear Pro Hac Vice by Bijal V. Vakil PHV Application of James Reed (
Filing fee $ 100 receipt number 0542-15587972) by on behalf of Google LLC. (Vakil,
Bijal) (Entered: 01/06/2022)
01/07/2022 167 Redacted Copy of 162 Sealed Document by EcoFactor, Inc.. (Mirzaie, Reza) (Entered:
01/07/2022)
01/07/2022 168 ORDER GRANTING 166 Motion to Appear Pro Hac Vice for Attorney James Reed.
Attorney added for Google LLC. Pursuant to our Administrative Policies and
Procedures for Electronic Filing, the attorney hereby granted to practice pro hac vice
in this case must register for electronic filing with our court within 10 days of this
order, if he/she has not previously done so for a prior case in this District. Signed
by Judge Alan D Albright. (jkda) (Entered: 01/07/2022)
01/07/2022 169 Pretrial Disclosures Joint Pretrial Order by EcoFactor, Inc.. (Attachments: # 1 Exhibit
A-1, # 2 Exhibit A-5, # 3 Exhibit B-1, # 4 Exhibit B-2, # 5 Exhibit C-1, # 6 Exhibit C
2, # 7 Exhibit E-1, # 8 Exhibit E-2, # 9 Exhibit F-1, # 10 Exhibit F-2, # 11 Exhibit F-3,
# 12 Exhibit G-1, # 13 Exhibit G-2, # 14 Exhibit G-3, # 15 Exhibit G-4)(Mirzaie,
Reza) (Entered: 01/07/2022)
01/07/2022 170 Sealed Document: INDEX OF CONFIDENTIAL EXHIBITS TO DKT NO. 169
JOINT PRETRIAL ORDER of 169 Pretrial Disclosures, by EcoFactor, Inc.
(Attachments: # 1 Exhibit A-2, # 2 Exhibit A-3, # 3 Exhibit A-4, # 4 Exhibit D-1, # 5
Exhibit D-2) (Mirzaie, Reza) (Entered: 01/07/2022)01/10/2022 171 ORDER SETTING VOIR DIRE AND PRE-VOIR DIRE CONFERENCE - Jury
Selection set for 1/27/2022 09:30AM before Judge Jeffrey C. Manske. Signed by
Judge Jeffrey C. Manske. (jc5) (Entered: 01/10/2022)
01/10/2022 172 Joint MOTION to Amend/Correct 68 Order on Motion for Miscellaneous Relief Joint
Motion to Amend Scheduling Order by Google LLC. (Attachments: # 1 Proposed
Order)(Jones, Michael) (Entered: 01/10/2022)
01/11/2022 173 NOTICE to Attorneys regarding Jury Evidence Recording System (JERS)
Instructions. (ir) (Entered: 01/11/2022)
01/11/2022 174 Unopposed MOTION to Continue Trial by Google LLC. (Attachments: # 1
Declaration of R. Van Nest, # 2 Exhibit 1, # 3 Exhibit 2, # 4 Proposed Order)(Jones,
Michael) (Entered: 01/11/2022)
01/11/2022 175 Response in Opposition to Motion, filed by EcoFactor, Inc., re 174 Unopposed
MOTION to Continue Trial filed by Defendant Google LLC (Mirzaie, Reza) (Entered:
01/11/2022)
01/12/2022 176 ORDER DENYING 174 Motion to Continue. Signed by Judge Alan D Albright. (jc5)
(Entered: 01/12/2022)
01/14/2022 177 JOINT PRETRIAL ORDER. Signed by Judge Alan D Albright. (ir) (Entered:
01/14/2022)
01/17/2022 178 MOTION to Appear Pro Hac Vice by Bijal V. Vakil Pro Hac Vice Application of
James Gagen ( Filing fee $ 100 receipt number 0542-15619783) by on behalf of
Google LLC. (Vakil, Bijal) (Entered: 01/17/2022)
01/18/2022 179 ORDER GRANTING 178 Motion to Appear Pro Hac Vice for Attorney James P.
Gagen. Attorney added for Google LLC. Pursuant to our Administrative Policies and
Procedures for Electronic Filing, the attorney hereby granted to practice pro hac vice
in this case must register for electronic filing with our court within 10 days of this
order, if he/she has not previously done so for a prior case in this District. Signed
by Judge Alan D Albright. (sjda) (Main Document 179 replaced on 1/25/2022) (sv).
(Entered: 01/18/2022)
01/20/2022 180 Sealed Document: Notice of Errata and Corrected Exhibit of 127 Sealed Document,,
by Google LLC (Attachments: # 1 Sealed Document) (Jones, Michael) (Entered:
01/20/2022)
01/20/2022 181 NOTICE -- JOINT NOTICE IDENTIFYING REMAINING OBJECTIONS TO
PRETRIAL DISCLOSURES AND DISPUTES ON MOTIONS IN LIMINE by
EcoFactor, Inc. re 172 Joint MOTION to Amend/Correct 68 Order on Motion for
Miscellaneous Relief Joint Motion to Amend Scheduling Order, 169 Pretrial
Disclosures, (Mirzaie, Reza) (Entered: 01/20/2022)
01/20/2022 182 JURY PARTIAL SEQUESTRATION ORDER. Signed by Judge Alan D Albright.
(jc5) (Entered: 01/21/2022)
Text Order GRANTING 172 Motion to Amend/Correct entered by Judge Alan D

01/24/2022Albright. It is therefore ORDERED that the deadline for the parties to file a joint
notice identifying remaining objections to pretrial disclosures and disputes on motions
in limine is January 20, 2022.(This is a text-only entry generated by the court. There is
no document associated with this entry.) (PTlc) (Entered: 01/24/2022)
01/24/2022 183 AMENDED ORDER SETTING VOIR DIRE AND PRE-VOIR DIRE
CONFERENCE. Voir Dire set for 1/31/2022 09:00AM before Judge Jeffrey C.
Manske. VIDEO Conference: Voire Dire Protocol Conference set for 1/27/2022 01:30
PM before Judge Jeffrey C. Manske via Zoom. Signed by Judge Jeffrey C. Manske.
(jc5) (Entered: 01/24/2022)
01/25/2022 184 Minute Entry for proceedings held before Judge Alan D Albright: Pretrial Conference
held on 1/25/2022. Case called for Final Pretrial Conference in person. The Court
heard argument and made rulings onpending motions - an Order should be
forthcoming. The Court also explained his normal trial procedures. There will be 4
strikes for each side. Charge conference will probably be Wednesday evening. Not on
the record. There will be 7 jurors seated. Judge Albright will be handling the voir dire.
Judge wants each party to have 30 minutes for opening and closing arguments. There
will be live remote witnesses. The Court will allow 12 hours per side not including
opening and closing. Thursday at 1:30 is the time for parties to have technical people
to confirm everything works and they can bring in whateverthey wish to the
courtroom. Parties should submit yes or no prospective jurors to the Court who will
read them. Parties can question individual parties but not whole panel. (Minute entry
documents are not available electronically.). (Court Reporter Kristie Davis.) (jc5)
(Entered: 01/25/2022)
01/26/2022 185 Unopposed MOTION to Withdraw as Attorney on behalf of Matthias Kamber by
Google LLC. (Attachments: # 1 Proposed Order)(Jones, Michael) (Entered:
01/26/2022)
Text Order GRANTING 185 Motion to Withdraw as Attorney entered by Judge Alan
D Albright. IT IS HEREBY ORDERED that Matthias Kamber is hereby withdrawn as
counsel of record for Defendant Google LLC and that he be removed from the Clerks
service list.(This is a text-only entry generated by the court. There is no document
associated with this entry.) (PTlc) (Entered: 01/26/2022)
01/26/2022 186 BRIEF JOINT STATEMENT REGARDING CLAIM CONSTRUCTION regarding 50
Markman Hearing,,, by EcoFactor, Inc.. (Mirzaie, Reza) (Entered: 01/26/2022)
01/26/2022 187 ORDER CANCELING PRE-VOIR DIRE CONFERENCE. Signed by Judge Jeffrey
C. Manske. (mc5) (Entered: 01/27/2022)
01/28/2022 188 Sealed Document: Google's Trial Exhibit List by Google LLC (Attachments: # 1
Sealed Document) (Jones, Michael) (Entered: 01/28/2022)
01/28/2022 189 ATTACHMENT to 188 Sealed Document by Google LLC. (Attachments: # 1 Ex. B -
Physical Ex. List, # 2 Ex. C - Joint Ex. List)(Jones, Michael) (Entered: 01/28/2022)
01/28/2022 190 BRIEF JOINT PROPOSED OMNIBUS ORDER REGARDING PRETRIAL MOTIONS
(DKTS. 109, 111, 113, 114, 115, 116, 117, 151, and 153) regarding 184 Pretrial

01/26/2022Conference,,,, by EcoFactor, Inc.. (Mirzaie, Reza) (Entered: 01/28/2022)
01/29/2022 191 Sealed Document: Plaintiff EcoFactor, Inc.'s Updated Trial Exhibit List by EcoFactor,
Inc. (Mirzaie, Reza) (Entered: 01/29/2022)
01/31/2022 192 Sealed Order. Signed by Judge Alan D Albright. (jc5) (Entered: 01/31/2022)
01/31/2022 193 Minute Entry for proceedings held before Judge Alan D Albright: Hearing Out of Jury
Presence held on 1/31/2022 (Minute entry documents are not available electronically.).
(Court Reporter Kristie Davis.) (jc5) (Entered: 01/31/2022)
01/31/2022 194 Minute Entry for proceedings held before Judge Alan D Albright: Jury Selection held
on 1/31/2022. VOIR DIRE BEGINS. JURY SELECTION HELD - 9:09 - 11:45.
JURORS SWORN - 11:45. Jury Trial begun on 1/31/2022. TRIAL BEGINS - 11:48.
TRIAL HELD. OPENING STATEMENTS OF COUNSEL FOR PLA/DEFT HEARD.
EVIDENCE PRESENTED ON BEHALF OF PLA/DEFT. TRIAL
CONT./RECESSED TO: Jury Trial set for 2/1/2022 08:30 AM before Judge Alan D
Albright. (Minute entry documents are not available electronically.) (Court Reporter
Kristie Davis.) (jc5) (Entered: 02/01/2022)
02/01/2022 195 Minute Entry for proceedings held before Judge Alan D Albright: Hearing Out of Jury
Presence held on 2/1/2022 (Minute entry documents are not available electronically.).
(Court Reporter Kristie Davis.)(jc5) (Entered: 02/01/2022)
02/01/2022 196 Minute Entry for proceedings held before Judge Alan D Albright: Jury Trial held on
2/1/2022. EVIDENCE PRESENTED ON BEHALF OF PLA/DEFT. Jury Trial set for
2/2/2022 09:30 AM before Judge Alan D Albright. Minute entry documents are not
available electronically. (Court Reporter Kristie Davis.) (jc5) (Entered: 02/02/2022)
02/02/2022 197 Minute Entry for proceedings held before Judge Alan D Albright: Hearing Out of Jury
Presence held on 2/2/2022. (Minute entry documents are not available electronically.)
(Court Reporter Kristie Davis.) (jc5) (Entered: 02/02/2022)
02/02/2022 198 Minute Entry for proceedings held before Judge Alan D Albright: Jury Trial held on
2/2/2022. EVIDENCE PRESENTED ON BEHALF OF PLA/DEFT. PLAINTIFF
REST - 2:33. TRIAL CONT./RECESSED TO: Possible Friday, February 4 to be
determined due to inclement weather, when resumed, will be before Judge Alan D
Albright. (Minute entry documents are not available electronically.) (Court Reporter
Kristie Davis.)(jc5) (Entered: 02/03/2022)
02/07/2022 199 Minute Entry for proceedings held before Judge Alan D Albright: Hearing Out of Jury
Presence held on 2/7/2022 (Minute entry documents are not available electronically.).
(Court Reporter Kristie Davis.) (jc5) (Entered: 02/07/2022)
02/07/2022 201 Minute Entry for proceedings held before Judge Alan D Albright: Jury Trial held on
2/7/2022. EVIDENCE PRESENTED ON BEHALF OF PLA/DEFT. DEF'S MOTION
(ORAL) FOR JUDGMENT AS A MATTER OF LAW - CT GRANTED AS TO
THEMATTER OF WILLFULNESS. Jury Trial cont./recessed to 2/8/2022 08:30 AM
before Judge Alan D Albright. (Minute entry documents are not available
electronically.) (Court Reporter Kristie Davis.) (jc5) (Entered: 02/08/2022)02/08/2022 200 Sealed Document: PLAINTIFF ECOFACTOR, INC.S TRIAL BRIEF REGARDING
DEFENDANT GOOGLE, INC.S MOTION FOR JUDGMENT AS A MATTER OF
LAW by EcoFactor, Inc. (Mirzaie, Reza) (Entered: 02/08/2022)
02/08/2022 202 Minute Entry for proceedings held before Judge Alan D Albright: Hearing Out of Jury
Presence held on 2/8/2022. Case called for pretrail hearing outside the presence of the
jury. At issue are slides to be used duringexpert witness (Williams) slides 83, 35, 87 -
92 and in patent 382 slides 46, 66, 68, 76, 79, 83 and 84. The Court made ruling on
each and determined that if the information is not in the expert report the Court will
not allow it into the trial. (Minute entry documents are not available electronically.)
(Court Reporter Kristie Davis.) (jc5) (Entered: 02/08/2022)
02/08/2022 203 Sealed Motion Rule 50(A) Motion for Judgment as a Matter of Law by Google LLC
(Jones, Michael) (Entered: 02/08/2022)
02/08/2022 204 Minute Entry for proceedings held before Judge Alan D Albright: Jury Trial held on
2/8/2022. EVIDENCE PRESENTED ON BEHALF OF PLA/DEFT. PLAINTIFF
REST(Rebuttal) - 3:17 p.m. DEFENDANT REST- 2:50 p.m. PLAINTIFF'S MOTION
(ORAL) FOR JUDGMENT AS A MATTER OF LAW. DEFENDANT'S MOTION
(ORAL) FOR JUDGMENT AS A MATTER OF LAW. COURT CHARGES JURY
3:50 - 4:43. Jury Trial recessed to 2/9/2022 08:30 AM before Judge Alan D Albright.
(Minute entry documents are not available electronically.) (Court Reporter Kristie
Davis.)(jc5) (Entered: 02/08/2022)
02/09/2022 206 Minute Entry for proceedings held before Judge Alan D Albright: Jury Trial held on
2/9/2022. CLOSING ARGUMENTS OF COUNSEL FOR PLA/DEFT. JURY NOTES
#1, 2, 3 and 4 TENDERED TO THE COURT. JURY RETIRES TO DELIBERATE.
Jury Trial CONT./RECESSED to 2/10/2022 09:00 AM to continue deliberations
before Judge Alan D Albright. (Minute entry documents are not available
electronically.). (Court Reporter Kristie Davis.) (jc5) (Entered: 02/10/2022)
Text Order DENYING 203 Sealed Motion entered by Judge Alan D Albright.
Willfulness separately ruled on in court and is not a part of this motion. (This is a text
only entry generated by the court. There is no document associated with this entry.)
(PTlc) (Entered: 02/10/2022)
02/10/2022 205 ORDER - all exhibits introduced into evidence during the trial of said cause
bereturned to the party introducing them. Signed by Judge Alan D Albright. (jc5)
(Entered: 02/10/2022)
02/10/2022 207 Minute Entry for proceedings held before Judge Alan D Albright: JURY NOTE #5
TENDERED TO THE COURT. JURY POLLED/DISCHARGED.Jury Trial
completed on 2/10/2022. (Minute entry documents are not available electronically.).
(Court Reporter Kristie Davis.) (jc5) (Entered: 02/10/2022)
02/10/2022 208 Exhibit List. (jc5) (Main Document 208 replaced on 2/10/2022) (jc5). (Entered:
02/10/2022)
02/10/2022 209 Court's Charge/Instructions to Jury. (jc5) (Entered: 02/10/2022)

02/10/202202/10/2022 210 JURY NOTE 1 SEALED pursuant to E-Government Act of 2002. (jc5) (Entered:
02/10/2022)
02/10/2022 211 JURY NOTE 2 SEALED pursuant to E-Government Act of 2002. (jc5) (Entered:
02/10/2022)
02/10/2022 212 JURY NOTE 3 SEALED pursuant to E-Government Act of 2002. (jc5) (Entered:
02/10/2022)
02/10/2022 213 JURY NOTE 4 SEALED pursuant to E-Government Act of 2002. (jc5) (Entered:
02/10/2022)
02/10/2022 214 JURY NOTE 5 SEALED pursuant to E-Government Act of 2002. (jc5) (Entered:
02/10/2022)
02/10/2022 215 JURY VERDICT (Redacted Version) for EcoFactor, Inc. filed. Unredacted Jury
Verdict Sealed pursuant to E-Government Act of 2002. (jc5) (Entered: 02/10/2022)
02/10/2022 217 EXHIBIT RECEIPT by EcoFactor, Inc. (jc5) (Entered: 02/10/2022)
02/10/2022 218 EXHIBIT RECEIPT by Google LLC. (jc5) (Entered: 02/10/2022)
02/11/2022 219 Witness List. (jc5) (Entered: 02/11/2022)
02/16/2022 220 Redacted Copy of 203 Sealed Motion Rule 50(A) Motion for Judgment as a Matter of
Law by Google LLC by Google LLC. (Jones, Michael) (Entered: 02/16/2022)
02/25/2022 221 Unopposed MOTION to Withdraw as Attorney on behalf of Patrick Murray by
Google LLC. (Attachments: # 1 Proposed Order)(Jones, Michael) (Entered:
02/25/2022)
03/02/2022 222 ORDER GRANTING 221 Motion to Withdraw as Attorney PATRICK MURRAY.
Signed by Judge Alan D Albright. (sv) (Entered: 03/02/2022)
Parties shall comply with Judge Albright's updated standing orders and COVID-19
standing order available by clicking the included hyperlinks.
The updated orders are as follows:
1. Standing Order Regarding Notice of Readiness for Patent Cases 030722,
2. Standing Order on Pretrial Procedures and Requirements in Civil Cases 030722,
3. Standing Order Governing Proceedings 4.0 - Patent Cases 030722,
4. Amended Standing Order Regarding Coronavirus (COVID-19) and Court
Proceedings,
5. Amended Standing Order Regarding Joint Or Unopposed Request To Change
Deadlines 030722,
6. Amended Standing Order Regarding Filing Documents Under Seal and Redacted
Public Versions 030722. (jkda) (Entered: 03/10/2022)
03/25/2022 223 Opposed MOTION TO APPROVE FORM AND FOR ENTRY OF FINAL JUDGMENT
re 215 Jury Verdict by EcoFactor, Inc.. (Attachments: # 1 Affidavit of Kristopher
Davis, # 2 Exhibit A, # 3 Exhibit B, # 4 Exhibit C)(Mirzaie, Reza) (Entered:
03/25/2022)

03/10/202203/26/2022 224 1-25-22 Pretrial Conference Sealed Transcript filed (This transcript is not available
electronically) (kd) (Entered: 03/26/2022)
03/26/2022 225 1-31-22 Trial Proceedings Sealed Transcript filed (This transcript is not available
electronically) (kd) (Entered: 03/26/2022)
03/26/2022 226 2-1-22 Trial Proceedings Sealed Transcript filed (This transcript is not available
electronically) (kd) (Entered: 03/26/2022)
03/26/2022 227 2-2-22 Trial Proceedings Sealed Transcript filed (This transcript is not available
electronically) (kd) (Entered: 03/26/2022)
03/26/2022 228 2-7-22 Trial Proceedings Sealed Transcript filed (This transcript is not available
electronically) (kd) (Entered: 03/26/2022)
03/26/2022 229 2-8-22 Jury Trial Proceedings Sealed Transcript filed (This transcript is not available
electronically) (kd) (Entered: 03/26/2022)
03/26/2022 230 2-9-22 Jury Trial Proceedings Sealed Transcript filed (This transcript is not available
electronically) (kd) (Entered: 03/26/2022)
03/26/2022 231 2-10-22 Jury Trial Proceedings Sealed Transcript filed (This transcript is not available
electronically) (kd) (Entered: 03/26/2022)
03/26/2022 232 Transcript filed of Proceedings held on 1-25-22, Proceedings Transcribed: Pretrial
Conference. Court Reporter/Transcriber: Kristie Davis (kmdaviscsr@yahoo.com),
Telephone number: 254-340-6114. Parties are notified of their duty to review the
transcript to ensure compliance with the FRCP 5.2(a)/FRCrP 49.1(a). A copy may be
purchased from the court reporter or viewed at the clerk's office public terminal. If
redaction is necessary, a Notice of Redaction Request must be filed within 21 days. If
no such Notice is filed, the transcript will be made available via PACER without
redaction after 90 calendar days. The clerk will mail a copy of this notice to parties not
electronically noticed Redaction Request due 4/18/2022, Redacted Transcript
Deadline set for 4/26/2022, Release of Transcript Restriction set for 6/24/2022, (kd)
(Entered: 03/26/2022)
03/26/2022 233 Transcript filed of Proceedings held on 1-31-22, Proceedings Transcribed: Jury Trial
Volume 1. Court Reporter/Transcriber: Kristie Davis (kmdaviscsr@yahoo.com),
Telephone number: 254-340-6114. Parties are notified of their duty to review the
transcript to ensure compliance with the FRCP 5.2(a)/FRCrP 49.1(a). A copy may be
purchased from the court reporter or viewed at the clerk's office public terminal. If
redaction is necessary, a Notice of Redaction Request must be filed within 21 days. If
no such Notice is filed, the transcript will be made available via PACER without
redaction after 90 calendar days. The clerk will mail a copy of this notice to parties not
electronically noticed Redaction Request due 4/18/2022, Redacted Transcript
Deadline set for 4/26/2022, Release of Transcript Restriction set for 6/24/2022, (kd)
(Entered: 03/26/2022)
03/26/2022 234 Transcript filed of Proceedings held on 2-1-22, Proceedings Transcribed: Jury Trial
Volume 2. Court Reporter/Transcriber: Kristie Davis (kmdaviscsr@yahoo.com),
Telephone number: 254-340-6114. Parties are notified of their duty to review thetranscript to ensure compliance with the FRCP 5.2(a)/FRCrP 49.1(a). A copy may be
purchased from the court reporter or viewed at the clerk's office public terminal. If
redaction is necessary, a Notice of Redaction Request must be filed within 21 days. If
no such Notice is filed, the transcript will be made available via PACER without
redaction after 90 calendar days. The clerk will mail a copy of this notice to parties not
electronically noticed Redaction Request due 4/18/2022, Redacted Transcript
Deadline set for 4/26/2022, Release of Transcript Restriction set for 6/24/2022, (kd)
(Entered: 03/26/2022)
03/26/2022 235 Transcript filed of Proceedings held on 2-2-22, Proceedings Transcribed: Jury Trial
Volume 3. Court Reporter/Transcriber: Kristie Davis (kmdaviscsr@yahoo.com),
Telephone number: 254-340-6114. Parties are notified of their duty to review the
transcript to ensure compliance with the FRCP 5.2(a)/FRCrP 49.1(a). A copy may be
purchased from the court reporter or viewed at the clerk's office public terminal. If
redaction is necessary, a Notice of Redaction Request must be filed within 21 days. If
no such Notice is filed, the transcript will be made available via PACER without
redaction after 90 calendar days. The clerk will mail a copy of this notice to parties not
electronically noticed Redaction Request due 4/18/2022, Redacted Transcript
Deadline set for 4/26/2022, Release of Transcript Restriction set for 6/24/2022, (kd)
(Entered: 03/26/2022)
03/26/2022 236 Transcript filed of Proceedings held on 2-7-22, Proceedings Transcribed: Jury Trial
Volume 4. Court Reporter/Transcriber: Kristie Davis (kmdaviscsr@yahoo.com),
Telephone number: 254-340-6114. Parties are notified of their duty to review the
transcript to ensure compliance with the FRCP 5.2(a)/FRCrP 49.1(a). A copy may be
purchased from the court reporter or viewed at the clerk's office public terminal. If
redaction is necessary, a Notice of Redaction Request must be filed within 21 days. If
no such Notice is filed, the transcript will be made available via PACER without
redaction after 90 calendar days. The clerk will mail a copy of this notice to parties not
electronically noticed Redaction Request due 4/18/2022, Redacted Transcript
Deadline set for 4/26/2022, Release of Transcript Restriction set for 6/24/2022, (kd)
(Entered: 03/26/2022)
03/26/2022 237 Transcript filed of Proceedings held on 2-8-22, Proceedings Transcribed: Jury Trial
Volume 5. Court Reporter/Transcriber: Kristie Davis (kmdaviscsr@yahoo.com),
Telephone number: 254-340-6114. Parties are notified of their duty to review the
transcript to ensure compliance with the FRCP 5.2(a)/FRCrP 49.1(a). A copy may be
purchased from the court reporter or viewed at the clerk's office public terminal. If
redaction is necessary, a Notice of Redaction Request must be filed within 21 days. If
no such Notice is filed, the transcript will be made available via PACER without
redaction after 90 calendar days. The clerk will mail a copy of this notice to parties not
electronically noticed Redaction Request due 4/18/2022, Redacted Transcript
Deadline set for 4/26/2022, Release of Transcript Restriction set for 6/24/2022, (kd)
(Entered: 03/26/2022)
03/26/2022 238 Transcript filed of Proceedings held on 2-9-22, Proceedings Transcribed: Jury Trial
Volume 6. Court Reporter/Transcriber: Kristie Davis (kmdaviscsr@yahoo.com),
Telephone number: 254-340-6114. Parties are notified of their duty to review the
transcript to ensure compliance with the FRCP 5.2(a)/FRCrP 49.1(a). A copy may bepurchased from the court reporter or viewed at the clerk's office public terminal. If
redaction is necessary, a Notice of Redaction Request must be filed within 21 days. If
no such Notice is filed, the transcript will be made available via PACER without
redaction after 90 calendar days. The clerk will mail a copy of this notice to parties not
electronically noticed Redaction Request due 4/18/2022, Redacted Transcript
Deadline set for 4/26/2022, Release of Transcript Restriction set for 6/24/2022, (kd)
(Entered: 03/26/2022)
03/26/2022 239 Transcript filed of Proceedings held on 2-10-22, Proceedings Transcribed: Jury Trial
Volume 7. Court Reporter/Transcriber: Kristie Davis (kmdaviscsr@yahoo.com),
Telephone number: 254-340-6114. Parties are notified of their duty to review the
transcript to ensure compliance with the FRCP 5.2(a)/FRCrP 49.1(a). A copy may be
purchased from the court reporter or viewed at the clerk's office public terminal. If
redaction is necessary, a Notice of Redaction Request must be filed within 21 days. If
no such Notice is filed, the transcript will be made available via PACER without
redaction after 90 calendar days. The clerk will mail a copy of this notice to parties not
electronically noticed Redaction Request due 4/18/2022, Redacted Transcript
Deadline set for 4/26/2022, Release of Transcript Restriction set for 6/24/2022, (kd)
(Entered: 03/26/2022)
04/08/2022 240 Response in Opposition to Motion, filed by Google LLC, re 223 Opposed MOTION
TO APPROVE FORM AND FOR ENTRY OF FINAL JUDGMENT re 215 Jury Verdict
filed by Plaintiff EcoFactor, Inc. (Attachments: # 1 Decl of Hucek ISO Opp to Mtn for
Entry of Judgment, # 2 Ex. 1 - Final Judgment, # 3 Ex. 2 - Pretrial Conf Tr (excerpts),
# 4 Ex. 3 - EcoFactor v. Google - Declaration of W. Todd Schoettelkotte - 04.08.2022 -
FINAL)(Jones, Michael) (Entered: 04/08/2022)
04/11/2022 241 NOTICE of Attorney Appearance by Shaun William Hassett on behalf of Google LLC
(Hassett, Shaun) (Entered: 04/11/2022)
04/14/2022 242 Standing Order Regarding Order Governing Proceedings Patent Cases. Signed by
Judge Alan D Albright. (Entered: 04/14/2022)
Text Order MOOTING 102 Motion to Amend/Correct entered by Judge Alan D
Albright. (This is a text-only entry generated by the court. There is no document
associated with this entry.) (JGlc) (Entered: 04/14/2022)
Text Order GRANTING 105 Motion to Amend/Correct entered by Judge Alan D
Albright. (This is a text-only entry generated by the court. There is no document
associated with this entry.) (JGlc) (Entered: 04/14/2022)
Text Order GRANTING 118 Motion to Extend Scheduling Order Deadlines entered
by Judge Alan D Albright. (This is a text-only entry generated by the court. There is
no document associated with this entry.) (JGlc) (Entered: 04/14/2022)
04/15/2022 243 Sealed Document: PLAINTIFF ECOFACTOR, INC.S REPLY IN SUPPORT OF ITS
MOTION TO APPROVE FORM AND FOR ENTRY OF FINAL JUDGMENT of 223
Opposed MOTION TO APPROVE FORM AND FOR ENTRY OF FINAL JUDGMENT
re 215 Jury Verdict by EcoFactor, Inc. (Attachments: # 1 Affidavit of Kristopher
Davis, # 2 Exhibit D, # 3 Exhibit E) (Mirzaie, Reza) (Entered: 04/15/2022)

04/14/2022

04/14/2022

04/14/202205/26/2022 244 FINAL JUDGMENT in favor of EcoFactor against Google. Judgment is hereby
entered in favor of EcoFactor and against Google in the lump sum of $20,019,300.00;
EcoFactor is further awarded prejudgment interest. EcoFactor is awarded post
judgment interest. Signed by Judge Alan D Albright. (sv) (Entered: 05/27/2022)
05/27/2022 245 Report on Patent/Trademark sent to U.S. Patent and Trademark Office. (bot1)
(Entered: 05/27/2022)
05/27/2022 246 NOTICE of Withdrawal of Counsel by Google LLC (Van Nest, Robert) (Entered:
05/27/2022)
06/09/2022 247 BILL OF COSTS by EcoFactor, Inc.. (Attachments: # 1 Exhibit B, # 2 Exhibit C, # 3
Exhibit D, # 4 Exhibit E, # 5 Exhibit F, # 6 Exhibit G)(Mirzaie, Reza) (Entered:
06/09/2022)
06/09/2022 248 Memorandum in Support of 247 Bill of Costs by EcoFactor, Inc.. (Attachments: # 1
Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit D, # 5 Exhibit E, # 6 Exhibit F, # 7
Exhibit G)(Mirzaie, Reza) (Entered: 06/09/2022)
06/23/2022 249 Sealed Motion For New Trial by EcoFactor, Inc. (Attachments: # 1 Proposed Order)
(Mirzaie, Reza) (Entered: 06/23/2022)
06/23/2022 250 Appeal of Final Judgment 244 by EcoFactor, Inc.. ( Filing fee $ 505 receipt number
0542-16178858) (Mirzaie, Reza) (Entered: 06/23/2022)
06/23/2022 251 Sealed Motion Rule 50(B) Motion for Judgment as a Matter of Law by Google LLC
(Attachments: # 1 Washington Declaration, # 2 Exhibit 1, # 3 Exhibit 2, # 4 Proposed
Order) (Jones, Michael) (Entered: 06/23/2022)
06/23/2022 252 Sealed Motion Rule 59 Motion for a New Trial by Google LLC (Attachments: # 1
Washington Declaration, # 2 Exhibit 1, # 3 Exhibit 2, # 4 Proposed Order) (Jones,
Michael) (Entered: 06/23/2022)
Notice of Appeal to the Federal Circuit following 250 Notice of Appeal (E-Filed) by
EcoFactor, Inc.. Record sent to Federal Circuit via email. (lad) (Entered: 06/24/2022)
06/27/2022 253 Memorandum in Support of an UNOPPOSED AMENDED BILL OF COSTS by
EcoFactor, Inc.. (Attachments: # 1 Exhibit A, # 2 Exhibit B, # 3 Exhibit C, # 4 Exhibit
D, # 5 Exhibit E, # 6 Exhibit F, # 7 Exhibit G)(Mirzaie, Reza) Amending 247 and 248
(lad). (Entered: 06/27/2022)
06/30/2022 254 Redacted Copy of 251 Sealed Motion Rule 50(B) Motion for Judgment as a Matter of
Law by Google LLC by Google LLC. (Jones, Michael) (Entered: 06/30/2022)
06/30/2022 255 Redacted Copy of 249 Sealed Motion For New Trial by EcoFactor, Inc. by EcoFactor,
Inc.. (Mirzaie, Reza) (Entered: 06/30/2022)
06/30/2022 256 Redacted Copy of 252 Sealed Motion Rule 59 Motion for a New Trial by Google LLC
by Google LLC. (Jones, Michael) (Entered: 06/30/2022)
06/30/2022 258 CAFC Order regarding outstanding motions filed under FRAP 4(a)4. DC is to
transmit a certified copy of the docket sheet upon final disposition of motions 249

06/23/2022, 251 and 252 . (zv) Modified on 7/18/2022 (lad). (Entered: 07/11/2022)
06/30/2022 259 CAFC Order regarding notice of appeal filed on June 23, 2022. A motion under FRAP
4(a)(4) has been filed in the United States District Court rendering the notice of appeal
ineffective. It is ORDERED that the appeal be deactivated. The appeal will be
reactivated upon entry of the order disposing of the last such outstanding motion and
filing of an updated docket sheet to USCA Fed Circuit. (zv) Modified on 7/18/2022
(lad). (Entered: 07/11/2022)
07/01/2022 257 BILL OF COSTS. (bw) (Entered: 07/05/2022)
07/21/2022 260 Sealed Document: Opposition to Motion for New Trial of 249 Sealed Motion For New
Trial by EcoFactor, Inc. by Google LLC (Jones, Michael) (Entered: 07/21/2022)
07/21/2022 261 ATTACHMENT Non-Confidential Exhibits to 260 Sealed Document by Google LLC.
(Attachments: # 1 Washington Declaration, # 2 Ex. A - Email re exhibits)(Jones,
Michael) (Entered: 07/21/2022)
07/21/2022 262 Sealed Document: PLAINTIFF ECOFACTOR, INC.S OPPOSITION TO GOOGLES
RULE 50(B) MOTION FOR JUDGMENT AS A MATTER OF LAW of 254 Redacted
Copy, 251 Sealed Motion Rule 50(B) Motion for Judgment as a Matter of Law by
Google LLC by EcoFactor, Inc. (Mirzaie, Reza) (Entered: 07/21/2022)
07/21/2022 263 Sealed Document: PLAINTIFF ECOFACTOR, INC.S OPPOSITION TO
DEFENDANT GOOGLE LLCS RULE 59 MOTION FOR A NEW TRIAL of 252
Sealed Motion Rule 59 Motion for a New Trial by Google LLC by EcoFactor, Inc.
(Mirzaie, Reza) (Entered: 07/21/2022)
07/28/2022 264 Redacted Copy of 260 Sealed Document by Google LLC. (Jones, Michael) (Entered:
07/28/2022)
08/11/2022 265 Sealed Document: Reply in Support of 251 Sealed Motion Rule 50(B) Motion for
Judgment as a Matter of Law by Google LLC by Google LLC (Jones, Michael)
(Entered: 08/11/2022)
08/11/2022 266 Sealed Document: Reply to EcoFactor's Opposition of 252 Sealed Motion Rule 59
Motion for a New Trial by Google LLC by Google LLC (Jones, Michael) (Entered:
08/11/2022)
08/11/2022 267 Sealed Document: PLAINTIFF ECOFACTOR, INC.S REPLY IN SUPPORT OF ITS
MOTION FOR NEW TRIAL of 249 Sealed Motion For New Trial by EcoFactor, Inc.
by EcoFactor, Inc. (Mirzaie, Reza) (Entered: 08/11/2022)
08/15/2022 268 Sealed Document: PLAINTIFF ECOFACTOR, INC.S CORRECTED OPPOSITION
TO 251 GOOGLES RULE 50(B) MOTION FOR JUDGMENT AS A MATTER OF
LAW, CORRECTING 262 Sealed Document by EcoFactor, Inc. (Mirzaie, Reza)
Modified on 8/15/2022 to change document link as requested by filing party (kc).
(Entered: 08/15/2022)
08/18/2022 269 Redacted Copy Google's Reply to Rule 59 Motion for New Trial of 266 Sealed
Document by Google LLC. (Jones, Michael) (Entered: 08/18/2022)08/18/2022 270 Redacted Copy Google's Reply in Support of its Rule 50(B) Motion for Judgment as a
Matter of Law of 265 Sealed Document by Google LLC. (Jones, Michael) (Entered:
08/18/2022)
08/19/2022 271 Redacted Copy PLAINTIFF ECOFACTOR, INC.'S CORRECTED OPPOSITION TO
GOOGLE'S RULE 50(B) MOTION FOR JUDGMENT AS A MATTER OF LAW of 268
Sealed Document, by EcoFactor, Inc.. (Mirzaie, Reza) (Entered: 08/19/2022)
08/19/2022 272 Redacted Copy PLAINTIFF ECOFACTOR, INC.S OPPOSITION TO DEFENDANT
GOOGLE LLCS RULE 59 MOTION FOR A NEW TRIAL of 263 Sealed Document by
EcoFactor, Inc.. (Mirzaie, Reza) (Entered: 08/19/2022)
08/22/2022 273 Sealed Document: Response to Corrected Opposition of 268 Sealed Document, by
Google LLC (Attachments: # 1 Hucek Declaration, # 2 Exhibit 1) (Jones, Michael)
(Entered: 08/22/2022)
08/24/2022 274 Redacted Copy PLAINTIFF ECOFACTOR, INC.S REPLY IN SUPPORT OF ITS
MOTION FOR NEW TRIAL of 267 Sealed Document by EcoFactor, Inc.. (Mirzaie,
Reza) (Entered: 08/24/2022)
08/29/2022 275 Redacted Copy of 273 Sealed Document by Google LLC. (Jones, Michael) (Entered:
08/29/2022)
09/19/2022 276 ORDER Setting Motion Hearing for 9/27/2022 09:00 AM before Judge Alan D
Albright. Signed by Judge Alan D Albright. (bot2) (Entered: 09/19/2022)
09/26/2022 277 ORDER RESETTING MOTIONS HEARING for 9/27/2022 10:30 AM before Judge
Alan D Albright. Signed by Judge Alan D Albright. (lad) (Entered: 09/26/2022)
09/27/2022 278 Minute Entry for proceedings held before Judge Alan D Albright: Motion Hearing
held on 9/27/2022 re 251 Sealed Motion Rule 50(B) Motion for Judgment as a Matter
of Law by Google LLC filed by Google LLC, 249 Sealed Motion For New Trial by
EcoFactor, Inc. filed by EcoFactor, Inc., 252 Sealed Motion Rule 59 Motion for a New
Trial by Google LLC filed by Google LLC (Minute entry documents are not available
electronically). (Court Reporter Kristie Davis)(sv) (Entered: 09/27/2022)
09/28/2022 279 TRANSCRIPT REQUEST by Google LLC for proceedings held on 9/27/2022.
Proceedings Transcribed: Post Trial Motions Hearing. Court Reporter: Kristie Davis.
(Jones, Michael) (Entered: 09/28/2022)
09/28/2022 280 TRANSCRIPT REQUEST by EcoFactor, Inc. for proceedings held on 9/27/22.
Proceedings Transcribed: Post Trial Motions Hearing. Court Reporter: Kristie Davis.
(Davis, Kristopher) (Entered: 09/28/2022)
Text Order DENYING 249 Sealed Motion. Consistent with rulings from the bench in
the September 27, 2022 hearing, the Motion is DENIED. A written order is
forthcoming. Entered by Judge Alan D Albright. (This is a text-only entry generated
by the court. There is no document associated with this entry.) (EKlc) (Entered:
10/05/2022)
Text Order DENYING 251 Sealed Motion. Consistent with rulings from the bench in
the September 27, 2022 hearing, the Motion is DENIED. A written order is

10/05/2022

10/05/2022forthcoming. Entered by Judge Alan D Albright. (This is a text-only entry generated
by the court. There is no document associated with this entry.) (EKlc) (Entered:
10/05/2022)
Text Order DENYING 252 Sealed Motion. Consistent with rulings from the bench in
the September 27, 2022 hearing, the Motion is DENIED. A written order is
forthcoming. Entered by Judge Alan D Albright. (This is a text-only entry generated
by the court. There is no document associated with this entry.) (EKlc) (Entered:
10/05/2022)
10/21/2022 281 Appeal of Final Judgment 244 , by Google LLC.Google's Rule 50(B) Motion for
Judgment as a Matter of Law 251 and Google's rule 59 Motion for New Trial 252 (
Filing fee $ 505 receipt number BTXWDC-16664444) (Jones, Michael) (Entered:
10/21/2022)
Notice of Appeal to the Federal Circuit following 281 Notice of Appeal (E-Filed) by
Google LLC. Appeal Record sent to Fed Circuit via email. (lad) (Entered: 10/21/2022)
11/03/2022 282 9-27-22 Motion Hearing Sealed Transcript filed (This transcript is not available
electronically) (kd) (Entered: 11/03/2022)
11/03/2022 283 Transcript filed of Proceedings held on 9-27-22, Proceedings Transcribed: Motion
Hearing. Court Reporter/Transcriber: Kristie Davis (kmdaviscsr@yahoo.com),
Telephone number: 2546660904. Parties are notified of their duty to review the
transcript to ensure compliance with the FRCP 5.2(a)/FRCrP 49.1(a). A copy may be
purchased from the court reporter or viewed at the clerk's office public terminal. If
redaction is necessary, a Notice of Redaction Request must be filed within 21 days. If
no such Notice is filed, the transcript will be made available via PACER without
redaction after 90 calendar days. The clerk will mail a copy of this notice to parties not
electronically noticed Redaction Request due 11/28/2022, Redacted Transcript
Deadline set for 12/5/2022, Release of Transcript Restriction set for 2/1/2023, (kd)
(Entered: 11/03/2022)
11/09/2022 284 Opposed MOTION to Stay Execution of Judgment Pursuant to Rule 62(B) and for
Waiver of Bond by Google LLC. (Attachments: # 1 Declaration of K. Hucek, # 2 Ex. A
2022 09 27 Post Trial Motions, # 3 Ex. B 20220202_alphabet_10K, # 4 Ex. C Rating
Action - Moodys-affirms-Alphabets-Aa2-rating-outlook-is-stable - 10Dec21)(Jones,
Michael) (Entered: 11/09/2022)
11/23/2022 285 Response in Opposition to Motion, filed by EcoFactor, Inc., re 284 Opposed MOTION
to Stay Execution of Judgment Pursuant to Rule 62(B) and for Waiver of Bond filed by
Defendant Google LLC (Attachments: # 1 Affidavit of Kristopher Davis, # 2 Exhibit
A, # 3 Exhibit B, # 4 Exhibit C, # 5 Exhibit D)(Mirzaie, Reza) (Entered: 11/23/2022)
11/30/2022 286 REPLY to Response to Motion, filed by Google LLC, re 284 Opposed MOTION to
Stay Execution of Judgment Pursuant to Rule 62(B) and for Waiver of Bond filed by
Defendant Google LLC (Jones, Michael) (Entered: 11/30/2022)

10/05/2022

10/21/2022PACER Service Center
Transaction Receipt
12/01/2022 18:52:50
PACER Login: rak12424. Client Code: 4047-4
Description: Docket Report Search Criteria: 6:20-cv-00075-ADA

Billable Pages: 29

Cost:

2.90UNITED STATES DISTRICT COURT
FOR THE WESTERN DISTRICT OF TEXAS
WACO DIVISION

ECOFACTOR, INC.,

Plaintiff,

Civil Action No. 6:20-cv-00075 (ADA)
JURY TRIAL DEMANDED

v.
GOOGLE LLC,

Defendant.

ECOFACTOR, INC.,

Plaintiff,

Civil Action No. 6:20-cv-00078-ADA
JURY TRIAL DEMANDED

v.
ECOBEE, INC.,

Defendant.

ECOFACTOR, INC.,

Plaintiff,

Civil Action No. 6:20-cv-00080-ADA
JURY TRIAL DEMANDED

v.
VIVINT, INC.,

Defendant.

DEFENDANTS’ JOINT MOTION FOR SUMMARY JUDGMENT OF
SUBJECT MATTER INELIGIBILITY UNDER 35 U.S.C. § 101 the “World Wide Web” (id. at 5:1–2);
 “HTML” (id. at 5:5);
 “websites” (id. at 5:9–12);
 “local area networks, interactive television networks, telephone networks, wireless data
systems, two-way cable systems, and the like” (id. at 5:16–18);
 “conventional computers” (id. at 5:20);
 “processors such as those sold by Intel and AMD” (id. at 5:22–23);
 “general-purpose processors, multi-chip processors, embedded processors and the like”
(id. at 5:24–25);
 “handheld and wireless devices such as personal digital assistants (PDAs), cellular
telephones and other devices capable of accessing the network” (id. at 5:26–28);
 “browser[s] configured to interact with the World Wide Web,” such as “Microsoft
Explorer, Mozilla, Firefox, Opera or Safari” (id. at 5:29–31);
 “random access memory (RAM), electronically erasable programmable read only
memory (EEPROM), read only memory (ROM), hard disk, floppy disk, CD-ROM,
optical memory, or other method of storing data” (id. at 5:35–39);
 “operating system such as Microsoft Windows, Apple Mac OS, Linux, Unix or the like”
(id. at 5:40–42); and
 “Ethernet, wireless protocols such as IEEE 802.11, IEEE 802.15.4, Bluetooth, or other
wireless protocols” (id. at 6:24–26).
6. EcoFactor asserts independent claim 1 and dependent claims 2, 5, and 8 of the
’488 patent, and independent claim 1 and dependent claims 2, 5, and 8-10 of the ’327 patent.
7. Claim 1 of the ’488 patent recites the following functions of a “system for
monitoring the operational status of an HVAC system” that comprises an “HVAC control
system” and “one or more processors”:
(a) receive temperature measurements from a structure conditioned by an HVAC system;
(b) receive outside temperature measurements from a source other than the HVAC system;
(c) compare the inside temperature of the structure and the outside temperature over time
to derive an estimation for the rate of change in the inside temperature in response toinside said structure. See Ex. 1, claim 8; Ex. 2, claim 5.
 The second setting in claim 1 allows the inside temperature of the structure to increase to
a certain temperature during a specified time interval. See Ex. 2, claim 8.
 The second setting in claim 1 is based on an agreement between a homeowner and a
demand reduction aggregator. See Ex. 2, claim 9.
 The servers of claim 1 are further configured to send an alert to a user associated with the
structure. See Ex. 2, claim 10.
10. The ’488 and ’327 patent claims above refer to physical componentry such as an
HVAC system, processors, servers, and a programmable thermostat, but only recite such
componentry in the context of performing the functions above.
B. Summary of the ’382 patent
11. The ’382 patent also relates generally to HVAC systems and how to achieve
energy savings by turning them off when a building is unoccupied. Ex. 3 at Abstract, 1:17-25,
2:35-59. Although the prior art disclosed ways to accomplish such savings, the ’382 patent
purports to provide a system to detect occupancy “without requiring the installation of additional
hardware” by observing activity on a user’s “computer or other consumer electronic devices.”
Id. at 3:15-41. Such activity may indicate that the building is occupied and the temperature
setpoint should be changed. Id. at Fig. 7, 7:13-26, 8:7-10.
12. Like the ’488 and ’327 patents, the claims of the ’382 patent recite generic
componentry like “HVAC system,” “memory,” “processors with circuitry and code,” “sensors,”
and “network.” See Ex. 3, claims 1-20. The ’382 specification makes clear that only
conventional components were required to practice the claimed invention. See, e.g., id. at 4:63-
64, 5:31-32. The specification’s “Detailed Description of Preferred Embodiments” discloses the
same generic, routine, and/or well-known technology as listed in paragraph 5, supra. See, e.g.,
id. at 4:24-7:2.13. EcoFactor asserts the following claims of the ’382 patent, with the independent
claims underlined: claims 1, 2, 6, 12, 15, 16, 17, and 19.
14. Claims 1 and 17 recite the following sequence of largely identical functions:
(a) receive “first data” including a measured characteristic (claim 1) or current temperature
(claim 17) of the building;
(b) receive “second data” from outside the building (claim 1) or including the outdoor
temperature (claim 17);
(c) store historical values of the first and second data;
(d) receive non-occupancy and occupancy temperature setpoints;
(e) receive user commands regarding HVAC temperature setpoints;
(f) send user-specific data about the building and HVAC system; and
(g) control the HVAC system based on determining whether the building is occupied.4
15. The asserted dependent claims of the ’382 patent add the following limitations:
 The operational temperature is the second temperature setpoint corresponding to non
occupancy when the system determines the building is unoccupied. See Ex. 3, claim 2.
 A user is queried to confirm whether to change to a different setpoint after determining
whether the building is occupied. See Ex. 3, claim 6.
 Whether the building is occupied is determined by the first processor. See Ex. 3, claim
12.
 The interface allows the user to turn the HVAC system on or off. See Ex. 3, claim 15.
 The interface allows the user to input that the building is unoccupied. See Ex. 3, claim
16.
 The instructions to control the HVAC system to provide heating or cooling are based in
part upon historical values of the first and second data in claim 1. See Ex. 3, claim 19.
C. The asserted patents’ use of conventional components and calculations
16. The asserted patents acknowledge that the claimed inventions are carried out with
4 Claim 17 refers to receiving “third data” (not recited in claim 1) that informs whether the
building is occupied.“conventional” components. See, e.g., Ex. 1 at 5:19-33, 5:51-53; Ex. 3 at 4:63-66, 5:31-33.
Scott Hublou, a named inventor on the ’488 and ’327 patents, also confirmed that he did not
invent any of the hardware components recited in the patents, including the HVAC unit, the
thermostat, the gateway, the computer, the laptop, a network, a utility server, a database, the
hardware behind the demand reduction service server, and the hardware behind a database
connected to the demand reduction server. See Ex. 4 at 126:13-22, 136:1-138:1.
17. Mr. Hublou further confirmed that he could perform the “rate of change”
calculation recited in the ’488 and ’327 patents “in his head.” Ex. 4 at 130:18-131:3.
EcoFactor’s validity expert, John Palmer, likewise confirmed that the “rate of change”
calculation being described in the ’488 and ’327 patent claims would be the equivalent of the
slope between two different points on a graph. See Ex. 5 at 81:19-82:16 (“if you have a graph,
then . . . a typical way of determining the slope of that graph is by looking at the temperature
difference between two points divided by the time difference between the two points”), 93:12-
17.

18. EcoFactor’s infringement expert, Erik de la Iglesia, described the material in
column 7 of the ’488 and ’327 patents as being an application of Newton’s law of heating and
cooling. See Ex. 6 at 78:18-20. As described by Mr. de la Iglesia in his expert report, “Newton’s
laws of heating and cooling[] dat[e] back to approximately the year 1700” and “describe the rate
of change of temperature as a function of time as being proportional to the difference between an
object’s temperature and the temperature of its surroundings.” See Ex. 7 at 14. He goes on to
say that Newton’s law “can easily be modified” to add “a heating or cooling device such as an
HVAC system.” Id. at 15.
19. Mr. Hublou also confirmed that the data and calculations in the provisionalthat include “processors such as those sold by Intel and AMD”), 5:51-53 (“The HVAC units may
be conventional air conditioners”). Additionally, one of the patent inventors disavowed having
made any inventive contribution to such components, thereby confirming their conventional
nature. Ex. 4 at 126:13-22; 136:1-138:1.
By only reciting generic components performing conventional functions, the claims fail
to specify how any of claimed elements, such as the processor, programmable thermostat, or
HVAC system, actually achieve the desired results. Instead, the claims use only “generic
functional language to achieve the[] purported solutions.” Two-Way Media Ltd. v. Comcast
Cable Commc’ns, LLC, 874 F.3d 1329, 1339 (Fed. Cir. 2017). Here, “[n]othing in the claims . . .
requires anything other than conventional computer and network components operating
according to their ordinary functions,” and thus they fail to pass muster at Alice step two. Id.
See also In re TLI Commc’ns Patent Litig., 823 F.3d 607, 615 (Fed. Cir. 2016) (claims ineligible
where “the recited physical components behave exactly as expected according to their ordinary
use”).

B. All asserted claims of the ’327 patent are patent ineligible. 5
1. Alice Step One: the ’327 claims are directed to the abstract idea of
changing the thermostat setting in response to a request to reduce
energy usage.
The asserted claims of the ’327 patent recite functions that reflect nothing more than the
abstract idea of telling the thermostat to turn off the HVAC system in response to a request from
a utility to reduce energy usage. After removing extraneous verbiage,6 independent claim 1 of

5 As discussed above, the ’488 and ’327 patents share a specification and have many overlapping
claim elements. To the extent that the claim elements are overlapping, the arguments above with
respect to the ’488 patent are incorporated by reference here. Defendants will only separately
address in this section the ’327 claim elements that differ from those of the ’488 patent.
6 The first several limitations of ’327 claim 1 track those of ’488 claim 1. But then ’327 claim 1
proceeds to recite limitations relating to demand reduction request verification that diverge fromC. All asserted claims of the ’382 patent are patent ineligible.
1. Alice Step One: the ’382 claims are directed to the abstract idea of
changing the thermostat setting based on a building’s occupancy.
The asserted claims of the ’382 patent are directed to the abstract idea of changing the
temperature setpoint on a thermostat based on whether a building is occupied. When stripped of
extraneous verbiage, the independent claims (’382 claims 1, 17) each recite the following
sequence of identical steps or functions: (a) receive “first data” including a measured
characteristic (claim 1) or current temperature (claim 17) of the building; (b) receive “second
data” from outside the building (claim 1) or including the outdoor temperature (claim 17); (c)
store historical values of the first and second data; (d) receive non-occupancy and occupancy
temperature setpoints; (e) receive user commands regarding HVAC temperature setpoints; (f)
send user-specific data about the building and HVAC system; and (g) control the HVAC system
based on determining whether the building is occupied.
The asserted dependent claims do not add anything substantive to the core idea above,
reciting only generic components used in ways that would be ordinarily understood by one of
skill in the art. For example, claim 2 describes setting a different temperature setpoint if the
building is unoccupied, claim 6 describes sending a query to a user to confirm a change in
temperature in response to an occupancy determination, claim 15 describes an interface
configured to allow a user to turn the HVAC system on or off or, as in claim 16, to allow the user
to input that the building is currently unoccupied, and claim 19 allows the processors controlling
the HVAC system to set the operational temperature based on historical values.
These claims are directed to the same core, abstract idea of changing the temperature
setpoint of a building based on a determination of occupancy in which “computers are invoked
merely as a tool.” Enfish, 822 F.3d at 1335-36. The claims recite conventional mechanical andEXHIBIT 4UNITED STATES INTERNATIONAL TRADE COMMISSION
WASHINGTON, D.C.

_____________________________
IN THE MATTER OF

)
) INV. NO. 337-TA-1258
)
)
CERTAIN SMART THERMOSTAT )
SYSTEMS, SMART HVAC SYSTEMS, )
SMART HVAC CONTROL SYSTEMS, )

)
)
_____________________________)
(AND RELATED MATTERS ON FOLLOWING PAGE)

AND COMPONENTS THEREOF

REMOTE PROCEEDINGS OF THE
VIDEOTAPED DEPOSITION OF SCOTT HUBLOU
TUESDAY, AUGUST 10, 2021

JOB NO. 4749721
REPORTED BY KIMBERLY EDELEN,
CSR. NO. 9042, CRR, RPR.
PAGES 1 - 211(AND RELATED MATTER ON PREVIOUS PAGE)
UNITED STATES DISTRICT COURT
FOR THE WESTERN DISTRICT OF TEXAS
WACO DIVISION
)
)
)
)
) CASE NO.
) 6:20-cv-00075-ADA
)
)
)

ECOFACTOR, INC.,
PLAINTIFF,
VS.

GOOGLE LLC,

DEFENDANT.

________________________________)
* * * AND * * *
UNITED STATES DISTRICT COURT
FOR THE WESTERN DISTRICT OF TEXAS
WACO DIVISION
)
)
)
)
) CASE NO.
) 6:20-cv-00078-ADA
)
)
)

ECOFACTOR, INC.,
PLAINTIFF,
VS.
ECOBEE, INC.,

DEFENDANT.

________________________________)

Page 2actual calculations, we never -- we never published.
BY MS. WANG:
Q So would you agree with me that EcoFactor
kept its algorithms and calculations confidential?
MR. MIRZAIE: Objection. Form.
THE WITNESS: I think that the final
calculations that we ended up using in our
production system, yes, were never published.
(Deposition Exhibit 10
was marked for identification.)

BY MS. WANG:
Q Let's go to Exhibit 10, please. Let me
know when you have it open.
A I got it.
Q Sorry. Bear with me.
Do you recognize this document as U.S.
Patent No. 8,738,327?
A Yes.
Q Sorry for going back, but a couple of
questions ago, or a couple of answers ago, you said
that "the final calculations that we ended up using
in our production system were never published"; is
that right?
A Yes.
Q Were any calculations ever published?Q Okay. So let's go to the last page,
Claim 1.

Do you see it?
A Okay. I'm there.
Q So Claim 1 starts at Line 27 of Column 9 of
the '4- -- of the Texas '488 patent.
And do you see kind of -- the same
components that we discussed in relation to the
ITC '488 patent, which include the HVAC control
system, the HVAC system, one or more processors and
one or more databases?
A Yeah.
Q Now, can you please jump to Figure 2 of the
Texas '488 patent.
Do you recognize that it's identical to
Figure 2 of the ITC '488 patent that you marked up
earlier today?
A Yes.
Q And so your answers in relation to Figure 2
of the ITC '488 patent would also apply to the Texas
'488 patent; is that correct?
A Correct.
Q Okay. Going back to Claim 1 of the Texas
'488 patent, do you see, starting at Line 36,
"compares the inside temperature of said firstcould work.

So, again, it was very much a, you know,
hypothesis that we had in very much kind of an
academic kind of exercise to be able to figure out
is there any substance to this -- to our hypotheses.
And then once we determined that there was
substance to it, we were able to get our -- we
submitted in our patents.
Once our patents were kind of accepted, and
then we reached out to Berkeley to be able to prove
this out on a more academic level, to be able to
prove what happened.
Once they were completed, we then -- and we
affirmed that everything was working, we then went
and we were able to raise funding. And from that,
we actually built out our own production level
algorithms which we kept proprietary.
Q So is it fair to say then that before
EcoFactor reached out to Berkeley, EcoFactor had no
working prototype that would perform a calculation
of an operational efficiency of an HVAC system?
MR. MIRZAIE: Objection. Form.
THE WITNESS: Other than inside of my head
as to how it actually would work, no. There was
no -- there was no system that was actually put intoplace. There was no operational software, but in my
head, I was able to do that on a
one-house-by-one-house basis.
BY MS. WANG:
Q You mentioned you made modifications to the
off-the-shelf hardware to collect data; is that
correct?
A Yes.
Q Is that the only modification you made to
the hardware?
A Yeah. I mean, it wasn't a modification to
the hardware. It was a modification to the software
that was actually running on the hardware.
Q So there was no modification to the
hardware itself?
A No. No modification to the hardware
itself.
Q Okay. I understand from your testimony in
the 1185 investigation that your main hypothesis
behind a lot of these patents, behind the
ITC '488 patent, behind the '567 patent, behind the
'983 patent, behind the '550 patent, behind the
'327 patent and behind the Texas '488 patent, was
that the data that is used to perform the various
calculations in the claims, that it's limited toQ
unit?
A

Did you or John Steinberg invent the HVAC

I cannot speak for what John did or did not

do. I can say I did not invent the HVAC unit.

Q
A
Q
A
Q
A
Q
A
Q
A
Q
A
Q

Did you invent the thermostat?
I did not invent the thermostat.
Did you invent the gateway?
I did not invent the gateway.
Did you invent a computer?
No.
Did you invent a laptop?
No.
Did you invent a network?
No.
Did you invent a utility server?
No.
Did you invent a database on or attached to

the utility server?

A
itself?
Q
A

What, the software itself or the database

Database.
So meaning that did I actually program and

build out a Oracle-based Oracle system? Did I
invent Oracle? No.

Q

Did you invent --A No.
MS. WANG: Okay. We've been going for an
hour. Maybe we take a ten-minute break.
MR. MIRZAIE: Sounds good to me.
THE WITNESS: Okay.
THE VIDEOGRAPHER: Okay. Off the record.
The time is 2:32 p.m.
(Off the record from 2:32 - 2:43 p.m.)
THE VIDEOGRAPHER: Back on the record. The
time is 2:43 p.m.
MS. WANG: Mr. Hublou, I really appreciate
your time today. I am passing the witness to
Ms. Woodworth.
MS. WOODWORTH: Thanks. And can you guys
see and hear me?

EXAMINATION

14:43:47

BY MS. WOODWORTH:
Q Mr. Hublou, can you see me, hear me okay?
A Yes.
Q Great. Thanks.
My name, again, is Megan Woodworth. I'm
one of the counsel on for ecobee in the ITC
investigation. So again, I will try not to tread
over ground that we've already covered, but I doQ Okay. So nothing in the provisional
applications was ever derived by
Professor Auslander, fair?
A Correct.
Q Or Professor Auslander's --
MS. WOODWORTH: Objection. Objection.
Calls for a legal conclusion.
BY MR. MIRZAIE:
Q Nothing in the provisional applications in
2007 was given to you by Professor Auslander or
Professor Auslander's students at UC Berkeley, fair?
A That is correct.
Q And if Google or ecobee or any of those
people says otherwise, that -- your belief is that
they would be wrong, fair?
A That would be correct.
Q And that would be correct, you mean those
people would be wrong, right?
A Yes, those people would be wrong. We
addressed -- we did all of our homework, if you
will, all of our theories, our hypotheses, our
rudimentary math on Excel spreadsheets and graphing,
data collection, little trials, everything was done
prior to ever approaching UC Berkeley. Patents were
actually already filed.that fair?
A No.
MS. WOODWORTH: Objection to form.
THE WITNESS: No. It was never -- it was
never about what was in the patents themselves.
BY MR. MIRZAIE:
Q Thank you.
And, in fact, I believe previously today
you used the phrase informal calculations versus
formal or final calculations.
Do you recall that testimony?
A Yes. Yes.
Q And if I -- just to make sure that I
understood that testimony, the informal calculations
were the ones that you were already able to do
before ever meeting UC Berkeley, and the final
calculations were the final calculations in which --
that UC Berkeley employed very advanced math, fair?
A So, actually, I would throw that there's an
intermediary in there. So the -- what I was
referring to, the informal was just me with my Excel
spreadsheets and my -- you know, my crude types of
calculations and graphing capabilities.
The formal calculations would be the ones
that were done by the UC Berkeley team. And thenDo you recall that?
A Well, they appear to be kind of hand-drawn.
Q Right.
A I mean, that's just -- that's anecdotal,
you know, kind of reference to the fact that they
don't seem like they're -- these -- all of these
graphs were graphs in which I generated within an
Excel environment based upon real data that I was
actually seeing, you know, kind of in our various
different trials.
And all of our hypotheses were based upon
seeing these various different kinds of thermal
envelope kind of profiles. How does -- how did
homes heat or cool themselves based upon outside
temperature? You know, what happens when there is
temperature fluctuation?
I think that John then took all of those
and hand-drew many of these to -- you know, into its
current form. I'm not positive that's what he did,
but these don't appear to be any of my graphs from
any of my -- any of my Excel files.
Q Got it.
But in any event, it's your understanding
that all of those figures, just as one example or
several examples, were your work and notUC Berkeley's work, correct?
A No. All of these are my work.
Q And you referred a moment ago to them being
derived from the Excel tools that you were using
before you ever approached UC Berkeley.
Do you recall that?
A Yes.
Q And if you could just describe a little bit
more how they were derived, including what type of
system you -- you and John and others at EcoFactor
built before ever meeting the UC Berkeley folks or
hiring the UC Berkeley folks.
A So we recruited friends and family to be
able to install these systems into people in various
different geographic locations and different types
of heat loads.
So, you know, all the way to my mom's house
was outfitted with a -- with a thermostat that was
actually generating data. And so from those -- from
those different test houses of friends and family,
we were able to derive various different types of
profiles in which house systems were actually
heating and cooling themselves, respectively.
We then were able to -- from those graphs,
we were able to kind of derive our hypotheses, whichwould be if I changed something, this is what we
believed the change would actually implement. And
it was -- those were the theories that were kind of
behind these patents, and these were also the same
graphs that we actually brought to UC Berkeley to be
able to say here is what we believe to be proof that
our theories on data sets, why these need to be
true, is that if these happen, we predict that this
is going to happen over here.
And so that's the way it kind of came in
and said you're only using -- you know, I think we
were at five data sets at that point. They said no,
no, no, you need to have at least a hundred data
sets in order for you to be able to do the
prediction that you're asking us to be able to do.
And it wasn't until we actually spent quite
a bit of time with them and showed them the graphs,
you know, that, you know, we had before and afters
that we actually proved to them that it is actually
viable to actually -- with the limited data set
coming from a commercially available thermostat, we
could actually achieve these kinds of results.
Q Thank you.
And so if you look at Claim 1 as an example
of the '567 patent -- and I think Google's lawyersSTATE OF CALIFORNIA

)

COUNTY OF LOS ANGELES ) ss.
I, Kimberly A. Edelen, C.S.R. No. 9042, in and
for the State of California, do hereby certify:
That prior to being examined, the witness named
in the foregoing deposition was by me duly sworn to
testify the truth, the whole truth and nothing but
the truth;
That said deposition was taken down by me in
shorthand at the time and place therein named, and
thereafter reduced to typewriting under my
direction, and the same is a true, correct and
complete transcript of said proceedings;
That if the foregoing pertains to the original
transcript of a deposition in a Federal Case, before
completion of the proceedings, review of the
transcript { } was {X} was not requested.
I further certify that I am not interested in
the event of the action.
Witness my hand this 16th day of August, 2021.

<%18551,Signature%>
KIMBERLY A. EDELEN, C.S.R. NO. 9042EXHIBIT 5UNITED STATES DISTRICT COURT
FOR THE WESTERN DISTRICT OF TEXAS
WACO DIVISION

ECOFACTOR, INC.,

)
)
)
)Case No.
)6:20-cv-00075-ADA
)
)
)
)

Plaintiff,

vs.
GOOGLE LLC,

Defendant.

_____________________________________)

ECOFACTOR, INC.,

)
)
)
)Case No.
)6:20-cv-00078-ADA
)
)
)
)

Plaintiff,

vs.
ECOBEE, INC.

Defendant.

_____________________________________)

ECOFACTOR, INC.,

)
)
)
)Case No.
)6:20-cv-00080-ADA
)
)
)
)

Plaintiff,

vs.
VIVINT, INC.,

Defendant.

_____________________________________)
VIDEOTAPED ZOOM DEPOSITION OF JOHN A. PALMER, Ph.D.
North Salt Lake, Utah
Monday, November 8, 2021
VOLUME I
Remotely and Stenographically Reported by:
RENEE D. ZEPEZAUER, CSR No. 6275, RPR, CRR
JOB No. 4884150
PAGES 1 - 214deriving an estimation for rate of change.
MR. LINK: Objection. Asked and answered.
THE WITNESS: Not specifically in isolation,

no.
BY MS. HUCEK:
Q If we look at paragraph 99 of your report, on
page 41. In the middle of that paragraph, you say [as
read]:

"A PHOSITA could readily derive a rate
of change from a plotted curve, which
would be indicated by a slope. The
specification need not spell out every
detail of how to read and understand a
graph, for example, as a PHOSITA is
presumed to have relevant technical
knowledge and experience."
Do you see that?
A Yes.
Q Is it your opinion that the term "rate of
change" as used in the '488 patent claims is the slope
of the curves represented in Figure 6A and 6B of
the '488 patent?
A It's certainly very similar. Obviously under
the construction, the claim construction as well as a
PHOSITA would have to perform it on the -- in the

1:02:39PM

1:02:59PM

1:03:10PM

1:03:21PM

1:03:47PMcontext of looking at a graph, yes, you would look at
what the temperature is at one -- what the time and
temperature are of one point on the graph and the time
and temperature of another point on the graph and then
you would take the difference between the temperatures
and take -- divided by the differences between the times
to get the rate of change which is mathematically a
slope of the graph.
Q So the rate of change as used in the '488
patent is mathematically equivalent to calculating the
slope of two points?
A For -- if -- yeah, if you have a graph, then,
yes, it would be -- that would be a typical way of
determining the slope of that graph is by looking at the
temperature difference between two points divided by the 1:04:58PM
time difference between the two points.
Q I'd like to turn next to paragraph 133 of your
report. That's on page 54. Let me know when you're
there.
A I'm on page 54. Which paragraph did you say?
Q 133.
A Sorry. I went to the pdf page number as
opposed to the document page number. I'm there now.
133. Okay. Go ahead.
Q And this paragraph is under the heading 9.1,

1:04:07PM

1:04:37PM

1:05:30PM

1:05:50PMA Well, the human being is not a sensor so the
human being would not be able to measure the
temperature. The human being would be challenged to
collect that data over time, although theoretically they
could sit there with a pencil and paper and write down a 1:26:37PM
whole bunch of temperatures and times, although then
taking that data and analyzing it, comparing inside and
outside temperatures over time and developing from that
an estimated rate of change of temperature would be --
it would be a -- a process that would be difficult to do 1:27:01PM
without computational aid.
Q Well, didn't we -- didn't you just testify
earlier that the rate-of-change calculation is just the
slope between two different points on a graph?
A Well, if it happens that the slope of the graph 1:27:24PM
is a -- is singularly defined, then, certainly that rate
of change can be calculated that way. But what we're
talking about is a large amount of data because the
inside temperature and outside temperature are going to
be changing over time and so it's not just a calculation 1:27:46PM
of two individual points. It's a conglomeration of a
large amount of data that then needs to be analyzed and
evaluated. It would not be -- it's not something that
would be practical for a person with a pencil and paper
to do.

1:28:13PMQ I guess I asked a separate question of whether 1:28:15PM
it was practical versus whether it's possible. Couldn't
someone, you know, sit -- sit down with a thermometer,
take a temperature reading every minute, and then use
that to calculate a rate of change over time?
A From a practical standpoint what you're
suggesting is really kind of silly. Would a -- would it
be theoretically possible for a person to collect a
large amount of data? Yes. Would it be theoretically
possible without any computational aid for that person
to evaluate that large quantity of data in such a way as
to provide a reasonable estimate of the rate of change
over time in the context of a particular set of
conditions? That -- I mean, theoretically, without
computational aid, there are a few people that could. I 1:29:26PM
don't deny that there are people who would be able to
process huge amounts of -- a lot of numbers. Certainly
we can look for examples to the times there were before
computers, but from a practical standpoint, from a
realistic standpoint, the embodiment as described would 1:29:45PM
require an analysis that's beyond a typical human.
Q I'd like to direct your attention to paragraph
136 of your report. It's on page 56. Let me know when
you're there.
A I'm at paragraph 136.

1:28:30PM

1:28:58PM

1:30:31PMI, the undersigned, a Certified Shorthand
Reporter of the State of California, do hereby certify:
That the foregoing proceedings were taken
before me at the time and place herein set forth; that any
witnesses in the foregoing proceedings, prior to
testifying, were administered an oath; that a record of
the proceedings was made by me using machine shorthand
which was thereafter transcribed under my direction; that
the foregoing transcript is a true record of the testimony
given; that if the foregoing proceedings were reported
stenographically remote from the witness and parties, the
transcript of the proceedings reflects the record that I
could hear and understand to the best of my ability.
Further, that if the foregoing pertains to
the original transcript of a deposition in a Federal
Case, before completion of the proceedings, review of
the transcript [ ] was [ ] was not requested.
I further certify I am neither financially
interested in the action nor a relative or employee of any
attorney or any party to this action.
IN WITNESS WHEREOF, I have this date
subscribed my name.
Dated: 11/11/21

<%7325,Signature%>
RENEE DiMENNO ZEPEZAUER
CSR #214, RPR, CRREXHIBIT 7RESTRICTED – CONFIDENTIAL SOURCE CODE

UNITED STATES DISTRICT COURT
FOR THE WESTERN DISTRICT OF TEXAS
WACO DIVISION

ECOFACTOR, INC.,
Plaintiff,

Case No. 6:20-cv-00075-ADA

v.
GOOGLE LLC,
Defendant.

EXPERT REPORT OF ERIK DE LA IGLESIA
REGARDING INFRINGEMENT BY GOOGLERESTRICTED – CONFIDENTIAL SOURCE CODE
36. Thermal modeling is the mathematical description of temperature within a physical
system, and, specifically, how the temperature changes over time and under different operating
conditions. Thermal models use equations that describe the behavior of a system. Thermal models
are often derived from physical systems (e.g., models based on physics). An example of such a
model is based on Newton’s laws of heating and cooling, dating back to approximately the year
1700. Newton’s laws describe the rate of change of temperature as a function of time as being
proportional to the difference between an object’s temperature and the temperature of its
surroundings. An example of this law is shown at http://web.math.ucsb.edu/~myoshi/cooling.pdf
reproduced below:RESTRICTED – CONFIDENTIAL SOURCE CODE

37. When the proportionality constants of this equation are solved (using, for example,
historical data), temperature can be predicted as a function of time or time can be predicted as a
function of temperature. Note that Newton’s law does not in its simplest form comprise a heating
or cooling device such as an HVAC system, and thus it models the system with no active energy
devices. But the equation can easily be modified by adding those factors.Pages Appx1194-Appx1201;
Appx1244-Appx1248;
Appx1258-Appx1259;
Appx1275-Appx1279
Removed Due to Confidential MaterialPages APPX1604-APPX1608
Removed Due to Confidential MaterialPages APPX1617-APPX1619
Removed Due to Confidential MaterialPages APPX1645-APPX1662
Removed Due to Confidential MaterialPages APPX1663-APPX1673
Removed Due to Confidential MaterialPages APPX1674-APPX1682
Removed Due to Confidential MaterialPages APPX1683-APPX1690
Removed Due to Confidential MaterialPages APPX1691-APPX1696
Removed Due to Confidential MaterialPages APPX1697-APPX1703
Removed Due to Confidential MaterialPages APPX1771-APPX1772;
APPX1776-APPX1777
Removed Due to Confidential MaterialPages APPX1778-APPX1782;
APPX1800-APPX1802;
APPX1804
Removed Due to Confidential MaterialPages APPX1876;
APPX1881-APPX1898
Removed Due to Confidential MaterialEXHIBIT AUNITED STATES INTERNATIONAL TRADE COMMISSION
WASHINGTON, D.C. 20436

In the Matter of
CERTAIN SMART THERMOSTATS,
SMART HVAC SYSTEMS, AND
COMPONENTS THEREOF

Inv. No. 337-TA-1185

INITIAL DETERMINATION
Administrative Law Judge David P. Shaw
Pursuant to the notice of investigation, 84 Fed. Reg. 65421 (Nov. 27, 2019), this is the
initial determination in Certain Smart Thermostats, Smart HVAC Systems, and Components
Thereof, United States International Trade Commission Investigation No. 337-TA-1185.
It is held that no violation of section 337 of the Tariff Act, as amended, has occurred in
the importation into the United States, the sale for importation, or the sale within the United
States after importation, of certain smart thermostats, smart HVAC systems, and components
thereof, with respect to asserted claims 1, 2, and 5 of U.S. Patent No. 8,131,497, asserted claims
1, 2, and 5 of U.S. Patent No. 8,423,322, and asserted claim 9 of U.S. Patent No. 10,018,371.PUBLIC VERSION
users. See RX-0159C (Hutz DWS) at Q/A 37-40. None of the customers that bought their
ADC-T2000 or ADC-T3000 through an Alarm.com security dealer rather than a Building 36
dealer have access to HVAC Analytics or CFH/CFC. See id. at 109-10, 161-62; RX-0160C
(Goodman DWS) at Q/A 58-59, 69-70. The thermostats were not specifically engineered to
work with HVAC Analytics or CFH/CFC. See RX-0160C (Goodman DWS) at 65-66, 73, 76-77;
RX-0161C (Hagins RWS) at Q/A 208.
X. Invalidity
A. Validity Under 35 U.S.C. § 101
1. The ’497 and ’322 Patents
a. Alice Step One

Respondents argue, in part:
The asserted claims of the ’497 patent are directed to nothing more than the
abstract idea of using temperature measurements to calculate the efficiency of an
HVAC system. Hearing Tr. 237:20-24 (Gomez); Hearing Tr. 949:18-950:14
(Palmer). Even EcoFactor does not dispute that the claims of the ’497 patent are
directed to ordinary human activity: storing and comparing temperature
measurements. Compl. ¶ 40. EcoFactor’s own expert Mr. Gomez even confirmed
that all of the limitations of the asserted claims of the ’497 patent could be done
with pen and paper because they merely require (1) reading temperatures from a
thermometer, (2) starting and stopping a stopwatch while the HVAC is on and off,
and (3) applying “high school algebra” to calculate the rates of change. Hearing
Tr. 238:8-242:21 (Gomez).
Moreover, as Mr. Gomez and EcoFactor’s validity expert Dr. Palmer
testified, the claims of the ’497 patent do not involve “improving the efficiency of
an HVAC system,” nor do they require or involve “the management or changes to
the management of the HVAC system,” “the shifting of the on-and-off time of the
HVAC system,” or any “modifications or operational changes to the HVAC
system.” Hearing Tr. 237:25-238:7 (Gomez); Hearing Tr. 960:3-961:7 (Palmer).
The prosecution history for the ’497 patent confirms that it claims
performing an abstract idea on a generic computer system. To overcome a § 101
rejection in which the Examiner characterized the claims as “abstract” (see CX
0005 (’497 FH) at 355-56)[], EcoFactor argued that performing the claims on a
conventional processor was sufficient to be patent-eligible. Because this claim wasPUBLIC VERSION
prosecuted before Alice, the Examiner allowed the claims. But the Supreme Court
in Alice held “the mere recitation of a generic computer cannot transform a patent
ineligible abstract idea into a patent-eligible invention.” Alice Corp. v. CLS Bank
Int’l, 573 U.S. 208, 223 (2014).

* * *
The asserted claims of the ’322 patent are directed to the abstract idea of
using temperature measurements to evaluate changes in the efficiency of an HVAC
system. Hearing Tr. 268:22-269:1 (Gomez); Hearing Tr. 951:13-16 (Palmer).
Specifically, as Dr. Palmer conceded, the asserted claims of the ’322 patent merely
“involve ways of collecting and analyzing data about the operational efficiency of
HVAC systems . . .” Hearing Tr. 959:6–10 (Palmer). As explained above in
relation to Section 112, neither the specification nor the claims explain how to
evaluate changes in operational efficiency, nor do they limit such an evaluation to
a particular technical environment. Supra, §VI.A-B. The asserted claims provide
no meaningful limitations to preclude a person from using a pen and paper to record
temperature measurements inside and outside a building and compare them to
determine whether the operational efficiency of the HVAC system has decreased
over time. As further admitted by Dr. Palmer, the claims of the ’322 patent do not
require any changes to the management of the HVAC system, any shifting of the
on-and-off times of the HVAC system, or any operational changes to the HVAC
system. Hearing Tr. 960:3-961:7 (Palmer). Moreover, the claims are directed
toward routine information retrieval and analysis, and do not disclose any
improvement in how the claimed generic processors perform those standard
functions. Elec. Power Grp., LLC v. Alstom S.A., 830 F.3d 1350, 1354 (Fed. Cir.
2016).
Resps. Br. at 248-50.
EcoFactor argues that the claims of the’497 and ’322 patents are not directed to abstract
ideas, but rather to technical improvements in HVAC systems. See Compl. Br. at 276-78.
The Staff argues, in part:
The evidence does not show that the asserted claims of the ‘497 and ‘322
patents are patent ineligible under 35 U.S.C § 101.
* * *
First step: Claim 1 of the ‘497 and ‘322 patents are directed to calculating
and/or evaluating changes in the operational efficiency of an HVAC system. See
Staff Ex. 1 (preamble and elements 1[d] of each patent). The specifications disclose
calculating the operational efficiency of an HVAC system by calculating the
“effective thermal mass” of the structure, even though that term is not recited inPUBLIC VERSION
the claims. See JX-1, at 8:31-9:9. The specification further makes clear that this
claimed system and method is a significant departure and improvement over the
existing electronic thermostat and HVAC control system.
Staff Br. at 79-80.
The administrative law judge finds that respondents have not shown that the asserted
claims of the of the ’497 and ’322 patents are directed to an abstract idea, devoid of a concrete or
tangible application. Rather, these claims are directed to technical improvements in HVAC
systems. See Alice Corp., v. CLS Bank Int’l, 573 U.S. 208, 223 (2014) (“[T]he claims in
[Diamond v. Diehr, 450 U.S. 175, 188 (1981)] were patent eligible because they improved an
existing technological process, not because they were implemented on a computer.”).
Respondents argue that the asserted claims of the ’497 patent are directed to nothing
more than the abstract idea of using temperature measurements to calculate the efficiency of an
HVAC system, and that the asserted claims of the ’322 patent are directed to the abstract idea of
using temperature measurements to evaluate changes in the efficiency of an HVAC system. See
Resps. Br. at 248-50. However, the claimed electronic HVAC control system of the ’497 patent
is configured with a database for storing inside temperature measurements and processors to
determine rates of change of those measurements when the HVAC status is “off” and “on”, and
correlating those rates of change to outside temperature measurements received from a source
other than the HVAC. Moreover, the claimed electronic HVAC control system of the ’322
patent is configured to determine a decrease in operational energy efficiency over time by using
one or more computer processors that are configured to receive electronic measurements of
outside temperatures from a non-HVAC system, compare inside temperature with outside
temperature over time, and compare a plurality of stored historical inside temperature
measurements obtained from an electronic database.PUBLIC VERSION
These claims are expressly directed to technical improvements to then-existing
technology, namely those associated with electronically programmable thermostats and other
HVAC controls. See Alice, 573 U.S. at 217 (claims patent-eligible as a matter of law if “they
improve an existing technological process”). Therefore, the administrative law judge finds that
the asserted claims are patent-eligible as a matter of law. Id.
Moreover, the specification provides further evidence that this claimed system and
method is a significant departure and improvement over the existing electronic thermostat and
HVAC control system. For example, “conventional” electronic thermostats and other HVAC
controls had “no mechanism by which it might take the thermal mass of the structure into
account, but thermal mass significantly affects many parameters relating to energy efficiency.”
JX-0001 (’497 patent) & JX-0002 (‘322 patent) at col. 3, lns. 1-4; col. 2, lns. 52-67. The claims
of the ’322 and ’497 patents purport to overcome the limitations in the conventional electronic
thermostat HVAC control system at the time. For instance, the inventions use a networked
thermostat HVAC control system to “measure[] temperature” in a building and “reporting said
temperature measurements as well as the status of an HVAC control system over the Internet.”
Id. at col. 3, ln. 62 – col. 4, ln. 14, col. 6, lns. 14-59, Fig. 1.
The administrative law judge thus finds that respondents have not shown that the asserted
claims of the of the ’497 and ’322 patents are directed to an abstract idea, devoid of a concrete or
tangible application.
Respondents argue, in part:
None of the claims of either the ’497 or ’322 patent provide any inventive
concept under step two of Alice. As EcoFactor’s own experts and the named
inventor admit, the claimed components of the asserted claims of the ’497 and ’322

b. Alice Step TwoPUBLIC VERSION
patents are conventional and generic: one or more processors, one or more
databases, and an HVAC control system. EcoFactor did not invent any of these
components. Hearing Tr. 248:2-25 (Gomez) (testifying that EcoFactor did not
invent the Internet, web browsers, servers, databases, or HVAC units). Nor did
EcoFactor invent the programmable communicating thermostat (PCT). RX-0001C,
Auslander QA55, 65; Hearing Tr. 961:21-962:1 (Palmer) (admitting that PCTs
were “well-known” in 2007). Despite testifying that the patents teach nothing
unconventional about the thermostat (RX-0001C, Auslander QA55, 65), Dr.
Palmer admits the conventional PCT can be “an element of the inventions of the
’322 and ’497 patents.” Hearing Tr. 961:17-20 (Palmer). Mr. Hublou’s testimony
confirmed this by admitting that EcoFactor used only “off-the-shelf” components
including a conventional PCT to implement the ’497 patent. Hearing Tr. 246:11-
17 (Gomez); RX-0004C (Hublou Dep.) 71:7-16, 77:1-10, 54:21-55:3. In addition,
the asserted claims of the ’497 and ’322 patents do not limit the collection and
analysis of data relating to HVAC systems. to a technical means for performing the
functions that constitute an advance over conventional computer and network
technology. See Hearing Tr. 961:4–7 (Palmer) (asserted claims do not require
modifications or operational changes to the HVAC system itself).
Moreover, the specification does not identify the construct of the claimed
“HVAC control system.” Rather, claim 1 requires that the HVAC control system
simply “receive[] temperature measurements from at least a first location
conditioned by at least one HVAC system.” CX-0001C (’497 patent) 13:34–36.
The specification further discloses that the ability to sense temperature is a “basic”
component of any thermostat and does not require any specialized hardware. See
id. 1:26–31. The specification further describes databases as containing
information, which is stored using “any method of storing information.” Id. 7:1–6,
7:26–29. Finally, the specification describes processors as any “general-purpose
processors, multi-chip processors, embedded processors and the like.” Id. 6:57–59.
Each of the claimed components, an HVAC control system that receives
temperature measurements, a database that stores information, and a processor, are
conventional general-purpose hardware performing their ordinary functions.
Thus, none of the claim limitations, either individually, or as an ordered
combination, provide an inventive concept sufficient to turn the abstract idea into a
patent-eligible invention. Simply disclosing an abstract idea and adding the words,
“apply it with a computer” is not sufficient under step two of Alice as a matter of
law. Alice, 573 U.S. at 223.
Resps. Br. at 250-51.
EcoFactor argues, in part:
Because Respondents fail at Step 1, the ALJ need not consider Step 2. But
Step 2 also exposes Respondents’ legal and factual flaws, as they likewise cannot
meet their burden, e.g., because the claims recite an undoubtedly unconventionalPUBLIC VERSION
electronic HVAC control system. See, e.g., Cellspin Soft, Inc. v. Fitbit, Inc., 927
F.3d 1306-07 (Fed. Cir. 2019) (Step 2 considers “whether the claimed elements—
individually and as an ordered combination—recite an inventive concept.”);
Diamond v. Diehr, 450 U.S. 175, 188 (1981) (“In determining the eligibility of
respondents' claimed process for patent protection under § 101, their claims must
be considered as a whole. It is inappropriate to dissect the claims into old and new
elements”). To argue otherwise, Respondents parse out each of the elements of the
claim and argue—without support—that “each and every limitation” may be
performed by a generic computer and memory. But that analysis runs contrary to
precedent, which requires considering the entire claim as an ordered combination.
Even worse, their statements on the claim elements they parse and dissect are based
on nothing more than conclusory attorney argument. Indeed, Respondents’
invalidity expert Dr. Auslander (or any other expert in this Investigation) has
never argued (not even in his expert report) that any patents are ineligible under
§101, even after he reviewed EcoFactor expert Dr. Palmer’s declarations in support
of EcoFactor’s oppositions to Respondents’ §101 MSDs.
* * *
And though the intrinsic record alone is enough soundly defeat
Respondents’ arguments, EcoFactor’s extrinsic evidence only takes all this one step
further and makes it even clearer. See, e.g., CX-0699C.0034-.0037. But there is
even more: Respondents’ own documents and witnesses also confirm that aspects
of the ordered combination of elements were not “conventional”—even as late as
the mid-2010s. See, e.g., CX-0063C at GOOG-ITC1185-00001749; CX-0088C at
313-314; CX-0590C at GOOG-ITC1185-00035845; CX-0103C at 120-121; CX
0194C; CX-0195C; CX-0196C; CX-0228C; CX-0217C. The asserted claims are
not directed to abstract idea.
Compl. Br. at 278-80.
The Staff argues, in part:
Even if the claims are found to be directed to an abstract idea, pursuant to the second
step of the § 101 analysis, the details provided in the invention of claim 1 of each
patent amount to more than just the abstract idea. See Content Extraction, 776 F.3d
at 1347. That is, as discussed above, the inventive concept of the claims are not
simply applying conventional and well-understood techniques to an abstract idea.
See BSG Tech., 899 F.3d at 1290–91.
Staff Br. at 82.
The administrative law judge finds that respondents have not met their burden of showing
that the asserted claims of the ’497 and ’322 patents lack an inventive concept, insofar as thePUBLIC VERSION
particular arrangement of claimed elements purports to provide unconventional electronic HVAC
control systems. In particular, the administrative law judge finds that the asserted claims of the
’497 and ’322 patents are directed toward improvements in energy-efficient HVAC systems that
may correct for the distortion caused by thermal mass. See Bascom Glob. Internet Servs., Inc. v.
AT&T Mobility LLC, 827 F.3d 1341, 1350 (Fed. Cir. 2016) (the patent-eligible inventive concept
identified was “the installation of a filtering tool at a specific location, remote from the end
users, with customizable filtering features specific to each end user. This design gives the
filtering tool both the benefits of a filter on a local computer and the benefits of a filter on the
ISP server.”).
As the patents themselves confirm, conventional electronic thermostats and other HVAC
controls had “no mechanism by which it might take the thermal mass of the structure into
account, but thermal mass significantly affects many parameters relating to energy efficiency.”
JX-0001 (’497 patent) and JX-0002 (’322 patent) at col. 3, lns. 1-4. Yet, the claims are
purportedly directed to a specific system and method designed to improve/evaluate the
operational efficiency of an HVAC system using an alleged new and non-conventional
technique, which includes calculating the effective thermal mass of the structure set forth by the
limitations set forth in elements 1[d] of each patent. See JX-0002 (’322 patent) at col. 3, ln. 35 –
col. 4, ln. 40; col. 4, lns. 38-54; col. 5, lns. 4-30; col. 11, ln. 20 – col. 12, ln. 23; col. 13, lns.
50-53.

Accordingly, the administrative law judge has determined that respondents have not
demonstrated that the asserted claims of the ’497 and ’322 patents are directed toward ineligible
subject matter.2. The ’371 Patent
a. Alice Step One

Respondents argue, in part:
The asserted claim of the ’371 patent is directed to nothing more than the
abstract mental process of detecting and interpreting manual changes to HVAC
temperature settings. The claims provide no meaningful limitations to preclude a
person from using a pen and paper to collect and analyze setpoint data to detect and
interpret a manual change. The ’371 patent specification acknowledges that the
claimed analysis is performed by a “server,” which is nothing more than “a
conventional computer[]” and simply proposes using a generic processor to
perform the claimed analysis. See ’371 patent, at 3:25–27, 5:66–6:43.
Resps. Br. at 276.
EcoFactor argues that the asserted claim of the ’371 patent does not merely recite
computer components to perform any “abstract idea” untethered to any technological problem or
process. See Compl. Br. at 278.
The Staff argues, in part:
Respondents argue that claim 9 of the ‘371 patent is not patent eligible under
Section 101. RPreHBr. at 182. The Staff disagrees. First, with respect to step one
of Alice, Respondents offer no expert testimony for their conclusion that the claim
provides no meaningful limitations to preclude a person from using a pen and paper
to collect and analyze setpoint data to detect and interpret a manual change. Id. In
Staff’s view, at least elements 1[a] and 1[c] cannot be performed using a pen and
paper.
Staff Br. at 103.
The administrative law judge finds that respondents have not shown that claim 9 of the
’371 patent is directed to an abstract idea, devoid of a concrete or tangible application. Rather,
claim 9 is directed to a technical improvement in HVAC systems. See Alice, 573 U.S. at 223
(“[T]he claims in [Diamond v. Diehr, 450 U.S. 175, 188 (1981)] were patent eligible because
they improved an existing technological process, not because they were implemented on a
computer.”).PUBLIC VERSION
The ‘371 patent recognized the problems associated with frequent “manual overrides” in
conventional HVAC control systems. See JX-0004 (’371 patent) at col. 1, ln. 65 – col. 2, ln. 19.
The ’371 patent discloses a method for implementing a smart thermostat utilizing automated
setpoint (computer-calculated temperature setting) with rules for interpretation of manual change
to setpoint. See, e.g., id. at col. 5, ln. 66 – col. 6, ln. 19; col. 7, lns. 17-28; claim 9. These
disclosures show that the claims recite technical solutions to the existing technical problems.
The administrative law judge thus finds that claim 9 of the ’371 patent is patent-eligible.
The claimed method electronically detects a manual change to an automated setpoint, generating
an electronic difference value by comparing an actual versus automated temperature setpoint to
detect and log a manual change to that setpoint, and electronically logging the detected change to
a database.
Respondents argue, in part:
The asserted claim of the ’371 patent fails to provide an inventive concept
under step two of Alice. The claim recites two components that perform the steps
of the abstract idea: (1) a thermostatic controller; and (2) at least one computer. As
EcoFactor’s own expert admits, programmable thermostats were conventional well
before the priority date of the ’371 patent. RDX-0001C-015; Hearing Tr. 961:21-
962:1 (Palmer) (admitting that PCTs were “well-known” in 2007); RX-0001C,
Auslander QA55, 65. Both of the claimed components, a thermostatic controller
and a computer, are conventional general-purpose hardware performing their
ordinary functions. Thus, none of the claim limitations, either individually, or as
an ordered combination, provide an inventive concept sufficient to turn the abstract
idea into a patent-eligible invention.
Resps. Br. at 276-77.
EcoFactor argues, in part:
As another example, the ‘371 patent confirms that it describes “novel methods and
systems” that use “automated setpoints” and “rules for interpretating manual
overrides,” and that address problems associated with conventional HVAC control

b. Alice Step TwoPUBLIC VERSION
systems. E.g., JX-0004 (‘371 patent) at 5:66-6:19, 7:17-28, 8:11-19. Indeed, there
were no conventional HVAC system that implemented these novel elements before
the ‘371 patent.
Compl. Br. at 280.
The Staff argues, in part:
Second, with respect to step two of Alice, even if found to be directed to an abstract
idea, the inventive concept of claim 1 is not simply applying conventional and well
understood techniques to the claims to an abstract idea. Content Extraction and
Transmission LLC v. Wells Fargo Bank Nat. Ass’n., 776 F.3d 1343, 1347 (Fed. Cir.
2014) (citing Alice, 134 S. Ct. at 2355 (quoting Mayo, 132 S.Ct. at 1294)).
Staff Br. at 103.
The administrative law judge finds that respondents have not met their burden of showing
that claim 9 lacks an inventive concept, insofar as the particular arrangement of claimed
elements purports to provide an unconventional method for incorporating manual changes to a
thermostatic controller. In particular, the administrative law judge finds that claim 9 is directed
toward a new and specific method for incorporating manual changes to setpoints for a
thermostatic controller. See Bascom Glob. Internet Servs., Inc. v. AT&T Mobility LLC, 827 F.3d
1341, 1350 (Fed. Cir. 2016) (the patent-eligible inventive concept identified was “the installation
of a filtering tool at a specific location, remote from the end-users, with customizable filtering
features specific to each end user. This design gives the filtering tool both the benefits of a filter
on a local computer and the benefits of a filter on the ISP server.”).
The ‘371 patent describes “novel methods and systems” that use “automated setpoints”
and “rules for interpretating manual overrides,” and that address problems associated with
conventional HVAC control systems. See, e.g., JX-0004 (’371 patent) at col. 5, ln. 66 – col. 6,
ln. 19, col. 7, lns. 17-28, col. 8, lns. 11-19. The ’371 patent discloses a method for implementing
a smart thermostat utilizing automated setpoint (computer-calculated temperature setting) withPUBLIC VERSION
rules for interpretation of manual change to setpoint. See, e.g., id. at col. 5, ln. 66 – col. 6, ln. 19,
col. 7, lns. 17-28; claim 9.
Accordingly, the administrative law judge has determined that respondents have not
demonstrated that the asserted claim of the ’371 patent is directed toward ineligible subject
matter.

B. Validity Under 35 U.S.C. §§ 102 and 103
1. The ’497 Patent
a. Anticipation – Ehlers
Ehlers was published on April 17, 2001, and therefore qualifies as prior art to the ’497
patent. See RX-0022 (Ehlers).
Respondents argue, in part:
Ehlers anticipates claim 1 of the ’497 patent because it discloses each of the
limitations of that claim ([1Pre] to [1d]). RDX-0001C-064 to 70, 72 to 76, 78, 80
to 083 (RX-0022 (Ehlers) 1:6-18, 1:26-36, 7:11-36, 8:16-17, 9:50-63, 10:14-19,
10:30-11:18, 12:45-13:2, 14:9-15, 17:56-64, 20:4-7, 21:5-25, 27:62-63, 26:55-58,
26:53-55, 29:4-13, 30:65-31:6, 32:48-51, 34:32-67, 35:46-50, 35:65-36:1, 36:11-
38, 36:61-37:3, 37:17-50, 38:14-26, 38:33-40:58, Figs. 4, 6, Title, Abstract); RX
0001C, Auslander QA103-14; RDX-0012 (Appendix A-1 Invalidity Claim Chart).
EcoFactor does not dispute that Ehlers discloses limitations [1a], [1b], and parts of
[1d]. PHB at 70-72; CX-0702C, Palmer QA37; RX-0001C, Auslander QA110,
112-13. Only the claim limitations that EcoFactor alleges are not anticipated by
Ehlers are described in detail here.
Limitation 1Pre: Ehlers calculates “[t]he operational efficiency factor of
each appliance being monitored.” RX-0022 (Ehlers) 39:21-23, 38:33-41; RDX
0001C-066 (RX-0022 (Ehlers) at 39:21-23, 34:32-33, 38:33-41, 40:45-47, 20:4-7,
21:19-22, Fig. 4); RX-0001C, Auslander QA105. EcoFactor’s sole argument
regarding Ehlers’s disclosure of this limitation is that the “operational efficiency
factor” in Ehlers is for generic appliances, not an HVAC system. PHB at 72.
However, in Ehlers, an example of a monitored appliance is an HVAC unit, which
is the claimed HVAC system. RX-0022 (Ehlers) at 34:42-43, Fig. G. 4; RX-0001C,
Auslander QA105. The operational efficiency factor in Ehlers is the claimed
operational efficiency under any party’s construction. RX-0001C, Auslander
QA105-106.UNITED STATES DISTRICT COURT
FOR THE WESTERN DISTRICT OF TEXAS
WACO DIVISION

ECOFACTOR, INC.,

Plaintiff,

Case No. 6:20-cv-00075-ADA

v.
GOOGLE LLC,

Defendant.

JOINT PRETRIAL ORDER
Plaintiff EcoFactor, Inc. (“EcoFactor”) and Defendant Google LLC (“Google”) hereby
submit the following proposed Joint Pre-Trial Order pursuant to the Court’s Order (Dkt. No. 68),
the Court’s Standing Order on Pre-Trial Procedures and Requirements in Civil Cases, the Federal
Rules of Civil Procedure, and Local Rules of this Court. The parties have stipulated to various
matters identified herein and have identified exhibits, witnesses, factual contentions and triable
issues.

It is hereby ORDERED as follows:
I. APPEARANCES OF COUNSEL
A. Attorneys for EcoFactor
Reza Mirzaie
Marc A. Fenster
Paul A. Kroeger
James N. Pickens
Kristopher R. Davis
Minna Y. Chan
Matthew Aichele
Adam S. Hoffman
Jason M. Wietholter
RUSS AUGUST & KABAT14. The parties shall not offer evidence or argument relating to legal proceedings
involving Google that have no relationship to EcoFactor or licenses considered by
the parties’ damages experts.
15. The parties shall not offer evidence or argument regarding damages or royalties
owed to EcoFactor by Vivint, Inc. or ecobee, Inc.
16. The parties shall not offer evidence or argument regarding labor issues or working
conditions at Google.
17. The parties shall not offer evidence or argument using the terms “monopoly,”
“antitrust,” or Big Tech” to describe Google.
18. The parties shall not offer evidence or argument regarding the number of times a
fact witness has been deposed in other cases not involving the parties or regarding
the number of times a party has been accused of infringing intellectual property
where such accusation did not involve the parties.
19. The parties shall not offer evidence or argument regarding the impact of a
potential damages award on Google’s customers, manufacturers, partners, or job
losses. Google shall not be precluded from offering evidence related to the cost of
goods sold or its profits and operating costs, including, for example, as set forth in
Google’s expert’s report.
I. Handling of Source Code and Confidential Material
The parties agree to request that the courtroom be sealed when a party’s confidential
information, including source code or evidence concerning highly sensitive business documents,
testimony, or information is expected to be presented.
EcoFactor’s Position: Regarding source code, the Protective Order allows the “receiving
party . . . to make up to five (5) additional hard copies for the Court in connection with a Courtfiling, hearing, or trial” and “Electronic copies of Source Code may be made to be included in
documents which, pursuant to the Court’s rules, procedures, and order(s), may be filed or served
electronically.” Dkt. No. 72, para. 19(c)(x)(2)-(3). For purposes of trial this includes creating an
electronic image of the entirety of EcoFactor’s and Google’s printed hard copy source code in
order to pre-mark the electronic copy as an exhibit. Only the specific code files or source code
pages discussed at trial may be offered into evidence to become part of the record, not the
entirety of the printed source code hard copies during fact discovery or their electronic image.
Google’s Position: Google agrees that its source code may be displayed in a closed
courtroom only. Google also agrees that the parties may include references to Google’s source
code in their argument and may elicit testimony from witnesses permitted to view this source
code pursuant to the Protective Order in this case. Google objects to its source code being
included as an exhibit and objects to copies of source code materials being provided to jurors in
this case as it will serve no useful purpose and creates a greater risk of improper or inadvertent
disclosure of highly confidential material. Once the trial is complete, EcoFactor must delete
and/or destroy any copies of source code material in its possession, whether they be hard copies
or digital copies. EcoFactor must confirm deletion/destruction of any source code material no
later than 60 days following the entry of judgment. For the avoidance of any doubt, any
presentation of the parties’ source code in electronic or paper form in open court requires sealing
of the court room.
XI. PROPOSED JURY INSTRUCTIONS
The parties’ joint and disputed proposed preliminary jury instructions are attached as
Exhibit E-1 and the joint and disputed proposed charge instructions are attached as Exhibit E-2.
XII. LIST OF PENDING MOTIONS
The following motions remain pending:Exhibit A-4
Filed Under SealUNITED STATES DISTRICT COURT
FOR THE WESTERN DISTRICT OF TEXAS
WACO DIVISION

ECOFACTOR, INC.,

Plaintiff,

Case No. 6:20-cv-00075-ADA

v.
GOOGLE LLC,

Defendant.

JOINT PRETRIAL ORDER
The Court considers EcoFactor, Inc.'s (“EcoFactor”) and Defendant Google LLC's (“Google”)
proposed Joint Pre-Trial Order pursuant to the Court’s Order (Dkt. No. 68) pursuant to the
Court’s Standing Order on Pre-Trial Procedures and Requirements in Civil Cases, the Federal
Rules of Civil Procedure, and Local Rules of this Court. The parties have stipulated to various
matters identified herein and have identified exhibits, witnesses, factual contentions and triable
issues.

It is hereby ORDERED as follows:
I. APPEARANCES OF COUNSEL
A. Attorneys for EcoFactor
Reza Mirzaie
Marc A. Fenster
Paul A. Kroeger
James N. Pickens
Kristopher R. Davis
Minna Y. Chan
Matthew Aichele
Adam S. Hoffman
Jason M. Wietholter
RUSS AUGUST & KABAT14. The parties shall not offer evidence or argument relating to legal proceedings
involving Google that have no relationship to EcoFactor or licenses considered by
the parties’ damages experts.
15. The parties shall not offer evidence or argument regarding damages or royalties
owed to EcoFactor by Vivint, Inc. or ecobee, Inc.
16. The parties shall not offer evidence or argument regarding labor issues or working
conditions at Google.
17. The parties shall not offer evidence or argument using the terms “monopoly,”
“antitrust,” or Big Tech” to describe Google.
18. The parties shall not offer evidence or argument regarding the number of times a
fact witness has been deposed in other cases not involving the parties or regarding
the number of times a party has been accused of infringing intellectual property
where such accusation did not involve the parties.
19. The parties shall not offer evidence or argument regarding the impact of a
potential damages award on Google’s customers, manufacturers, partners, or job
losses. Google shall not be precluded from offering evidence related to the cost of
goods sold or its profits and operating costs, including, for example, as set forth in
Google’s expert’s report.
I. Handling of Source Code and Confidential Material
The parties agree to request that the courtroom be sealed when a party’s confidential
information, including source code or evidence concerning highly sensitive business documents,
testimony, or information is expected to be presented.
EcoFactor’s Position: Regarding source code, the Protective Order allows the “receiving
party . . . to make up to five (5) additional hard copies for the Court in connection with a Courtfiling, hearing, or trial” and “Electronic copies of Source Code may be made to be included in
documents which, pursuant to the Court’s rules, procedures, and order(s), may be filed or served
electronically.” Dkt. No. 72, para. 19(c)(x)(2)-(3). For purposes of trial this includes creating an
electronic image of the entirety of EcoFactor’s and Google’s printed hard copy source code in
order to pre-mark the electronic copy as an exhibit. Only the specific code files or source code
pages discussed at trial may be offered into evidence to become part of the record, not the
entirety of the printed source code hard copies during fact discovery or their electronic image.
Google’s Position: Google agrees that its source code may be displayed in a closed
courtroom only. Google also agrees that the parties may include references to Google’s source
code in their argument and may elicit testimony from witnesses permitted to view this source
code pursuant to the Protective Order in this case. Google objects to its source code being
included as an exhibit and objects to copies of source code materials being provided to jurors in
this case as it will serve no useful purpose and creates a greater risk of improper or inadvertent
disclosure of highly confidential material. Once the trial is complete, EcoFactor must delete
and/or destroy any copies of source code material in its possession, whether they be hard copies
or digital copies. EcoFactor must confirm deletion/destruction of any source code material no
later than 60 days following the entry of judgment. For the avoidance of any doubt, any
presentation of the parties’ source code in electronic or paper form in open court requires sealing
of the court room.
XI. PROPOSED JURY INSTRUCTIONS
The parties’ joint and disputed proposed preliminary jury instructions are attached as
Exhibit E-1 and the joint and disputed proposed charge instructions are attached as Exhibit E-2.
XII. LIST OF PENDING MOTIONS
The following motions remain pending:UNITED STATES DISTRICT COURT
FOR THE WESTERN DISTRICT OF TEXAS
WACO DIVISION

ECOFACTOR, INC.,

Civil Action No. 6:20-cv-00075 (ADA)

Plaintiff,

v.
GOOGLE LLC,

Defendant.

JOINT STATEMENT REGARDING CLAIM CONSTRUCTION
In preparation for trial, the parties respectfully submit this Joint Statement Regarding Claim
Construction to memorialize their understanding of the parties’ agreed constructions and the
Court’s constructions of disputed terms. For clarity, this submission only includes constructions
for terms within claims that are presently asserted.
The parties’ agreed construction is as follows:
Claim Term
“compares” (’327 patent, claim 1)

Agreed Construction
“analyze to determine one or more
similarities or differences between”
On December 8, 2020, the Court issued preliminary constructions addressing the parties’
disputed constructions, all but one of which were accepted by the parties and formally adopted by
the Court. See Email from R. Earle to Parties Regarding Preliminary Constructions (dated Dec. 9,
2020 and timestamped 12:40 pm CT). On December 9, 2020, the Court held oral argument
regarding the remaining disputed term (“programmable thermostat”), which is no longer at issue
because it appears only in claims that are no longer asserted. See Markman Hearing Tr. (Dec. 9,
2020). The Court’s constructions of the disputed terms are as follows:Claim Term
“rate of change in inside temperature” (’327 patent,
claim 1); “rate of change in temperature inside the
structure” (’327 patent, claim 5)
“measurement[s]”
[“measurement[s]”; “measurement of outside
temperatures”; “temperature measurement inside a
structure”; “temperature measurements from inside the
structure”; “measurement of at least one characteristic
of the building”; “measurement of the current outdoor
temperature”] (’327 and ’382 patents, all claims)
“outside temperature” (’327 patent, claim 1)

Court’s Construction
“the difference between inside
temperature measurements divided
by the span of time between the
measurements”
Plain and ordinary meaning

Plain and ordinary meaningDated: January 26, 2022
By: /s/ Reza Mirzaie
RUSS AUGUST & KABAT
Reza Mirzaie
Marc A. Fenster
Paul A. Kroeger
Kristopher Davis
Adam Hoffman
James Pickens
Minna Chan
Jason Wietholter
12424 Wilshire Boulevard 12th Floor
Los Angeles, California 90025
Tel: 310-826-7474
Fax: 310-826-6991
rak_ecofactor@raklaw.com
Attorneys for Plaintiff EcoFactor, Inc.

Respectfully submitted,
Dated: January 26, 2022
By: /s/ Robert A. Van Nest
KEKER, VAN NEST & PETERS LLP
Robert A. Van Nest
Leo L. Lam
Jennifer A. Huber
Kristin Hucek
Patrick E. Murray
Anna Porto
Gregory Washington
633 Battery Street
San Francisco, CA 94111-1809
Telephone: 415 391 5400
Facsimile: 415 397 7188
econest-kvp@keker.com
POTTER MINTON
Michael E. Jones (TX Bar No. 10929400)
mikejones@potterminton.com
Patrick C. Clutter (TX Bar No. 24036374)
patrickclutter@potterminton.com
110 N. College, Suite 500
Tyler, Texas 75702
Tel: 903-597-8311
Fax: 903-593-0846
ALLEN & OVERY LLP
Shamita Etienne-Cummings
(admitted to the Western District of Texas)
1101 New York Avenue, NW
Washington, DC 20005
Telephone: (202) 683-3810
GoogleEcofactorWDTX@AllenOvery.com
Bijal V. Vakil
(admitted to the Western District of Texas)
Eric Lancaster (admitted Pro Hac Vice)
530 Lytton Avenue, 2nd Floor
Palo Alto, CA 94301
Telephone: (650) 388-1703
GoogleEcofactorWDTX@AllenOvery.com
Attorneys for Defendant Google LLCCERTIFICATE OF SERVICE
The undersigned hereby certifies that on January 26, 2022, the foregoing was served on
all counsel of record by e-mail.

/s/ Reza MirzaieCase 6:20-cv-00075-ADA Document 192 *SEALED* Filed 01/31/22 Page 1 of 4

UNITED STATES DISTRICT COURT
FOR THE WESTERN DISTRICT OF TEXAS
WACO DIVISION

ECOFACTOR, INC.,

Civil Action No. 6:20-cv-00075 (ADA)

Plaintiff,

v.
GOOGLE LLC,

Defendant.

OMNIBUS ORDER REGARDING PRETRIAL MOTIONS
(DKTS. 109, 111, 113, 114, 115, 116, 117, 151, and 153)
Consistent with the January 25, 2022 Final Pretrial Conference in this matter (Dkt. 184), the
Court enters this Joint Proposed Omnibus Order regarding the the parties’ pretrial motions
(Dkts. 109, 111, 113, 114, 115, 116, 117, 151, and 153):
Motion

Ruling

Defendants’ Joint Motion for Summary Judgment of Subject Matter Denied, but the Court

intends to submit
second part of section
101 test to the jury.
Defendants’ Joint Daubert Motion to Exclude Certain Testimony of Denied
Dr. Palmer (Dkt. 113)
Google’s Motion to Exclude Expert Testimony of David Kennedy Denied
(Dkt. 114)
Google’s Motion for Summary Judgment that the Asserted Claims (1, Granted
2, 5, and 8) of U.S. Patent No. 8,412,488 Are Invalid Under 35 U.S.C.
§112 (Dkt. 115)
EcoFactor’s Motion for Summary Judgment of Google’s Affirmative Granted as to defenses

Ineligibility under 35 U.S.C. §101 (Dkt. 111)

of prosecution history
estoppel, prosecution
history disclaimer, and

Defenses (Dkt. 116)Page APPX2262
Removed Due to Confidential MaterialPage APPX2264
Removed Due to Confidential MaterialUNITED STATES DISTRICT COURT
FOR THE WESTERN DISTRICT OF TEXAS
WACO DIVISION
Civil Action No. 6:20-cv-00075 (ADA)

ECOFACTOR, INC.,
v.
GOOGLE LLC,

Plaintiff,

Defendant.

GOOGLE LLC’S NOTICE OF CROSS-APPEAL
Notice is hereby given that Defendant Google LLC (“Google”) hereby appeals to the
U.S. Court of Appeals for the Federal Circuit from (i) the denial at the September 27, 2022
motion hearing of Google’s Rule 50(b) motion for judgment as a matter of law; (ii) the denial at
the September 27, 2022 motion hearing of Google’s Rule 59 motion for a new trial; (iii) the Final
Judgment entered May 26, 2022 (ECF No. 244); and (iv) any and all underlying and/or
interlocutory decisions, orders, claim constructions, rulings, findings, instructions, opinions,
holdings, and/or conclusions of the District Court relating to, pertinent to, or ancillary to the
September 27, 2022 denial of Google’s Rule 50(b) and 59 motions or Final Judgment or leading
thereto or merged therein.
In accordance with 28 U.S.C. §§ 1913, 1917, Federal Rule of Appellate Procedure 3(e),
Federal Circuit Rule 52(a)(2), and the United States District Court for the Western District of
Texas’s Court Fee Schedule, included herewith is payment of the $505 notice and docketing
fees.Respectfully submitted,
KEKER, VAN NEST & PETERS LLP

Dated: October 21, 2022

/s/ Robert A. Van Nest, with permission by
By: Michael E. Jones
ROBERT A. VAN NEST
LEO L. LAM
EUGENE M. PAIGE
R. ADAM LAURIDSEN
KRISTIN HUCEK
ANNA PORTO
633 Battery Street
San Francisco, CA 94111-1809
Telephone: 415 391 5400
Facsimile: 415 397 7188
econest-kvp@keker.com
POTTER MINTON
Michael E. Jones (TX Bar No. 10929400)
mikejones@potterminton.com
Shaun W. Hassett (TX Bar No. 24074372)
shaunhassett@potterminton.com
110 N. College Ave., Suite 500
Tyler, Texas 75702
Tel: 903-597-8311
Fax: 903-593-0846
Attorneys for Defendant GOOGLE LLC

Shamita Etienne-Cummings
(admitted to the Western District of Texas)
Allen & Overy LLP
1101 New York Avenue, NW
Washington, DC 20005
Telephone: (202) 683-3810
GoogleEcofactorWDTX@AllenOvery.com
Bijal V. Vakil
(admitted to the Western District of Texas)
Eric Lancaster (admitted Pro Hac Vice)
Allen & Overy LLP
530 Lytton Avenue, 2nd Floor
Palo Alto, CA 94301
Telephone: (650) 388-1703
GoogleEcofactorWDTX@AllenOvery.comPages Appx5016-Appx5017;
Appx5029-Appx5047;
Appx5112-Appx5114;
Appx5132-Appx5136
Removed Due to Confidential MaterialPages Appx5137-Appx5138;
Appx5320-Appx5322;
Appx5331-Appx5337;
Appx5344-Appx5347;
Appx5349-Appx5354;
Appx5357-Appx5364;
Appx5389-Appx5392;
Appx5395-Appx5399;
Appx5401-Appx5404;
Appx5410
Removed Due to Confidential MaterialPages Appx5411-Appx5412;
Appx5453-Appx5469;
Appx5531-Appx5546;
Appx5554-Appx5559;
Appx5561-Appx5583;
Appx5595-Appx5601;
Appx5618-Appx5621;
Appx5627-Appx5632;
Appx5639-Appx5642;
Appx5644
Removed Due to Confidential MaterialPages Appx5645-Appx5646;
Appx5656-Appx5658;
Appx5666-Appx5683;
Appx5690-Appx5692;
Appx5694-Appx5699;
Appx5709-Appx5721;
Appx5732-Appx5734;
Appx5739-Appx5741;
Appx5743-Appx5747;
Appx5754-Appx5783;
Appx5793-Appx5799;
Appx5801-Appx5807;
Appx5809-Appx5814;
Appx5816-Appx5825;
Appx5830-Appx5833;
Appx5840-Appx5851;
Appx5865-Appx5869;
Appx5890-Appx5954;
Appx5957-Appx5959;
Appx5963
Removed Due to Confidential MaterialPages Appx5964-Appx5965;
Appx5999-Appx6002;
Appx6004-Appx6007;
Appx6053-Appx6059;
Appx6077-Appx6131;
Appx6148-Appx6162;
Appx6166-Appx6169;
Appx6217-Appx6232;
Appx6234
Removed Due to Confidential MaterialPages Appx6235-Appx6236;
Appx6250-Appx6259;
Appx6265-Appx6266
Appx6267-Appx6271;
Appx6275-Appx6281;
Appx6284-Appx6287;
Appx6309-Appx6311;
Appx6343-Appx6345;
Appx6372-Appx6379;
Appx6387-Appx6395;
Appx6415-Appx6418;
Appx6424-Appx6437;
Appx6448-Appx6452;
Appx6471-Appx6475;
Appx6512
Removed Due to Confidential MaterialPages Appx6513-Appx6514;
Appx6519-Appx6521;
Appx6524-Appx6527;
Appx6531-Appx6533;
Appx6543-Appx6546;
Appx6568-Appx6586;
Appx6589
Removed Due to Confidential MaterialPages APPX6599;
APPX6661-APPX6663;
APPX6687-APPX6689;
APPX6691
Removed Due to Confidential MaterialUNITED STATES DISTRICT COURT
FOR THE WESTERN DISTRICT OF TEXAS
WACO DIVISION

ECOFACTOR, INC.,
Plaintiff,

v.
GOOGLE LLC,
ECOFACTOR, INC.,
Plaintiff,

Defendant.

v.
ECOBEE, INC.,

Case No. 6:20-cv-00075-ADA
JURY TRIAL DEMANDED

Case No. 6:20-cv-00078-ADA
JURY TRIAL DEMANDED

Defendant.

ECOFACTOR, INC.,
Plaintiff,

v.
VIVINT, INC.,

Case No. 6:20-cv-00080-ADA
JURY TRIAL DEMANDED

Defendant.

DEFENDANTS’ RESPONSIVE CLAIM CONSTRUCTION BRIEFAs noted above, claim construction is required when there is an actual dispute between the
parties as to the meaning of a claim term, and in such circumstances, it is not an “obligatory
exercise in redundancy” as argued by EcoFactor. See O2 Micro, 521 F.3d at 1360 (“When the
parties raise an actual dispute regarding the proper scope of these claims, the court, not the jury,
must resolve that dispute.); see also Pl.’s Opening Br. at 7 (quoting US Surgical Corp. v. Ethicon,
Inc., 103 F.3d 1554, 1568 (Fed. Cir. 1997)). Defendants’ construction is not only needed, but also
consistent with the actual plain and ordinary meaning of the word “measurement” in the context
of the asserted claims. None of EcoFactor’s arguments changes this conclusion.
This dispute exists for one reason—EcoFactor has and will argue that “measurement”
includes such things as forecasts, values generated from algorithms, and similar concepts. If
EcoFactor were to agree these things are not included in the meaning of “measurement,” then the
dispute between the parties narrows significantly. But EcoFactor refuses to make such a
concession. Thus, this presents a material dispute as to the scope of the “measurement” claim
terms for the Court to resolve.
EcoFactor espouses a familiar refrain—Defendants’ proposal “replaces th[e] single plain
and ordinary word used in the patent claim with twelve other words of their choosing.” Id. at 7.
But Defendants’ proposal provides the necessary context for defining the term measurement as
used in the asserted claims. Defendants’ proposal acknowledges that the claims are using
“measurement” to measure something and accounts for that fact. See, e.g., ’488 cl. 1
(“measurements of outside temperatures”); ’327 cl. 11 (“temperature measurement inside a
structure”); id. cl. 1 (“temperature measurements from inside the structure”); ’382 cl. 1
(“measurement of at least one characteristic of the building”); id. cl. 5 (“measurement of the
current outdoor temperature”). The bracketed “[of the claimed property]” in Defendants’ proposal(Cambridge English Dictionary) (“measurement … a value, discovered by
measuring, that corresponds to the size, shape, quality, etc. of something”).
See Pl.’s Opening Br. at 8; Zeidman Decl. ¶ 17.
The first problem is that none of EcoFactor’s cited definitions actually defines
“measurement” or the act of measuring. EcoFactor also cherry-picked a few words for its
parentheticals and ignored the portions of its exhibits that definitively support Defendants’
construction. For example, the definitions EcoFactor cited from Exhibit 5 are followed by four
pages of units for typical measurements. Pl.’s Ex. 5 at 2-5.7 Plaintiff also selectively chooses one
of many definitions for “measure” in Exhibit 6. See Pl.’s Ex. 6 at 1. Not only does EcoFactor
omit the final words of the cited definition that show the definition is for the noun “measure,” but
EcoFactor also omits the content of the next several definitions which all refer to instruments or
standard units for measurement. See Pl.’s Ex. 6 at 1 (“2a: an instrument (such as a yardstick) or
utensil (such as a graduated cup) for measuring;” “b(1) a standard or unit of measurement;” “(2)
a system of standard units of measure”). The same is true for uncited definitions in Plaintiff’s
Exhibit 7 (“1.2 A unit or system of measuring.”). See Pl.’s Ex. 7 at 1.
Even the intrinsic evidence cited by EcoFactor supports Defendants’ proposal. EcoFactor
cites to parts of the intrinsic record referencing “measure actual temperature,” “allow the
thermostat to regularly measure,” “receive measurements of outside temperature . . . from sources
other than said HVAC system,” and the like. None of these references defines what
“measurement” means. In contrast, each supports Defendants’ proposal because they show
something must be measured. And taking measurements of those properties requires a
7 In addition to the tables for “metric and U.S. customary units,” and “temperature
conversion between celsius and fahrenheit,” Plaintiff’s Exhibit 5 also states, [t]he key features of
the International System are decimalization, a system of prefixes, and a standard defined in terms
of an invariable physical measure.” See Pl.’s Ex. 5 at 3-4 (preceding a description of “base units”
for measurement “from which all others in the system are derived”).determination by an instrument using standardized units. For all its complaints, neither EcoFactor
nor Mr. Zeidman have ever stated or opined what the plain and ordinary meaning of the term
“measurement” is, or how measurements can be made other than by a determination using
standardized units.
Finally, EcoFactor is off base when it contends Defendants’ proposal is somehow “limited
to a mechanically obtained determination” that would exclude “measurements by digital means.”
Pl. Opening Br. at 8. Defendants’ construction is “determination [of the claimed property] by an
instrument by using standardized units.” Defendants have not limited “instrument” to a
mechanical instrument. Indeed, Defendants do not dispute that digital thermostats are capable of
taking temperature measurements, but this is because digital thermostats are instruments that
determine a temperature value based on standardized units of temperature. Defendants do not
dispute this because any instrument that determines a property using standardized units is an
instrument that takes a measurement. This comports precisely with Defendants’ proposal for
“measurement.”

’488 Patent Claims 1 and 9 – Indefiniteness
Plaintiff’s Proposal

Defendants’ Proposal

Plain and ordinary meaning; no construction Indefinite due to lack of essential structural

connections, under In re Collier, 397 F.2d
1003 (C.C.P.A. 1968), and its progeny.
Defendants and their expert Dr. Turnbull explained how the ’488 patent’s claims lack
sufficient structural connections, and are therefore indefinite under Collier. Defs.’ Opening Br. at
8-10. Instead of trying to identify structural connections in the claims, or attempting to draw the
boundaries of the claimed “HVAC control system,” “one or more processors,” and “HVAC
system,” EcoFactor mistakenly attacks the validity of Collier and controlling law, and simply

necessary.UNITED STATES DISTRICT COURT
FOR THE WESTERN DISTRICT OF TEXAS
WACO DIVISION

ECOFACTOR, INC.,
Plaintiff,

v.
GOOGLE LLC,
ECOFACTOR, INC.,
Plaintiff,

Defendant.

v.
ECOBEE, INC.,

Case No. 6:20-cv-00075-ADA
JURY TRIAL DEMANDED

Case No. 6:20-cv-00078-ADA
JURY TRIAL DEMANDED

Defendant.

ECOFACTOR, INC.,
Plaintiff,

v.
VIVINT, INC.,

Case No. 6:20-cv-00080-ADA
JURY TRIAL DEMANDED

Defendant.

JOINT CLAIM CONSTRUCTION STATEMENTDisputed Constructions

Term
“rate of change in inside
temperature” (’488 patent
claims 1, 9; ’327 patent

Plaintiff’s Proposal
“the difference between two
inside temperature
measurements over a

Defendants’ Proposal
“the difference between
inside temperature
measurements divided by the
span of time between the
measurements (i.e., ∆T/∆t)”

claims 1, 11); “rate of change particular span of time

in temperature inside the
[said] structure” (’488 patent
claims 8, 16; ’327 patent
claims 5, 15)
“measurement[s]”
[“measurement[s]”;
“measurement of outside
temperatures”; “temperature
measurement inside a
structure”; “temperature
measurements from inside the
structure”; “measurement of
at least one characteristic of
the building”; “measurement
of the current outdoor
temperature”] (’488, ’327,
and ’382 patents, all claims)
’488 Patent Claims 1 and 9 – Plain and ordinary meaning;

between the measurements”

Plain and ordinary meaning;
no construction necessary.

“determination [of the
claimed property] by an
instrument by using
standardized units”

Indefinite due to lack of
essential structural
connections, under In re
Collier, 397 F.2d 1003
(C.C.P.A. 1968), and its
progeny.
“a user intentionally
interacting with the device’s
graphic user interface to alter
the device’s state and indicate
whether the structure is
occupied”
“a user inputting a response
to a prompt on the graphic
user interface [display] of the
one or more networked
electronic devices”

Indefiniteness

no construction necessary.

Plain and ordinary meaning;

“user interface actions

intended to alter a state of one no construction necessary.
or more of said [networked]
electronic devices” (’492
patent claims 1, 10)
“receiving [receives] input

Plain and ordinary meaning;

from said one or more users” no construction necessary.
(’492 patent claims 1, 10);
“said input from said one or
more users” (’492 patent
claims 1, 9, 10, 18)
“outside temperature” (’488 “the temperature at a location “the actual temperature at a

patent claims 1, 2, 9, 10; ’327 outside (or external to) [the

location outside (or external
to) [the structure]”

structure]”

patent claims 1, 2, 11, 12)US 2004O117330A1

(19) United States
(12) Patent Application Publication (10) Pub. No.: US 2004/0117330 A1

(43) Pub. Date: Jun. 17, 2004
(60) Provisional application No. 60/368,963, filed on Mar.
28, 2002. Provisional application No. 60/383,027,
filed on May 24, 2002.
Publication Classification
(51) Int. Cl. ................................................. G06F 17/00
(52) U.S. Cl. .............................................................. 705/412

Ehlers et al.
(54) SYSTEMAND METHOD FOR
CONTROLLING USAGE OF A COMMODITY
(76) Inventors: Gregory A. Ehlers, Bradenton, FL
(US); James H. Turner, Chesterfield,
VA (US); Joseph Beaudet, Prince
George, VA (US); Ronald Strich,
Pueblo West, CO (US); George
Loughmiller, Scottsdale, AZ (US)
Correspondence Address:
HOWARD & HOWARD ATTORNEYS, P.C.
THE PINEHURST OFFICE CENTER, SUITE
#101
394OO WOODWARD AVENUE
BLOOMFIELD HILLS, MI 48304-5151 (US)
(21) Appl. No.: 10/628,644

(57)

ABSTRACT

A System and method manage delivery of energy from a
distribution network to one or more Sites. Each Site has at
least one device coupled to the distribution network. The at
least one device controllably consumes energy. The System
includes a node and a control System. The node is coupled
to the at least one device for Sensing and controlling energy
delivered to the device. A control System is coupled to the
node and distribution network for delivering to the node at
least one characteristic of the distribution network. The node
for controls the Supply of energy to the device as a function
of the at least one characteristic.

(22) Filed:

Jul. 28, 2003
Related U.S. Application Data
(63) Continuation of application No. 10/402,370, filed on
Mar. 28, 2003, now abandoned.
1,06
1.16 N 1.12

CONTROLLED
DEVICE
CONTROLLED
AND METERED
DEVICE

Defendant's Exhibit
0219

Case No. 20-cv-00075Patent Application Publication Jun. 17, 2004 Sheet 1 of 18 US 2004/0117330 A1
1.06
1.16 N 1.12
S. INTERFACE CONTROL SYSTEM
110D
NODE ? 1.10A ?t- 08A

LOAD
METERING
NODE

METERED
DEVICE

1,10B
CONTROL CONTROLLED

108B

Figure 1A

DEVICE

NODE

11s u? LOAD CONTROLLED

CONTROL
NODE

AND METERED
DEVICE

1.10C
USER 1.14 s 1.04
1.32
ense

108C

1.32A

Figure 1CPatent Application Publication

XHIWO ISQ In5)1.10D

. TWO WAY
COMMUNICATIONS

NODE
PROCESSOR

CONTROL POINT
CONFIGURATION
INTERFACE

2.08

Figure 2A

1.08A

1.10

1.10A
TWO WAY NODE - METERING

COMMUNICATIONS

PROCESSOR MODULE

CHANNEL

CONTROL POINT
CONFIGURATION
INTERFACE

PROGRAMMING DEVICE 2. 08 Figure 2B

OTHERNODES OR2.14

1,08B
CONTROLLED
DEVICE

1.10B

TWO WAY

COMMUNICATIONS

CHANNEL prior

NODE
PROCESSOR

CONTROL POINT
CONFIGURATION
INTERFACE

2.08

1.10

AND CONTROLLED
DEVICE

CONTROL POINT
CONFIGURATION
INTERFACE

OTHER NODES OR 2.08 Figure 2D

PROGRAMMING DEVICEGATEWAYNODE N-2.24 2"

2.18
220A 2-
2.20B
220C
2.20 D
2.2OE
2,20F

2.22A
2.22B
2.22C
2.22D
-2.22E
ELECTRICWATER HEATER
2.22F
WELL PUMP -2.22G
2,206 Roof MountED
PHOTOVOLTAC
SYSTEM
DISHWASHER-N-2.22H

2.20H
Figure 2E

3.02 3.04Patent Application Publication Jun. 17, 2004 Sheet 6 of 18 US 2004/0117330 A1
3.10
INDOOR THERMOSTAT
HUMIDITY SENSOR
OTHER SENSORS

3.08

130D
THERMOSTAT

3.10A

3.10B
3,10C

GATEWAY
NODE

110D

Figure 3B

OTHER NODES
AND DEVICES

1.08, 1.10

6

ECONOMIC AND COMFORTMANAGEMENT & CONTROLEXAMPLE
- - - MAXIMUMSAVINGS
BALANCEDSAVINGS/COMFORT
- - - MAXIMUM COMFORT

0 4 8 12 16 20 24 28 32
COST OF ENERGY IN CENTS PERKWH
Figure 3CPatent Application Publication Jun. 17, 2004 Sheet 7 of 18 US 2004/0117330 A1
ECONOMICAND COMFORTMANAGEMENT & CONTROLEXAMPLE
l1 21 1--
-21

79
2 78
9 77

a

3.14B

21-----4-------- U-3,14C
--1 22--------

l

22-24

3.12B

: 76

/

S 75 /
s

3.12C
16 32 48 64 80 96 112 128
INTERVALS OF TIME - 4 MINUTESPERINTERWAL
Figure 3D
ECONOMICAND COMFORTMANAGEMENT & CONTROLEXAMPLE
- - THERMAL GANRATE
- HVACRLIN%

74
73
72

0

80
70
S 60
50
40
S 30
20
10
00

4
3 s S
s

1
0

0

3 6 9 12 15 18 21 24
INTERWALS OFTIME-HOUR INTERWALS
Figure 3EECONOMIC AND COMFORTMANAGEMENT & CONTROLEXAMPLE

MAXIMUM ECONOMY - - -

0 16 32 48 64 80 96 112 128
INTERVALS OF TIME - 4 MINUTES PER INTERVAL
Figure 3F
ECONOMIC AND COMFORTMANAGEMENT8 CONTROLEXAMPLE
- - THERMAL GAINRATE
- HWACRUIN%

0 3 6 9 12 15 18 21 24
INTERVALS OF TIME - HOUR INTERVALS
Figure 3G4. 05 Welcome EMinen

4.06A 40GB 406C 4.06D 406E - 1032AMES, to Maris, a

Home Help Contact Faos
Logoffenirea

ce Curtinent eveSats
ontrol Center

ots
Your en reporta
areay lehere

Direct access to your

Your Schedulingresources
are located here

energy devices 414BS 44C ()

Yourser Profile information and Click here to find information
about yotir system

Heating/AC
Click here to access Heating/AC

Whole House Meter.
Click here to access Whole House Meter

Stage 1 OFF
AuxHeat OFF
Stage 1 OFF
$$$$.
Figure 4C

4.22

4.22A
4,22B
4.22C
4,22D
4.22E
4.22F4.10
YNY

4.24
Occupancy Modes
Away Sleep. Vacant User User2. User3. User:
When my home is in Home Mode 7 Active

Use the following settings for the areas controlled by the Heating/ACthermostat

Cooling setpoint 80°F is Economical confidenomy refle-432
Heating setpoint OF M My home is normally OCCUPIED during Home mode

Figure 4D 4.30

Occupancy Modes
Home

Sleep. Vacant User User2. User3. Users

When my home is in Home Mode Active

Use the following settings for the areas controlled by the Heating/ACthermostat

cooling setpoint:5°F (Economical comfortonomy rfiel-432
Heating setpoint oF My home is normally OCCUPIED during Away mode

Figure 4E 4.30

Occupancy Modes
Home Away. Sleep Vacant I User User2 User3 User?
When my home is in Home Mode Active

Use the following settings for the areas controlled by the Heating/ACthermostat

cooling setpoint,90F use: Economical confoREconomy Profile 4.32

Heating setpoint:45F Ebcurrecturing vacant node
Figure 4F

Maximum Comfort

2.26

2.26

2.264.36

Thermostat Scheduling

4.10

434

eekday
11 eekday eekday

18

19
eekday eekday
26

eekday eekday

Figure 4G

Thermostat Scheduling 4.38

4.19

Select Thermostateating/ACM Select Day Type:Weekday CW
Start’ Start at midnightin: Sleep Wmode clicktoshownstructions V 4.40

436--Then at 04:30am IV witch to Uservinode T
Then at 05:00am Yswitch to User2 Wmode
Then at 05:30am Wilswitch to Home Wmode

P

Then at 07:30am switch to

mode

Then at 04:00pm Wilswitch to User2 mode
Then at 05:30pm Nilswitch to Home Ramode
Then at 10:00pm. Wilswitch to Sleep Wmode
Apply to 3/18/2003 Apply to all Weekdays Back to Calendar.
4.42 Figure 4H 444 4.46

1N440Case: 23-1101

Document: 15

Configure Alert
Alerts
Alert Description
Temperature out of Range
Temperature out of Range
Gateway Not Responding
Temperature out of Range
Gateway Not Responding
Budget Limit Alarm
Device is Malfunctioning
Communication Failure
Ramping Recovery Failure
4.48 Duplicate IP address
Temperature out of Range

4.52 4.54 4.56 4.58

- - -

- - -

UserName: E. Minern
Primary email: emineneaol.com
Destination

AccountD:
Phone

Channel

s

Ely web Page Configurable Priority Single/Aggregate

O
O
D

Y
O
O
O
D
O

Single M
Single M
Single R/

2
Energy Provider M. Y.
O
O

Single N

3.

O

Single M
Single

Z

Note:You may add the secondary email as another channel by updating personal data, Click here to update account personal data

4,68A
4,68B

Daily emperature
Ef

4.68

Figure 4KPatent Application Publication Jun. 17, 2004 Sheet 13 of 18 US 2004/0117330A1
Daily Temperature Report
Temperature Data

Temperature Data for Tuesday, March 18, 2003

4,70

OO O O2 O3 04 05 06 07 08 09 10 1 2 3 4 5 6 7 8 19 20 2. 22 23 00
Time

4.72 an-Nietzac - Ilias it
Crevious by CNet Over rody with Month
Figure 4L
Daily Electrical Report

4.74

Total Cost $1.57 Total Usage: 1.54 kWh.
costs are estimates of the actual cost of energy that does not include taxes or other surcharges
Energy Consumption and Cost for Tuesday, March 18, 2003

Hourly kWH-15 minutes cost

4.76 "y
80
160
AO

S

OO 01 02 c 04 (5 OS 07 os o9 10 1 12 13 14, 5, 16 17 18 19 20 21 22 23 00

4.78
Service device:

Tire
viewrody
close

O Constant scale

Wew The Year

Figure 4M4.88A

4.86
Configuration Data
Your personal account settings

4.88B
Thermost at Data
Your the nostat data

4.88C
Home Data
Information about your home

EMSwitches
Energy Management Services

ThermostatData

Additional controls: Humidifier Dehumidifier

Alert Limits 90 High 45 lawf

Safety Limits: High50 Lower

"Heat Limits 75 High5 LoweF *Cool Limits 90 High5 low-F
= required

Figure 4O

4.92
Electric; w/ Electric Emergenc
Electric; w/ Electric Emergen
Electric: w/ Gas Emergency
Electric: w/ Oil Emergen
Electric Baseboard
Oil

Figure 4P

4.94
Electric Heat Pump
ElectricStandard Central Air
Figure 40Case: 23-1101 Document: 15 Page: 302

Program Participation
Participate Product Name
Emergency AC Curtailment
A Group
B Group

Supply Type
Oaoernand
Or demand
On Demand

Emergency HVAC Curtailment On Demand

YFot Tubispa
E.Fool Pump
Energency Shut Off
in Water Heater
AfteroonPeaker
MorningPeaker

On demand
On Demand
On Demand
On Demand
Scheduled
Scheduled

4.96

Effective dates
From To
OMO- 12/31
OMO - 12/31
o1/01 - 12/31
OMO - 12/31
OMO - 12/3
o/O1 - 12/31
OMO - 12/31
01/01 - 12/31
04/01 - 10/01
O1/O1 - 12/31

Effective Daily
From To
12:00am - 11:59pm.
12:00am - 11:59pm
12:00ara - 11:59pm
12:00am - 11:59pm
12:00am - 11:59pm
12:00am - 11:59pm
12:00am - 11:59pm
12:00am - 11:59pm
12:00am - 6:00pm
6:00am - 12:00pm

4.100 498

Figure 4R

Immediate Supply Scheduled Supply Program Definitions Active Supply Supply History Reports

Horne Logoff

5,04

E.E.

E.E.E. EEE

Link to a tree of the

Link to a tree of the

Shows a pro

Selectable stabstrations Egg
capacity.

Selectable substratios gig
according to "Day Type".

immediately available - and tial electrical bigny

tale

Esi

are electable and

Substrations

links are provided to display

active supply at the noda level.

Ele Fam

Supply Histo lays a table of
E.

Eas

inin/max demandare listed.

5.08D

5,08E

5.08F5,16

electrical Distribution Networkfortas
s1 tow 1069 w Review/Request supply

Substrations

Review / Request Suppl.

a

cow

5,22

5.20

5.18

Figure 5B

5.24
N Available Program Capacity
Node Name:Philadelphia
Emergency HVAC Curtainment
Emergency shut off
Runergency Water Heater Curtailment
Emergency Pool Pump Curtailment
Emergency Hot TubySp. Curtallment
Emergency ACCurtailment
B Group
A Group
Duration ow-ul-5. 32

5.26

Te Mar 8 200314:30

5.28

5 3 0

5.34 5.36 5.38
Figure 5C5.40

5.44

sectical distribtron Networkfordss
day type 333 Available actions
son dasaw Gwegweswastew schedules creatsschedule
Works won Wiswansweview schedules releschedules
TTT
Warsawws Wiswever schedule createSchedule
weddow 2swow 27 weeview schedules realescenes

hidelphia
Philly NonCurtailed

Figure 5D

5.46

5.48
N Find Eligible Programs
Find Eligible Programs for: Phoenix

Month:3R Day: 18 M
Housto R2 Minutes:0R2

Date:

Year:

Curtainent of Acrystems-Notorarideable or option

Water Heater certainent rrogram
scheduled Supply
hutoff waterheaters and Pool pump between 6AM and 12Program Definitions
gr

Supply Type O on Demand Oscheduled 1 N-5.62

Available Time: From: HH
Available Dates: From: MM. 1 R DD
Oriel O omitat. --N-
Device OHVACTSTATOwater Heater Opool rump DHot Tubspa 1N-5.68

MMOR. To: HHO IV) MMOR)
To: MM1) DD 1 a

5,58
5.60
5.56

5.64

-5.76

Circuit: Neighborhood Power Company
Daily Report for Electric Meter Total Usage: 647.32 kWh.
Energy Consumption for Tuesday, March 18,2003

M

O Hourly kWH
20.00
18.00
16.00
400
200
s 0.00
8.00
6.00
4.00
200
0.00

00 01 02 03 04 05 06 07 08 09 10 11 2 3 4, 15 16 17 18 19 20 2. 22 23 oo
Time

Se electric Metedw).

Graph

Month

Day

Refresh Chart

Figure 5H 578
Fi 84 re 5SYSTEMAND METHOD FOR CONTROLLING
USAGE OF A COMMODITY
RELATED APPLICATIONS
0001. The present application claims priority to U.S.
patent application Ser. No. 10/402,370 filed Mar. 28, 2003,
which claims priority to U.S. Provisional Patent Application
Serial No. 60/368,963 filed Mar. 28, 2002 and to U.S.
Provisional Patent Application Serial No. 60/383,027 filed
on May 24, 2002, all of which are hereby incorporated by
reference.

FIELD OF THE INVENTION
0002 The present invention relates generally to the deliv
ery of a commodity, and more particularly, to a System and
method for managing the delivery and usage of a commodity
Such as electricity, natural gas, Steam, water, chilled or
heated water, or potable or recycled water.
BACKGROUND OF THE INVENTION
0.003 Traditionally, utilities have done an excellent job of
providing a reliable Source of power to their customers.
Utilities do this by accurately predicting consumer demand
and then ensuring that they have adequate generation
resources available to meet that demand. Historically,
demand for power increases each year during peak heating
and cooling months, resulting in a need for ever increasing
amounts of generation capacity. A review of the peak period
demand clearly show that the need for a Substantial amount
of new generation assets could be eliminated if there was a
way to shift Some of the demand from peak to off peak times.
0004. The deregulation of the electric industry has
heightened concerns over power outages, price volatility and
how the eventual outcome will impact the economy and our
way of life.
0005 For example, recent events in California have cap
tured the headlines and amplify these concerns. California
Suffers from 10 years of load growth with no new generation
facilities being built to meet the demand. Internet data
centers like the one in San Jose represent unanticipated new
demands for power 24 hours a day equal to that of 60,000
homes. State mandated deregulation activities forced the
major utilities to Sell off their generation assets resulting in
them having to buy the power they used to Self generate
from others.
0006 Demand reduction programs and more advanced
controls have been proposed to assist in reducing demand
during peak times.
0007 Currently, utilities do offer demand reduction pro
grams to their customers. These programs are designed to
shift loads out of peak periods by providing a financial
incentive for consumers to move loads to a time when it is
leSS expensive for the utility to produce or obtain power.
Time of day rate is an example of Such a program.
0008 Another type of program offered by utilities is the
traditional Demand Side Management (DSM) program. This
type of program provides the customer a monthly credit for
allowing the utility to interrupt power to major loads in their
home during peaks or emergencies.

0009 While both of these programs have been shown to
work, they each have their problems. Time of day rate
programs may be difficult for customers to understand.
Therefore these programs have a very low participation rate
among the customer base. DSM programs, on the other
hand, have a much higher participation rate. However, DSM
loadsheds are seldom exercised by the utility. And, when the
utility does exercise a loadshed, the resulting interruption of
power tends to affect customer comfort, thereby causing
large numbers of customers to drop out of the program. In
addition, current DSM programs cannot differentiate
between those consumers that contribute to a load control,
and those that don’t, while providing incentive credits to all
who sign up.
0010 While both time of day rates and DSM programs
can be effective, each have challenges in the area of cus
tomer Satisfaction that erode their usefulness. In addition,
utilities earn little revenue from these types of offerings and
therefore look to new generation as a more economically
viable option.
0011. Thermostats, thermostatic control devices and
environmental control Systems have been designed, manu
factured and placed in use for many years. These devices are
primarily designed to Sense the temperature inside a site 1.04
and based on occupant designated Setting, activate the
heating and/or air conditioning System or Systems to main
tain a comfort level based on the occupants designated level
of comfort. There are two main types of design for these
devices: a Standard Single control device or a dual control
System.
0012. The standard single control device can be set to
activate a heating or cooling System based upon a manual
Switch to Select either System and a degree Setting mecha
nism to Select the desired temperature to heat or cool to if the
temperature falls or rises below or above the occupant
designated Set point. A dual control System is attached to
both a heating and cooling System which has two Set points,
one for the heating System activation and one for the cooling
System activation. With this type of a control, the user Sets
a desired minimum temperature, below which the heating
System will be activated to raise the temperature during
winter Seasons, and a maximum temperature, above which
the cooling System will be activated to drop the temperature
during Summer Seasons.
0013 This type of temperature control device provides
the occupant the convenience of not having to manually
Select either the heating or cooling System, as is the case of
the Standard Single control device, and allows the occupant
to define a temperature range between which they are
comfortable. Using these two main types of design as a base
line, there are many variations, which have been developed
over time. Over the years, these Sensing and control devices
have moved from traditional bi-metal contractors to more
Sophisticated electronic devices over the years, and have
incorporated the ability to be programmed with multiple Set
points for both heating and cooling as well as having the
ability to activate these different set points based on time of
day, day of week, and/or externally generated control signals
from utility companies indicating a fixed cost tier that is in
effect, e.g., low, medium, high & critical, and to interface
with an infra-red motion Sensor that automatically Sets back
the temperature to a predetermined point based on thepresence of a perSon in the area. However, most end use
consumers do not have the time, experience, and/or acceSS
to data to monitor, track, and use these devices.
0.014. The present invention is aimed at one or more of
the problems set forth above.
SUMMARY OF THE INVENTION
0.015. In one aspect of the present invention, a system and
method manage delivery of energy from a distribution
network to one or more Sites. Each Site has at least one
device coupled to the distribution network. The at least one
device controllably consumes energy. The System includes a
node and a control System. The node is coupled to the at least
one device for Sensing and controlling energy delivered to
the device. A control System is coupled to the node and
distribution network for delivering to the node at least one
characteristic of the distribution network. The node for
controls the Supply of energy to the device as a function of
the at least one characteristic.
0016. In another aspect of the present invention, a
method of shifting energy requirements from a first period of
time is provided. The method includes the Steps of measur
ing energy usage of a controlled device operated by a
customer, cutting off energy to the controlled device during
the first time period, and providing a rebate to the customer
based on actual energy Savings as a function of the first time
period, the measured energy usage, and known power
requirements.
0.017. In still another aspect of the present invention, a
thermostat device for controlling a heating and/or cooling
System through interaction with a user is provided. The
heating and/or cooling System are Supplied with energy
through a power distribution network. The thermostat
includes a control panel for receiving input from the user and
a display coupled to the control panel for visually presenting
information to the user. The thermostat device is adapted to
receive a characteristic of the energy being Supplied and for
displaying the characteristic on the display.
BRIEF DESCRIPTION OF THE DRAWINGS
0.018. Other advantages of the present invention will be
readily appreciated as the same becomes better understood
by reference to the following detailed description when
considered in connection with the accompanying drawings
wherein:
0.019 FIG. 1A is a block diagram of an energy manage
ment System, according to an embodiment of the present
invention;
0020 FIG. 1B is a diagrammatic illustration of one
implementation of the energy management System of FIG.
1A;
0021 FIG. 1C is a flow diagram of a process for man
aging energy delivery according to an embodiment of the
present invention;
0022 FIG. 2A is a block diagram of a gateway node used
in the energy management System of FIG. 1A,
0023 FIG. 2B is a block diagram of a metering node
used in the energy management System of FIG. 1A,

0024 FIG. 2C is a block diagram of a control node used
in the energy management System of FIG. 1A,
0025 FIG. 2D is a block diagram of a load control node
used in the energy management System of FIG. 1A,
0026 FIG. 2E is a block diagram of an implementation
of the energy system of FIG. 1A at a customer site;
0027 FIG. 3A is an illustration of an advanced thermo
Stat device, according to an embodiment of the present
invention;
0028 FIG. 3B is a block diagram of the advanced
thermostat device of FIG. 3A;
0029 FIGS. 3C-3G are graphs illustrating an exemplary
economic and comfort management control Strategy, accord
ing to an embodiment of the present invention;
0030 FIG. 4A is a graphical illustration of a customer
GUI, according to an embodiment of the present invention;
0031 FIG. 4B is a graphical illustration of a control
panel of the GUI of FIG. 4A;
0032 FIG. 4C is a graphical illustration of a virtual
thermostat of the GUI of FIG. 4A;
0033 FIG. 4D is a graphical illustration of an occupancy
mode screen of the GUI of FIG. 4A;
0034 FIG. 4E is a second graphical illustration of the
occupancy mode screen of FIG. 4D;
0035 FIG. 4F is a third graphical illustration of the
occupancy mode screen of the GUI of FIG. 4D;
0036 FIG. 4G is a graphical illustration of a thermostat
scheduling calendar of the GUI of FIG. 4A;
0037 FIG. 4H is a graphical illustration of a thermostat
scheduling panel of the GUI of FIG. 4A;
0038 FIG. 4 is a graphical illustration of a select day
type drop down list of the GUI of FIG. 4A;
0039 FIG. 4J is a graphical illustration of a config alert
screen of the GUI of FIG. 4A;
0040 FIG. 4K is a graphical illustration of a report
screen of the GUI of FIG. 4A;
0041 FIG. 4L is a graphical illustration of a daily
temperature report pop up screen of the GUI of FIG. 4A;
0042 FIG. 4M is a graphical illustration of a daily
electrical report pop up screen of the GUI of FIG. 4A;
0043 FIG. 4N is a graphical illustration of a configura
tion data screen of the GUI of FIG. 4A;
0044 FIG. 4O is a graphical illustration of a thermostat
data screen of the GUI of FIG. 4A;
004.5 FIG. 4P is a graphical illustration of a heating drop
down list of the GUI of FIG. 4A;
0046 FIG. 4Q is a graphical illustration of a cooling
drop down list of the GUI of FIG. 4A;
0047 FIG. 4R is a graphical illustration of a program
participation screen of the GUI of FIG. 4A;
0048 FIG. 5A is a graphical illustration of a utility GUI,
according to an embodiment of the present invention;0049 FIG. 5B is a graphical illustration of an immediate
supply screen of the GUI of FIG. 5A;
0050 FIG. 5C is a graphical illustration of an available
program capacity pop-up of the GUI of FIG. 5A;
0051 FIG.5D is a graphical illustration of a scheduled
supply screen of the GUI of FIG. 5A;
0.052 FIG.5E is a graphical illustration of a find eligible
program dialog of the GUI of FIG. 5A;
0053 FIG. 5F is a graphical illustration of program
summery table of the GUI of FIG. 5A;
0.054 FIG. 5G is a graphical illustration of a program
definition screen of the GUI of FIG. 5A;
0055 FIG. 5H is a graphical illustration of a reports
screen of the GUI of FIG. 5A; and,
0056 FIG.5I is a graphical illustration of a portion of the
reports screen of FIG. 5H.
DETAILED DESCRIPTION OF THE
INVENTION
0057 1. Energy Management System and Methods
Overview
0.058 With reference to the drawings, and in operation,
the present invention relates generally to a System 1.02 and
method for managing the delivery and usage of a commod
ity, Such as electricity, natural gas, Steam, water, chilled or
heated water, or potable or recycled water. More Specifically,
the System 1.02 is adaptable to manage the delivery and
usage of energy, e.g., electricity and natural gas. While the
below discussion focuses on the management of the delivery
and/or usage of electricity, the present invention is not
limited to Such the delivery and/or usage of electricity.
0059. In general, the system 1.02 allows at least one
customer (or user) located at a customer Site (indicated by
reference number 1.04) and/or a utility (indicated by refer
ence number 1.06) to manage delivery or usage of the
electricity to the customer's site 1.06. The utility 1.06 may
include both the generation of the electricity, e.g., via power
plants, and/or the transmission of electricity to the customer
sites 1.04.
0060. The customer site 1.04 includes at least one device
1.08 which uses electricity and at least one node 1.10. In the
illustrated embodiment, the customer site 1.04 includes three
devices: a metered device 1.08A, a controlled device 1.08B,
and a metered and controlled device 1.08C. Each device
1.08 may have an associated node 1.10.
0061 AS discussed in more detail below, in the illustrated
embodiment, there are four different types of nodes 1.10: a
load metering node 1.10A, a control node 1.10B, a load
control node 1.10C, and a gateway node 1.10D.
0062) The gateway node 1.10D provides two way com
munication between the gateway 1.10D and each other node
1.10A, 1.10B, 1.10C and between the gateway node 1.10D
and a utility control system 1.12. It should be noted that
although there are only one of each the devices 1.08A,
1.08B, 1.08C, shown, there may be any number of each type
of device 1.08A, 1.08B, 1.08C (including zero).

0063. The load metering node 1.10A, in general, mea
Sures the instantaneous power being delivered (typically, in
kWh) to the associated metered device 1.08A. The load
metering node 1.10A may also determine the total power
delivered to the metered device 1.08A over a predetermined
period of time, e.g., every 15 or 20 minutes. Information
related to the instantaneous power being delivered and the
accumulated power is delivered to utility 1.06 via the
gateway control node 1.10D. For example, the metered
device 1.08A may be an electricity meter which measures all
power being Supplied to the customer Site 1.04.
0064. The control node 1.10B, in general, is used to
control the controlled device 1.08B. In the simplest form the
control node 1.10B may controllably cut off and supply
power to the controlled device 1.08B. For example, if the
controlled device 1.08B is a pool pump used to filter a pool
(not shown), the control node 1.10B may simply turn power
to the pool pump on and off. Alternatively, the control node
1.10B may have control over features of the controlled
device 1.08B, e.g., Start time, end time, duration, etc.
0065. The load control node 1.10C, in general, is used to
both measure the instantaneous power being delivered to the
controlled and metered device 1.08C and controls the device
1.08C. The load control node 1.10C may also determine the
total power delivered to the metered and controlled device
1.08C over a predetermined period of time, e.g., every 15 or
20 minutes.
0.066 Nodes 1.10 may be utilized with any type of device
1.08 for which it is desirable to control and/or measure its
power usage. For example, nodes 1.10 may be associated
with the entire customer site 1.04, a pool pump, an HVAC
System, a water heater, any appliance, Such as a refrigerator,
dishwasher, hot tubs, irrigation and well pumps, Spas, coffer
maker, etc., or other electrical or electronic device, e.g.,
televisions, Stereos, etc.
0067. The type of node 1.10 which is used with a device
1.08 is dependent upon the device and whether it is desirable
to measure the device's power usage, control the device or
both. In one aspect of the present invention a node 1.10 may
be separate from the device 1.08. For example, in each
device 1.08 it may be desirable to measure the energy usage
of the entire customer site 1.04. Thus, a load metering node
1.10A may be associated with the site's electric meter.
0068 Nodes 1.10 may either be integrated with the
corresponding device 1.08 or be separate. For example, a
load metering node 1.10A may be a separate device which
is coupled to an electric meter (for retro-fit purposes).
Alternatively, nodes 1.08 may be designed and manufac
tured to be integral with the devices 1.10.
0069. The customer may access and control the system
1.02 through a user interface 1.14 (see below). The user
interface 1.14 may be incorporated into another device, Such
as a thermostat (see below). Additionally, the customer may
be given access to the System 1.02 through external devices,
Such as, mobile phones, personal digital assistants (PDA),
laptop computers, desktop computers, or other Suitable
devices. Such devices may be linked to the system 1.02 via
the internet, a wireleSS data network, or other Suitable
System.
0070 The system 1.02 may be further accessed and
controlled at the utility 1.06 via a utility interface 1.16 (see
below).0071. In one aspect of the present invention, the load
metering node 1.10A, the control node 1.10B, and the load
control node 1.10C communicate with the gateway node
1.10D. In another aspect of the present invention, the load
metering node 1.10A, the control node 1.10B, the load
control node 1.10C, and the gateway node 1.10D may all
communicate with each other. In the illustrated embodiment,
the nodes 1.10 are interconnected by a network 1.18. The
network 1.18 may be a wired network, such as an ethernet
network, or a wireleSS network.
0.072 An exemplary implementation of the system 1.02
is shown in FIG. 1B. In this illustrated embodiment, the
gateway node 1.10D communicates to the utility control
system 1.12 via an “always on', secured wired or wireless
network 1.20 through a cable modem, DSL modem, or other
suitable means (not shown). The utility control system 1.12
may be implemented in Software which is Stored and
executed on a back-end Server 1.22 (see below).
0073. In one aspect of the present invention, utility con
trol system 1.12 and the back-end server 1.22 may be
provided by and/or serviced and/or maintained by a third
party, i.e., a Service provider, 1.24.
0.074 Access to the utility control system 1.12 may be
provided at the utility 1.06 through a secure network 1.26
such as a virtual private network (VPN).
0075 Remote access to the system 1.02 may be provided
to the customer through the back-end server 1.22 via the
internet 1.28.
0.076. In the illustrated embodiment, the customer site
1.04 includes a metered device 1.30A, shown as an electric
meter, a controlled device 1.30B, shown as a pool pump
(illustrated graphically as a pool), and a metered and con
trolled device 1.30C, shown as a water heater. It should be
noted, however, that any particular Site may include Zero,
one or more of each type of device. In the illustrated
embodiment, the System 1.02 also includes an advanced
thermostat device 1.30D. Each device 1.30A, 1.30B, 1.30C,
1.30D communicates with the gateway node or gateway
1.1OD.
0.077 As discussed more fully below, the customer has
access to the System 1.02 and is able to monitor and control
the nodes 1.10 and/or the devices 1.08 through the user
interface 1.14.
0078. The utility 1.06 may also monitor and control the
usage of electricity by controlling the nodes 1.10 and/or the
devices 1.08. More specifically, the utility 1.08 may define,
modify, implement, and engage one or more Power Supply
Program (hereinafter PSP or PROGRAM or PROGRAMS)
which are designed to alleviate or reduce energy demand
during peak periods. A PROGRAM may either be manda
tory or optional. The user, through the user interface 1.14,
may be able to Subscribe or sign up for one or more optional
PROGRAMS. A PROGRAM may be either automatically
implemented when a predetermined set of conditions occur,
Such as time of day, or may be engaged, by the utility 1.06,
as electricity demands require.
007.9 For example, a PROGRAM may automatically
shift discretionary residential loads out of peak demand
periods and credit consumers who participate with KWH
rebates based on their actual (measured & Verified) contri

butions. In one embodiment, the rebates would be directly
related to the cost of the fuel or electricity during the shifted
period. This PROGRAM delivers the same results Time Of
Day rates were designed to deliver without a variable KWH
cost component. Rebates for shifting demand provide the
consumer incentive verSuS higher rates in peak periods.
Further, the PROGRAM provides a variable rebate based on
a customers actual contribution, instead of a fixed rebate.
0080 With reference to FIG. 1C, in one embodiment of
the present invention, a method of shifting energy require
ments from a first period of time, is provided. The method
includes the Step of measuring energy usage of a device 1.08
operated by a customer (first step 1.32A). The device 1.08
has a known power rating. In a Second step 1.32B, energy to
the device 1.08 is cut off during the first time period. In a
third step 1.32C, a rebate is provided to the customer based
on actual energy Savings as a function of the first time
period, the measured energy usage, and the known power
requirements.
0081 For example, returning to FIG. 1B, a PROGRAM
may be defined to include all pool pumps for a given Set of
customers, e.g., in a geographic location. The PROGRAM
may be further defined by not allowing the pool pumps to
run during a Set period of the day. Customers having a pool
pump may sign up or “subscribe' to the PROGRAM. The
power rating for a customer's pool pump must be known and
is stored within the system 1.02. A load control node 1.10C
is either integral with or Separate and coupled to the pool
pump. The load control node 1.10C receives a signal from
the utility control system 1.12 to disable the pool pump
during the first time period. The load control node 1.10C
further measures energy usage of the pool pump during the
first time period to confirm that the pool pump is not
running.
0082) Another PROGRAM may also perform soft load
control (control of comfort levels) on HVAC systems by
modifying thermostat Set points, use of temperature ramping
and restricting the use of heat Strips and Secondary Stages of
compressors (see below).
0083. In one aspect of the present invention, the system
1.02 is designed to operate like a power plant, in that it
would be dispatched every working day to shift peak loads
but would not operate on weekends or holidays. Further, the
energy saved through engagement of a PROGRAM may be
Viewed as capacity in the same manner as the capacity of a
power plant.
0084. In one aspect of the present invention, the system
1.02 records actual interval data for a given entity or
customer, and for each device 1.08 within that entity, or
Subsets thereof, as desired. In the case where the entity is a
home, for example, actual energy interval data can be
collected for each appliance, and/or Selected appliances.
Communications between the gateway node 1.10D and the
other nodes 1.10A, 1.10B, 1.10C can be via wired or wireless
means, including microwave, infrared, Radio Frequency
(RF), or other wireless communications method. The actual
interval data can be a basis for computing a customer's
rebate. The gateway node 1.10D can additionally collect
information regarding the health and maintenance of the
energy devices to which it communicates. Accordingly, the
gateway node 1.10D and the other nodes 1.10A, 1.10B,
1.10C, can be equipped to communicate based on the wiredor wireleSS communications channel. Furthermore, the com
munications can be bi-directional, and can be encoded. The
gateway node 1.10D can further communicate with the at
least one server, and vice-versa. The gateway node 1.10D
can thus include a processor and an Ethernet connection.
Communications to the Server can be via cable modem,
DSL, power line carrier modem, or another bi-directional
wired or wireleSS Secured communications link.
0085. In one embodiment, the gateway node 1.10D may
include memory (see below) for storing pricing and Sched
uling information. For example, a gateway node 1.10D may
Store fifteen days of data when ninety-six readings from
devices 1.08 are made per day.
0.086 Rebates can be provided based on, for example,
overall usage. In one illustration, if a water heater is “on” for
/3 of the time, historically, a consumer can get a /3 rebate for
a non-peak period water heater usage based on the water
heater being “off” for the entire peak interval.
0087. The system 1.02 may also be adapted to receive
from the customer a budget goal for a Specified time period,
e.g., one month. The System 1.02 may then monitor the
customer's usage and Send an email or other notification to
the customer if it is determined that the Specified budget goal
will be exceeded during the Specified time period.
0088 AS explained above and more fully described
below, the system 1.02 may also include an advanced
thermostat device 1.30D. The system 1.02 may have the
ability to Sense the current indoor temperature and could be
enhanced to include at a minimum, humidity Sensing, out
Side temperature, UV intensity, wind direction and Speed,
relative humidity, wet bulb thermometer, dew point and
local weather forecast data or encoded signals as well as
other analog or digital inputs used in the calculation of and
maintenance of occupant comfort. In its basic form, the
System 1.02 will manage the indoor air temperature. Using
the optional enhanced System inputs, the System 1.02 may
also manage the air quality and humidity at the Site by
controlling the operation of the appropriate heating, filtra
tion, conditioning and cooling equipment in conjunction
with damper and fresh air input ducts, electrostatic filters
and ionization devices to maximize comfort and indoor air
quality. The System 1.02 may manage its operation of the
available environmental conditioning resources to maintain
the optimum temperature, humidity and air quality condi
tions based on user defined minimum and maximum values
for comfort indices and price of energy indices. In a more
elaborate implementation, the System 1.02 may also have the
ability to Switch energy types e.g., electric Versus gas for
environment heating and would also have the ability to
Switch Suppliers based on the asking price of the energy
Supplier Serving the location if the Services of an energy
broker are utilized.
0089. In one aspect of the present invention, the system
1.02 balances two primary factors. First, the system 1.02
maintains the environment within occupant defined accept
able minimum and maximum values at least for temperature
and could be expanded to handle humidity and air quality.
Second, the System 1.02 may vary these acceptable param
eters based, on at a minimum, user defined preferences, price
points and historical data (the gathering and retention of
which is described later) to achieve the optimum environ
mental conditions. To provide feedback to the customer, the

System 1.02 may also record the number of energy units
(energy units as used here include for examples: kilowatt
hours, BTU’s, Therms, and Jules but is not so limited) used
as a function of time for each of the loads monitored and/or
controlled by the system 1.02 and would have the ability to
report back detailed consumption data as a function of time
and Summarize these details to provide, at a minimum, daily
averages for any defined period, monthly totals, as will as
track the costs of each energy unit consumed per period and
provide detailed and average daily cost for any user defined
period as well as monthly totals. The system 1.02 may
permit the entry of daily, weekly and monthly budget
amounts for energy. The System 1.02 may monitor usage and
provide Visual and audible alerts if these amounts are being
exceeded, thereby providing the opportunity to make cor
rections to System Settings to achieve desired economic
results. The system 1.02 may be capable of controlling loads
beyond its primary management function of the environ
mental air management Systems using the same economic
modeling techniques and controls that it uses to manage its
primary functions. It may also manage, report and track total
Site 1.04 energy unit usage and interface with energy unit
Suppliers via a communications channel. The System con
trols will be located at the site 1.04, while the processors for
modeling and managing the Sources and types of energy
units to be utilized and committed to will be distributed (at
energy brokers, ESP's and utilities) and operate over a
communications network without regard to the actual loca
tion of or distance from the site 1.04.
0090. In summary, and as explained in detail below, the
System 1.02 Supports and provides a wide array of moni
toring and control points including:
0091) Whole house interval metering;
0092] HVAC thermostat monitoring and control;
0093 Sub-metering and control of other major loads
(Such as pumps and electric water heaters); and,
0094 Net metering for effective management of
distributed generation assets.
0095. In one embodiment, the system 1.02 is designed to
provide monitoring and control of major loads, e.g., total
electric load, HVAC systems, water heater, and pool pump
(if existent). In another embodiment, the system 1.02 pro
vides monitoring of most, if not all, devices which require
energy, e.g., electricity or gas.
0096. The system 1.02 is “always on', connecting the
nodes 1.10 to the utility control system 1.02. This allows the
system 1.02 to provide much higher levels of monitoring and
management of loads. The always on connectivity allows
the utility 1.06 to know exactly how much load is available
from each participating end use device 1.08 at a customer
site 1.04 and allows the utility 1.06 to aggregate that load up
to a circuit, Sub Station or to any other desired combined
total. The utility 1.06 may target Specific loads or geographic
areas and manage demand more closely by getting verifi
cation of control requests as curtailment commands are
initiated. The utility 1.06 can then pass detailed load cur
tailment data on to the back-office billing programs at the
utility where credits can be applied to consumer bills com
menSurate with their contributions.
0097. In another aspect of the present invention, the
system 1.02 has the ability to monitor and control remotegenerating capacity Such as photovoltaic Systems (not
shown) which may be located at a consumer site 1.04. Just
as the System can monitor and Verify load control reductions,
it is equally capable of monitoring, dispatching and verify
ing remote generation capacity.
0098. In still another aspect of the present invention, the
system 1.02 allows the utility 1.06 to respond to requests for
additional electrical Supply. For example, when the utility
1.06 requires an increase in electrical supply, the utility 1.06
will be able to review current capacity and call upon Some
or all of that capacity in an Immediate Supply Request.
Using the system 1.02, the utility 1.06 may command one or
more customer Sites 1.04 that meet the Specified criteria,
e.g., or enrolled in a specific PROGRAM, to provide their
power contribution to the System's power generation Supply.
The gateway nodes 1.10D will continuously update the
system 1.02 with current demand information in the form of
available messages. That information, along with profile
data, can be presented to a System operator to help them
locate the best Supply to call upon.
0099. In one embodiment of the present invention, the
utility interface 1.16 and the user interface 1.14 may be
provided through a web browser (see below), Such as
Internet Explorer, available from Microsoft Corp. of Red
mond, Wash.
0100. The utility interface 1.16 may display the capabil
ity to define Power Supply Programs (PSP or PROGRAMS)
in the System 1.02 and Selectively apply Substations and
circuits that will participate in the PROGRAM when acti
vated. The system 1.02 through the utility interface 1.16 may
include the following capabilities.
0101 The system 1.02 may allow an operator at the
utility 1.06 to selectively assign devices 1.08 that apply to a
specific PROGRAM. One or more substations and/or cir
cuits may be included within the PROGRAM.
0102) The system 1.02 may receive or generate an Imme
diate Supply Request (ISR) when additional electrical Sup
ply is needed. The Immediate Supply Request may include
a start time and the Supply request duration.
0103) An operator, using the utility interface 1.16, acti
vates one or more PROGRAMS in response to the ISR.
Activation of the one or more PROGRAMS may be imme
diate or Scheduled at a future time. To activate a PRO
GRAM, a PROGRAM schedule is downloaded to each of
the gateway nodes 1.10D or nodes 1.10 affected. In one
embodiment, the PROGRAM schedule may be downloaded
to the appropriate gateway nodes 1.10D or other node 1.10
in advance of the Scheduled time of operation.
0104. In another aspect of the present invention, the
System 1.02 can track, record, Store, compute, etc. which
customers actually participate in a PSP and how much
demand was reduced in the home for the PROGRAM
period.
0105 The utility interface 1.16 may also display the
current load generation available from the existing System
1.02. For example, a view of the current Power Distribution
Network for a utility company including Transmission Sub
stations (TSS), Distribution Substations (DSS), and circuits
may be provided. The View may be appropriately annotated
with identification information for each branch of the net

work (TSS, DSS and circuit). The view may display an
aggregated capacity for a branch of the network currently
available. The view may also indicate whether a PRO
GRAM is currently active on a branch of the system 1.02.
For an active power Supply program, the Scheduled comple
tion time may also be indicated.
0106 The system 1.02 may also continually aggregate
capacity and the current Status of the distribution network
and provides the updated information for display on the
utility interface 1.16.
0107. In a further aspect of the present invention, the
utility interface 1.16 may allow the operator to analyze
profiles of homes and individual load types. This data can
allow the utility 1.06 to assess which loads should be
curtailed to achieve the needed demand reduction. The
System 1.02 may calculate home load profiles based upon
information received from the load metering nodes 1.10A
and/or load control nodes 1.10C. This may include HVAC
profiling. Using this data, Site load profile data can be
aggregated for the electrical distribution network topology.
0108. The network topology load profile may be dis
played as a Snapshot to the operator. The operator may also
review load profiles available in the system 1.02 at a
Specified time of day.
0109 Configuration data is downloaded from the system
1.02 to each of the gateway nodes 1.10D. For example, this
may be done at one or more of the following: at predeter
mined times, when requested by a gateway node 1.10D,
and/or when a change, such as activation of a PROGRAM,
has occurred.
0110 For example, configuration data may include, but is
not limited to the following: communication parameters for
System components, Schedules and power Supply programs.
In one embodiment, each device 1.08 has a unique identifier,
such as a MAC address or an RF logical address. The
intended device 1.08 for a given message may be included
in the message received from the System 1.02.
0111. In one aspect of the present invention, communi
cations to and from the gateway nodes 1.10D or other nodes
1.10 are Secured. For example, the communications may be
Secured using Secure Sockets Layer (SSL).
0112 In another aspect of the present invention, if the
System 1.02 loses communications with a gateway node
1.10D for a predetermined time, the system 1.02 may
generate a Service Report.
0113. In one aspect of the present invention, a gateway
1.10D may generate a message when a controlled device
1.08 has a change of state that alters its contributable supply
by more than a predetermined range, i.e., a real-time demand
range. The System 1.02 may use these updates to keep a live
running total of available Supply for the entire electrical
distribution network and make these values available at the
utility interface 1.16. In another aspect of the present inven
tion, the System maintains a history of the consumption rates
as a function fo time to create historical usage by device type
and program to aid in planning and forecasting demand by
device type. These values are available at the utility interface
1.16. In one embodiment, the system 1.02 may ignore
supply values from a gateway node 1.10D that are older than
a predetermined period of time, Such as 30 minutes old.0114. The system may also receive messages from a
gateway node 1.10D at predetermined time intervals, Such as
15 minutes, whether a load changes or not. These messages
can include the (a) demands generated for a device 1.08 in
a PROGRAM and (b) the total demand generated for
devices 1.08 in a PROGRAM. In one embodiment these
messages may also include a gateway ID, a utility ID String,
time/date Stamp, current power draw of every controllable
device 1.08, and whole house demand.
0115 Through the user interface 1.14, the customer may
have local and remote access to a rich Set of functions and
features. Some or all of these functions and features may be
accessible through the thermostat 1.30D and/or through the
internet 1.28 (via a web browser).
0116. Using the user interface 1.14, the customer may
directly access and control in-home devices 1.08. For
example, with regard to the thermostat 1.30D, the customer
may view current temperature, View current heating or
cooling setpoint(s), override heating or cooling setpoint(s),
resume Scheduled heating or cooling setpoint(s), view heat/
cool/auto mode, change the heat/cool/auto mode.
0117. With regard to the electric meter 1.30A, the cus
tomer may view current electric meter accumulated con
Sumption (kWh), view current electric meter demand (kW),
View historical meter data.
0118 With regard to a metered controlled device 1.08C,
such as the water heater 1.30C, the customer may view
current equipment load Status (on/off data), control the State
of output relays (on/off), view and override curtailment
conditions of the device 1.08C, and/or view current demand
and consumption data of the device 1.08C.
0119). In one aspect of the present invention, the user
interface 1.14 includes a Scheduling feature. The Scheduling
feature allows the customer to customize the devices 1.08 to
operate according to personal preferences (rather than a
default configuration).
0120 In one embodiment, the following scheduling fea
tures are accessible through the user interface 1.14.
0121 With regard to the thermostat, the customer may
define up to a plurality of occupancy modes, e.g., 8, for use
in daily Schedules, define daily Schedules using an unlimited
number of day-types, assign day-types using monthly cal
endars.
0122) With regard to a controlled and metered device
1.08C, the customer may, for example, define a run-time
operation and/or a desired Start time.
0123. Using the user interface 1.14, the customer may
View or generate a variety of reports to view historical
information about their homes and the devices 1.08 within.
For example, Some of the reports which may be available
include:

0.124 Daily temperature reports displaying tempera
ture and Setpoints in, e.g., 15-minute intervals.
0.125 Monthly temperature reports displaying daily
low, high and average temperatures.
0.126 Daily electrical reports displaying electrical
consumption hourly and electrical costs in e.g.,
15-minute intervals.

0127. Monthly electrical reports displaying daily
low, high and average energy consumption.
0128 Monthly cost reports displaying daily low,
high and average energy costs.
0.129 Monthly consumption reports displaying
daily energy consumption and costs.
0.130 Yearly consumption and cost reports display
ing monthly energy consumption and cost.
0131. In another aspect of the present invention, the
customer may also view information related to Power Sup
ply Programs. For example, the customer may generate or
view a report detailing the PROGRAMS offered by the
utility 1.06. Additionally, the customer may select the PRO
GRAMS in which they choose to participate.
0.132. Using the user interface 1.14, the customer may
have access to their account and home attributes. For
example, the customer may be able to view and modify
various parameters associated with their user profile. Such
parameters may include name, address, home, work and
mobile phone numbers, primary and Secondary E-mail
addresses, password (modify only) and password reminder,
and/or budget thresholds. Furthermore, the customer may be
able to View and modify various parameters associated with
the thermostat 1.30D and HVAC system. Such parameters
may include thermostat name, heating type and Stages,
cooling type and Stages, and Safety, alarm, heat and cool
limits.
0.133 Using the user interface 1.14, the customer may
also be able to view and modify various parameters asso
ciated with any metered and controlled devices. Such param
eters may include, e.g., the device name and description.
0.134. Using the user interface 1.14, the customer may
also be able to view and modify various parameters asso
ciated with their home. Such parameters may include age
and size, construction characteristics, water heater capacity
and type(s), and energy related home accessories.
0135) When the system 1.02 activates a PROGRAM
(either automatically or via manual activation), a Supply
request is broadcast. The Supply request may include a
Curtailment ID, a Utility ID sub-string, Device Type Iden
tifiers of the devices that are to contribute, a transaction
identifier, and time elements indicating Start time and dura
tion. In one embodiment, the Supply request is Sent to all
gateway nodes 1.10D and other nodes 1.10 and may be
repeated to ensure that all of the gateways 1.10D and other
nodes 1.10 will receive the request. Each gateway 1.10D and
other nodes 1.10 receive the request and when the start time
occurs, begin a Supply Request transaction.
0.136. In one embodiment, the gateway node 1.10D takes
a whole-house meter reading (demand and consumption)
and reports back to the system 1.02 that it has received the
request and is participating. In the illustrated embodiment,
every message includes the Curtailment ID So that the
System 1.02 can collect all of the responses to the Supply
request and provide accurate analysis and billing/crediting
information for the activated PROGRAM.
0137) The gateway node 1.10D and other nodes 1.10 then
proceeds to control the specified devices 1.08 and report the
status of each device 1.08 back to the system 1.02 as they are
processed.0.138. Devices 1.08 that are currently drawing power
report the total watts contributed and then proceed to open
the relay for controlled devices 1.08B and/or controlled and
metered device 1.08C. If a controlled device 1.08B is being
used, an associated power rating may be used for the
contributed power value. A controlled device 1.08 may be
either Shut-off, i.e., power cut off, or controlled to Some
predetermined State, e.g., a heating/cooling offset may be Set
to a maximum value for a HVAC system (see below).
0.139. Devices 1.08 that are not currently drawing power
will report Zero watts contributed and leave the relay closed.
With the relay closed, once the device 1.08 starts to draw
power, the gateway node 1.10D will measure its demand and
then open the relay and then measure and report its contri
bution.
0140. In one embodiment, a device's 1.08 contribution is
equal to the power consumption rate prior to activation of
the program for the time period of the PROGRAM, i.e., the
amount of energy being Saved.
0.141. If the device 1.08 is an HVAC system, adjusting the
Setpoint may not guarantee that the System may not run at
all. If the HVAC is not running, its supply contribution
message is reported as Zero. The Setpoints are offset and the
temperature is monitored. When the temperature exceeds the
appropriate heating or cooling original setpoint (prior to the
offset change), the gateway node 1.10D may indicate what
the contribution is. This represents when the equipment
would have come on without the curtailment. By adjusting
the setpoint of the thermostat 1.30D, the actual consumption
of the HVAC system should reduce as a result of a higher
Setpoint for heating or cooling being established. The actual
usage for a particular setpoint for a Site 1.04 may, over time,
be known and/or Sampled and the offsets can then be
computed and Verified as needed to ensure that the reduc
tions that are calculated are correct. The System 1.02 can
thus measure the Shorter and leSS frequent cycling of the
HVAC system to create an overall energy Savings amount.
For example, if the unit consumes 5 kwh set at 72 and used
4.6 kwh set at 76 then the savings is 0.4 kwh per hour.
0142. At the end of the Supply Request period, the
gateway node 1.10D will re-enable the devices 1.08 and
report a completion message to the System 1.02 that includes
the whole house demand data and total consumption data.
For the thermostat or thermostat devices, a reverse ramp can
initiate to reduce the potential of creating a peak demand at
the end of a curtailment or control period. This reverse ramp
could include the restriction of Secondary compressor Stages
as well as heat Strips depending on the mode (heating or
cooling) that the thermostat is in.
0143. The system 1.02 may also send a supply request
cancel message to abort the PROGRAM. When a supply
request cancel message is received, the gateway node 1.10D
will perform as if the time has expired and performed all
necessary clean-up, wrap-up and reporting as described
above.
0144. In addition to reporting individual demand contrib
uted by each device 1.08 during the PROGRAM, the gate
way node 1.10D may also send the total demand generated
for all devices 1.08 for the PROGRAM to the system 1.02.
0145. In another aspect of the present invention, the
gateway node 1.10D may receive a utility generated Sched

uled supply request. The gateway node 1.10D may be
responsible for administering the PROGRAM within cus
tomer site 1.04. For example, the gateway node 1.10D may
accept or download scheduled PROGRAMS from the sys
tem 1.02 in advance of the scheduled operation. The gate
way node 1.10D may then monitor and control the affected
devices 1.08 to carry out the PROGRAM.
0146). During the PROGRAM, the gateway node 1.08D
may report the electrical demand generated by each device
1.08 in the PROGRAM.
0147 The gateway node 1.10D may also receive occu
pant device Schedules from the System. Device Schedules
apply to customer devices 1.08 Such as water heater, pool
pump, hot tub and Spas. The gateway node 1.10D may then
be responsible for administering the device Schedules within
the customer site. The device schedules may be received by
the gateway node 1.10D in advance of the scheduled opera
tion. Then the gateway node 1.10D may monitor and control
the affected devices 1.08 per the downloaded device sched
ules.
0.148. In another aspect of the present invention, if the
gateway node 1.10D loses communications with the System
1.02 for a predetermined time, the gateway node 1.10D can
re-enable devices 1.08 (water heater, pool pump, hot tub and
spa). Note that the gateway node may have multiple days,
e.g., three days, of Schedules available. Water heaters can
fall back to an operational mode, however, pool pump, Spas,
hot tubs and irrigation and well pumps may not. These latter
devices may have to be cycled based on Some programmed
interval like, for example, 8 hours a day. Other devices 1.08
like an irrigation pump could not simply default to “on” or
it may start and never Stop. The ability to receive and run
schedules is not limited to the gateway node 1.10D. Depend
ing on the System implementation requirements, Schedules,
cycle run times and other operational commands may be
downloaded to the control nodes 1.10 which will operate
independently their individual schedules. This capability is
designed to permit normal operation of the site 1.04 should
the gateway node 1.10D fail or communications are lost
between the gateway node 1.10D and the control node 1.10.
0149. With reference to FIG.3A, the thermostat 1.30D in
one embodiment, is a wall mounted device which has a
control panel 3.02 with a display screen 3.04 and a plurality
of input buttons 3.06. In the illustrated embodiment, the
input buttons 3.06 includes a system button 3.06A, a fan
button 3.06B, an occupancy button 3.06C, and a hold/
resume button 3.06D. The input buttons 3.06 further include
an first control button 3.06E and a second control button
30.6F.
0150. Using the input buttons, the customer can control
the HVAC system and other parts of the system 1.02 (see
below). The thermostat 1.30D is in communication with the
gateway node 1.10D (See above) and the gateway node
1.10D can query the current temperature and Setpoint values
of the thermostat 1.30D. Further, the gateway node 1.10D
can change the heating and cooling setpoint(s) and offset
values of the thermostat 1.30D (see below).
0151. In one aspect of the present invention, the thermo
stat 1.30D may inform the gateway node 1.10D when its
relay outputS or contact inputs change State, or the gateway
node 1.10D can poll for this status. When this occurs, thegateway node 1.10D can query the thermostat 1.30D and
Send the current temperature and corresponding input or
output status to the system 1.02.
0152 The thermostat 1.30D may operate in a fallback
mode upon loSS of communication with the gateway node
1.10D. When communication resumes, the gateway node
1.10D can ascertain the state of the thermostat 1.30D and
restore the desired functionality.
0153 All changes made at the thermostat 1.30D can be
communicated to the gateway node 1.10D or be received
during a poll of the thermostat 1.30D. In one embodiment,
the following functions can be accessible directly from the
thermostat 1.30D:
0154) View current temperature.
O155 View current heating or cooling setpoint.
0156 Override heating and cooling setpoints.
(O157) Resume Scheduled heating and cooling Set
points.
0158 View Heat/Cool/Auto mode.
0159) Change Heat/Cool/Auto mode.
0160 Activate/deactivate the fan.
0.161 AS discussed above, load control nodes 1.10C
provide two primary functions: 1) measure power consump
tion and instantaneous demand of an attached load and 2)
control the load. In one embodiment, the load control node
1.10C includes a means, e.g., one or more means (see below)
to allow the attached load to be connected or disconnected
from main power. Alternatively, the load control node 1.10C
may be integrated and/or coupled to a controller of the load
for control of its functions.
0162. In one embodiment, the load control node 1.10C
may disconnect the load when a Supply request command is
received from the gateway node 1.10D and reconnect the
load when a cancel Supply request command is received
from the gateway node 1.10D. The load control node 1.10C
may further provide Status information, e.g., State of load
control means, when a Status request command is received
from the gateway.
0163. In one aspect of the present invention, a load
metering node 1.10A is coupled to a site's electric meter
1.30A. The load metering node 1.10A may accumulate time
Stamped cumulative consumption (kWh) data over a prede
termined period, e.g., 15 or 20 minute time periods and be
capable of Storing up to a predetermined period of time's
Worth of data, e.g., 10 dayS.
0164. The load metering node 1.10A is in communication
with the gateway node 1.10D. The gateway 1.10D may
query current accumulated consumption (kWh) from the
meter 1.30A and/or “instantaneous” load measurement (kW)
from the meter on request. "Instantaneous' can be deter
mined by the capabilities of the meter. The gateway node
1.10D can query the 15-minute interval data. Data values
can be returned with a timestamp.
0.165 2. Nodes
0166 With specific reference to FIGS. 2A, 2B, 2C and
2D, the interaction with the devices 1.08 located at the
customer site 1.04 is the node 1.10. The nodes 1.10 permit

the System 1.02 to focus on the entire Supply chain, from
well head production and generation to the end consumption
point. The nodes 1.10 are designed to give every energy
consuming device 1.08 the ability to intercommunicate with
the entire Supply chain if necessary and utilizes Supply and
demand balancing control logic, to improve the operational
efficiency of end point devices 1.08, groups of end-point
devices and the entire Supply chain. This is accomplished by
giving each end-point knowledge about the current demand
on the entire Supply chain coupled with the ability to alter its
operation to assist in managing and balancing the overall
demand on the delivery System. This information exchange
is accomplished over an always on broadband, high-Speed,
point-to-point, point to multipoint or mesh network (see
above).
0.167 Energy consuming devices 1.08 within a customer
Site 1.04 may have varying levels of operational intelligence.
Appliances and other utility consuming devices 1.08 range
from Super energy efficient refrigeration units with embed
ded micro processor controls to dumb devices like water
heaters and pool pumps which simply operate in an on or off
State using Sensors or timers to control their operational
state. The nodes 1.10 provide an entirely new level of
intelligence to each end device 1.08 and are designed to be
modular in nature So as not to burden the end point control
with more features or functions than it needs.
0168 Nodes 1.10 may be designed to retrofit existing
devices 1.08, as well as be fully integrated into the end point
at the time of manufacture of a device 1.08.
0169. In one embodiment, there are three types of nodes
1.10: a load metering node 1.10A, a control node 1.10B, and
a load control node 1.10C, as well as the gateway node
1.10D. Each type of node 1.10 has common basic features
as well as optional Sub modules Such as Interfaces, Metering
or Control modules (see below).
0170 The nodes 1.10 are designed to increase the opera
tional efficiency of even the most intelligent end use device
1.08 by giving it knowledge of the entire “utility' supply
chain that it is connected to, making it possible for the end
use device 1.08 to perform its given function more effi
ciently and economically.
0171 As shown, each node 1.10 includes a node proces
Sor 2.02. In one embodiment, the node processor 2.02 is a
microprocessor. The node 1.10 also includes a memory
device 2.04, Such as non-volatile memory, for Storing pro
gram and other data, as needed. Each node 1.10 also
includes a two-way communications 2.06 channel for com
municating with other components in the system 1.02. The
communications channel 2.06 may be either a hardwired or
a wireleSS System. Any Suitable communications means may
be used to communicate with the intended device. For
example, the two way communications channel 2.06 may
provide a means to communicate with other nodes 1.10 or a
programming device 2.08. The programming device 2.08
may be used either at the site of manufacturing of the node
1.10 or onsite to configure and/or program the node 1.10. In
one embodiment, the programming device 2.08 is coupled to
the node 1.10 through a communications port (not shown).
The two way communications channel 2.06 may also pro
vide communication to the gateway node 1.10D and/or the
other nodes 1.10A, 1.10B, 1.10C. The nodes 1.10 may beconnected in a network by the two way communications
channel 2.06. The network may either be a wired, wireless,
or a combined network.
0172 In one aspect of the present invention, the nodes
1.10 provide the system 1.02 with the ability to monitor and
control the operation of on Site distributed generation
resources, Such as a photovoltaic System (not shown). This
permits the System 1.02 to dispatch on Site capacity when the
demand and economics are favorable or the demand exceeds
the Supply creating an energy Shortage. The System 1.02 may
do this in conjunction with any other utility resource Such as
natural gas or propane that might be used to power the a
device 1.08. This ability is further enhanced by a nodes 1.10
ability to communicate with a plurality of other similar
nodes 1.10 or any other control, monitoring, configuration or
management node attached directly or indirectly to the
system 1.02 making it possible for individual nodes 1.10 to
jointly share the energy management process among many
devices 1.08 using a unique Set of decision criteria to
maintain the operation integrity of the customer Site 1.04 or
any other Sphere of control, e.g., a plurality of nodes 1.10
acroSS multiple sites, while managing total demand, the
economics of the operation and the end use devices.
0173. In another aspect of the present invention, the
System 1.02 permits communications outside the customer
site 1.04, permitting individual nodes 1.10 or a plurality of
nodes 1.10 in aggregation to intercommunicate with other
control points which might include, but are not limited to,
utility companies, energy Suppliers, other sites or groups of
Sites, other sites or points of operation under the same
ownership, energy and utility brokers, energy and utility
Service providers, independent power and utility producers,
distribution Sub Stations, transmission Sub Stations, Gas and
Water well operator and any other point of control or
management or Service organization associated with the Site
1.04, the end point device or the “utility” delivery network
Servicing it.
0.174 As discussed above, each node 1.10 includes a two
way communications channel 2.06, which permits the node
1.10 to intercommunicate with any other point or points
within the system 1.02. This intercommunication may occur
with any other point within the system 1.02 and may be, but
is not limited to, another associated Node 1.10, a control
aggregation point or an outside point like an energy or utility
Supply point associated with the customer Site 1.03 or a
control configuration, monitoring or management point. The
system 1.02 interconnects either directly or indirectly a
plurality of nodes 1.10 and related Supply, monitoring,
configuration and management points to create a Secure
ubiquitous communications channel over which broadcast,
point to point, mesh and point to multipoint communications
can occur as well as any other communications necessary to
perform the energy management function. Because of the
plurality of communications protocols and physical media
over which data communications can occur, nodes 1.10 may
have multiple Two Way Communications Channels, permit
ting the best media and protocols to be implemented to
achieve the desired end result.
0175 With specific reference to FIG. 2B, an exemplary
load metering node 1.10A is shown. As discussed above, the
load metering node 1.10A measures the instantaneous power
being delivered to the metered device 1.08A and may also

determine the total power delivered to the metered device
1.08A over a predetermined time period, e.g., 15 or 20
minutes. The load metering node 1.10A includes a metering
module 2.10 which is coupled to the metered device 1.08A
for measuring power delivered to the metered device 1.08A.
This information is relayed through the gateway node 1.10D
over the two way communications channel 2.06 to the utility
control System 1.12. In one embodiment, the metering
module 2.10 includes a metering processor and memory for
calculating and Storing power data, Such as accumulated
power consumption.
0176). In one embodiment, the metering module 2.10
includes means, Such as one or more current transformers,
for measuring power delivered to (or from) the associated
device 1.08.
0177. With specific reference to FIG. 2C, an exemplary
control node 1.10B is shown. As discussed above, the
control node 1.10B is used to control the controlled device
1.08. In the illustrated embodiment, the control node 1.10B
is coupled to the controlled device 1.08B by a controlled
device communications channel 2.12. In one embodiment,
the control node 1.10 includes one or more relays (not
shown) for connecting and disconnecting the controlled
device 1.08B from power. In another embodiment, the
control node 1.10 is interconnected to the controlled
device's 1.08B onboard controls. In this embodiment, the
control node 1.10B directly controls the operation of the
controlled device 1.08B.
0.178 With specific reference to FIG. 2D, an exemplary
load control node 1.10C is shown. As discussed above, the
load control node 1.10C performs both the metering func
tion of the load metering node 1.10A and the control node
1.10B. Thus, the load control node 1.10C includes both the
metering module 2.10 and the controlled device communi
cations channel 2.12.
0179 AS discussed above, each node 1.10, in its simplest
form includes a processor 2.20 and a memory device 2.04
within which control logic resides and runs. This control
logic, processor 2.02 and memory 2.04 provide the node
1.10 with the necessary control intelligence to manage its
asSociated load or generation resource as a Stand-alone point
or in conjunction with a plurality of other nodes 1.10
locations as well as manage communications over the con
trolled device communications channel 2.12 (for control and
load control nodes 1.10B, 1.10C) and over the two way
communications channel 2.06.
0180. In one aspect of the present invention, the gateway
node 1.10D acts as a central control node, providing inter
communications between the other nodes 1.10 at the cus
tomer site 1.04.
0181. In another aspect of the present invention, a plu
rality of nodes 1.10, which may be located at a single
customer site 1.04 or across multiple sites 1.04, may be
grouped for a Specific purpose, e.g., control of all pool
pumps in a defined geographic region or all pool pumps in
a PROGRAM in a defined geographic region. For the
plurality of nodes 1.10, a Single node, which may be a
gateway node 1.10D, may be chosen as the central control
node.
0182. In one embodiment of the present invention, the
processor 2.02 and control logic provide the node 1.10 withthe ability to Sense what its current State of operation should
be, based on commands received from the central control
node or gateway node 1.10D, either within the customer site
1.04 or within the aggregation control Sphere of the central
control Node, and would manage the associated devices 1.08
based on this control state. Each node 1.10 may also report
back the status of the associated device 1.08, their energy
usage or other utility consumption rate (based on measure
ment from the metering module 2.10), to the assigned
central control node 1.10.
0183 Under this configuration, the nodes 1.10 may be
cascaded from the central master control point down to the
lowest level of control at an endpoint within the system 1.02
using, but not limited to, a tree and branch or Star network,
however deep the architecture dictates, to achieve the level
of control desired. Each Sub level of control would receive
control parameters or commands from its Subsequent higher
level node 1.10 and would either directly control loads
attached to it or command nodes 1.10 Subordinate to it, to
achieve the desired control or management State. Through
cascading control functions into a chain of command, higher
level nodes 1.10 can more effectively manage a plurality of
devices 1.08 without encountering Scaling limitations usu
ally associated with automation control Systems managing a
plurality of loads from a central processor. By the nature of
its design, the node 1.10 operating in a cascading control
network as described above would not be limited or fixed in
its structure and nodes 1.10 could migrate dynamically from
one "group' to another or move up or down in the cascade
Structure to permit different control spheres and algorithms.
This unique architecture permits each node 1.10 to have a
customized proceSS control program and data collection
criteria allowing its level of control and interaction with its
asSociated load or generation capacity to be designed to
meet the management control program objectives.
0184. In addition, the process is further enhanced if the
load or generation point under the control of the control or
load control node 1.10B, 1.10C has its own operational
control processor (not shown) which is interconnected with
the node 1.10B, 1.10C over the controlled device communi
cations channel 2.12 to provide operational State and control
commands, run diagnostics and tests, operational health and
performance data, and alarm conditions. Data from the
controlled or controlled and metered device 1.08B, 1.08C
being accessible to other nodes 1.10 or control or monitoring
or measurement nodes associated with the system 1.02 for
either direct use or transfer to nodes external to the network,
through whatever data transfer means are most Suitable for
the data type and priority level.
0185. With reference to FIGS. 2C and 2D, to manage the
operation of basic consumption points like pumps, motorS or
heating elements that are typically thermostatic, Valve or
relay controlled, the control node or load control node
1.10B, 1.10C may include a mains coupler 2.14 which
permits the control node 1.10B or load control node 1.10C
to attach or disconnect the load or generation capacity to the
mains or distribution network for the “utility” product used
or generated by the end device 1.08B, 1.08C.
0186. In another embodiment of the present invention,
the node control logic or program would be capable of
receiving and processing data independent of Specific con
trols from a central control point and at a minimum would

monitor and control the operation of its associated load or
generation capacity based on, but not limited to: the demand
for the utility product, cost of the utility product, congestion
levels on the delivery System and/or their associated cost, for
electricity it would at a minimum, but not be limited to,
monitoring demand, usage, sign Wave frequency, Voltage,
and for other utilities Such as, but not limited to, gas, Steam
or water, it would, but not be limited to, measuring line
preSSure, ambient temperature and any other factors and
determine the best operating mode for its associated load or
generation resource. Using parameters from a plurality of
measurement, monitoring and control points associated with
the utility delivery system, available to all nodes on the
network, the node 1.10 would manage its associated con
Sumption or generation demand and load on the "utility”
delivery System in accordance with control parameters gov
erning its operation, Supplied to it through a control point
configuration interface 2.16 and report any and all opera
tional data, Status and conditions back to one or multiple
asSociated measurement, monitoring and control points as
configured through the control point configuration interface
2.16. One example of a control point configuration interface
2.16 is an input touch screen located on a device 1.08.
0187. In both the simplest form or the enhanced imple
mentation above or any other combination of nodes 1.10 and
control points, the individual nodes 1.10 are capable of
controlling the operation of the associated load or generation
capacity to shift, reduce or cap demand on the delivery
system or in the case of generation to dispatch the available
capacity to help meet the demand and ensure the integrity
and reliability of the delivery System. Based on triggering
parameters, which include but are not limited to: the time of
day, the total demand on the delivery System, the real time
cost of the utility, the full weighted cost of delivery includ
ing congestion charges, the minimum operating character
istics of the associated load or generation Source, the total
demand for the site 1.04, the total demand for the individual
nodes 1.10 within an aggregate group, externalities like
weather factors and the historical usage and demand patterns
of the individual node 1.10 and/or its aggregate group of
nodes 1.10, individual nodes 1.10 will determine their
optimum operating characteristics and will operate their
asSociated load or generation resource to improve those
operational and performance characteristics.
0188 As discussed above in one embodiment of the
present invention, the load metering, control and load con
trol nodes 1.10A, 1.10B, 1.10C communicate with the
gateway node 1.10D through a wireleSS or radio frequency
communications link. With reference to FIG. 1D, when a
node 1.10A, 1.10B, 1.10C comes online or powers up,
including initial power up when the node 1.10A, 1.10B,
1.10C is being added to the system 1.02, an initialization
process 1.32 must be performed. In first step 1.32A, the
gateway node 1.10D emits a beaconing Signal. Generally,
the gateway node 1.10D continually emits the beaconing
signal. In a second step 1.32B, the node 1.10A, 1.10B, 1.10C
receives the beaconing Signal and responsively generates a
response Signal. In a third Step 1.32C, the node being
initialized 1.10A, 1.10B, 1.10C joins the network of nodes
1.10A, 1.10B, 1.10C through a handshaking routine between
the gateway node 1.10D and the node being initialized
1.10A, 1.10B, 1.10C.0189 In another aspect of the present invention, the
control and load control nodes 1.10B, 1.10C are connected
to the whole distribution channel up to the utility 1.06. The
control and load control nodes 1.10B, 1.10C may receive
data, control parameters, and PROGRAM schedules through
and/or from the gateway node 1.10D. Based on the received
data, control parameters and/or Schedules, the control and
load control nodes 1.10B, 1.10C may control operation of
the associated device 1.08.
0190. With reference to FIG. 2E, an example of the
System 1.02 applied to a specific customer Site, i.e., a
residence or home 2.18 will be used to illustrate several
functions of the system 1.02. In the illustrated embodiment,
the home 2.18 includes eight nodes 2.20 coupled to eight
devices 2.22.
0191) A load metering node 2.20A is coupled to a whole
house meter 2.22A. The whole house meter 2.22A could be
associated with revenue grade power (electricity), gas or
water. However for purposes of illustration, the whole house
meter 2.22A is associated with electricity delivered to the
home 2.18. The load metering node 2.20A monitors and
reports the total house consumption of electricity. The load
metering node 2.20A measures and reports total consump
tion as well as instantaneous demand and records and report
consumption in total. Furthermore, the load metering node
2.20A may store interval data in non-volatile memory (see
above) in accordance with industry standards and System
management requirements for the entire home to other
control nodes 2.20 within the home 2.18 and/or any other
node associated with its aggregation group, the delivery
Supply chain or any other node needing or authorized to
receive or access it.
0.192 In addition, the home 2.18 has first and second load
control nodes 2.20B, 2.20C associated with its heating and
air conditioning Systems one controlling the main living
space, i.e., the 1 floor HVAC system 2.22B and the other
controlling the second floor bedroom space, i.e., the 2" floor
HVAC system 2.22C.
0193 Third, fourth and fifth load control nodes 2.20D,
2.20E, 2.20F are associated with a refrigerator/freezer
2.22D, an electric water heater 2.22E, and a well pump (for
yard irrigation) 2.22F, respectively. Sixth and Seventh load
control nodes 2.20G, 2.20H are associated with a roof
mounted photovoltaic System 2.22G (comprised of a storage
battery bank and inverter capable of generating 2500 watts
of 240 V 60 hz A/C power for up to 12 hours) and a
dishwasher 2.22H.
0194 While the system 1.02 will work with any “utility”
provided product Such as, but not limited to, gas, water,
electric or Steam, for ease of illustration electricity is the
only utility product being used in this example. Each node
2.20 in this example has control parameters Stored in its
asSociated memory, which the control program for the node
2.20 uses to determine the optimum operating characteristics
for the management of its associated load or generation
capacity.
0.195. In one embodiment of the present invention, a
gateway node 2.24 may be utilized to aggregate the premise
nodes 2.20 and consolidate the communications proceSS
and/or control processes with upper level nodes 2.20 or any
other nodes directly or indirectly in the system 1.02.

0196) The nodes are connected in a network (as described
above), but may operate autonomously or require direct
commands to change their operational State. In one embodi
ment, the nodes 2.20 include basic logic so that if the node
2.20 is severed from the network either intentionally or by
accident, the node 2.20 will continue to perform their
management and monitoring functions to optimize their
attached loads performance based on the last known condi
tion of their associated utility Supply chain.
0197). In its simplest form, the home 2.18, may participate
in any number of conservation or demand limiting pro
grams, i.e., Power Saving Programs or PROGRAMS. The
following illustrated how the nodes 2.20 may support these
PROGRAMS. However, the following should not be inter
preted to limit the present invention to any such PRO
GRAM.
0198 By its nature of having a processor 2.02, memory
2.04, metering module 2.10, mains coupler 2.14, controlled
device communications channel 2.12, two way communi
cations channels 2.06, control point configuration interface
2.16 and the ability to communicate with and coordinate
operational and load management processes among a plu
rality of end points, the node 2.20 may be programmed and
configured to perform a plurality of control and interface
functions and is not limited or constrained in its ability.
0199 For example, the nodes 2.20 may be configured in
a Load Limit or Load Cap Program. The term load limit or
load cap may be interpreted in this example to mean a limit
or cap on either the KW demand or the total cost of operation
making this example either a physical energy usage or
economic control process. Because of the optional metering
capability of each node 2.20 and its ability to receive
economic data from the Supply chain Serving it, the node
2.20 is capable of making decisions based on its rate of
consumption as well as the cost it is incurring at any point
in time.
0200 Under a Load Limit or Load Cap Program, the
customer would commit to maintain their total demand for
any “utility Supplied product to a maximum demand level
under an agreement with the Supplier. Under Such a Program
the customer would be Subject to a billing rate, which
increases as the total demand for the product, increases. AS
a result, the customer that manages to maintain their demand
in a flat pattern would have a much lower overall rate per
unit of “utility” product consumed than one that had erratic
usage patterns of peaks and Valleys. The reasoning for Such
a program is that Suppliers of “utility’ products must commit
to meet all demands on their System and therefore they
reward consumers with consistent, managed consumption
patterns with lower rates, because to meet their needs they
do not have to have maintain large reserve margins. On the
opposite side of the Scale, they charge higher “demand
charges' to those who do not manage their loads. As a result,
customers can lower their costs by maintaining a consistent
and flat load profile.
0201 In our example, it will be assumed that the cus
tomer has agreed upon a maximum demand of 5,000 watts
or 5 kW with its Supplier, the utility. AS mentioned earlier,
this demand could just as easily have been a financial limit
based on the fully loaded cost of delivering the utility
product to the point of consumption and may be set by theowner, customer or any other entity associated with the Site
1.04 wishing to maintain cost control over the utility prod
uct.
0202) The gateway node 2.24 acts as the gatekeeper for
usage and monitors and reports on the consumption and
demand for energy at the whole premise level. The gateway
node 2.24 could be, but is not limited to, a Single point node
dedicated to just this site 1.04 as part of a tree and branch
control configuration or it could be a node which is part of
an aggregate group of homes in a Star network. By its nature,
the gateway node 2.24 will monitor and Store consumption
and demand information and report it to other nodes 2.20 in
the network within the home 2.18, as well as nodes outside
the home 2.18 Such as a central control node for the home
2.18 or aggregation group, energy providers, energy brokers,
energy Service providers, ISO's and other authorized agents.
As the total demand for the home 2.18 approaches the
agreed upon energy consumption limit of 5 kW, the rate of
consumption data flowing from the gateway node 2.24 over
the two way communications channels 2.06 would be
received at a minimum by either the individual nodes 2.20
within the home 2.18 or by a central aggregation node in
more elaborate implementations. Based on parameters pro
Vided to each node 2.20 through the control point configu
ration interface 2.16 or master control node parameters
provided to an aggregation control node through the control
point configuration interface 2.16 the load reduction, Shift
ing and management process would be initiated. Based on
the amount of load reduction needed, different levels of
action may be taken to reduce the total demand utilizing
priority Shedding parameters which would result in the least
important load in the group to perform a reduction function
if operating and report the results followed by the Subse
quently higher levels within the group until the total demand
for the site 1.04 was reduced to an acceptable level. The
reverse process may initiate as the total load of the site 1.04
dropped below known levels of individual load consumption
rates permitting previously shed or reduced loads to resume
normal operation without exceeding the agreed upon
demand cap. In addition, any device 2.22 which was shed
due to its low priority in the demand prioritization Scheme
could increase its priority based on its minimum operating
control parameters and cause its priority to be increase to a
point that it will force a once higher priority load to become
Subordinate to it and thus Swap its shed Status with a device
2.22 of equal or greater load value to meet its minimum
operational requirements.
0203 This simplistic example is only to illustrate how a
Simple load reduction might be accomplished using the node
2.20. In this example, the Stored energy available in the
photovoltaic System's 2.22G Storage batteries would most
likely be dispatched first to offset the use of grid provided
energy to meet the Site’s 1.04 energy needs verSuS Shedding
load if Sufficient Stored energy was available. To complete
this example, the actions performed at each of the nodes 2.20
in the home 2.18 will now be examined individually. It
should be noted that control can exist at the individual node
level as illustrated by this example or could exist at the
aggregation node level or at any high level in the overall
node cascade depending on the deployment architecture and
node processor control programming and control parameters
chosen by the implementer.

0204. The first and second load control nodes 2.20B,
2.20C for the HVAC systems 2.22B2.22C monitor and
control the operation of compressors and resistive heating
elements to maintain the indoor temperature. It also has the
ability to intercommunicate with the HVAC systems 2.22B,
2.22C directly and control the temperature Settings as well
as have direct control over multi Speed compressors and
emergency heat Strip operations using the controlled device
communications channel 2.12 if the thermostatic control
unit of the home 2.18 has a communications interface. This
communications channel 2.12 also permits it to report on the
Systems 2.22B, 2.22C operational characteristics and con
tact the customer, outside Service providers or the manufac
turer if any segment of the HVAC systems 2.22B, 2.22C
malfunction using the two way communications channels
2.06 either directly or through a cascade of nodes 2.20. The
load control nodes 2.20B, 2.20C for the HVAC systems
2.22B, 2.22C would utilize the metering modules 2.10 to
monitor and report on the systems 2.22B, 2.22C rate of
consumption of utility energy units but would not need the
mains coupler 2.14 if it was managing the Systems 2.22B,
2.22C operation through the controlled device communica
tions channel 2.12. Depending on the total demand for
energy units of the home 2.18, the node 2.20 may have the
ability to manage the temperature within the home 2.18
based on customer's Supplied parameterS Supplied through
the control point configuration interface 2.16 to cause the
HVAC systems 2.22B, 2.22C to reduce total demand and
could based on a priority Setting maintain Separate control
parameter for each HVAC system 2.22B, 2.22C depending
on the time of day and occupancy Status. To further enhance
its operation efficiency, the load control node 2.20B, 2.20C
associated with each HVAC system 2.22B, 2.22C may
SuppreSS the operation of Secondary compressor operating
Stages and restrict the use of emergency resistive heat Strips
provided that the temperature recovery within the site 1.04
was progressing at a Satisfactory rate. This capability per
mits the system 1.02 to operate at standard efficiency when
the Supply and associated cost of energy is low while greatly
improving the operational efficiency of the System 2.22B,
2.22C when the Supply and associated cost of energy is high.
Using a plurality of optional parameterS Supplied by the
customer, the energy provider and the gateway node 2.24,
the system 2.22B, 2.22C would be capable of determining
which mode of operation it should be implementing and
control the overall consumption of the HVAC system 2.22B,
2.22C to achieve the desired consumption goal. By varying
the operational parameter for the control of the System, the
load control node 2.20B, 2.20C may choose, but not be
limited to, Selecting a higher level on comfort over cost; vary
the rate of temperature change differently based on cost and
occupancy Status, totally restrict the operation of Secondary
States of compressor operation or emergency heat Strips
based on energy Supplier critical load level Signals or total
premise consumption cap level attainment; modify the tem
perature Setting or Suspend the Systems 2.22B, 2.22C opera
tion for a specified period of time under energy Supplier
critical load situations or total premise consumption cap
level attainment, alternately cycle multiple units in a Site
1.04 to avoid multiple units operating Simultaneously; per
form pre-cooling or pre-heating prior to higher pricing or
demand periods being in effect; perform Smooth and gradual
temperature change Setting in periods of moderate increased
demand or price and more radical temperature changeSetting in periods of rapid increased demand or price;
over-ride all controls and operate as normal causing other
nodes 2.20 to carry the full burden of any load reductions
necessary, cease operation until the indoor environmental
condition reaches a parameter Set maximum critical level or
any other action programmed into the node 2.20B, 2.20C.
This and other combinations of load curtailment and control
negotiated between the nodes 2.20 in the home 2.18 or
aggregation control group are monitored and reported by the
central control point or the gateway node 2.24 to alert nodes
within the home 2.18 or aggregation group of the total load
level, demand, cost of energy and delivery, congestion costs
and other related control parameter triggerS.
0205 The third load control node 2.20D for the refrig
erator/freezer 2.22D monitors consumption of the refrigera
tor/freezer 2.22D using the metering module 2.10 and also
communicates directly with the processor controls of the
refrigerator/freezer 2.22D using the controlled device com
munications channel 2.12 to determine the operational Status
of the refrigerator/freezer 2.22D and to provide over-ride
controls for normal default functions like defrost cycles
when they might be delayed to reduce overall demand. This
communications channel 2.12 also permits the third load
control node 2.20D to report on the refrigerator/freezer's
2.22D operational characteristics and contact outside Service
providers or the manufacturer if it malfunctions using the
two way communications channels.
0206. The fourth load control node 220E for the water
heater 2.22E monitors and reports on consumption and
demand for the water heater 2.22E using the metering
module 2.10 and also has the ability to directly control when
the water heater 2.22E is connected to the utility Supply
chain or not through the use of the mains coupler 2.14 which
permits the fourth load control node 2.20E to connect or
disconnect it from the utility Supply. In more elaborate
implementations the fourth load control node 220E may use
the controlled device communications channel 2.12 and the
metering module 2.10 to monitor the rate of water usage, the
input water temperature and the Stored water temperature
available within the water heater 2.22E. These advanced
features add intelligence to the process of water heating
improving the operational efficiency of the water heating
proceSS and improving the energy demand pattern for the
water heater 2.22E. If So equipped, the water heater 2.22E
may be interconnected to a heat recovery System of the
HVAC system 2.22B, 2.22C and if demand for heating water
can be accomplished through the heat recovery System
Versus energizing the heating elements within the water
heater directly, the nodes 2.20 of these devices 2.22 or a
central control node for the home 2.18 would coordinate and
execute that collaborative action thus reducing the total
demand for the home 2.18
0207. At this point it should be noted that water heaters
can be recharged in multiple ways using either waste heat
from a heat or fuel cell or other on Site generation unit. More
advanced water heating Systems in the South would benefit
from using Solar panels in conjunction with other forms of
regeneration to eliminate any load on the energy delivery
System. It is important to note that in the case of Solar panels
and propane the Supply chain is limited to the premise
geography but would be effected by the weather in the case
of Solar and by the market price for propane. In the case of
propane other factors like the quantity on hand and the lead

time to Schedule a refill by the provider balanced against the
projected quantity of propone the Site 1.04 will consume
between the current time and predicted refill schedule time
all must be factored into alternative fuel usage as part of the
Supply chain balancing logic.
0208. The fifth load control node 2.20F for the well pump
2.22F has direct control over the operation of the well pump
2.22F and operates the well pump 2.22F based on param
eterS Supplied to it through the control point configuration
interface 2.16. The parameters may include the run time
requirements and preferred times of operation, established
by the customer as well as network node updates, which
could include weather information relating to local precipi
tation. Sensor input could be present using the local com
munications channel (controlled device communications
channel 2.12), which could provide precipitation input or
ground moisture content. It is important to note at this point
that the controlled device communications channel 2.12 may
be used to not only communicate with other node processor
2.02 embedded into associated loads or generation, but also
has the ability to interface with analog to digital processors
or devices or any other form of communicating Sensor or
node to supply inputs to the node 2.20F. This channel 2.12
enhances the operational control logic for items like pumps
that have no embedded process controllers or Sensors. In a
Similar fashion however, this communications channel and
communicating Sensors can be used in conjunction with
embedded process controllers to enhance their operation and
performance to even greater levels where practical.
0209. On site generation, while not prevalent today, is
being promoted by State and Federal regulatory agencies,
utilities, DOE and others concerned with maintaining a high
level of reliability and integrity in the electric delivery
Systems. In particular, renewable generation resources are
being promoted, as they have no environmental impact and
do not consume any natural resources. Solar and wind
generation are the most common of these power generation
resources. Due to the relatively low capacity output of Solar
and wind generation Systems, to be effective in offsetting
peak demands for power, they must have an associated
Storage System into which they can Stockpile power in
relatively low input quantities and then retrieve it in bulk
when necessary. The most common form of bulk power
Storage today are wet cell, deep cycle, active glass mat, lead
acid batteries, which can be connected in parallel and Series
to create an electric Storage facility of Virtually any capacity
and Voltage. Great improvements have been made over the
years in battery and inverter/charger technology. Companies
like Hart, SignWave, Balmar and Trace are leaders in the
battery charger/inverter market. By using embedded proces
Sors, Sensors and Solid State power converters, these com
panies have Systems which can Store DC power into battery
Storage Systems at 12, 24, 36 and 48 volts and then retrieve
it on demand and convert it to 120 V or 240. AC power at
60 hz with utility quality and reliability. Companies like
Trace already manufacture and market Inverter Systems that
manage photovoltaic arrays attached to battery Storage SyS
tems that not only can be used to Supply or Supplement the
needs of a residential home, but can safely Sync and connect
to the utility grid and sell power back to the utility at levels
and for time periods Specified by the owner.
0210 While photovoltaic systems have come a long way
in the past 15 years, they are limited in their energymanagement capability and need the addition of the inven
tion to manage the Storage and conversion process from DC
to AC to make them part of a fully integrated energy
management system. The load control node 2.20G with its
ability to communicate with other nodes 2.20, Sharing load
and control data and managing demand within a Site 1.04 or
other group permits on Site generation resources like the
Trace power inverter to provide maximum benefit to the
customer, the energy industry and the environment.
0211) The seventh load control node 2.20H for the dish
washer 2.22H meters and monitors the dishwasher 2.22H
and communicate with its embedded control processor
through the controlled device communications channel how
ever in most cases would not require the mains coupler 2.14.
With the addition of the load control node 2.20H, the
dishwasher 2.22H may be capable of performing its desig
nated function at the best time and in the most efficient
manner to meet the needs of the customer while interacting
with all of the other nodes 2.20 in the home 2.18 to meet the
contractual obligations of the energy demand cap under
which it must operate. In this example, the node 2.20G may
be a retrofit device attached to the embedded controller of
the dishwasher 2.22H or may be fully integrated into the
embedded processor thus reducing the overall cost of the
combined Systems by Sharing processor and memory com
ponents.
0212. The system, as described above, is designed to
integrate all “utility consuming and generating resources
over a plurality of network media and designs to create
dynamically defined and reconfigurable groups of any size
and provide them with the ability to collaborate and inter
communicate to manage the demand on the delivery System
and Supply chain of “utility providers and their products.
0213 AS discussed more fully below, alerts or message
may be sent to the utility 1.06 and/or the customer (via email
or the customer interface 1.14) and/or the service provider
and/or a maintenance provider.
0214. In one aspect of the present invention the control
and/or load control node 1.10B, 1.10C receives information
related to a characteristic of the commodity Supplied by the
utility 1.02, i.e., electricity, and controls operation of the
controlled or controlled and metered device 1.08B, 1.08C. In
one embodiment, the characteristic is related to the avail
ability of electricity. In another embodiment, the character
istic is related to the cost or relative cost of electricity.
0215 For example, using the exemplary home 2.18 dis
cussed above, if the refrigerator 2.22D was scheduled or
otherwise needed to initiate or perform a defrost cycle, the
onboard refrigerator controls may query the associated load
control node 2.20D to determine the cost or relative cost of
electricity. The cost may be expressed as an actual value, i.e.,
dollars per unit electricity, or as an relative classification,
e.g., high or low or peak vs. non-peak time periods. Based
on the received cost or relative cost, the onboard controller
of the refrigerator 2.22D may decide to either whether to
perform the defrost cycle or to postpone the defrost cycle. In
one embodiment, this decision may be based on a simple
comparison between the actual cost and a predetermined
value which may have been input by the customer. In other
words, if the actual cost were above the predetermined
value, then the Scheduled action would be postponed.
0216) In one embodiment of the present invention, each
device 1.08 has an integrate node 1.10. By virtue of the node

1.10 being fed information directly from the supply chain,
i.e., the utility, regarding the availability and/or cost of
energy, the device 1.08 may make decisions based upon this
information. For example, functions of the device 1.08 may
be delayed and re-scheduled for another time. Or a different
more energy efficient mode may be chosen.
0217. In another aspect of the present invention, energy
consumption for a device 1.08 may be trended or otherwise
compared with predetermined threshold to detect and/or
predict a failure or need for maintenance. For example, if the
door of the refrigerator 2.22D was left open, energy con
Sumption would increase. If energy consumption was
increasing, the rate of increase could be compared with a
predetermined value and an alert or message generated if the
rate met or exceeded a predetermined value. Alternatively,
the rate of consumption could be directly compared with a
predetermined value to determine if an error or malfunction
existed. In another example, if the filter of the pool pump
1.30B becomes clogged, the pool pump 1.30B will begin to
work harder. This may also be seen through analysis of the
energy consumption of the pool pump 1.30B.
0218. In still another aspect of the present invention, a
control node 1.10B or load control node 1.10C may be
linked to one or more Sensors (not shown) which sense
parameters of the corresponding device 1.08B, 1.08C. The
sensors may currently exist or be a part of the device 1.08B,
1.08C or be added to the device 1.08B, 1.08C. For example,
the water heater 1.30C of the above example may have a
water temperature Sensor. Readings from the water tempera
ture sensor may be received by the control node 1.10B or the
load control node 1.10C and used in determined how to
control the water heater 1.30C. For example, if the water
heater's 1.30C control is instructing the water heater 1.30D
to heat the water contained therein (based, at least in part, on
the water temperature), the water heater 1.30C may first
check with the associated load control node 1.10C to deter
mine if it should proceed. The load control node 1.10C may
approve or not approve based on a number of factors,
including as indicated above, a characteristic of the elec
tricity Supply and/or cost or relative cost of electricity, as
well as the energy requirements of other devices 1.08 within
the home 2.18 (or devices 1.08 at other sites).
0219. In another aspect of the present invention, a device
1.08 may be a storage system or an inverter system. For
example, the device 1.08 could include one or more batteries
(not shown) coupled to the power transmission network by
a load control node 1.10C. When energy is relatively less
costly or more available, e.g., during non-peak hours, the
load control node 1.10C could control a mains coupler 2.14
to provide energy to the batteries. During peak periods, the
load control node 1.10C may then control the mains coupler
2.14 to reverse and direct energy from the batteries to other
devices 1.08.
0220. In another aspect of the present invention, the
system 1.02 allows the devices 1.08 working with their
asSociated nodes 1.10 to make joint decisions based upon the
information received from the Supply chain. For example, if
a curtailment PROGRAM affects a group of pool pumps
within a certain geographic region, limiting each pump's run
time to 15 minutes per every hour. Each pump and/or
corresponding load control nodes 1.10C may determine
which pumps will run during each 15 minute Segment of
each hour.0221) In still another aspect of the present invention, the
customer may set a limit for the total power demand for the
home 2.18 during any given period, e.g., 5000 Watts. The
gateway node 1.10D receives the total current demand, i.e.,
power being used, on a real-time basis. Thus, if another
device 1.08 in the home 2.18 wanted to perform a function,
the device 1.08 (through the associated node 1.10) may
query the gateway node 1.10D for permission. If the
requested function would cause total demand to exceed this
amount (or come within a predetermined threshold), the
gateway node 1.10D may not allow the device 1.08 to
perform that function.
0222. In a further aspect of the present invention, the
customer or System 1.12 may set up a desired operating
parameter for a particular device 1.08. For example, the
customer may indicate that he wants the pool pump 1.30B
to operate for a given period of time each day, e.g., eight
hours. In one embodiment, the system 1.12 will schedule the
operation of the pool pump 1.30B based on the information
received from the Supply chain, e.g., the cost or availability
of electricity.
0223) 3. Advanced Thermostatic Control Device
0224 AS discussed, in one aspect of the present invention
the thermostat 1.30D is an advanced thermostatic control
device linked to the power distribution network. The ther
mostat 1.30D is also linked to the nodes 1.10 within the
customer site 1.04 either directly or through the gateway
node 1.10D and receives information from and regarding the
power distribution network and the devices 1.08. As a result
of the availability of information from up and down the
supply chain, the thermostat 1.30D may more efficiently
manage and offer additional functionality to the user.
0225. In one aspect of the present invention, the thermo
stat device 1.30D receives information related to a charac
teristic of the energy being Supplied and displays the char
acteristic on the display 3.04. In one embodiment, the
characteristic is related to the availability of the energy. For
example, the characteristic could be either “peak' or “non
peak' hours. If the power distribution network was operat
ing during peak hours, “PEAK could be displayed on the
display 3.04. Or if the power distribution network was
operating during non-peak hours, “NON-PEAK could be
displayed on the display 3.04.
0226. In another embodiment, the present invention, the
characteristic may be related to the cost of the energy or
electrical power being Supplied. For example, the charac
teristic could be the actual cost of a specified unit of energy.
The actual cost could be displayed on the display 3.04.
Alternatively, the characteristic could be a relative cost, i.e.,
is the actual cost near or about a baseline cost, or above or
below the baseline cost.
0227. With specific reference to FIG. 3A, in the illus
trated embodiment, the cost or relative cost may be dis
played to the user graphically. In other words, the cost could
be displayed using a one or more symbols (shown as “S”).
The number of Symbols are related to the cost, i.e., the more
Symbols displayed the greater the actual or relative cost. For
example, the thermostat 1.30D may use a scale from 1 to X
Symbols. X could be any number, e.g., 4 or 10.
0228. The user, in viewing this information, could make
an informed decision on where to Set the desired temperature
(or setpoints) using the control panel 3.02.

0229. With particular reference to FIG. 3B, in another
aspect of the present invention the thermostat 1.30D forms
part of a temperature and environmental Sensing and control
system 3.08. In this aspect of the present invention, the
thermostat 1.30D is a node having a node processor 2.02,
memory 2.04 and two-way communications channel 2.06.
AS Shown, in the illustrated embodiment, the thermostat
1.30D is coupled to the nodes 1.10 at the customer site 1.04
through the gateway node 1.10D. The thermostat 1.30D is
also coupled to one more Sensors 3.10 which are adapted to
Sense one or more parameters related to indoor or Outdoor air
quality. Based on the sensed data, the thermostat 1.30D
controls other devices 1.08 to manage air quality. The
managed devices may include one or more HVAC systems,
air cleaners or electro-Static filters, fans, humidifiers, de
humidifiers, damper and fresh air input ducts, and ionization
devices or at type of device 1.08 which may affect air
quality.
0230. In one embodiment the sensors 3.10 include an
indoor air temperature Sensor 3.10A and a humidity Sensor
3.10B. In another embodiment, the thermostat 1.30D may
also include Sensors 3.10C for measuring and/or Sensing one
or more of the following: outside temperature, UV intensity,
wind direction and speed, relative humidity, wet bulb ther
mometer, dew point. In Still another embodiment, the ther
mostat 1.30D may receive external information through the
gateway node 1.10D, such as information related to the local
weather forecast.
0231. In a first embodiment of the present invention, the
temperature and environmental Sensing and control System
3.08 will manage indoor air temperature. In a second
embodiment, using the Sensor data and/or external informa
tion, the temperature and environmental Sensing and control
system 3.08 will manage the air quality and humidity in the
Site 1.04 by controlling the operation of the appropriate
heating, filtration, conditioning and cooling equipment in
conjunction with damper and fresh air input ducts, electro
Static filters and ionization devices to maximize comfort and
indoor air quality.
0232. In one aspect of the invention, the system 3.08 will
manage the available environmental conditioning devices
1.08 to maintain the optimum temperature, humidity and air
quality conditions based on user defined minimum and
maximum values for comfort indices and price of energy
indices.
0233. In another aspect of the present invention, the
System would be able to Switch between energy types, e.g.,
electric verSuS gas for environment heating and would also
have the ability to Switch Suppliers based on the asking price
of the energy Suppliers or brokerS Serving the location.
0234. In still another aspect of the present invention, the
system 3.08 would balance two primary factors. First, the
system 3.08 would maintain the environment within user
defined acceptable minimum and maximum values for one
or more air quality parameters, for example, air temperature
and/or humidity. Second, the system 3.08 also vary these
acceptable parameters based on user defined preferences
and/or price points and and/or historical data (see below) to
achieve the optimum environmental conditions.
0235) To provide feedback to the user, the system 3.08
may also record the number of energy units (energy units asused here include for examples: kilowatt hours, BTU's,
Therms, and Jules but is not so limited) used as a function
of time for each of the devices 1.08 monitored and/or
controlled by the system 3.08. Furthermore, the system 3.08
may report back detailed consumption data as a function of
time and Summarize these details to provide at a minimum,
daily averages for any user defined period, monthly totals, as
will as track the costs of each energy unit consumed per
period and provide detailed and average daily cost for any
user defined period as well as monthly totals.
0236. In one aspect of the present invention, the system
3.08 may be capable of communicating with the devices
1.08 which have associated control or load control nodes
1.10B, 1.10C, beyond its primary management function of
the environmental air management Systems permitting each
control node point within the site 1.04 or other sphere of
control up to and including the entire utility Supply chain, to
use the same economic modeling techniques and controls
that it uses to manage their primary functions.
0237) The thermostat 1.30D is the customer or user's
primary interface with the system 3.08. As discussed above,
the thermostat 1.30D will be capable of displaying to the
user the current cost of energy as well as its relative cost as
a graphical or numeric value (1-10) or (SSSSSSSSS) where
1 is low and 10 is high or S is low and SSSSSSS is high.
0238. In another aspect of the present invention, the
system 3.08 may also display on the display screen 3.04.
energy efficiency data. The energy efficiency data may used
to indicate, based on control parameters set in the System
3.08, how energy efficient the management protocol and
control parameters capabilities are. This relative efficiency
data may relate to the Site’s 1.04 performance on a Standa
lone basis or may be tied to a comparison group against
which relative efficiency can be determined or both. This
data indicating the relative and actual cost of energy and
effiency can also be communicated to other remote devices
1.08 like TV screens, or other display devices (at the site
1.04 or remote) which are capable of communicating and
displaying information. These devices 1.08 may includes but
are not limited to appliances with displayS or indicator lights
to reflect the cost of energy or any other means available at
points of consumption or Stand along means to inform the
customer of the relative and actual cost of energy and their
relative energy efficiency level. The system 3.08 may also
manage, report and track its energy unit usage and interface
with energy unit Suppliers via a communications channel. In
one embodiment, the system 3.08 controls will be located at
the site 1.04, while the processors for modeling and man
aging the Sources and types of energy units to be utilized and
committed to can be local or distributed and operate over a
communications network without regard to the actual loca
tion of or distance from the site 1.04.
0239). In one aspect of the invention, the user may set a
temperature Setpoint, i.e., a desired temperature and the
System 3.08 based on the temperature setpoint, Sensed data,
as well as the user's historical use of the system 3.08 may
determine an effective setpoint. The system 3.08 may then
control the devices 1.08 as a function of the effective
Setpoint.
0240 The temperature setpoint may have an associated
“deadband'. For example, a temperature setpoint of 72
degrees may have a deadband of +/-5 degrees. In this

example, the system 3.08 would not initiate cooling until the
actual temperature reached 77 degrees or would not initiate
heating until the actual temperature reached 67 degrees.
0241. In another aspect of the present invention, the
variable dead band of operation of the system 3.08 may be
directly tied to the cost of energy and the customer's
WillingneSS to pay. For example, a fixed Set point to a cost
of energy may be set and an optimal ramp rate based on a
time and temperature differential to achieve Savings. Alter
natively a user defined ramping rate Such as 1 degree per 30
minutes to modify the temperature set point of the site 1.04
to reduce the operation of the heating or cooling System
during periods of high energy prices may be defined.
0242. In one aspect of the invention, the system 3.08
manages comfort for the customer Site 1.04 by learning from
the user's inputs or adjustments to the system 3.08 to change
or modify indoor air temperature. This learning process
alters the operation of the system 3.08, freeing the customer
from having to make changes to manage the indoor envi
ronmental condition. To accomplish this, the system 3.08
must actively monitor and control not only the temperature
setting in the home 2.18 but may also monitor and actively
control the humidity levels.
0243 In one embodiment, the system 3.08 determines the
effective temperature to accommodate changes in the indoor
humidity Settings. For example, if the customer initially Sets
the thermostat at 72 degrees F., the system 3.08 senses the
indoor humidity level and maintains a relationship between
the temperature and humidity level Sensed. AS the humidity
level of the home 2.18 rises in Summer, the set point would
remain at 72 degree F., however, the effective setpoint that
the system 3.08 must maintain is automatically lowered to
maintain a consistent level of comfort. As a default param
eter, the system 2.18 may have to lower the effective set
point from that established by the customer by 3 degrees F.
for every 10% of relative humidity that is sensed to retain the
comfort level in the site 1.04. On the opposite side of the
control algorithm, as a default parameter, the effective Set
point would be raised by 3 degrees F. for every 10%
reduction in sensed humidity within the home 2.18 to
maintain the desired comfort level in winter. The ratio of 3
degrees F. + or - is a default Setting and would be modified
as needed based on the user's changes to the Set point at the
thermostat 1.30D. Changes to the effective set point as it
relates to the Sensed humidity therefore may be increased of
decreased from the default ratioS permitting the control
algorithm to learn the user's individual preferences and over
time, eliminate the need for the Site 1.04 occupant to make
any changes.
0244. In another aspect of the present invention, the
system 3.08 allows one or more occupancy modes to be
defined and/or modified and/or utilized by the user. The use
of different occupancy modes would assist in achieving a
reduced level of demand on the energy delivery System as
well as reduce the total cost of operation site 1.04. In one
embodiment, the occupancy modes may be defined or modi
fied through the user interface 1.14 (see below) and activated
through the thermostat 1.30D and/or the user interface 1.14.
Examples of possible occupancy modes include: home,
away, weekend, weekday, holiday. Specific modes may also
be defined for different users.
0245. The system's 3.08 performance and energy reduc
tion capabilities are further enhanced during all periods byapplying the most energy effective Set point or its related off
Set if the occupancy mode is “vacant' and applying the
comfort management off Set if the occupancy mode is
“home”. This occupancy sensitive control is further
enhanced by the addition of occupancy Sensing devices that
communicate with the system 3.08.
0246. In still another aspect of the present invention, the
system 3.08 may determine the time necessary to recover
from a one occupancy mode to another mode. In another
words, this recovery time at which a transition or recovery
process is to be initiated if the system 3.08 is set to a
“recover by time versus the default of “start recovery at”
time.
0247 The system 3.08 may be enhanced by having
access to energy pricing data. Energy price information is
used by the system 3.08 to predict the total cost of operation
at the site 1.04 for maintaining the environmental comfort.
Forward projection of pricing enables the system 3.08 to
determine the optimal humidity and temperature Settings
that can be achieved for the site 1.04 and perform humidity
level increases in the case of heating or humidity level
decreases in the case of cooling So that the effective Set point
can be either lowered in the case of heating or raised in the
case of cooling, permitting the heating or cooling System to
run leSS during periods of higher prices. This ability to
precondition the Site in anticipation of increased pricing on
average will reduce the total energy bill for the site 1.04.
0248 Energy pricing information may be entered by the
customer, be pre-established as part of an energy Supplier
program or be set to a default value designed to create a
balance of comfort and Savings.
0249. With reference to FIGS. 3C-3G, one implementa
tion of the above described system 3.08 will now be
explained. The graph of FIG. 3C, depicts how, as energy
prices rise, the ability of the system 3.08 to manage the
indoor air temperature may be managed. In the graph of
FIG. 3C, three scenarios are presented, however the present
invention is not limited in the number or type of Scenarios
that might be offered or exist with any given implementa
tion. In the illustrated embodiment, the three Scenarios are
maximum Savings, balanced Savings and comfort, and maxi
mum comfort. For each user Selected Scenario, the System
3.08 has a predetermined default offset (which defines the
deadband). Additionally, the offset may vary as a function of
a characteristic of the Supplied energy, e.g., availability
and/or price. In the illustrated embodiment, different offsets
are defined for energy Supply classifications of low, medium,
high, and critical.
0250 Because some energy Suppliers offer what is
known as time-of-day pricing in their tariffs, the illustrated
price points could be tied directly to the tariff structure for
the energy Supplier. If real time pricing is offered by the
energy Supplier Serving the Site 1.04, this same temperature
allowed variance could be utilized to generate Savings and
reduce Supply chain demand. Another load management
program offered by energy Supplier utilizes price tiers which
the utility manages dynamically to reflect the total cost of
energy delivery to its customers. These tiers provide the
customer a relative indicator of the price of energy and are
usually defined as being LOW, MEDIUM., HIGH and
CRITICAL. These 4 tiers are Superimposed in the graph of

FIG. 3C to illustrate how the tiers would be used by a
energy Supplier to Signal the customer and the System about
the relative cost of energy.
0251 This feature is applicable to the systems 3.08
described above when either a fixed Set point is used or can
further improve the ability of the system that utilizes the
programmable Set point feature to expand the operating
efficiency of the heating and/or cooling Systems while
reducing the total demand on the energy delivery System. By
combining the price data with preconditioning of the Site
temperature and humidity levels and further applying the
occupancy mode of the Site, additional Savings as described
above can be achieved. As a direct result, if deployed in
Sufficient quantities in a geographic area, price volatility in
energy prices can be reduced.
0252) In one aspect, the system 3.08 manages comfort by
balancing humidity and temperature based on its learned
preference Setting using customer inputs or using System
defaults. This ability to manage temperatures is enhanced by
including a economic management System built into the
system 3.08 which will direct the operation of the devices
1.08 System to achieve customer desired economic goals.
This example of how the System can manage costs and
comfort Should not be construed as limiting or constraining
the ability of the system 3.08 to deliver additional benefits
of comfort or cost management.
0253) To begin the process the system 3.08 tracks and
learns about the thermal gain characteristics of the home
2.18. To do this, the system 3.08 tracks the thermal gain rate
of the home 2.18 for each set point selected over time by the
customer. With reference to FIG. 3D, a thermal gain table
for two set points is illustrated. FIG.3d shows two set points
for the home 2.18 that the thermostat 1.30D has recorded.
The first set point for which data is available is 72 degrees
F. The three trends illustrated as lines 3.12A, 3.12B, and
3.12C plot the thermal rate of gain in the site 1.04 for
different outside temperatures. On the day represented by
line 3.12A the outside temperature was 99 degrees F. On the
day represented by line 3.12B, the outside temperature was
90 degrees F. On the day represented by line 3.12C, the
outside temperature was 77 degrees F. The next set point for
which data is illustrated is the set point of 76 degrees F. The
three trends shown as lines 3.14A, 3.14B, and 3.14C illus
trate the thermal rate of gain in the home 2.18 for the same
outside temperatures plotted in the 3.12A, 3.12B, 3.12C data
points. This illustration is used to show the impact the Set
point versus outside temperature differential has over the
thermal gain rate in the home 2.18. While these graphs are
drawn to illustrate the rate of thermal gain, they do not depict
the rapid initial gain when the differential is large and the
slower rate of thermal gain, which occurs as the indoor
temperature reaches the outside temperature. This rate if
thermal gain change is illustrated in FIG. 3D as plot line
3.16 which shows the thermal gain for a set point of 74
degree F. and an outside temperature of 90 degrees F.
0254 The second step is to learn the operational run
characteristics of the HVAC system as a function of the
thermal gain. Since the outside temperature varies continu
ously during a typical day, the rate of thermal gain and the
HVAC run times also vary in accordance with these changes.
FIG. 1E illustrates a typical day showing plot lines for the
thermal gain rate and the associated HVAC run time. Itshould be noted here that the set point of the system 3.08 was
Set at a fixed point for the entire day and the use of humidity
Sensing and control of humidity levels were not introduced
into the illustration So that the graphical plots depict a
normal home with a normal HVAC control thermostat. Here
again, the illustration depicts that as the outside temperature
rises and the differential between the indoor set point and the
outside temperature increase, the thermal gain causes the
HVAC system to cycle more frequently. At Some point, in
extremely hot weather or more importantly in periods of
high humidity, with the Set point at a low Setting, the thermal
gain would exceed the HVAC units’ ability to recover the
indoor air temperature to the Set point. When this occurs, the
HVAC run time plot would plateau at 100% of operation and
the indoor air temperature would rise above the Set point,
until the outside temperature dropped to a level where the
thermal gain did not exceed the HVAC units ability to
recover the indoor temperature Setting or the indoor humid
ity level dropped to the point where the occupant began to
feel cold and adjusted the Set point higher, permitting the
unit to resume a more normal cyclical pattern.
0255 The third step is for the user to pick from a plurality
of economic options offered by the system 3.08. These
options range from 100% comfort management without any
regard for cost to 100% economic management without any
regard to comfort. This choice at a high level, for example,
would be but is not limited to a selection scheme from 1 to
10 which the user would select from, where 1 is pure
comfort management and 10 is pure economic management.
While this example would in its simplest from provide a
Selection of 10 options, the underlying control options used
by the system 3.08 could be modified and expanded to
provide an infinite number of options. To illustrate how the
options in this example would drive the control logic we will
now review the control parameters effected and illustrate the
resulting controls. The primary control parameter would be
tied to the number of degrees from the set point that the
customer would make available to the system 3.08 to
achieve economic benefits. This parameter would start with
the set point established by the CUSTOMER (for this
example 72 degrees F.) and at the maximum comfort Setting
would not move off of this set point (see FIG. 3F). In the
maximum Savings Setting, the Set point offset would be 4
degrees F. which would permit the System in this example to
vary the temperature in the home form the normal Set point
of 72 F by the 4 degree offset making the acceptable
temperature range 72 F to 76 F within which the system 3.08
would manage the environment. The next parameter that
would be used to achieve economic goals would be the
ramping rate at which the system 3.08 would permit the
temperature to rise within the site 1.04 as it moved from one
Set point to a higher or lower one to achieve economic
benefit. Here again, for the maximum comfort Setting, Since
the allowable offset is Zero, the ramping rate has no effect.
In this case however, another parameter that regulates the
offset from the set point used by the system 3.08 to trigger
recovery back to the set point (the dead band of operation)
would be an alternative control parameter. In this case, if the
normal dead band was 2 degrees F., for the maximum
comfort range this might be lowered to 1 degree. In the
maximum Savings Setting where the allowable temperature
range has a 4 degree variable, the ramping rate would be
capable of being controlled through a combination of vary
ing the dead band range and the thermal gain rate in the Site

1.04. For the maximum savings setting, the dead band in this
example would be raised to 3 degrees F. and the rate of
thermal gain per hour would be set at 3 degrees F. per hour.
The results of this example are illustrated in FIG. 3F. The
examples here are only used to illustrate how the System
3.08 using the inputs from the customer would vary the
operation of individual parameters as described to either
maintain an optimum comfort or optimum Savings control
algorithm and are not meant to limit the number of control
parameters that the system 3.08 might use of the way in
which these different levels of comfort or savings are
achieved. Additional parameters and controls could also be
in more elaborate implementations of the System. The fol
lowing paragraphs disclose these additional control param
eters and control modes but should not be construed as
limiting the System's capabilities to these examples.
0256 In another aspect of the present invention, the
system 3.08 uses the learned thermal gain characteristics of
the site 1.04 along with the customer selected allowable
temperature variation range to maintain a flat level of
demand and consumption. Under this control program, the
system 3.08 uses the thermal gain rate of the home 2.18 and
its associated HVAC System run time to produce a base line
of consumption. Using this base line the system 3.08 can be
instructed to manage the demand and consumption rate at
either a flat level or at some reduced level by varying the
indoor air temperature within the allowable range. The
following illustrates how this control program works, but
should not be construed to limit the capabilities of the
System 3.08 to perform these functions using different
control logic or additional Sensing devices to improve the
process. For this example, the Set point of the thermostat is
72 degrees F. and the allowed variation selected by the
customer is 4 degrees F. making the acceptable range for
indoor temperature from 72 degrees F. to 76 degrees F. Since
the time, when the base line is Set can be triggered by a
plurality of conditions, Such as a user or program defined
time of day, percentage level of operating run time, energy
consumption rate for a give period of time or any other
measurable on Sensed event, for this example it is assumed
that the customer has set the base line trigger to be set when
the HVAC units run time reaches 33%. In the early morning
when it is cool, the system 3.08 in this example will be
operating at a cycle rate of 10%. AS the outside temperature
rises, the thermal gain on the home 2.18 is monitored along
with the HVAC cycle rate on a continuous basis. The rise in
the outside temperature causes the HVAC cycle time to
increase as illustrated in FIG. 3E. As the system 3.08
reaches the trigger level of 33% cycle run time, the base line
is established and the system 3.08 using its computed
thermal gain rate and the corresponding HVAC cycle run
time projections, computes the required effective Set point
offset needed to keep the HVAC cycle run time at the
specified trigger level of 33%. By adjusting the effective set
point upward, the system 3.08 is able to maintain the HVAC
run time at the predetermined trigger level up to the point
that the thermal gain rise rate exhausts the allowed tempera
ture variant allowed for the site 1.04. At this point, the
System will have the option, based on control parameterS Set
in the System by the customer or user or any other control
ling entity, to exceed the cycle run time trigger level or
exceed the allowed temperature depending on whether com
fort or economic requirements are the primary drivers for the
Site 1.04, the energy Supply chain or a combination of both.20

FIG. 3G illustrates this scenario, assuming that the thermal
gain of the site 1.04 does not exhaust the allowed tempera
ture variant for the site 1.04.
0257. It should be noted that the setting of this trigger
point and the control of the system 3.08 may be for this
example, or for any example, or for the entire System, under
the control of a party other than the customer and therefore
is not be limited in its Scope as a residential or commercial
control System. In a large-scale deployment, the System 3.08
can be under the control of an energy Supplier and can be
used to manage a plurality of environmental control devices
attached to the energy Supply chain. It should also be noted
that the control of the system 3.08 may be shared by a
plurality of Sources each having a defined level of authority
and control over an individual control point or group of
points as needed to manage, monitor and balance the
demand of the delivery Supply chain.
0258 As discussed above, another feature of the system
3.08 is its ability to receive the cost of energy from the
energy Supply chain. Price Signals could take the form of
tiers or actual prices. In either case, the customer would be
capable of specifying to the system 3.08 their willingness to
pay for comfort or their desire to Save by inputting into the
system 3.08 a plurality of offsets from the set point that the
system 3.08 could use to manage the environmental air
comfort range. In FIG. 3C several scenarios are illustrated.
In the first Scenario, the customer can specify using levels of
comfort or savings their willingness to provide additional
temperature variants based on the cost of energy from the
Supply chain. Three lines are depicted, one be for maximum
comfort, one for balance comfort and Savings and the third
for maximum Savings. In the maximum comfort Setting the
customer is indicating that they will not give up anything
based on the price of energy and therefore will not generate
any Savings. In the balanced comfort and Savings Setting, the
customer is willing to give up 4 degrees of comfort to
achieve Savings. In the maximum Savings Setting the cus
tomer is indicating that they will give up 8 degrees of
comfort to achieve Savings over comfort. These Setting are
Specified as being Set by the customer, however they may be
controlled by other means Such as the energy Supplier or
other outside management entities. An example of this might
be a utility or other energy Services company that offers a
customer a flat rate per month for energy but under that
agreement the customer would relinquish control of their
heating and cooling System to the provide.
0259 Under this example the entity managing the system
3.08 would provide pricing commensurate with their ability
to control the home and the premise occupant or customer
would pay less for their energy as that level of control by the
Supplier increased. In this example as in all other examples
it should be noted that these features of the system 3.08 are
not separate and can be used in a plurality of combinations
to create control Systems capable of delivering benefits to all
parties associated with the generation, delivery and con
Sumption of energy. In our example above, where the
customer wanted to achieve maximum Savings to was will
ing to give up 8 degrees of comfort to achieve that goal, if
the Site 1.04 as equipped to manage humidity levels, and the
humidity level could be managed so as to reduce it by 20%,
the actual temperature variant available to the system 3.08 to

achieve the customers goals would increase from 8 degrees
to 14 degrees giving the system 3.08 a lot of latitude to
manage within.
0260 Another feature of the system 3.08 that improves
both comfort and energy efficiency is its ability to determine
the optimal fan extended run time that can be applied to
forced air HVAC systems to gain additional cooling and
heating benefit from residual cooling and heating absorbed
into the duct System during the thermal recovery process.
Traditionally, heating and cooling Systems upon reaching the
desired Set point Shut down the heating or cooling generation
unit and enter a State of non-operation. In the case of heating,
a Sensor in the plenum unit will force the fan to continue to
operate, for Safety reasons, until the plenum temperature
drops to a Safe level. At this point the fan and System cease
to operate. When in cooling mode, the entire system 3.08,
including the fan, typically cease operation as Soon as the Set
point is achieved. In both of these cases, there is residual
thermal benefit stored in the ductwork that is lost to the site
1.04. The system 3.08, using sensors, will continue to
operate the fan to extract this residual thermal benefit from
the duct System and transfer it into the conditioned space of
the site 1.04. In the case of heating, the fan will continue to
operate until the duct temperature lowers to the point of
being equal to that of the Sensed temperature of the condi
tioned Space. In the case of cooling, the fan will continue to
operate until the duct temperature rises to the point of being
equal to or Some offset greater than that of the Sensed
temperature of the conditioned Space.
0261. In a more elaborate implementation of the system
3.08, the environmental control system would utilize addi
tional Sensors, controls and in Some cases ancillary humidity
control devices to maximize Savings for the customer and
reduce the impacts on the environment. This is accom
plished by making the system 3.08 overall more energy
efficient, thus permitting power generators to reduce the
operation of their power generation facilities, resulting in a
reduction in air pollution and the consumption of our limited
natural resources. Energy efficiency improvements through
a combination of balancing thermal gain and Sensed humid
ity can be performed in a plurality of ways. For illustration
purposes, Several will be discussed here but should not be
considered as limiting the ways that improvements in energy
consumption rates and comfort can be achieved.
0262 The two primary factors effecting comfort in con
ditioned air space are temperature and humidity. AS Stated
earlier, humidity plays a large factor in comfort and by
controlling humidity levels, temperatures can be raised and
traditional HVAC systems will run less thus Saving energy.
Traditional HVAC systems, by their design, remove humid
ity in the air as a function of moving air through a cooling
coil. This humidity remove creates a more comfortable
environment but typically, the removal of the humidity is
purely a byproduct of the cooling process and is not con
trolled. The system 3.08 may offer the ability to modify
existing HVAC systems to make them humidity control
Systems by the addition of humidity Sensing communicating
nodes. These nodes Sense humidity levels in the conditioned
space and provide the input to the system 3.08 so that it can
manage not only the temperature but the humidity levels in
the site 1.04. Sensors alone however cannot perform the
humidity control process. In addition, the system 3.08 Sup
ports a plurality of communicating control Switching, monitoring and metering Sensors to complete the process. The
following example of humidity control, that can be incor
porated into new HVAC systems or as a modification to
existing HVAC Systems, is designed to illustrate how the
System 3.08 can significantly improve on the operating
efficiency and the associated cost of operation of HVAC
units. Through improved operating efficiency the Systems
will reduce the total energy they consume, improving the
economy, reducing emissions and preserving natural energy
CSOUCCS.
0263 A traditional HVAC forced air system consists of a
heating unit, a cooling unit, a fan and air filtration System.
Air is drawn from the conditioned space through a return air
duct System and is filtered and them passes through the fan
chamber where it is then directed through a heating chamber
followed by a cooling chamber. In the case of a heat pump,
the heating and cooling are performed by the same chamber
using a common coil, and may be Supplemented by a
resistive heating Strip chamber in climates where heat pump
operation may be marginal during periods of extreme cold
weather. Air them is passed into the Supply duct System
where it is transported back to the conditioned space through
a Series of ducts and registers. In a cooling Scenario, the
heating chamber is inoperative and only the cooling proceSS
is active. AS air passes through the cooling coil, the cooling
coil reducing the ambient air temperature by absorbing heat.
At the same time, moisture in the air condenses on the
cooling coil and flows down the coil as a result of gravita
tional forces and is collected into a drip pan at the bottom of
the chamber from there the moisture is piped to a Suitable
point of disposal. By default, as mentioned earlier, this
proceSS removes humidity from the air. Another important
point is that traditional HVAC units have a multi speed fan.
This fan is designed to operate a Several Speeds depending
on its design and operates at a low Speed Setting when the
heating process is active and at a high Speed when the
cooling proceSS is active. It does this because heated air is
lighter and moves easily through the duct System requiring
less force to move Sufficient air into the conditioned Space to
recover the temperature to the designated Set point. Cooled
air because it is denser requires greater force to move it
through the duct System and therefore requires a higher fan
Speed to move an equivalent amount of air through the
system 3.08. As a result, traditional HVAC systems have
multi Speed fans built in but are Solely used to compensate
for the air density. The system 3.08 takes advantage of this
capability to utilize the lower Speed fan Settings to reduce the
humidity levels in the home. It accomplishes this task by
using a two-way communicating control node capable of
modifying the fan Speed Settings to operate it in its normal
high Setting when recovery of the ambient air temperature is
required and in the low Speed Setting to reduce the humidity
levels in the home. To dehumidify the home 2.18, the system
3.08 would operate the air conditioning compressor to cause
the cooling coil to drop in temperature and would operate the
fan at a low speed causing more humidity to be removed
from the air as it passes through the cooling coil at a slower
rate allowing more moisture to be removed. The cooled air
would follow its normal path through the Supply duct System
and would pass the dryer and colder air into the conditioned
Space. Through a learning process, the System 3.08 would be
able to determine and record in its memory, the rate of
dehumidification its associated HVAC unit is capable of
delivering. HVAC units equipped with multi Speed com

preSSors would operate more efficiently in this Scenario than
Standard Single speed compressor units. For dehumidifica
tion in a home with a multi Speed compressor, the low speed
compressor Setting would be used to reduce the amount of
energy the system 3.08 uses. To complete the dehumidifi
cation control process, one of two additional two way
communicating Sensors or a combination of both would be
needed. Because the cooling coil as it removes humidity
from the air might become over loaded with condensation
and begin to freeze up, Sensors to detect either airflow or the
presence of icing of the compressor coil would be needed.
The system 3.08 is capable of utilizing inputs from these
Sensors to either increase the fan Speed to cause the coil to
defrost or cycle the compressor while operating the fan in
either a low or high Speed to force warm air through it thus
defrosting the coil. In heating Season, as the outside tem
perature dropS. So do the humidity levels, resulting in low
relative humidity levels. Just as humidity removal in sum
mer makes the air feel colder, removal of humidity in winter
has the same effect. The major difference is that in winter,
the resulting cold feeling creates an indoor air comfort level
that is undesirable and customers raise the temperature as
the humidity levels drop to maintain a more comfortable
environment. This condition dries out wood doors and floors
as well as human Sinuses resulting in Shrinking of wood
products and bloody noses. By increasing the humidity
levels in the site 1.04, the temperature can be maintained at
a lower level while retaining the same relative level of
comfort. In addition, by increase the humidity level, wood
products will not tend to shrink as much and Sinus conditions
will not plague the customer. To accomplish humidity con
trol during the heating Season, the addition of a humidifier
in the supply air duct system 3.08, boosts the humidity levels
of the conditioned air Space allowing a lower temperature
Setting to be maintained thus reducing the amount of energy
required to maintain a Satisfactory comfort level. The System
3.08 is capable of managing the humidity levels using the
humidity-Sensing node described earlier in the cooling Sec
tion but does not require the additional freeze and defrost
Sensors. Unfortunately, traditional humidification Systems
are designed to only work when the heating process is
active. This is because they depend on the heated air exiting
the heating chamber to pass through a Series of mesh grids
or membrane that is Soaked with water. AS the heater air
passes through these grids or membranes, they pickup
moisture through the process of evaporation and transport it
through the Supply duct System into the conditioned air
space. To improve on this process, the system 3.08 incor
porates a modified duct humidification process which heats
this grid or membrane to permit unheated air passing
through it to transport moisture into the conditioned Space,
not requiring the main heating process to be active to
accomplish its task. In addition, the system 3.08 is capable
of controlling remote, distributed humidification units
throughout the site 1.04, like the units available for sale
today in a number of retail Stores, which are Specially
equipped with a two way communications node controller
integrated into them. A less elaborate adaptation of this fully
integrated solution that the system 3.08 Supports, is a wall
plug adapter with an integrated two way communicating
control node, relay contactor and optional humidity Sensor.
This unit can be used to adapt traditional humidification
units or vaporizers and make them an integral part of the
humidity control System. An additional Sensor device is used22

to measure moisture content on Surfaces, which are exposed
directly to the outside like glass windows. AS the humidity
level rises in the Site 1.04, exceSS moisture may gather on
these cold Surfaces resulting in condensation accumulation.
To manage this condition, optional communicating Sensors
to detect moisture accumulation are included with the SyS
tem 3.08.
0264. Another method of controlling humidity levels in
the Site 1.04 during the cooling Season which the System
3.08 Supports is the modification of the cooling chamber coil
to incorporate heat pipe technology to increase the units
dehumidification capabilities on average by 2 times. Com
municating Sensors as described above would still be needed
if low Speed fan operation was used, however with heat pipe
cooling coil retrofit devices, often times humidity levels can
be maintained without the need to perform additional dehu
midification. The amount of humidity reduction and the
ability of the system 3.08 to perform the process efficiently
all must be balanced to achieve Savings and comfort. Cool
ing coil heat pipe retrofit devices are available from numer
ous companies throughout the world like Heat Pipe Tech
nology Inc. of Gainesville, Fla. Companies like Heat Pipe
Technology also make Stand alone retrofit dehumidification
units that can tied directly into the existing residential HVAC
System, permitting the dehumidification process to use the
existing duct work in the home to distributed dehumidified
air without the need to operate the existing air conditioning
compressor. This process is much more energy efficient as
the compressor used in the retrofit add-on dehumidification
unit uses considerably less energy than the whole house
compressor but does require a capital investment on the
from front end which might make it leSS appealing to Some
customers. The system 3.08 also supports other forms of
dehumidification like desiccant Systems and other forms of
humidity absorption technology.
0265 Dehumidification control in more elaborate imple
mentations of the system 3.08 can be used to precondition
the site 1.04 in anticipation of events that would call for or
require demand reductions on the energy Supply chain. An
example would be a simply energy Supplier program where
time of day rates are used to encourage the reduction of
System demand during peak periods. In anticipation of Such
events, the system 3.08 is capable of preconditioning the
home to reduce the humidity levels in Summer or increase
them in winter thus permitting comfort levels to be main
tained while raising the ambient air temperature to reduce
demand and total consumption. This preconditioning pro
cess while described here and supported by the system 3.08
as a “on demand” or “on request' type of program, could be
used as the System default, resulting in a permanent reduc
tion of demand on the system 3.08 and a total reduction in
energy usage. The capital investment to manage humidity
levels in the site 1.04, represent about 20% of the annual
energy bill but can be easily recovered by managing humid
ity, which in topical climate conditions would result in an
annual energy usage decrease of up to 14%. On the reverse
Side of this Scenario, is the heating load reduction, which
would impact a number of different energy Supply chains
and natural resources. Here again, the equipment to
humidify the site 1.04 to increase humidity levels during
heating Seasons would be capable of being recovered within
18 to 24 months assuming that they were managed by the
system 3.08 to achieve lower heating set points as a function
of relative humidity levels.

0266. Additional two-way communicating sensors will
also improve the operational capabilities of the system 3.08
by providing additional input data. Occupancy Sensors as an
example would provide the system 3.08 with knowledge of
if there were people present in the site 1.04. The system 3.08
is capable of receiving authorization from any authorized
entity to perform items like ramping, Set point modifications
or dehumidification differently depending on the presence or
absence of the occupant. If unoccupied, the System 3.08 can
be directed to take more Savings related actions and defer
comfort control options. This ability increases its ability to
deliver Savings and reduce demand on the Supply chain
without affecting the occupants’ level of comfort.
0267 Additional two-way communicating sensors are
supported by the system 3.08 to support indoor air quality as
well. Examples of such sensors are CO2, NOX, Radon, Gas,
Formaldehyde and CO detectors. These sensors would Sup
ply input to the system 3.08 and if so equipped, would
trigger the operation of air exchange Systems to lower levels
of Such gases in the Site 1.04 or trigger and alarm condition.
Other communicating Sensors to detect Smoke or fire are
also supported and permit the system 3.08 to perform
emergency shut down of the air handler and other equipment
should such a condition be detected. With such safety and
security features, the system 3.08, as a direct result of its
communications capabilities, has the ability to interface with
and report alarm conditions to a plurality of end points.
Examples of Such points include but are not limited to cell
phones, pagers, monitoring centers, local and remote alarm
horns, bells and lights as well as digital display devices like
PCS, in premise kiosks, TV Screens and personal radioS
with digital display screen capabilities like XM Radio and
Sirius Radio. The system 3.08 also supports traditional air
filtration filter monitoring as well as more Sophisticated
electro static filtration systems and UVG bacteria and virus
air cleansing Systems. In all cases the System 3.08 uses its
two-way communicating Senor node technology to control
and monitor the performance of these units.
0268. In one aspect of the invention data various data
elements are stored within the system 1.02. In one embodi
ment, the data may be stored in gateway node 1.10D.
However, each node 1.10 in the system 1.02 includes a node
processor 2.02 and memory 2.04. Therefore, any node 1.10
in the System may assume the processing and/or the control
of one or more devices and/or the Storage of System data
1.02 in the event the gateway node 1.10D becomes disabled.
In one embodiment, the following data may be maintained
or stored by the system 1.02.
0269. 1. The current supplier of energy units, the current
price per energy unit including delivery.
0270 2. The current operating cost per hour based on the
rate and cost of energy units being used.
0271 3. The total energy units used and their cost for
today, this week, and this billing period and the past 14
billing periods by Supplier and energy type if multiple types
are available.
0272 4. The total energy units used by type and their
asSociated cost for the day, week and billing period for the
past 14 billing periods.
0273) 5. The balance of available credit per energy unit
Supplier and an estimate of the available hours and days ofenergy unit purchases that represents if a debit system 3.08
for prepaid energy is being used.
0274 6. A computed average cost per energy unit by
Supplier and a percentage of the total energy unit require
ment being purchased from that Supplier including delivery
COStS.
0275 7. Abreakdown of energy units consumed and their
cost and Supplier by individual appliances if multiple appli
ance control and metering is activated.
0276 8. A projected total billing period cost for each
energy type and Source.
0277 9. An aggregated total by type and Source of energy
unit.
0278 10. A history of temperature set points for the day.
0279 11. An average of temperature set points for the
week and billing period
0280 12. Historical totals of energy units usage and cost
for this month, last 14 months and year to date.
0281 13. The current temperature set point both user set
and fixed.
0282) 14. The current dead-band high and low degree
Spread both user Set and fixed.
0283) 15. The average temperature maintained for the
day, week and billing period.
0284 16. The average thermal degree gain or loss per
unit of time for the site 1.04 for a rolling 30, 60 and 90 day
period by hour of the day.
0285) 17. The average thermal recovery time per degree
when heating and cooling Systems are operational for a
rolling 30, 60, and 90 day period by hour of the day.
0286 18. The projected annual cost of operation for each
of the appliances being monitored.
0287. 19. The operational efficiency factor of each appli
ance being monitored based on historical consumption pat
terns and current operating Statistics.
0288. 20. The current and historical settings for minimum
and maximum dead-band temperature and cost Settings.
0289. 21. Warning indicators of operational irregularities
in monitored appliance consumption patterns.
0290 22. Warning indicators for low balances in debit
accounts if prepaid energy unit accounts are present.
0291 23. Average daily cost of operation of whole site
1.04 and individual appliances on a 30, 60 and 90 day rolling
average and Same period last year.
0292 24. Data, text and billing messages from energy
unit Suppliers and information Sources.
0293 25. Weather information and history data including
at a minimum outside temperature lows and highs, humidity,
chance of precipitation wind Speed and direction, Solar
exposure time and angle and UV indexes by day, by week,
by billing period.
0294 26. Total heating and cooling degree days and other
Statistical data needed to normalize consumption and usage
data.

0295 27. Computed thermal recovery time for heating
and cooling adjusted to compensate for the external tem
perature, wind Speed, direction, UV index, humidity and
cooling or heating degree day factors. This computed factor
is used to more accurately compute the recovery time for
thermal gain or loSS when combined with the average
normalized thermal gain or loss for the site 1.04. This factor
may also be computed centrally and transmitted, frequently
enough to permit adequate factoring of recovery times to
maximize efficiency and reduce operating costs. Transmit
ting centrally computer factors will eliminate the need for
external Sensors at each location thus lowering the cost of
installation and ongoing maintenance.
0296 28. A Table of available energy suppliers and user
defined preference indicators by Supplier and type of energy
units provided to be used in choosing the Supplier of choice
if price points and terms of Sale are equal during a given time
period.
0297 29. A table used to compute supplier parity when
option 28 above is not entered which contains at a minimum,
the available Suppliers, the type of energy units available and
the number and cost of energy units purchase this billing
period.
0298 30. An optional user supplied preferred energy unit
type indicator.
0299 31. User selected temperature ramping option indi
cator with default 1 degree per hour ramping and optional
user defined ramping time frames and degree Settings.
0300 32. Low and high temperature alarm settings to
protect against heating and cooling System failures. This
alarm trigger point is user defined, and if not entered,
defaults to + or -5 degrees above and below the maximum
dead-band comfort range entered by the user. This feature is
defeated if the system 3.08 is placed in the off position, but
will be overridden if the user elects to activate the tempera
ture alarm mode capability of the system 3.08.
0301 33. Alarm activation indicator which is user
Selected to permit the automatic alarming and notification of
a monitoring Service if one is available and Subscribed to by
the occupant, owner or System provider. Alarm points and
Settings are user defined or can be allowed to default to
system 3.08 defined default points based on the users,
owners or operators preference.
0302 34. Communications channel interface parameters
and data including types and routing information necessary
to perform communications activities on the attached net
work or networks available. These parameters include all
information required to perform password Verification and
encryption as needed or deemed necessary by the owner,
operator or communications System provider. These param
eters also include the necessary routing and identification
data for alarm trigger reporting points and Services used by
or Subscribed for or available to the site 1.04.
0303 35. Consumption rates and consumption signature
and weather related normalization factors for major appli
ances in the site 1.04 under the control of the system 3.08 for
which a direct form of metering consumption is not avail
able. Estimated consumption rates for major appliances in
the site 1.04 under the control of the system 3.08 for which
a direct form of metering consumption is not available.24

0304 36. Centralized load aggregation and computa
tional Service providers interface information.
0305 37. Computed normalization factor for the site 1.04
based on historical consumption and external factors.
0306 38. Energy efficiency factors derived from model
ing the site 1.04 using a model such as the DOE-2.1
modeling System for comparison of operational efficiency.
0307 39. Minimum requirements dead-band range defi
nitions to be used when the site 1.04 if vacant or unoccupied.
0308 40. Set point pattern change tracking tables to
reflect Specific day, time and day type Setting changes to be
used with “follow my lead” artificial intelligence learning
and execution routines.
0309 41. Set point pattern change tracking tables to
reflect Specific outside weather conditions in relationship to
Set point changes initiated by the occupant for use with the
“follow my lead' artificial intelligence learning and execu
tion routines.
0310. 4. Customer Control Node Management System
and Methods
0311. With references to FIGS. 4A through 4R, the user
interface 1.14 may be implemented as a web page or
graphical user interface (“GUI”) 4.02. The GUI 4.02 may be
accessible from remote locations, as discussed above. In one
embodiment, the customer may access the GUI 4.02 through
a web browser or other display device like a television. In
another embodiment, the customer may access the GUI 4.02
through a remote device, Such as a mobile phone and/or
personal digital assistant. By entering a user I.D. and pass
word, the customer may access his or her account.
0312. With reference to FIG. 4A, after the customer logs
on to the system 3.08, a system home page 4.04 may be
displayed. The System home page 4.04, includes an infor
mation section 4.05, a plurality of navigation buttons 4.06,
a navigation menu 4.08, and a control panel 4.10.
0313. In the illustrated embodiment, the information sec
tion 4.05 for an exemplary customer, Earl Minem is shown.
The information section 4.05 includes a greeting, the time
and date, as well as Several linkS. Actuation of the linkS may,
for example, redirect the customer to the home page, the
help Screen, an e-mail contact Section, frequently asked
questions, or may log the customer off of the web site.
0314. The plurality of navigation buttons 4.06 includes a
device management button 4.06A, a configure alerts button
4.06B, a systems data button 4.06C, a cancel curtailment
button 4.06D and a device status button 4.06E. The navi
gation menu 4.08 includes links to several areas of the GUI
4.02 as described below.
0315. When initialized, the GUI 4.02 displays a home
owner control center 4.12 in the control panel. In the
illustrated embodiment, the homeowner control center 4.12
includes a plurality of hyperlinked icons 4.14. In the illus
trated embodiment, the hyperlinked icons 4.14 include a
direct access icon 4.14A, a Scheduling icon 4.14B, a my
reports icon 4.14C, an alerts icon 4.14D, a configuration data
icon 4.14E and a user help icon 4.14F. Selection of a home
link within the information section 4.05 will return the GUI
4.02 to the homeowner control center 4.12.

0316. With reference to FIG. 4B, when the customer
Selects the direct access icon 4.14Aa, a plurality of direct
access icons 4.16 will be displayed in the control panel 4.10.
In the illustrated embodiment, the customer has direct access
of the HVAC system and the whole house meter. Corre
spondingly, a heating/AC icon 4.16a and a whole house
meter 4.16B are displayed within the control panel 4.10. In
another embodiment, all devices 1.08 to which the customer
may have acceSS are accessible here, e.g., a Second thermo
stator the water heater. With reference to FIG. 4C, selection
of the heating/AC icon 4.16A, displays a virtual thermostat
4.18 within the control panel 4.10. The virtual thermostat
4.18 contains an information section or display 4.20 and a
plurality of thermostat buttons 4.22. The display section 4.20
includes information related to the actual or real time
conditions at the site 1.04. In the illustrated embodiment as
shown, the current temperature within the customer site 1.04
is 67 Fahrenheit. The heating and cooling Set points are set
to 58° and 85, respectively. The system 3.08 is in an
automatic mode and the heating and cooling Systems are in
an off condition. Furthermore, as indicated, the occupancy
mode is set to “Away”. As discussed below, the system 3.08
allows the customer to program the HVAC systems use the
Virtual thermostat 4.18 and according to occupancy modes
using heating and cooling Set points. By using the thermostat
buttons 4.22, the customer can change the current operating
parameters of the thermoStat. For example, Selection of a
change System mode thermostat button 4.22A allows the
customer to Select between automatic and a manual modes.
Selection of a change fan mode button 4.22B allows the
customer to change the fan mode from “on” to “automatic'.
Furthermore, Selection of an override temperature button
4.22C or an override occupancy button 4.22D allow the
customer to override the current temperature and occupancy
Schedules as defined below. Selection of a cancel override
button 4.22E allows the customer to cancel a temperature or
occupancy change which was input using the override
temperature button 4.22C or the override occupancy button
4.22D. A cancel curtailment button 4.22F allows a customer
to cancel any curtailment program (where permissible).
0317 Returning to FIG. 4B, selection of the whole house
meter icon 4.16B displays information within the control
panel 4.10 related to the current power being delivered or
utilized by the customer site 1.04. Additionally, information
related to the accumulated power draw over a predetermined
period of time may also be displayed. This information may
be displayed graphically and/or numerically.
0318 Returning to FIG. 4A, selection of some of the
menu items within the navigation menu 4.08 are redundant
with the icons 4.14 in the homeowner control center 4.12.
For example, selection of a direct access button 4.08A
displays the direct access icons 4.16 within the control panel
4.10.
0319 Selection of the scheduling icon 4.14B or a sched
uling menu item 4.08B, displays icons for each thermostat
within the customer Site 1.04 or an occupancy mode icon
(not shown). With reference to FIGS. 4D, 4E, and 4F,
Selection of the thermost at Scheduling icon or the thermostat
menu item underneath the scheduling menu item 4.08B,
displays an occupancy mode Screen 4.24 within the control
panel 4.10. In one embodiment, the system 3.08 allows the
customer to define one or more occupancy modes (see
above). Within each occupancy mode, the customer may setone or more parameters which control one or more devices
1.08, such as the HVAC system(s) while the occupancy
mode is active.
0320 For example, in one embodiment, the customer
may set a cooling Set point, a heating Set point, and may also
Set an economy profile.
0321) In the illustrated embodiment, the customer has
eight occupancy modes. For example, the System 3.08 may
include a home occupancy mode, an away occupancy mode,
a sleep occupancy mode, and a vacant occupancy mode, as
well as four user-defined occupancy modes. Each of these
modes is indicated with a respective tab 2.26 along the top
of the occupancy mode screen 4.24. As shown in FIG. 4D,
Selection of a tab 2.26 allows the customer to set the
parameters for each mode.
0322 For example, in the illustrated embodiment under
the home occupancy mode, the cooling Set point is set to 80
Fahrenheit, the heating set point is set to 68 Fahrenheit, and
the economy profile is set to economical comfort. The
economy profile may be used to control the HVAC system
and/or other devices 1.08 based on characteristics of the
Supply chain, e.g., cost or availability of power. In one
embodiment, each profile has an associated Setpoint offset,
e.g., +/-5 degrees. The parameters for each mode may be Set
to a Set of default parameters by Selection of a default button.
Any changes made within the occupancy mode Screen may
be applied to the respective mode through Selection of an
apply button 4.30. In a further example, with reference to
FIG. 4E in the away mode, the cooling set point is set to 85,
and the heating set point is set to 58 Fahrenheit.
0323 In the illustrated embodiment, the economy profile
is set through an economy profile drop down list 4.32. With
reference to FIG. 4F, in the illustrated embodiment, the
economy profile may be set to one of three profiles: maxi
mum comfort, balance comfort, and economical comfort.
0324 With reference to FIG. 4G, selection of the ther
mostat Scheduling icon or the thermostat menu item under
the scheduling menu 4.08B, displays a thermostat schedul
ing calendar 4.34 within the control panel 4.10. In the
illustrated embodiment, the thermostat Scheduling calendar
4.34 displays the month corresponding to the current date.
However, the thermostat scheduling calendar 4.34 may be
navigated using a navigation bar 4.36. Each day on the
calendar 4.34 may be defined as a type of day, for example,
any day may be defined as a weekday, a weekend, or a
holiday. In the illustrated embodiment, all Saturdays and
Sundays have been defined as weekends, and all MondayS,
Tuesdays, Wednesdays, Thursdays and Fridays have been
defined as weekdays. However, it should be noted that any
day may be defined as any type of day. Each day within the
calendar 4.34 is a hyperlink. Selection of the hyperlink for
any particular day on the calendar 4.34 displays a thermostat
scheduling panel 4.36 as shown in FIG. 4H. The thermostat
Scheduling panel 4.36 includes a thermostat dropdown list
4.38 and a select date drop down list 4.40. The thermostat
drop down list 4.38 allows the customer to select between
one or more thermostats which may be present within the
customer site 1.04. The select day type drop down list 4.40
allows the customer to Select between various pre-defined
day types as well as to define a new day type.
0325 The thermostat scheduling panel 4.36 permits the
customer to Select the occupancy mode which will be used
for various time periods during the day.

0326 For example, in the illustrated embodiment, at
midnight of the selected day, the thermostat will be in the
Sleep occupancy mode. Beginning at 4:30 a.m., the thermo
Stat will be in the user 1 occupancy mode and So forth as
shown. The thermostat scheduling panel 4.36 also includes
an apply button 4.42, an apply to current day button 4.42, an
apply to all button 4.44, and a back to calendar button 4.46.
Selection of the apply to current day button 4.42 will apply
the Start times and defined occupancy modes in the thermo
Stat Scheduling panel 4.36 to the Selected day in the ther
mostat Scheduling calendar 4.34. Selection of the apply to all
button 4.44 will apply the scheduled start times and occu
pancy modes defined in the thermostat Scheduling panel
4.36 to all of the day types which are selected in the select
day type drop down list 4.40. As shown in FIG. 4I, the select
day type drop down list 4.40 may include a number of
pre-defined day types Such as weekday, weekend, or holiday
as well as the number of user-defined day types.
0327. With reference to FIGS. 4A and 4J, selection of
the alerts menu item 4.08D displays a configure alert Screen
4.48 within the control panel 4.10. The system 3.08 includes
a number of pre-defined alerts, for example, thermostat
temperature out of range control, gateway node not respond
ing, budget limit alarm, device malfunctioning, communi
cation failure, ramping recovery failure, or duplicate IP
address. For each alert, the customer may Select or designate
the destination, i.e., who gets notified for each alert, and how
they are notified. In the illustrated embodiment, the config
ure alert Screen 4.48 includes a destination drop down list
4.50 for each alert. The destination drop down list 4.50
allows the customer to Select who gets notified when the
alert occurs. For example, in the illustrated embodiment, the
drop down list may include the home occupant, the Service
provider or the energy provider. The configure alert Screen
4.48 also includes one or more checkboxes 4.52 to indicate
how the communication of the alert is to occur, for example,
whether or not it is to occur by e-mail or through the
customer or utility interfaces 1.14, 1.16. The configure alert
screen 4.48 may also include a check box 4.54 for each alert
to indicate whether or not the alert is configurable. The
configure alert Screen 4.48 may also include an entry box
4.56 for each alert which allows the customer to indicate
what priority the alert should have. However in the another
embodiment, the priority may be used to, e.g., provide a
different delivery system based on the priority. In the illus
trated embodiment, this is primarily for information pur
poses. Furthermore, the configure alert Screen 4.48 may also
include an alert type drop down list 4.58 which allows the
customer to indicate whether or not a Single alert Should be
Sent or whether an alert should be sent each time an alert
condition occurs. For example, if over a pre-determined
amount of time, for example an hour, a thermostat tempera
ture is out of range, the system 3.08 may be set to deliver a
Single alert or to Send an alert each time the temperature is
out of bounds.
0328. The configure alert Screen 4.48 also includes a
submit button 4.60 and a reset button 4.62 for updating the
System 3.08 with any input changes or resetting the alerts to
default values.
0329. The configure alert screen 4.48 may also include a
personal data update link 4.64. Activation of the personal
data update link 4.64 will display a personal data Screen (not
shown) within the control panel 4.10 which allows the26

customer to update its personal information Such as address,
telephone and e-mail information as well as user name and
passwords. The personal data Screen may also allow the
customer to enter or update a budget threshold, e.g., a
monthly budget threshold. AS discussed above, the System
3.08 may be set to send an alert when the monthly budget
threshold has been reached and/or is likely to be reached
based on current usage.
0330. With reference to FIGS. 4A and 4K through 4M,
Selection of the my reports icon 4.14C or the reports menu
item 4.08C, will display a report screen 4.66 in the control
panel 4.10. The report screen 4.66 includes a plurality of
reports icons 4.68. Selection of a reports icon 4.68 will
display a pop-up Screen within the control panel 4.10. For
example, Selection of a daily temperature icon 4.68A will
display a daily temperature report pop-up Screen 4.70 as
shown in FIG. 4L. Likewise, selection of a monthly tem
perature icon 4.68B will display a monthly temperature
report pop-up Screen (not shown). The daily temperature
report pop-up Screen 4.70 may allow the customer to Select
between multiple thermostats using a thermostat drop down
list 4.72. The daily temperature report pop-up screen 4.70
may also include a plurality of drop down lists and/or
buttons 4.74 which allow the customer to change the date or
dates of the information being displayed in the report Screen
4.70. For example, the customer may designate a specific
date or navigate through the calendar by days or months.
0331. The report screen 4.66 may also include a daily
electrical usage icon 4.68C. With refence to FIG. 4M,
selection of the daily electrical usage icon 4.68C will display
a daily electrical report pop up Screen 4.72. AS with the
temperature report pop up Screen 4.70, the daily electrical
report pop up Screen 4.76 includes a Service device drop
down list 4.78, which allows the customer to select the
device 1.08 for which data is being displayed. The daily
electrical report pop up Screen 4.76 also includes a plurality
of navigation buttons 4.80 which allow the customer to
navigate through the calendar as well as to display electrical
usage information on a monthly or a yearly basis. A refresh
button 4.82 updates the electrical report pop up screen 4.76
based on any changes made within the Service device drop
down list 4.78 or the navigation buttons 4.80. Selection of a
close button 4.84 closes the daily electrical report pop up
report 4.76.
0332 With reference to FIG. 4N, selection of a config
data menu item 4.08E displays a configuration data Screen
4.86 within the control panel 4.10. The configuration data
Screen 4.86 includes a number of configuration data icons
4.88. Selection of a personal data icon 4.88A displays a
personal data Screen described above. Selection of a ther
mostat data icon 4.88C displays a list of the thermostats
within the customer site 1.04. Each thermostat may be
selected and a thermostat data screen 4.90 will be displayed
within the control panel 4.10, as shown in FIG. 4O. The
thermostat data Screen includes a first Section for defining
the heating Section of the corresponding HVAC system and
a cooling Section for defining the corresponding cooling
section of the HVAC system. The heating section includes a
heating drop down list 4.92 which allows the customer to
Select the type of heating which corresponds to the current
thermostat as shown in FIG. 4P. A cooling drop down list
4.94 allows the customer to set the type of cooling corre
sponding to the current thermostat as shown in FIG. 4Q. As

shown in FIG. 4P, the thermostat data screen 4.90 allows the
customer to Set a plurality of high and low limits. For
example, in the illustrated embodiment, the customer may
Set Safety, alert, heat, and cool high and low limits. These
limits may be used in controlling the corresponding HVAC
System, as well as Setting or delivering alert messages.
0333 Selection of a home data icon 4.88C on the con
figuration data Screen 4.86 displays a home data Screen (not
shown) within the control panel 4.10. The home data screen
allows the customer to define various parameters regarding
their home or the customer site 1.04 including details about
the construction as well as defining water heaters and other
devices which may be found at the customer Site Such as
Swimming pools, whirlpool baths, hot tubs, heated ponds,
Saunas, fountains, decorative lighting Systems, auxiliary heat
Systems, and/or irrigation Systems.
0334 Selection of an energy switch icon 4.88D on the
configuration data Screen 4.86 displays information and
allows the customer to modify parameters related to any
energy management Switches at the customer Site 1.04.
0335). With reference to FIGS. 4N and 4R, selection of
the program icon 4.88E on the configuration data Screen
4.86 displays a program participation screen 4.96 in the
control panel 4.10. The program participation screen 4.96
provides a list 4.98 of all available power supply programs
(“PSP”) or PROGRAMS. The program participation screen
4.96 also includes a plurality of corresponding check boxes
4.100 which allow the customer to designate which PRO
GRAMS the customer desires to participate. The program
participation Screen 4.96 may also include other information
regarding the listed PROGRAMS, including supply type,
effective dates, and effective times. Each PROGRAM listed
on the program participation Screen 4.96 may be a hyperlink
which, when Selected, displayS additional information
related to the Selected PROGRAM.
0336 AS discussed above, the customer GUI 4.02 allows
the customer to view, configure and/or modify various
parameters of the system 3.08. Generally, the type and
nature of parameters which may be viewed or modified will
be defined by the utility 1.06. As shown above, some of these
parameters may be configured and/or modified using various
drop down boxes, checkboxes and/or entry boxes. However,
it should be noted that some of these entry boxes, drop down
lists and/or check boxes may be used to display certain
parameters; however the utility may designate that the
customer cannot modify these parameters.
0337) 5. Utility Control Node Management System and
Method
0338. With reference to FIGS. 5A through 5, as dis
cussed above, the utility interface 1.16 may be accessible
through a web browser. With specific reference to FIG. 5A,
after an authorized user at the utility 1.06 logs onto the
system 1.02, a utility graphic user interface 5.02 is dis
played. The utility GUI 5.02 includes a plurality of naviga
tion links 5.04 on a utility display panel 5.06.
0339. In the illustrated embodiment, the navigation links
5.04 include an immediate Supply link, a Scheduled Supply
link, a program definitions link, an active Supply link, a
Supply history link, and a reports link. The navigation links
also include a link to the utility GUI 5.02 home page and a27

link to log off the system. The utility display panel 5.08
includes a plurality of utility icons 5.08.
0340. In the illustrated embodiment, the utility icons
include an immediate Supply icon 5.08A, a Scheduled Supply
icon 5.08B, a program definitions icon 5.08C, and active
supply icon 5.08D, a Supply history icon 5.08E and a reports
icon 5.08F. As discussed above, the utility interface 1.16
may be used to define or modify PROGRAMS, to display
information regarding the current active Supply of electricity
over an electrical distribution network, provide information
relating to the capacity of electricity available through
implementation of one or more of the PROGRAMS, to
Supply historical data related to the distribution of electricity
and to generate one or more reports.
0341) With reference to FIG. 5B, when the immediate
Supply icon 5.08A is Selected, an immediate Supply Screen
5.10 is displayed within the utility display panel 5.06. The
immediate supply screen 5.10 includes a power distribution
network section 5.12 and an information section 5.14. In the
illustrated embodiment, the power distribution network sec
tion 5.12 includes a meter 5.16 which provides an indication
of the immediate capacity in watts (in real time) for the
power distribution network.
0342. In the illustrated embodiment, the power distribu
tion network includes a Single transmission Substation, des
ignated tSS1, and a Single distribution Substation, designated
diss1. Under the distribution substation, the following nodes
are available: Phoenix, Richmond, Philadelphia and Philly
non-curtailed, as shown. Within the system 1.02, one or
more PROGRAMS may be defined which when activated
may curtail one or more devices 1.08 acroSS one or more
customer sites 1.04 (see above). The meter 5.16 gives a
graphical indication of the immediate power Supply which is
available from the PROGRAMS defined in the power dis
tribution network.
0343 Underneath the meter 5.16, a collapsible/expand
able tree 5.18 is displayed. Each of the levels in the tree 5.18
are selectable. When a particular level within the tree 5.18
is Selected, information regarding that level and the power
distribution network above it are displayed within the infor
mation section 5.14. For example, as shown in FIG. 5B,
when the distribution Substation dss1 is selected, informa
tion regarding the Station tSS1 and the distribution Substation
dSS1 are displayed.
0344) In the information section 5.14 for each level of the
distribution network, the immediate capacity and the total
capacity are displayed. Immediate capacity is the real time
instantaneous capacity available for the given level based on
the defined PROGRAMS and the current status of all
devices within those PROGRAMS. For example, for Sub
station dss1 for all devices currently in a defined PRO
GRAM, those devices are drawing 1,040 watts. If the
defined PROGRAMS were implemented, those devices
would make available or supply 1,040 watts. The total
capacity is the average for the current hour over a prede
termined period, for example, the last Seven weeks.
0345 The information section 5.14 also includes a
refresh button 5.20 which, when activated, refreshes or
updates the information within the information section 5.14.
Information related to each node, i.e., Phoenix, Richmond,
Philadelphia or Philly non-curtail, may also be displayed in

the information Section by Selection of the corresponding
level within the power distribution network section 5.12.
The information section 5.14 may also include a review/
request Supply link 5.22 for each component listed in the
information section 5.14.
0346) With reference to FIG. 5C, selection of the review
request link 5.22 for a given node or Station displays an
available program capacity pop-up 5.24. The available pro
gram capacity pop-up 5.24 lists all defined PROGRAMS
that are available for the given node at the current time. Each
PROGRAM includes a corresponding checkbox 5.26 which
enables the utility to activate a given PROGRAM. For each
PROGRAM listed, the instantaneous, real time available
power is listed in a box 5.28 for each PROGRAM. The total
capacity 5.30 is also listed for each PROGRAM, i.e., if all
defined devices 1.08 within a given PROGRAM were cur
rently drawing power. The available power refers to the
instantaneous power which would be available if the respec
tive or corresponding PROGRAM were activated. The
available program capacity pop-up 5.24 also includes a
duration drop-down list 5.32. The available program capac
ity pop-up 5.24 may be utilized to immediately activate one
or more PROGRAMS to free up capacity for selected
duration. For example, in the illustrated embodiment if the
emergency HVAC curtailment program and the emergency
shut-off program were activated, the instantaneous available
power would be 1200 watts. The available program capacity
pop-up 5.24 also includes a submit button 5.34, a closed
button 5.36 and a refresh button 5.38. If one or more of the
checkboxes 5.26 were activated, and the Submit button 5.34
were selected, the utility control system 1.12 would broad
cast a curtailment signal to the gateway nodes 1.10D to shut
down the affected devices 1.08 or otherwise curtail those
devices 1.08. Activation of the closed button 5.36 closes the
available program capacity pop-up 5.24. Activation of the
refresh button 5.38 updates the available power available for
each PROGRAM.
0347 With reference to FIG. 5D, selection of the sched
uled supply button 5.08B displays a scheduled supply screen
5.40 in the utility display panel 5.06. The scheduled supply
screen 5.40 includes a power distribution network tree 5.42
and an information Section 5.44. AS in the immediate Supply
screen 5.10, the tree 5.42 displays the stations, Substations
and nodes within the power distribution network. Each of
the Stations, Substations and/or nodes may be Selectable
within the tree 5.42. Information related to the capacity
available at the selected level within the tree 5.42 is dis
played within the information section 5.44. In the illustrated
embodiment, the power available at the given level during
predetermined time periods of the current day are shown.
This information is reflective of the capacity or power
available from the scheduled PROGRAMS. For example,
based on the activated programs, between military time
0000 and 0600, the scheduled programs in Philadelphia have
a capacity of 832 watts. For each Station, Substation or node
within the network, the utility 1.06 may review scheduled
programs or create a new Schedule for programs. The
scheduled supply screen 5.40 also includes a refresh button
5.46 which when actuated updates the information in the
information section 5.44.
0348 Within the create schedules section of the GUI
5.02, a find eligible programs pop-up dialog 5.48 as shown
in FIG.5E is available. This dialog 5.48 allows the user at28

the utility to enter Some or all information regarding a
desired program or criteria for a program and Search for any
available program that fits the input criteria.
0349 With reference to FIG. 5F, activation of the pro
gram definition button 5.08C displays a program summary
table 5.50 in the utility display panel 5.10. The program
summary table 5.50 lists and describes all available PRO
GRAMS. In the illustrated embodiment, each listed program
may include a link 5.52 which leads to additional specific
PROGRAM details. The program summary table 5.50 may
also include a new button 5.54.
0350. With reference to FIG. 5G, selection of the new
button 5.54 displays a program definition screen 5.56 in the
utility control panel 5.10. The program definition screen
5.56 creates a new PROGRAM (see below). In one embodi
ment, the new PROGRAM may be broadcast to the gateway
node 1.10D at each customer site 1.04. The customer may
view the new PROGRAM along with the other available
PROGRAM and subscribe to the new PROGRAM or any
other available PROGRAM (see above).
0351. In the illustrated embodiment, the program defini
tion screen 5.56 includes a program name entry box 5.58 and
a description entry box 5.60, both of which allow the user to
enter appropriate text information.
0352. The program definition screen 5.56 further includes
a set of mutually exclusive supply type buttons 5.62 which
allow the user to define a type associated with the PRO
GRAM. In the illustrated embodiment, the type may be one
of “on demand’ or “Scheduled. An on demand PROGRAM
can be implemented at any time, as needed, by the utility.
However, an on demand PROGRAM may be limited to
specific time periods. A scheduled PROGRAM is generally
Scheduled for Specific days during Specific time periods.
0353. The program definition screen 5.56 also includes a
set of drop down lists 5.64 which may be used to set
PROGRAM available dates and times.
0354) The PROGRAM may also be identified as
“optional” or “overrideable” using one or more checkboxes
5.66. An optional PROGRAM may be opted into or Sub
scribed to by the user. An overrideable PROGRAM means
that once subscribed, the user may override the PROGRAM
while it is running.
0355 The program definition screen 5.56 may also
include a plurality of checkboxes to 5.68 which is used to
identify the types of devices 1.08 which may be included in
the PROGRAM. In the illustrated embodiment, the system
3.08 includes HVAC systems, water heaters, pool pump and
hot tubs/spas. A PROGRAM may be defined to include all
devices 1.08 or one or more types of devices 1.08. The
program definition screen 5.56 includes back button 5.70, a
save button 5.72, and a reset button 5.74. Activation of the
backbutton 5.70 returns the GUI 5.02 to the previous screen
without saving the PROGRAM. Activation of the save
button 5.72 save the current PROGRAM and returns the
GUI 5.02 to the previous screen. Activation of the reset
button 5.74 sets the values in the program definition screen
5.56 to default values.
0356) Selection of the active supply button 5.08D dis
plays a screen within the utility display panel 5.06 which
provides detail regarding any active PROGRAMS. This

Screen may include a tree similar to the trees described
above which details the power distribution network. The
screen will also provide information related to all of the
active PROGRAMS for any selected station, substation or
node within the power distribution network. For example,
for a given active PROGRAM, the following information
may be provided: based on real time data received from the
nodes 1.10, how many customers have signed up for the
given program, how many customers are actively contrib
uting to the given PROGRAM, and how many customers
have opted out of the program. Furthermore, each device
which may be affected by the program may be viewed.
0357 Selection of the supply history button 5.08E dis
plays a screen within the utility display panel 5.06 which
provides historical data regarding any active program. The
same type of information available for the active PRO
GRAMS (see above) may be available for any past time or
time period.
0358. With reference to FIGS. 5H and 51, selection of
the report button 5.08F displays a reports screen 5.76 within
the utility display panel 5.06 which provides a graph of
energy consumption for a given period of time for a given
device or Set of devices. In the illustrated reports Screen
5.76, the total hourly energy consumption for Mar. 18, 2003
(as measured by the electric meters) is shown. The reports
screen 5.76 includes an input section 5.78 which allows the
user to Select the device, e.g., electric meter, thermostat,
water heater, pool pump or hut tub/spa, or the time period,
e.g., daily, hourly, or monthly. The input section 5.78 also
allows the user to change the time and/or date for which data
is shown. The reports screen 5.76 also includes a refresh
chart button 5.80 which may be used to update the graph to
show updated real-time data and/or to reflect any changes
made in the input section 5.78.
0359 Obviously, many modifications and variations of
the present invention are possible in light of the above
teachings. The invention may be practiced otherwise than as
Specifically described within the Scope of the appended
claims.
1. A method for providing at least one program to a
customer of a utility of a commodity, the program aimed at
managing demand for the commodity, the utility delivering
the commodity to at least one customer Site, the customer
Site having a plurality of devices which use the commodity,
including the Steps of:
defining a program having a Subset of the plurality of
devices for which usage of the commodity may be
managed by activating the program;
allowing the customer to Subscribe to the program;
delivering the commodity to the Subset of devices,
measuring the instantaneous rate at which the commodity
is being delivered to the subset of the devices;
Sending the instantaneous rate for each device within the
Subset to the utility.
2. A method, as Set forth in claim 1, including the Steps of:
activating the program; and,
Subsequently measuring at least one of a rate and a change
in a rate at which the commodity is being delivered to
the Subset of the devices.29

3. A method, as Set forth in claim 2, including the Step of
determining an actual change in a rate of consumption of the
commodity and recording the rate of change in a memory.
4. A method, as Set forth in claim 3, including the Step of
providing at least one of an alternative rate and a billing
adjustment to the customer as a function of the actual
capacity Saved at the related customer Site by the program.
5. A method, as set forth in claim 4, wherein the at least
one of an alternative rate and a billing adjustment is also a
function of historical usage information.
6. A method, as Set forth in claim 4, wherein the at least
one of an alternative rate and a billing adjustment is a
function of an actual cost related to the commodity while the
program is activated.
7. A method, as Set forth in claim 2, including the Step of
Verifying management of the devices within the Subset of the
devices.
8. A method, as Set forth in claim 1, including the Step of
providing a user interface for interaction with the customer.
9. A method, as set forth in claim 8, wherein the user
interface is accessible through a web browser.
10. A method, as set forth in claim 1, wherein each device
has an associated node, and the method includes the Step of
allowing the customer to control one or more of the devices
through the associated node.
11. A method, as set forth in claim 1, wherein the utility
delivers the commodity to a plurality of customer Sites, each
customer Site having a plurality of devices and the Step of
defining the program includes the Step of including within
the program all devices of a similar type at each customer
Site.
12. A method, as set forth in claim 1, wherein the utility
delivers the commodity to a plurality of customer Sites, each
customer Site having a plurality of devices and the Step of
defining at least one program includes the Step of defining a
plurality of programs, each program having a respective
Subset of the devices.
13. A method, as Set forth in claim 1, including the Steps
activating the program; and,
allowing the customer to cancel the program when acti
Vated.
14. A method, as Set forth in claim 1, including the Steps
Setting a budget goal; and,
monitoring an aspect of usage of the commodity related to
the budget goal.
15. A method, as set forth in claim 14, wherein the budget
goal is defined in terms of usage of the commodity.
16. A method, as set forth in claim 14, wherein the budget
goal is defined in terms of cost of actual amount of the
commodity used.
17. A method, as set forth in claim 14, wherein the budget
goal is defined relative to a predetermined time period and
the method includes the Step of generating an alert if actual
usage will exceed the budget goal in the predetermined time
period.
18. A method, as set forth in claim 17, wherein the alert
is Sent to the customer.
19. A method, as set forth in claim 17, wherein the alert
is Sent to the utility.

of:

of:

20. A method, as set forth in claim 1, wherein the
commodity is electrical power.
21. A method, as set forth in claim 1, wherein the
commodity is water.
22. A method, as Set forth in claim 1, wherein the
commodity is gas.
23. A method, as Set forth in claim 1, including the Step
of automatically activating the program under a predeter
mined set of conditions.
24. A method, as set forth in claim 23, wherein the
predetermined set of conditions includes at least one of a
time of day and a day.
25. A method, as Set forth in claim 1, including the Step
of manually activating the program as a function of an actual
demand of the commodity.
26. A method, as Set forth in claim 1, wherein the program
at least one of shifts demand away from a first time period
and eliminates demand for the first period.
27. A method, as Set forth in claim 1, including the Step
of controlling the Subset of devices in response to activation
of the program.
28. A method, as set forth in claim 27, wherein the step of
controlling the Subset of devices includes the Step of at least
one of preventing and limiting usage of the commodity
during a predetermined period of time.
29. A method, as set forth in claim 27, wherein at least one
of the devices has an operating Setpoint, and wherein the
Step of controlling the Subset of devices includes the Step of
modifying the Setpoint.
30. A method, as Set forth in claim 1, wherein each device
has an associated node, and the method includes the Step of
downloading to each node, a program Schedule containing
Scheduling information for the program.
31. A method for providing at least one program to a
customer of a utility of a commodity, the program aimed at
managing demand for the commodity, the utility delivering
the commodity to at least one customer Site, the customer
Site having a plurality of devices which use the commodity,
including the Steps of:
defining a program having a Subset of the plurality of
devices for which usage of the commodity may be
managed by activating the program;
allowing the customer to Subscribe to the program;
delivering the commodity to the Subset of devices,
measuring the instantaneous rate at which the commodity
is being delivered to the subset of the devices;
Sending the instantaneous rate for each device within the
Subset to the utility;
activating the program;
determining an actual rate of change in consumption of
the commodity induced by activating of the program;
and,
providing a at least one of an alternative rate and billing
adjustment to at least one customer as a function of the
actual capacity Saved at the related customer Site by the
program.
32. A method for providing at least one program to a
customer of a utility of a commodity, the program aimed at
managing demand for the commodity, the utility delivering30

the commodity to at least one customer Site, the customer
Site having a plurality of devices which use the commodity,
including the Steps of:
defining a program having a Subset of the plurality of
devices for which usage of the commodity may be
managed by activating the program;
allowing the customer to Subscribe to the program;
delivering the commodity to the Subset of devices,
measuring the instantaneous rate at which the commodity
is being delivered to the subset of the devices;
Sending the instantaneous rate for each device within the
Subset to the utility;
activating the program; and,
Verifying management of the devices within the Subset of
the devices.
33. A System for providing a program to a customer of a
utility of a commodity, the utility delivering the commodity
to at least one customer Site, the customer Site having a
plurality of devices which use the commodity, the program
aimed at managing demand for the commodity and having
a subset of the plurality of devices for which usage of the
commodity may be managed by activating the program,
comprising:
a user interface for allowing the customer to Subscribe to
the program;
a distribution network coupled to the Subset of devices for
delivering the commodity to the Subset of devices, and,
at least one node coupled to the Subset of devices for
measuring the instantaneous rate at which the commod
ity is being delivered to the Subset of the devices and
for Sending the instantaneous rate for each device
within the subset to the utility.
34. A System, as Set forth in claim 33, further comprising
a control System coupled to the distribution network for
controlling delivery of the commodity and activating the
program, the at least one node adapted to Subsequently
measure the rate at which the commodity is being delivered
to the Subset of the devices.
35. A system, as set forth in claim 34, wherein the control
System determines an actual rate of change in the rate of
consumption induced by activating the program.
36. A system, as set forth in claim 35, wherein the control
System determines at least one of an alternative rate and
billing adjustment to the customer as a function of the actual
capacity Saved at the related customer Site by the program.
37. A system, as set forth in claim 36, wherein the at least
one of an alternative rate and billing adjustment is also a
function of historical usage information.
38. A system, as set forth in claim 36, wherein the at least
one of an alternative rate and billing adjustment is a function
of an actual cost related to the commodity while the program
is activated.
39. A system, as set forth in claim 34, wherein the control
System including verifies curtailment of the devices within
the Subset of the devices.
40. A system, as set forth in claim 33, wherein the user
interface is accessible through a web browser.

41. A system, as set forth in claim 33, wherein each device
has an associated node for allowing the customer to control
one or more of the devices through the associated node.
42. A system, as set forth in claim 33, wherein the utility
delivers the commodity to a plurality of customer Sites, each
customer Site having a plurality of devices and the program
includes all devices of a similar type at each customer Site.
43. A system, as set forth in claim 33, wherein the utility
delivers the commodity to a plurality of customer Sites, each
customer Site having a plurality of devices, wherein a
plurality of programs are defined, each program having a
respective Subset of the devices.
44. A system, as set forth in claim 33, wherein the user
interface allows the customer to cancel the program after it
has been activated.
45. A system, as set forth in claim 33, wherein the user
interface allows the customer to Set a budget goal and the at
least one node monitors an aspect of usage of the commodity
related to the budget goal.
46. A system, as set forth in claim 45, wherein the budget
goal is defined in terms of usage of the commodity.
47. A system, as set forth in claim 45, wherein the budget
goal is defined in terms of cost of actual amount of the
commodity used.
48. A system, as set forth in claim 45, wherein the budget
goal is defined relative to a predetermined time period and
the at least one node generates an alert if actual usage will
exceed the budget goal in the predetermined time period.
49. A system, as set forth in claim 48, wherein the alert is
Sent to the customer.
50. A system, as set forth in claim 48, wherein the alert is
sent to the utility.
51. A system, as set forth in claim 33, wherein the
commodity is electrical power.
52. A system, as set forth in claim 33, wherein the
commodity is water.
53. A system, as set forth in claim 33, wherein the
commodity is gas.
54. A system, as set forth in claim 34, wherein the control
System automatically activates the program under a prede
termined set of conditions.
55. A system, as set forth in claim 54, wherein the
predetermined set of conditions includes at least one of a
time of day and a day.
56. A system, as set forth in claim 34, wherein the control
System allows the program to be manually activated as a
function of an actual demand of the commodity.
57. A system, as set forth in claim 33, wherein the
program at least one of shifts demand away from a first time
period and eliminates demand from the first time period
58. A system, as set forth in claim 34, wherein the control
System controls the Subset of devices in response to activa
tion of the program.
59. A system, as set forth in claim 58, wherein the control
System at least one of prevents and limits usage of the
commodity during a predetermined period of time.
60. A system, as set forth in claim 34, wherein at least one
of the devices has an operating Setpoint, and wherein control
System the Subset of devices by modifying the Setpoint.
61. A system, as set forth in claim 34, wherein the control
System downloads a program Schedule containing Schedul
ing information for the program to the at least one node.
62. A System for providing at least one program to a
customer of a utility of a commodity, the utility deliveringthe commodity to at least one customer Site, the customer
Site having a plurality of devices which use the commodity,
the program aimed at managing reducing demand for the
commodity and having a Subset of the plurality of devices
for which usage of the commodity may be managed by
activating the program, comprising:
a user interface for allowing the customer to Subscribe to
the program;
a distribution network coupled to the Subset of devices for
delivering the commodity to the Subset of devices,
at least one node coupled to the Subset of the devices for
measuring the instantaneous rate at which the commod
ity is being delivered to the Subset of the devices and
for Sending the instantaneous rate for each device
within the subset to the utility;
a control System coupled to the user interface, the distri
bution network and the at least one node for controlling
delivery of the commodity, for activating the program,
for determining at least one of an actual rate of con
Sumption of the commodity and a change in the rate of
consumption by activating of the program, and for
providing at least one of an alternative rate and a billing
adjustment to at least one customer as a function of the
actual rate of consumption Saved at the related cus
tomer Site by the program.

63. A System for providing at least one program to a
customer of a utility of a commodity, the utility delivering
the commodity to at least one customer Site, the customer
Site having a plurality of devices which use the commodity,
the program aimed at managing demand for the commodity
and having a subset of the plurality of devices for which
usage of the commodity may be managed by activating the
program, comprising:
a user interface for allowing the customer to Subscribe to
the program;
a distribution network coupled to the Subset of devices for
delivering the commodity to the Subset of devices,
at least one node coupled to the Subset of devices for
measuring the instantaneous rate at which the commod
ity is being delivered to the subset of the devices and
for Sending the instantaneous rate for each device
within the subset to the utility; and,
a control System for activating the program and Verifying
management of the devices within the Subset of the
devices.Pages APPX10181-APPX10272
Removed Due to Confidential MaterialPages APPX10279-APPX10281;
APPX10291-APPX10295
Removed Due to Confidential MaterialPages APPX10350-APPX10363
Removed Due to Confidential MaterialPages APPX10364;
APPX10367
Removed Due to Confidential MaterialPages APPX10389-APPX10399
Removed Due to Confidential MaterialPages APPX10400-APPX10410
Removed Due to Confidential MaterialPages APPX10411-APPX10419
Removed Due to Confidential Material( )

Google is committed to advancing racial equity for Black communities. See how.
(https://google.com/racialequity)

Thermostat
The Thermostat E with Heat Link for the EU (https://nest.com/uk/thermostats/nest-thermostat-e/overview/) i
upported in the Nest API, and will not appear in the JSON returned from the API. All other Thermostat models
rted.

The Nest Learning Thermostat™ (https://nest.com/thermostat/life-with-nest-thermostat) is an
Internet-connected device that is intuitive and easy to use, continuously learning about usage
patterns in the home to optimize comfort and save energy. Users can control their heating and
cooling anywhere they have access to an Internet connection.
Supporting these features requires a sophisticated control system that goes above and beyond
simple setpoint-based programs. Nest provides a wide range of algorithms (like Early On
(http://support.nest.com/article/What-is-Early-On), True Radiant
(http://support.nest.com/article/What-is-True-Radiant), Airwave™
(http://support.nest.com/article/What-is-Airwave)) that require a signi cant amount ofcomputational power compared to most thermostats. The Nest Thermostat has the power
needed to provide these advanced features.
The Nest API (/reference/api-thermostat) is designed to allow products to control the HVAC
system without disrupting Nest algorithms or surprising the user with unexpected behaviors.
They provide access to the following data for the Nest Thermostat:
Structure name and device "where name" (location in the home)
Custom thermostat label
Online status and last connection information
Current and target temperatures
Temperature mode
Eco Temperatures
(https://nest.com/support/article/Learn-how-Eco-Temperatures-work-on-the-Nest-Thermostat)
Time-to-Temperature (https://nest.com/support/article/What-is-Time-to-Temperature)
Temperature scale (set F/C)
Temperature Lock
(https://nest.com/support/article/How-can-I-lock-Nest-so-that-it-can-only-be-adjusted-within-a
certain-temperature-range)
status, and if locked, the min/max locked temperature values
Fan timer duration and HVAC mode
Humidity
Sunblock (https://nest.com/support/article/What-is-Sunblock)

Thermostat permissions
For read access to all Thermostat API data values, select the Thermostat read
(/reference/permissions#thermostat_read) permission for your client.
For read access to all Thermostat API data values and additional write access to select values,
select the Thermostat read/write (/reference/permissions#thermostat_readwrite) permission for
your client. This permission level allows you to update the following:Target temperature
HVAC mode
Fan timers
Starting with Thermostat read/write v5, you can also update the following:
Temperature scale
Thermostat label

Thermostat identi ers
Device
Nest devices are listed by type as an array of IDs, which can be used to uniquely identify a
device via the device path. So a thermostat ID of "peyiJNo..." means that you can load the
thermostat device model at devices/thermostats/peyiJNo... via the API.
When a device is connected to multiple products, each developer will see a different ID for that
device. For a device that has installed multiple products from the same developer, the
developer will see the same ID.
Name
Two name attributes are provided. The shorter name attribute is displayed in user interface
labels, while name_long is used in long form text.
name
In these examples, name is "Hallway" or "Hallway (West)".Hallway (West)
PELY:

name_long
In this example, name_long is "O ce (Upstairs)".
Remove thermostat

Remove

Label4:16 PM

Peer

< Hallway (Upstairs)

Where
Away options
Nest Sense

Hallway (Upstairs) >
>

>

NE

<
Where
Label

Hallway >
(Upstairs) >

Beginning with permissions version v5 (/reference/permissions#permissions_version), you can add
a custom thermostat label through the API. In the Nest app, label appears in parentheses, after
the where name.
Beginning with permissions version v6 (/reference/permissions#permissions_version), you can also
read the Thermostat label.
Where
where_id
A unique, Nest-generated identi er that represents name
where_id is read-only, and is created automatically in the call to create a custom where
name
Learn more about where names for Nest Thermostats
(https://nest.com/support/article/How-do-I-change-the-name-of-my-Nest-Learning-Thermostat), Nest
Protects (https://nest.com/support/article/Learn-more-about-Nest-Protect-locations-names-and-labels)
and Nest Cams (https://nest.com/support/article/How-do-I-change-the-name-of-my-Nest-Cam).where_name
When you choose any of the Thermostat permissions (/reference/permissions#thermostat_read),
you can access the device where_name from the device object (devices/thermostats).
Other metadata
All data values are read only, unless otherwise speci ed.
Data Value Description
locale The language and country code assigned to this device
software_ A string that represents the rmware currently installed on the device
version
structure_ A string that uniquely represents this structure; this is the structure that the device is paired

with
The timestamp of the last successful connection to the Nest service

id
last_
connection
is_online Online status. This is determined by Nest using the last_connection time and an
expected reconnection window that is device-speci c.

Thermostat features
Thermostat modes
HVAC systems have four "on" states (heat, cool, heat-cool, eco) and one "off" state (off). We
use these states to manage comfort and energy savings through hvac_mode and temperature
data values.
When Heat or Cool mode (heat, cool) is selected, the Thermostat adjusts the home to
the target temperature.
When Heat • Cool mode (heat-cool) is selected, the Thermostat will keep the home
comfortable, within a preferred temperature range.When Eco Temperatures
(https://nest.com/support/article/Learn-how-Eco-Temperatures-work-on-the-Nest-Thermostat) (eco)
is selected, the Thermostat will apply energy-saving algorithms to keep the house
comfortable and reduce energy usage. Thermostats in this mode display ECO.
Structures have two states related to presence: Home or Away. When no motion is sensed in
the house, the structure will change from Home to Away, and the Thermostats in the home will
enable Eco Temperatures automatically.
How hvac_mode and temperature values work together
Depending on the value of hvac_mode, only certain temperature data values can be accessed in
the API:
HVAC mode Temperature data values you can access
heat or cool target_temperature_f or target_temperature_c
heat-cool target_temperature_low_f and target_temperature_high_f
or
target_temperature_low_c and target_temperature_high_c
eco_temperature_low_f and eco_temperature_high_f
or
eco_temperature_low_c and eco_temperature_high_c
none

eco

off

In some scenarios, there are special rules around changing hvac_mode:
Scenario
Temperature Lock (#temperature_lock) is enabled
Emergency Shutoff
(https://nest.com/support/article/How-the-Nest-Thermostat-and-Nest-Protect-work
together-in-a-carbon-monoxide-emergency)
is active

Can hvac_mode
be changed?
Yes
NoScenario
Emergency Heat
(https://nest.com/support/article/What-s-Emergency-Heat-and-does-Nest-support-it) is
enabled
can_cool or can_heat value is false

Can hvac_mode
be changed?
No

No

Eco Temperatures
Eco Temperatures allow the user to save energy, whether they are home or not. Consider
switching the hvac_mode to eco when implementing energy-saving behaviors in your product.
on: Eco Temperatures should not be coupled with occupancy.
Eco Temperature endpoints (/reference/api-thermostat#eco_temperature_high_f) are available in the
Nest API beginning with Thermostat read and read/write v6 permissions.
Switching between eco and non-eco modes
Your product should not need to manage target temperatures directly in Eco mode. When the
home is set to away, the target temp is not displayed, but is internally set, based on user
selection. When the thermostat is set to OFF, then no target temperatures are observed.
If you absolutely must change target temperatures directly, be sure to make the change in two
separate calls:
1. Change hvac_mode to any other value except eco
2. Modify the appropriate target_temperature data values
Beginning with Thermostat read and read/write v6 permissions, you can access
previous_hvac_mode through the API to assist with HVAC mode transitions.
previous_hvac_mode is used to store the hvac_mode of the device before it transitioned to
"eco".
Use previous_hvac_mode to transition from hvac_mode = "eco" back to the previous HVAC mode. Be sure t
m the hvac_mode change, prior to modifying the target temperature.For example, if the Nest Thermostat is using Eco Temperatures (hvac_mode = "eco"),
previous_hvac_mode is available, and you want your product to set target_temperature,
then you must rst:
1. get previous_hvac_mode
2. set hvac_mode to the previous_hvac_mode value
3. con rm hvac_mode is no longer set to "eco"
After these steps, set the target temperatures as appropriate.
Depending on the hvac_mode value, this is how previous_hvac_mode changes:

When hvac_mode state is...
eco
heat, cool, heat-cool or off

Then, previous_hvac_mode can be...
heat, cool, heat-cool or off
blank/empty

Target temperature
Target temperature is the most important value for the HVAC system - it's the desired
temperature, typically set by the user. Most actions and decisions are based on it. From the
API, Works with Nest products can write the target temperature as part of a larger process.
There is always a target temperature set when the system is on.
When Heat or Cool mode (heat, cool) is selected, a single target_temperature is set
When Heat • Cool mode (heat-cool) is selected, two target_temperature values are
set, denoting a target range, a higher one for cooling and a lower one for heating
When Eco mode (eco) is selected, the target temperature range is internally set
There are also safety temperatures that are a backstop to prevent freezing pipes or excessively
high temperatures in the home.
When the Thermostat is OFF, no target temperatures are set.If the structure is in the middle of an energy rush hour
://nest.com/support/article/What-happens-during-a-Summer-or-Winter-Rush-Hour) event and the user has no
out, the target temperatures cannot be modi ed by products.

Time-to-Temperature
Time-to-Temperature (https://nest.com/support/article/What-is-Time-to-Temperature) gives you
access to these data values for the HVAC system:
time_to_target (/reference/api-thermostat#time_to_target) - The time, in minutes, that it will
take for the structure to reach the target temperature
time_to_target_training (/reference/api-thermostat#time_to_target_training)
Training status
As the Thermostat learns how the HVAC system responds, it adjusts the estimate
for reaching the target temperature
When the Thermostat is reasonably sure of the time estimate to reach the target
temperature, status will change from training to ready
Ambient temperature
The temperature measured near the thermostat. Display the value that corresponds with the
user's preferred temperature scale.
Temperature scale
The ambient and target temperature variables are organized by Celsius or Fahrenheit scale.
The temperature_scale attribute will be either "F" or "C", depending on user preference. This
property is set by each thermostat, so it is possible that in a single structure a user might have
two thermostats, one in each temperature scale. Keep user preferences
(https://nest.com/support/article/About-SETTINGS) in mind when displaying temperature values.
Beginning with permissions version v5 (/reference/permissions#permissions_version), you can
change the temperature scale through the API.Target and Ambient Temperature elds have _f and _c variants to accommodate consistent
rounding when displaying temperatures.
Temperature display

70

HEAT * COOL

68-75

Hallway
When you display target temperature information, consider these three dependent values:
temperature_scale, hvac_mode, and the structure's away state.
Many data values work together to determine what's shown on the Nest Thermostat display,
and how it behaves.
When hvac_mode is set to heat-cool, the Nest Thermostat displays the low and high
setpoints separated by a bullet character (•), otherwise the Nest Thermostat displays just
the target temperature
When hvac_mode is set to off, the word "OFF" is displayed on the Nest Thermostat, in the
user's preferred language
When hvac_mode is set to eco, the word "ECO" is displayed on the Nest Thermostat, in the
user's preferred language
The display temperature format also depends on the selected temperature scale (F/C).
Fahrenheit temperatures are displayed as whole numbers:
Target temperature: 55°FAmbient temperature: 62°F
Celsius temperatures are displayed as a whole number or a decimal value, with the last digit
set to ".5":
Target temperature: 12°C
Ambient temperature: 16.5°C

Leaf
When the leaf icon is showing on the front of the thermostat, the thermostat is set to an
energy-saving temperature, and has_leaf = true.

Temperature Lock
Users can lock a Nest Thermostat so that it can only be adjusted within a limited temperature
range. Beginning with permissions version v5 (/reference/permissions#permissions_version), you
can see if Temperature Lock
(https://nest.com/support/article/How-can-I-lock-Nest-so-that-it-can-only-be-adjusted-within-a-certain
temperature-range)
is enabled by checking is_locked (/reference/api-thermostat#is_locked), and if it is, read
Temperature Lock min/max values through the API:
locked_temp_min_f (/reference/api-thermostat#locked_temp_min_f)
locked_temp_max_f (/reference/api-thermostat#locked_temp_max_f)
locked_temp_min_c (/reference/api-thermostat#locked_temp_min_c)
locked_temp_max_c (/reference/api-thermostat#locked_temp_max_c)
Lock temperatures must be speci ed in pairs, as maximum and minimum values, and can only
be written if is_locked = true.
Humidity
Humidity, in percent (%) format, measured at the device, rounded to the nearest 5%.Sunblock
Sunblock (https://nest.com/support/article/What-is-Sunblock) technology automatically adjusts the
temperature on the Nest Thermostat to compensate for heat spikes that occur from direct
sunlight on the unit.
These data values will tell you if Sunblock is enabled and/or actively correcting the
temperature.
sunlight_correction_enabled (/reference/api-thermostat#sunlight_correction_enabled)
boolean, returns true if Sunblock is enabled
sunlight_correction_active (/reference/api-thermostat#sunlight_correction_active) -
boolean, returns true if Sunblock is active, indicating that the Thermostat is located in
direct sunlight

Fan
Many HVAC systems have integrated fans, which means that the fan cannot be controlled
independently
(http://support.nest.com/article/How-do-I-use-Nest-to-turn-on-my-fan-without-heating-or-cooling). There is
no off mode for integrated fans, because the fan needs to run when the heating or cooling is
on.
However, if the HVAC system is compatible, the fan can be explicitly turned on via the API, in
order to make occupants more comfortable, without engaging the full HVAC system.
If the fan can be controlled independently, has_fan will be set to true, and the following data
values can be set with Thermostat read/write permissions:
fan_timer_active (/reference/api-thermostat#fan_timer_active) - boolean, returns true if fan
timer is engaged for a pre-programmed duration
fan_timer_duration (/reference/api-thermostat#fan_timer_duration) - int, the length of time
(in minutes) that the fan is set to run
Use these values together to initiate the fan timer (turn the fan on) for a speci c period of time.
You can also use the fan_timer_timeout (/reference/api-thermostat#fan_timer_timeout) value to
determine the timestamp of when the fan is set to stop running.Note that you can always change fan_timer_duration - it is independent of hvac_mode or
structure occupancy state (away).
You can expect these responses on success or fail:
200 OK
400 Bad Request
If the command to turn the fan on doesn't produce the expected result, it may be because the
fan is already engaged (either manually by the user, or on a schedule, or because of an HVAC
heat/cool cycle).
We'll do our best to honor each call to turn the fan on or off, but some fan behaviors cannot be overridden via

Rate limiting
We apply rate limiting to protect against excessive calls to devices, which may affect system or
battery performance. Under normal conditions, Nest devices charge the battery from the low
voltage wires on the heating and cooling system. But if excessive calls are made in a short
period of time and the battery level gets low, the Nest Thermostat will turn off Wi-Fi to
conserve power.
In practice, this means that we limit the number of calls that can be made to a device within a
de ned time period. If you exceed this limit, you'll receive an error response and a message
indicating you've exceeded your limit.
For more information, see Data Rate Limits (/guides/api/data-rate-limits).

Power constraints
In some cases the Thermostat may not have enough battery power to service a modi cation
request. In this case you will receive an error response and a message indicating the device
can't service the request at this time. If this happens, give the battery some time to recharge
before trying again.Learn more about low battery conditions in the Nest Learning Thermostat
(http://support.nest.com/article/A-low-battery-level-will-cause-Nest-to-disconnect-from-the-Internet).

Error messages
Some states render certain functions unavailable. These rules are in place to conserve energy
or provide comfort and safety.
For information on what API call errors mean and how to handle them, see Error Messages
(/reference/error-messages).
Wi-Fi / connection issue
If a device is o ine, modi cations are not allowed. You can observe the online state of the
device in the data model and display UI appropriately.
Except as otherwise noted, the content of this page is licensed under the Creative Commons Attribution 4.0 License
(https://creativecommons.org/licenses/by/4.0/), and code samples are licensed under the Apache 2.0 License
(https://www.apache.org/licenses/LICENSE-2.0). For details, see the Google Developers Site Policies
(https://developers.google.com/site-policies). Java is a registered trademark of Oracle and/or its a liates.
Last updated 2020-05-12 UTC.Pages APPX10439;
APPX10467
Removed Due to Confidential MaterialPages APPX10760;
APPX10765
Removed Due to Confidential MaterialPages APPX10797-APPX10799
Removed Due to Confidential MaterialPages APPX10802-APPX10804
Removed Due to Confidential MaterialPages APPX10807-APPX10809
Removed Due to Confidential MaterialPages APPX10819-APPX10881
Removed Due to Confidential MaterialSensors in Google Nest devices - Google Nest Help

Sensors in Google Nest devices
Last updated: October 5, 2021
Google’s connected home devices and services rely on cameras, microphones and other sensors to provide helpful
features and services. These sensors can detect things like motion, sound and temperature to protect your home and
loved ones and make your lives more convenient and comfortable. And while they make our connected home devices
more useful, we understand that you, your family and your friends need to trust that we'll handle your data
responsibly.
We’ve published our commitment to privacy in the home where we’ve committed to the following:
• When our connected home devices include cameras, microphones, or environmental or activity sensors that detect
information about your home environment, we’ll list these hardware features in the device’s technical specifications
— whether or not they’re enabled.
• We’ll also more clearly explain what types of information these sensors send to Google, as well as examples of how
we use that information, to help you better understand their purpose.
We have published this sensors guide as part of these commitments. We will continue to periodically update this
sensors guide to add new devices, features and services, reflect changes to our existing offerings, or where
applicable, provide additional details and information.
The current sensors in Google’s connected home devices and services generally fall into the following categories:
• Cameras that record video footage and still images and detect what’s happening in the home.
• Microphones that record audio and can detect specific sounds or motion nearby.
• Activity sensors that detect activity or changes to the physical state of the device, such as a door sensor that
detects when a door opens, or an accelerometer that detects when a device is moved. Some activity sensors may
also detect the presence or movement of people in your home.
• Environmental sensors that detect external properties of the surrounding environment — such as temperature,
humidity, light, or smoke — and that can help monitor the conditions inside or around your home.
• Control sensors that enable control of a device, such as a touch-sensitive button, or a magnetic sensor to detect
the position of the ring on the Nest Learning Thermostat.
Google’s connected home devices may also contain additional sensors that monitor device operation. For example,
internal device sensors can detect when a device’s battery is running low, when it’s overheating, or other conditions
that can affect the ability of the device to operate as intended. We’ve excluded sensors that collect only such
diagnostic data from this sensors guide. In addition to enabling the features and services described, the data from the
sensors listed below may also be used to perform device performance and diagnostic functions.
Types of sensors, what they measure, and examples of uses

Type of
Sensor

What it Measures

Examples of Uses*

Cameras and Microphones

https://support.google.com/googlenest/answer/9330256

1/8Sensors in Google Nest devices - Google Nest Help

Type of
Sensor
Humidity Humidity sensors measure the amount Nest Learning Thermostat, Nest Thermostat E, Nest

What it Measures

Examples of Uses*

of water (relative humidity) in the air.

Thermostat
Detect ambient humidity for comfort optimization and
control of whole-home humidifiers.
Nest Protect
Enables the Steam Check feature to reduce nuisance
alarms caused by things like steam from your shower.
Nest Guard
Currently unused. Included for potential future feature
enhancements.
Nest Detect
Included for potential future feature enhancements.
Currently only used for monitoring device operation.
Detects the presence of smoke in the Nest Protect (1st generation)

Smoke

(photoelectric air by detecting when smoke particles

Fire/smoke detection

sensor)

pass in front of an infrared light
source.
Smoke (Split Detects the presence of smoke in the Nest Protect (2nd generation)

Spectrum
sensor)

air using two wavelengths of light to
look for smoke. An infrared light is
used to detect larger particles
generated by slow, smoldering fires,
while a blue light detects smaller
particles created by fast fires.
Temperature Temperature sensors measure the
current temperature. This can be the
ambient temperature in a room, or the Measures ambient room temperature with Sleep Sensing

Fire/smoke detection

Nest Hub (2nd gen)

to help you understand sleep environmental disturbances.
Nest Learning Thermostat, Nest Thermostat E, Nest
Heat Link E, Nest Temperature Sensor, Nest Thermostat
Detect ambient room temperature for comfort
optimization.
Nest Protect
Detect sudden rises in room temperature.
Nest Guard
Currently unused. Included for potential future feature
enhancements.
Nest Detect
Included for potential future feature enhancements.
Currently only used for monitoring device operation.

temperature inside a device.

Control Sensors

https://support.google.com/googlenest/answer/9330256

7/8Page APPX10890
Removed Due to Confidential MaterialPage APPX10891
Removed Due to Confidential Material= Google The Keyword

GOOGLE NEST

Behind the
scenes with the
new Nest
Thermostat

Google serves cookies to analyze tra2c to this site.

Let’s stay in touch. Get the latest news

Information about your use of our site is shared with

Oct 30, 2020 · 2 min read

Google for that purpose. See details.

from Google in your inbox.

OK Laura Breen
Nest Team

Subscribe No thanks
Lability to figure out when something might be going wrong with your HVAC system. Now,
we’re taking steps to make that possible for most systems in Canada and the U.S.
with HVAC monitoring, which is rolling out today to all Nest thermostats in those regions.
Where did the idea for the HVAC monitoring feature come from?
Marco: It started two years ago, as a side project. The first question was “is this going to
be valuable for people?” and the answer was “yes.” When our customers had an HVAC
issue, they would call us assuming there was something wrong. We were trying to help
them troubleshoot and connect them to a Nest Pro, but we wanted to do it more
proactively. That led us to the second question, “can we do this?” and the answer was
also, “yes, we can do this.” Moving forward, we should be able to provide even more
context, so it will help people, and pros, even more. We already saw improvements since
we launched the beta earlier this year, so we’re really encouraged to provide more
proactive help to customers.
What made this possible?
Ramya: Cloud computing advancements, definitely. We used to run a lot of algorithms on
the device, that’s what got Nest started. Now, with cloud computing, we can aggregate
data anonymously from Nest thermostats to inform what sort of actions we take and
what we can suggest to owners. This helps inform features like Savings Finder and HVAC
monitoring.
Originally, each thermostat operated on its own, but now we have the power to make
intelligent decisions based on anonymized data, which might not have been possible if
we were just looking at each individual device.
How does a smart thermostat find possible HVAC issues?
Marco: We monitor the estimated ambient and target temperature and predict time to
temperature. We have predicted the expected behavior and then look for anomalies
which may be potential performance issues with the HVAC system.

© Temperature decline while the heat was on
March 6