Nos. 2022-1974, 2023-1101
United States Court of Appeals
for the Federal Circuit
ECOFACTOR, INC., 
Plaintiff-Appellant,
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
____________
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
Case: 23-1101 Document: 15 Page: 1 Filed: 05/09/2023i
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)
Docket 
No.
Description Appx
244 Final Judgment, entered on May 26, 2022 Appx1-Appx2
209 Final Jury Instructions, entered on February 10, 2022 Appx3-Appx43
215 Jury Verdict, entered on February 10, 2022 Appx44-Appx51
N/A U.S. Patent No. 8,180,492 Appx52-Appx66
N/A U.S. Patent No. 8,412,488 Appx67-Appx84
N/A U.S. Patent No. 8,738,327 Appx85-Appx102
N/A U.S. Patent No. 10,534,382 Appx103-Appx121
N/A Docket Sheet Appx122-Appx161
Record
111 Excerpts from Defendants’ Joint Motion for Summary 
Judgment of Subject Matter Ineligibity Under 35 U.S.C § 
101
Appx1134;
Appx1140; 
Appx1142-Appx1144; 
Appx1151; 
Appx1154; 
111-5 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
Appx1161-Appx1168; 
Appx1170-Appx1176
Case: 23-1101 Document: 15 Page: 2 Filed: 05/09/2023ii
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
Appx1177-Appx1183
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
Appx1189-Appx1193
114-2 [Sealed] Excerpts of Exhibit 1 to Google LLC’s Opposed 
Motion to Exclude Expert Testimony of David Kennedy 
Corrected Expert Report of Mr. David Kennedy, 
November 1, 2021
Appx1194-Appx1201; 
Appx1244-Appx1248; 
Appx1258-Appx1259;
Appx1275-Appx1279
114-8 [Sealed] Exhibit 7 to Google LLC’s Opposed Motion to 
Exclude Expert Testimony of David Kennedy – Shayan 
Habib Deposition Excerpts, September 16, 2021
Appx1604-Appx1608
114-11 [Sealed] Exhibit 10 to Google LLC’s Opposed Motion to 
Exclude Expert Testimony of David Kennedy Email 
from Reza Mirzaie to Max Grant, April 12, 2020 
(ECODCT_0029377-378)
Appx1617-Appx1619
115 [Sealed] Google’s Motion for Summary Judgment of 
Invalidity of U.S. Patent No. 8,412,488, filed on 
November 19, 2021
Appx1645-Appx1662
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
Appx1663-Appx1673
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
Appx1674-Appx1682
Case: 23-1101 Document: 15 Page: 3 Filed: 05/09/2023iii
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
Appx1683-Appx1690
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
Appx1691-Appx1696
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
Appx1697-Appx1703
Excerpt from [Sealed] Exhibit 5 – Palmer Report 
Excerpt
Appx1771-Appx1772; 
Appx1776-Appx1777
Excerpt from [Sealed] Exhibit 6 – Hublou Transcript
Excerpts
Appx1778-Appx1782; 
Appx1800-Appx1802; 
Appx1804
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
Appx1876;
Appx1881-Appx1898
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 
Inv. No. 337-TA-1185 Public Initial Determination
Appx1901-
Appx1902; 
Appx1916-Appx1926
169 Proposed Joint Pre-Trial Order, filed on January 7, 2022 Appx2168;
Appx2200-Appx2201
[Sealed] Exhibit A-4 – EcoFactor Physical Exhibit 
List
Appx2208-Appx2209
177 Excerpt from Pre-Trial Order, entered on January 14, 
2022
Appx2210;
Appx2242-Appx2243
Case: 23-1101 Document: 15 Page: 4 Filed: 05/09/2023iv
186 Joint Statement Regarding Claim Construction, January 
26, 2022
Appx2250-Appx2253
192 Excerpt from [Sealed] Omnibus Order Regarding Pretrial 
Motions (Dkts. 109, 111, 113, 114, 115, 116, 117, 151, 
and 153)
Appx2254
211 Excerpt from [Sealed] Jury Note 2 Appx2262
212 Excerpt from [Sealed] Jury Note 3 Appx2264
281 Google’s Notice of Cross-Appeal of Final Judgment, 
filed on October 21, 2022
Appx2280-Appx2281
Excerpts from [Sealed] Pre-Trial Conference Transcript, 
dated January 25, 2022
Appx5016-Appx5017; 
Appx5029-Appx5047; 
Appx5112-Appx5114; 
Appx5132-Appx5136
Excerpts from [Sealed] Trial Transcript, Day 1, dated 
January 31, 2022
Appx5137-Appx5138; 
Appx5320-Appx5322; 
Appx5331-Appx5337; 
Appx5344-Appx5347; 
Appx5349-Appx5354; 
Appx5357-Appx5364; 
Appx5389-Appx5392; 
Appx5395-Appx5399; 
Appx5401-Appx5404; 
Appx5410
Excerpts from [Sealed] Trial Transcript, Day 2, dated 
February 1, 2022
Appx5411-Appx5412; 
Appx5453-Appx5469; 
Appx5531-Appx5546; 
Appx5554-Appx5559; 
Appx5561-Appx5583; 
Appx5595-Appx5601; 
Appx5618-Appx5621; 
Appx5627-Appx5632; 
Appx5639-Appx5642;
Appx5644
Case: 23-1101 Document: 15 Page: 5 Filed: 05/09/2023v
Excerpts from [Sealed] Trial Transcript, Day 3, dated 
February 2, 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
Excerpts from [Sealed] Trial Transcript, Day 4, dated 
February 7, 2022
Appx5964-Appx5965; 
Appx5999-Appx6002; 
Appx6004-Appx6007; 
Appx6053-Appx6059; 
Appx6077-Appx6131; 
Appx6148-Appx6162; 
Appx6166-Appx6169; 
Appx6217-Appx6232; 
Appx6234
Case: 23-1101 Document: 15 Page: 6 Filed: 05/09/2023vi
Excerpts from [Sealed] Trial Transcript, Day 5, dated 
February 8, 2022
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
Excerpts from [Sealed] Trial Transcript, Day 6, dated 
February 9, 2022
Appx6513-Appx6514; 
Appx6519-Appx6521; 
Appx6524-Appx6527; 
Appx6531-Appx6533; 
Appx6543-Appx6546; 
Appx6568-Appx6586; 
Appx6589
Excerpts from [Sealed] Motion Hearing Transcript, dated 
September 27, 2022
Appx6599; 
Appx6661-Appx6663; 
Appx6687-Appx6689; 
Appx6691
36 Defendants’ Responsive Claim Construction Brief, filed 
on October 27, 2020
Appx6721; 
Appx6732; 
Appx6734-Appx6735
40 Joint Claim Construction Statement Appx6750; Appx6752
DTX-0219 – U.S. Patent Application Publication 
2004/0117330 (“Ehlers”) (DC_PRIOR_ART_0000403)
Appx10106-
Appx10155
[Sealed] DTX-0665 – Energy Intelligence (GOOG￾ITC1258-00162068)
Appx10181-
Appx10272
Case: 23-1101 Document: 15 Page: 7 Filed: 05/09/2023vii
DPX-1 – Photo of Nest Thermostat Appx10273
DPX-2 – Photo of Nest Learning Thermostat Appx10274
DPX-3 – Photo of Nest Thermostat E Appx10275
Excerpt from [Sealed] PTX-0083 - – Google Utility 
Zirconium Conjoint Findings (GOOG-ECOF-WDTX￾00170017)
Appx10279-
Appx10281; 
Appx10291-
Appx10295
[Sealed] PTX-0096 – EcoFactor PowerPoint Presentation
(GOOG-ECOF-WDTX1-00000004)
Appx10350-
Appx10363
Excerpt from [Sealed] PTX-0097 – EcoFactor 
Intellectual Property (GOOG-ECOF-WDTX1-00000085)
Appx10364;
Appx10367
[Sealed] PTX-0256 – ECODCT_0001217 Appx10389-
Appx10399
[Sealed] PTX-0257 – ECODCT_0001228 Appx10400-
Appx10410
[Sealed] PTX-0258 – ECODCT_0001239 Appx10411-
Appx10419
PTX-0281 – Nest Thermostat Guide (EF_0895825) Appx10420-
Appx10434
Excerpt from [Sealed] PTX-0298 – Nest State of 
Business (GOOG-ECOF-WDTX-00111086)
Appx10439; 
Appx10467 
Excerpt from [Sealed] PTX-0315 – Zirconium Functional 
Spec – HVAC Features dated April 25, 2020 (GOOG￾ITC1258-00117926)
Appx10760; 
Appx10765
Excerpt from [Sealed] PTX-0594 – Email from Indranil 
(Indy) Mukerji to Reza Mirzaie (ECODCT_0229453)
Appx10797-
Appx10799
[Sealed] PTX-0915 – Habib Emails (EF_0663676) Appx10802-
Appx10804
Case: 23-1101 Document: 15 Page: 8 Filed: 05/09/2023viii
[Sealed] PTX-0919 – Emails Re EcoFactor (GOOG￾ECOF-WDTX1-00000177)
Appx10807-
Appx10809
[Sealed] PTX-0928 -- Remote Optimization of HVAC 
for Efficiency and Demand Response: 2007-2008 Global 
Field Trial Results of EcoFactor’s Integrated Demand 
Side Management solution
Appx10819-
Appx10881
Excerpt from PTX-0929 – Sensors in Google Nest 
devices 
Appx10882;
Appx10888
[Sealed] DTX-0171—Redacted email from Scott 
McGaraghan
Appx10890
[Sealed] DTX-0287--Email from Danel Dayan to Nik 
Sathe re: EcoFactor M&A Opportunity
Appx10891
Excerpt from PTX-0263 – Behind the scenes with the 
new Nest Thermostat
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-
Case: 23-1101 Document: 15 Page: 9 Filed: 05/09/2023ix
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.
Case: 23-1101 Document: 15 Page: 10 Filed: 05/09/20231 
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
JURY TRIAL DEMANDED 
ECOFACTOR, INC., 
Plaintiff, 
v. 
ECOBEE, INC., 
Defendant. 
 Case No. 6:20-cv-00078-ADA
 JURY TRIAL DEMANDED 
ECOFACTOR, INC., 
Plaintiff, 
v. 
VIVINT, INC., 
Defendant. 
 Case No. 6:20-cv-00080-ADA
 JURY TRIAL DEMANDED 
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:
Case 6:20-cv-00075-ADA Document 69 Filed 06/09/21 Page 1 of 25
i
Case: 23-1101 Document: 15 Page: 11 Filed: 05/09/2023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 
Case 6:20-cv-00075-ADA Document 69 Filed 06/09/21 Page 2 of 25
ii
Case: 23-1101 Document: 15 Page: 12 Filed: 05/09/20233 
(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 
(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: 
Case 6:20-cv-00075-ADA Document 69 Filed 06/09/21 Page 3 of 25
iii
Case: 23-1101 Document: 15 Page: 13 Filed: 05/09/20234 
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 
Case 6:20-cv-00075-ADA Document 69 Filed 06/09/21 Page 4 of 25
iv
Case: 23-1101 Document: 15 Page: 14 Filed: 05/09/2023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 
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v
Case: 23-1101 Document: 15 Page: 15 Filed: 05/09/20236 
(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, 
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. 
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Case: 23-1101 Document: 15 Page: 16 Filed: 05/09/2023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 
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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 
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Case: 23-1101 Document: 15 Page: 18 Filed: 05/09/2023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 
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Case: 23-1101 Document: 15 Page: 19 Filed: 05/09/2023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 
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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 – 
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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 
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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. 
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Case: 23-1101 Document: 15 Page: 23 Filed: 05/09/2023(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 
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Case: 23-1101 Document: 15 Page: 24 Filed: 05/09/2023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 accessthe Internet or any other network or externalsystem, 
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. 
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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 
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Case: 23-1101 Document: 15 Page: 26 Filed: 05/09/2023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: 
17 
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Case: 23-1101 Document: 15 Page: 27 Filed: 05/09/2023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. 
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(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 
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.” 
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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 
“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. 
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Case: 23-1101 Document: 15 Page: 30 Filed: 05/09/2023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 
21 
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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. 
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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. 
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Dated: ____________________, 2021 
Alan D Albright 
United States District Judge 
June 9
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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 
Case 6:20-cv-00075-ADA Document 69 Filed 06/09/21 Page 25 of 25
xxv
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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.
Case 6:20-cv-00075-ADA Document 244 Filed 05/26/22 Page 1 of 2
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10. This FINAL JUDGMENT starts the time for filing any post-trial motions or appeal.
Signed this 26th day of May, 2022. 
Case 6:20-cv-00075-ADA Document 244 Filed 05/26/22 Page 2 of 2
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DEPUTY 
CLERK, U.S. DISTRICT COURT
WESTERN DISTRICT OF TEXAS 
BY: ________________________________ February 10, 2022 Jennifer Clark
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DEPUTY 
CLERK, U.S. DISTRICT COURT
WESTERN DISTRICT OF TEXAS 
BY: ________________________________ February 10, 2022 Jennifer Clark
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(12) United States Patent (10) Patent No.: US 8,180,492 B2 
Steinberg (45) Date of Patent: May 15, 2012 
(54) SYSTEMAND METHOD FOR USINGA S. A ck AE Ray cal . . . . . . . . . . . . . . 165,237 4.- : W ams et al. NETWORKED ELECTRONIC DEVICE ASAN 5,314,004 A 5/1994 Strand et al. 
OCCUPANCY SENSOR FOR AN ENERGY 5,462,225. A 10/1995 Massara et al. 
MANAGEMENT SYSTEM 5,544,036 A 8, 1996 Brown et al. 
5,555,927 A 9, 1996 Shah 
(75) Inventor: John Douglas Steinberg, Millbrae, CA 5,572.438 A 1 1/1996 Ehlers et al. 
(US) 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 (73) Assignee: EcoFactor, Inc., Millbrae, CA (US) 5,818,347 A 10/1998 SE 
5,977.964 A * 1 1/1999 Williams et al. .............. 71.5/721 
(*) Notice: Subject to any disclaimer, the term of this 6,145,751 A 1 1/2000 Ahmed 
patent is extended or adjusted under 35 6,178,362 B1 1/2001 Woollard et al. 
(Continued) 
(21) Appl. No.: 12/502,064 OTHER PUBLICATIONS 
(22) Filed: Jul. 13, 2009 Wang, D.; Arens, E.; Federspiel, C., Opportunities to Save Energy 
O O and Improve Comfort by Using Wireless Sensor Networks in Build 
(65) Prior Publication Data ings. Energy Systems Laboratory (http://esl.tamu.edu), 2003 
US 2010/028.0667 A1 Nov. 4, 2010 Retrieved Sep. 1, 2011 Downloaded from http://repository.tamu. 
edu/handle/1969.1/5210.* 
Related U.S. Application Data (Continued) 
(60) Provisional application No. 61/134,714, filed on Jul. 
14, 2008. Primary Examiner — Dave Robertson 
(74) Attorney, Agent, or Firm — Knobbe, Martens, Olson & 
(51) Int. Cl. Bear, LLP 
G05B I5/00 (2006.01) 
G05D 23/00 (2006.01) (57) ABSTRACT 
(52) U.S. Cl. ........ ...- - - - - - 700/276; 700/299; 236/46 R The invention comprises systems and methods for detecting 
(58) Field of Classification Search .................. 700/276, the use of networked consumer electronics devices as indica 
700,278, 295, 296; 62/1766, 236/46 R tions of occupancy of a structure for purposes of automati 
See application file for complete search history. cally adjusting the temperature setpoint on a thermostatic 
HVAC control. At least one thermostat is located inside a (56) 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. 
receive message indicating activity 
Retrieve setting iformation 
for database 
Austratic adjustment 
eabed? 
Transmitmessage 
to use? requesting actio to chose or sect change 
32 Y 1ser accept 
changs 
st 
Update 
database 
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 
- 302 
r so 
Éces curren / 306 -Yes-X setting as occupied setting? 
- 3 or 
- 3 & Adjust 
temperature setting Yes 
Appx52
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CBS R 2583 NS 1 2007/0045431 A1* 3/2007 Chapman et al. ........... 236,46 C 6.437,692 B 82002 E. It al. 2007/0146126 A1* 6/2007 Wang ............................ 340,517 6.478,233 B1 1/2002 se 2008, 0083234 A1 4/2008 Krebs et al. 
6,480.803 B1 11/2002 Pi 1 2008/0281472 A1* 1 1/2008 Podgorny et al. ............. 7OO/276 
6,483,906 B1 1/2002 E. et cal 2008/0283621 A1* 1 1/2008 Quirino et al. ...... 236/1 C 
6.536,675 Bi 3/2003 SS . a. 2009/0052859 A1* 2/2009 Greenberger et al. .......... 386/46 
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6,580,950 B1 6, 2003 Johnson ck 2010, OO19051 A1 1/2010 Rosen ......................... 236,46R 6,594,825 B1 7/2003 Goldschmidlki et al. 2010, OO19052 A1 1/2010 Yip 6,595,430 B1 7, 2003 Shah 6,598,056 B1 T/2003 Hull 1 2010, 0070.086 A1 3/2010 Harrod et al. 
6615555 B2 9/2003 s et al. 2010, 0070089 A1 3, 2010 Harrod et al. 
6622,097 B2 9/2003 E. 2010, 0070.093 A1 3, 2010 Harrod et al. 
6622,115 Bf 9/2003 E. tal 2010.0156608 A1* 6, 2010 Bae et al. ..... ... 34.0/10.5 was a OW ca. 2010/0162285 A1 6, 2010 Cohen et al. .................... 725/12 6,622,925 B2 9, 2003 Carner et al. 2010, 0211224 A1 8/2010 Keeling et al. 6,622,926 B1 9, 2003 Sartain et al. 2010. 0235004 A1 9, 2010 Thind 6,628,997 B1 9, 2003 Fox et al. 2010/0289643 A1 11/2010 Trundle et al. 
6,633,823 B2 10/2003 Bartone et al. 2011 OO31323 A1 2/2011 Nold etal 
6,643,567 B2 11/2003 Kolk et al. 
6,671,586 B2 12/2003 Davis et al. OTHER PUBLICATIONS 
6,695,218 B2 2/2004 Fleckenstein 
6,726, 113 B2 4/2004 Guo Johnson Controls T600HCX-3 Single-Stage Thermostats Installation 
6,731,992 B1 5/2004 Ziegler Instructions T600HCN-3, T600HCP-3 Part No. 24-9890-560, 
6,734.806 B1 5/2004 Cratsley Rev. Issued Sep. 20, 2006.* 
6,772,052 B1 8/2004 Amundsen Emerson Climate Technologies. Network Thermostat for E2 Build 
6,785,592 B1 8, 2004 Smith ing Controller Installation and Operation Manual. 026-1721 Rev 0 
6,785,630 B2 8, 2004 Kolk Oct. 30, 2007. 
6,789,739 B2 9, 2004 Rosen - W 
6,853,959 B2 2/2005 Ikeda et al. text Estable Thermostat Owner's Guide, www. 
6,868,293 B1 3/2005 Schurr oneywell.com/yournome. 6,868,319 B2 3/2005 KiperSztok et al. Honeywell Programmable Thermostat Owner's Guide, www. 6,882,712 B1 4/2005 Iggulden et al. honeywell.com/yourhome, 2004. 
6,889,908 B2 5/2005 Crippen et al. Honeywell, W7600/W7620 Controller Reference Manual, 
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6,912,429 B1* 6/2005 Bilger ............................. TOOf 19 Arnes, Federspeil, Wang, Huizenga, How Ambient Intelligence Will 
6,991,029 B2 1/2006 Orfield et al. Improve Habitability and Energy Efficiency in Buildings, 2005, 
29. 3.3. w al research paper, Center for the Built Environment. Controls and 
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7,089,088 B2 8/2006 Terry et al. ooper Power Systems Web Page. 
7,130,719 B2 10/2006 Ehlers et al. Enernoc Web Page. 7,130,832 B2 10/2006 Bannai et al. Enerwise Website. 
H2176 H * 12/2006 Meyer et al. .................... 236/51 Johnson Contorls, Touch4 building automation system brochure, 
7,167,079 B2 1/2007 Smyth et al. 2007. 
7,187,986 B2 3/2007 Johnson et al. Kilicotte, Piette, Watson, , Dynamic Controls for Energy Efficiency 
7,205,892 B2 4/2007 Luebke et al. and Demand Response: Framework Concepts and a New Construc 
7,215,746 B2 5/2007 Iggulden et al. tion Study Case in New York, Proceedings of the 2006 ACEEE 
7,216,015 B2 5/2007 Poth Summer Study of Energy Efficiency in Buildings, Pacific Grove, 7,231,424 B2 6, 2007 Bodin et al. CA. Aug. 13-18, 2006. 
7,232,075 B1 6, 2007 Rosen Lin. Auslander and Federspeil. “Multi-Sensor Single-Actuator Con 7,242.988 B1* 7/2007 Hoffberg et al. ................ TOO/28 Jerspell, 9. 
7,260,823 B2 * 8/2007 Schlacket al. . trol of HVAC Systems", 2002. 
7.354,005 B2 * 4/2008 Carey et al. ................. 236,46R Pier, Southern California Edision, Deman Responsive Control of Air 
7,356,384 B2 4/2008 Gull et al. Conditioning via Programmable Communicating Thermostats Draft 
7.483,964 B1* 1/2009 Jackson et al. ................ TO9,221 Report. 
7.565,225 B2 * 7/2009 Dushane et al. .............. 7OO/276 Proliphix. Thermostat Brochure. 
7,644,869 B2 1/2010 Hoglund et al. Wang, Arens, Federspiel, “Opportunities to Save Energy and 
7,784,704 B2 8, 2010 Harter Improve Comfort by Using Wireless Sensor networks in Buildings.” 
7,802,618 B2* 9/2010 Simon et al. .................. 165,254 (2003), Center for Environmental Design Research. 
7,848,900 B2 12/2010 Steinberg et al. Wetter, Wright. A comparision of deterministic and probabilistic 7,894,943 B2 2/2011 Sloup et al. optimization algorithms for nonsmooth simulation-based optimiza 2003/004O934 A1 22003 Skidmore et al. tion. Building and Environment 39, 2004, pp.989-999. 2005/0222889 A1 10, 2005 Lai et al. 
2005/0288822 A1 12/2005 Rayburn * cited by examiner 
 
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Appx54
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Database 
Database 
Utility Deraand Reduction 
Service Servers 
 
 
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F. Cure 
Microprocessor 
2.5 1S 2. 2S- 2 (O 
 
Appx57
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Figure S 
HoO 
C Temperature O 
Thermostat Settings 
So O 
O C Energy Bills &C) 
HVAC Hardware 7 OO 
Weather st SOO 
Product & Service OO 
 
Appx58
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Fig 7 
Receive message 1 (3o 2 indicating activity 
Retrieve setting 
information 
fron database 
- 3o 
Does Current 1 foe 
setting it occupied setting? 
Yes 
Automatic 
adjustment 
enabled? 
Transmit message to user requesting 
action to choose 
or reject change 
/ is 6 
Adjust 
temperature 
setting 
Update 
database 
 
 
 
 
 
 
 
 
 
 
Appx60
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Fig 8 
Transmit / O1 
Content data 
Retrieve logged 
program 
preference data 
Retrieve logged user data 
Match Content 
data to user 
- I - O 
/ 106 
Transmit matching 
query to user 
ls actual user = identified user? 
Retrieve temperature settings for 
identified user 
Write programming and matching data 
to database 
US 8,180,492 B2 
 
 
 
 
 
 
Appx61
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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 
10 
15 
25 
30 
35 
40 
45 
50 
55 
60 
65 
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 
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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. 
10 
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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. 
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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 
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65 
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 
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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 
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55 
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65 
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. 
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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 
15 
25 
30 
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. 
Appx66
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Appx67
Case: 23-1101 Document: 15 Page: 102 Filed: 05/09/2023USOO841.2488B2 
(12) United States Patent (10) Patent No.: US 8,412,488 B2 
Steinberg et al. (45) Date of Patent: *Apr. 2, 2013 
(54) SYSTEMAND METHOD FOR USINGA 4,341,345 A 7, 1982 Hammer et al. 
NETWORK OF THERMOSTATS AS TOOL TO 1593; A 8. E. St. tal - aCO a 
VERIFY PEAK DEMAND REDUCTION 4,655,279 A 4, 1987 Harmon 
(75) Inventors: John Douglas Steinberg, Millbrae, CA E. A g 3. E. tal 4 SO a 
(US); Scott Douglas Hublou, Redwood 5,270,952 A 12/1993 Adams et al. 
City, CA (US) 5,314,004 A 5/1994 Strand et al. 
(73) Assignee: EcoFactor, Inc., Millbrae, CA (US) (Continued) 
(*) Notice: Subject to any disclaimer, the term of this 
patent is extended or adjusted under 35 FOREIGN PATENT DOCUMENTS 
U.S.C. 154(b) by 0 days. EP O415747 3, 1991 KR 10-1994-001 1902 6, 1994 
This patent is Subject to a terminal dis- KR 10-2000-0059.532 10, 2000 
claimer. OTHER PUBLICATIONS 
(21) Appl. No.: 13/409,697 1-1. Arens, et al., “How Ambient Intelligence Will Improve Habitability 
(22) Filed: Mar. 1, 2012 and Energy Efficiency in Buildings”, 2005, research paper, Centerfor 
(65) Prior Publication Data the Built Environment, Controls and Information Technology. 
Bourhan, et al., “Cynamic model of an HVAC system for control US 2012/O221294 A1 Aug. 30, 2012 analysis”. Elsevier 2004. 
Related U.S. Application Data Comverge SuperStat Flyer. 
(63) Continuation of application No. 13/037,162, filed on (Continued) 
Feb. 28, 2011, now Pat. No. 8,131,506, which is a 
continuation of application No. 12/183,949, filed on Primary Examiner — Sujoy Kundu 
Jul. 31, 2008, now Pat. No. 7,908,116. (74) Attorney, Agent, or Firm — Knobbe, Martens, Olson & 
(60) Provisional application No. 60/963, 183, filed on Aug. Bear, LLP 
3, 2007, provisional application No. 60/994,011, filed 
on Sep. 17, 2007. (57) ABSTRACT 
(51) Int. Cl. The invention comprises systems and methods for estimating 
G0IB I5/00 (2006.01) the rate of change in temperature inside a structure. At least 
(52) U.S. Cl. ........ 702/182; 702/176; 702/183: 702/184: one thermostat located is inside the structure and is used to 
700/276; 700/278; 236/1 C; 236/46A: 236/46 R: controlan climate control system in the structure. At least one 
165/238; 165/239 remote processor is in communication with said thermostat 
(58) Field of Classification Search .................. 702/176, and at least one database stores data reported by the thermo 
702/182-184: 700/276, 278; 236/1 C, 46A, Stat. At least one processor compares the outside temperature 
236/46 R; 165/236,239 at least one location and at least one point in time to informa 
See application file for complete search history. tion reported to the remote processor from the thermostat. 
The processor uses the relationship between the inside tem 
(56) References Cited perature and the outside temperature to determine whether 
U.S. PATENT DOCUMENTS 
4,136,732 A 1/1979 Demaray et al. 
TILY 
the climate control system is “on” or “off”. 
16 Claims, 10 Drawing Sheets 
AABASE 
DEMAND REDUCTN SERWE SERWERS 
 
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Page 2 
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 
7,130,719 
7,130,832 
H2176 
7,167,079 
7,187,986 
7,205,892 
7,215,746 
7,216,015 
7,231,424 
7,232,075 
7,242.988 
7,260,823 
7,356,384 
7,483,964 
7,644,869 
7,784,704 
7,848,900 
7,894,943 
7,908,116 
7,908,117 
8,010,237 
8,019,567 
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* cited by examiner 
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Appx70
Case: 23-1101 Document: 15 Page: 105 Filed: 05/09/2023U.S. Patent Apr. 2, 2013 Sheet 2 of 10 US 8,412,488 B2 
f/22 
UTILITY DEMAND REDUCTION 
SERVICE SERVERS 
A76, 2 
 
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Appx73
Case: 23-1101 Document: 15 Page: 108 Filed: 05/09/2023U.S. Patent Apr. 2, 2013 Sheet 5 of 10 US 8,412,488 B2 
TEMPERATURE 
THERMOSTAT SETTINGS 
HVAC HARDWARE 
TRANSACTION 
PRODUCT & SERVICE 
AV2 2. 
 
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Case: 23-1101 Document: 15 Page: 109 Filed: 05/09/2023U.S. Patent Apr. 2, 2013 Sheet 6 of 10 US 8,412,488 B2 
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Case: 23-1101 Document: 15 Page: 110 Filed: 05/09/2023U.S. Patent Apr. 2, 2013 Sheet 7 of 10 US 8,412,488 B2 
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Appx76
Case: 23-1101 Document: 15 Page: 111 Filed: 05/09/2023U.S. Patent Apr. 2, 2013 Sheet 8 of 10 US 8.412,488 B2 
UTILITY TRANSMTS DEMAND 
REDUCTION RECUEST TO 
DEMAND REDUCTION 
SERVICE 
40? 
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DEMAND REDUCTION 
SUBSCRIBER 
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Appx77
Case: 23-1101 Document: 15 Page: 112 Filed: 05/09/2023U.S. Patent Apr. 2, 2013 Sheet 9 of 10 US 8,412,488 B2 
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 
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Appx78
Case: 23-1101 Document: 15 Page: 113 Filed: 05/09/2023U.S. Patent Apr. 2, 2013 Sheet 10 of 10 US 8,412,488 B2 
42,2/2/ 
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Appx79
Case: 23-1101 Document: 15 Page: 114 Filed: 05/09/2023US 8,412,488 B2 
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 
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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 
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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. 
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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. 
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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. 
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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 
Appx82
Case: 23-1101 Document: 15 Page: 117 Filed: 05/09/2023US 8,412,488 B2 
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 5 
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, 15 
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 20 
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 25 
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 30 
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 35 
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 40 
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 45 
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 50 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 55 
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 60 
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. 
For example, assume that on at 3 PM on date Y utility X 65 
wishes to trigger a demand reduction event. A server at utility 
X transmits a message to the server at demand reduction 
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 
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. 
Appx83
Case: 23-1101 Document: 15 Page: 118 Filed: 05/09/2023US 8,412,488 B2 
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. 
5 
10 
15 
25 
30 
35 
40 
45 
50 
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. 
Appx84
Case: 23-1101 Document: 15 Page: 119 Filed: 05/09/2023US008738327B2 
(12) United States Patent (10) Patent No.: US 8,738,327 B2 
Steinberg et al. (45) Date of Patent: *May 27, 2014 
(54) SYSTEMAND METHOD FOR USINGA (52) U.S. Cl. 
NETWORK OF THERMOSTATS AS TOOL TO USPC ............ 702/182: 700/276; 700/278; 236/1 C: 
VERIFY PEAK DEMAND REDUCTION 
(71) Applicant: EcoFactor, Inc., Millbrae, CA (US) 
72) Inventors: John Douglas g Steinberg, g Millbrae, CA 
(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 
(65) 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 (2006.01) 
G2IC 17/00 (2006.01) 
GOIM I/38 (2006.01) 
G05B I3/00 (2006.01) 
G05B I5/00 (2006.01) 
G05D 23/00 (2006.01) 
F24F II/053 (2006.01) 
G05D 23/2 (2006.01) 
G05D 23/85 (2006.01) 
G05D 23/9 (2006.01) 
ATABASE 
DataBase BAABASE 
TILY DEMAN REDUCTION SERWE servers 
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. 
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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 
 
 
 
 
Appx85
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 - - - - - - - e - or - - - - - - - - - - - - - - - - - - - - - - - - 
Appx88
Case: 23-1101 Document: 15 Page: 123 Filed: 05/09/2023U.S. Patent May 27, 2014 Sheet 2 of 10 US 8,738,327 B2 
UTILITY DEMAND REDUCTION 
SERVICE SERVERS 
A7%. 2 
 
Appx89
Case: 23-1101 Document: 15 Page: 124 Filed: 05/09/2023Appx90
Case: 23-1101 Document: 15 Page: 125 Filed: 05/09/2023U.S. Patent US 8,738,327 B2 
WNNELNÝ SSHT38|ÅÅ W?GOW 
 
Appx91
Case: 23-1101 Document: 15 Page: 126 Filed: 05/09/2023U.S. Patent May 27, 2014 Sheet 5 of 10 US 8,738,327 B2 
TEMPERATURE 
THERMOSTAT SETTINGS 
HVAC HARDWARE 
TRANSACTION 
PRODUCT & SERVICE 
AV2 2. 
 
Appx92
Case: 23-1101 Document: 15 Page: 127 Filed: 05/09/2023U.S. Patent May 27, 2014 Sheet 6 of 10 US 8,738,327 B2 
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as a S as 
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Appx93
Case: 23-1101 Document: 15 Page: 128 Filed: 05/09/2023U.S. Patent May 27, 2014 Sheet 7 of 10 US 8,738,327 B2 
d 
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Appx94
Case: 23-1101 Document: 15 Page: 129 Filed: 05/09/2023U.S. Patent May 27, 2014 Sheet 8 of 10 
UILITY TRANSMTS DEMAND 
REDUCTION REQUEST TO 
DEMAND REDUCTION 
SERVICE 
402? 
IS USER A NO 
DEMAND REDUCTION 
SUBSCRIBER 
42 
IS USER'S 
CONTRIBUTION REQUIREDYNO 
TO MEET DR 
REQUEST 
SEND DEMAND REQUEST -1/2 
SIGNAL TO THERMOSTAT 
AV2 2. 
US 8,738,327 B2 
 
 
 
 
 
Appx95
Case: 23-1101 Document: 15 Page: 130 Filed: 05/09/2023U.S. Patent May 27, 2014 Sheet 9 of 10 US 8,738,327 B2 
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 
 
 
 
 
Appx96
Case: 23-1101 Document: 15 Page: 131 Filed: 05/09/2023U.S. Patent May 27, 2014 Sheet 10 of 10 US 8,738,327 B2 
%29 
 
 
Appx97
Case: 23-1101 Document: 15 Page: 132 Filed: 05/09/2023US 8,738,327 B2 
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 
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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 
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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. 
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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. 
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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. 
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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 
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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 5 
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, 15 
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 20 
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 25 
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 30 
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 35 
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 40 
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 45 
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 50 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 55 
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 60 
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. 
For example, assume that on at 3 PM on date Y utility X 65 
wishes to trigger a demand reduction event. A server at utility 
X transmits a message to the server at demand reduction 
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 
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. 
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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. 
5 
10 
15 
25 
30 
35 
40 
45 
50 
55 
60 
65 
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 
Appx102
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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
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
Date Filed: 01/31/2020
Date Terminated: 05/26/2022
Jury Demand: Both
Nature of Suit: 830 Patent
Jurisdiction: Federal Question
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 
Appx122
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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 
Appx123
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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 
Appx124
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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 
Appx125
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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
Appx126
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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 
Appx127
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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 
Appx128
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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 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)
01/31/2020 2 RULE 7 DISCLOSURE STATEMENT filed by EcoFactor, Inc.. (Mirzaie, Reza)
(Entered: 01/31/2020)
01/31/2020 3 NOTICE of AO 120 Patent Report Form by EcoFactor, Inc. (Mirzaie, Reza) (Entered:
01/31/2020)
01/31/2020 4 REQUEST FOR ISSUANCE OF SUMMONS by EcoFactor, Inc.. (Mirzaie, Reza)
(Entered: 01/31/2020)
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)
01/31/2020 7 Summons Issued as to Google LLC. (bw) (Entered: 02/03/2020)
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)
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)
03/03/2020 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)
03/04/2020 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)
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
Appx129
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Complaint. (This is a text-only entry generated by the court. There is no document
associated with this entry.) (jy) (Entered: 03/04/2020)
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)
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)
03/28/2020 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)
03/31/2020 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)
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)
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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)
04/24/2020 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)
05/29/2020 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)
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
Appx131
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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)
06/05/2020 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)
06/11/2020 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
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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)
07/16/2020 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)
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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)
12/03/2020 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)
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)
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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)
12/09/2020 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
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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)
04/16/2021 Case No Longer Stayed. (jc5) (Entered: 01/24/2022)
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)
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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)
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)
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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)
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)
07/29/2021 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)
07/29/2021 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
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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)
07/29/2021 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)
07/29/2021 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)
07/29/2021 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)
07/29/2021 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.
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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)
07/29/2021 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.
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(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)
11/03/2021 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)
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)
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
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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)
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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
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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)
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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:
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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,
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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
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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)
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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)
01/24/2022 Text Order GRANTING 172 Motion to Amend/Correct entered by Judge Alan D
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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)
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
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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)
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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)
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)
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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)
03/10/2022 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)
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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
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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
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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)
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)
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)
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)
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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)
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
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, 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)
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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)
10/05/2022 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)
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
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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)
10/05/2022 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)
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)
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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
Appx161
Case: 23-1101 Document: 15 Page: 196 Filed: 05/09/2023UNITED STATES DISTRICT COURT 
FOR THE WESTERN DISTRICT OF TEXAS 
WACO DIVISION 
ECOFACTOR, INC.,
Plaintiff, 
v. 
GOOGLE LLC, 
Defendant. 
Civil Action No. 6:20-cv-00075 (ADA) 
JURY TRIAL DEMANDED 
ECOFACTOR, INC., 
 Plaintiff, 
 v. 
ECOBEE, INC., 
 Defendant. 
Civil Action No. 6:20-cv-00078-ADA 
JURY TRIAL DEMANDED 
ECOFACTOR, INC., 
Plaintiff, 
 v. 
VIVINT, INC., 
Defendant. 
Civil Action No. 6:20-cv-00080-ADA 
 JURY TRIAL DEMANDED 
DEFENDANTS’ JOINT MOTION FOR SUMMARY JUDGMENT OF 
SUBJECT MATTER INELIGIBILITY UNDER 35 U.S.C. § 101 
Case 6:20-cv-00075-ADA Document 111 Filed 11/19/21 Page 1 of 27
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Case: 23-1101 Document: 15 Page: 197 Filed: 05/09/20233 
 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 
Case 6:20-cv-00075-ADA Document 111 Filed 11/19/21 Page 7 of 27
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Case: 23-1101 Document: 15 Page: 198 Filed: 05/09/20235 
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. 
Case 6:20-cv-00075-ADA Document 111 Filed 11/19/21 Page 9 of 27
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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. 
Case 6:20-cv-00075-ADA Document 111 Filed 11/19/21 Page 10 of 27
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“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 
Case 6:20-cv-00075-ADA Document 111 Filed 11/19/21 Page 11 of 27
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Case: 23-1101 Document: 15 Page: 201 Filed: 05/09/202314 
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 
Case 6:20-cv-00075-ADA Document 111 Filed 11/19/21 Page 18 of 27
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Case: 23-1101 Document: 15 Page: 202 Filed: 05/09/202317 
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 
Case 6:20-cv-00075-ADA Document 111 Filed 11/19/21 Page 21 of 27
Appx1154
Case: 23-1101 Document: 15 Page: 203 Filed: 05/09/2023EXHIBIT 4 
Case 6:20-cv-00075-ADA Document 111-5 Filed 11/19/21 Page 1 of 16
Appx1161
Case: 23-1101 Document: 15 Page: 204 Filed: 05/09/20231 UNITED STATES INTERNATIONAL TRADE COMMISSION
2 WASHINGTON, D.C.
3
4
 _____________________________
5 )
 IN THE MATTER OF ) INV. NO. 337-TA-1258
6 )
 )
7 CERTAIN SMART THERMOSTAT )
 SYSTEMS, SMART HVAC SYSTEMS, )
8 SMART HVAC CONTROL SYSTEMS, )
 AND COMPONENTS THEREOF )
9 )
 _____________________________)
10
11 (AND RELATED MATTERS ON FOLLOWING PAGE)
12
13
14
15 REMOTE PROCEEDINGS OF THE
16 VIDEOTAPED DEPOSITION OF SCOTT HUBLOU
17 TUESDAY, AUGUST 10, 2021
18
19
20
21
22
23 JOB NO. 4749721
 REPORTED BY KIMBERLY EDELEN,
24 CSR. NO. 9042, CRR, RPR.
 PAGES 1 - 211
25
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2
3 UNITED STATES DISTRICT COURT
4 FOR THE WESTERN DISTRICT OF TEXAS
5 WACO DIVISION
6
 ECOFACTOR, INC., )
7 )
 PLAINTIFF, )
8 )
 VS. ) CASE NO.
9 ) 6:20-cv-00075-ADA
 GOOGLE LLC, )
10 )
 DEFENDANT. )
11 ________________________________)
12
13 * * * AND * * *
14
15 UNITED STATES DISTRICT COURT
16 FOR THE WESTERN DISTRICT OF TEXAS
17 WACO DIVISION
18
 ECOFACTOR, INC., )
19 )
 PLAINTIFF, )
20 )
 VS. ) CASE NO.
21 ) 6:20-cv-00078-ADA
 ECOBEE, INC., )
22 )
 DEFENDANT. )
23 ________________________________)
24
25
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Appx1163
Case: 23-1101 Document: 15 Page: 206 Filed: 05/09/20231 actual calculations, we never -- we never published. 14:01:18
2 BY MS. WANG: 14:01:27
3 Q So would you agree with me that EcoFactor 14:01:27
4 kept its algorithms and calculations confidential? 14:01:33
5 MR. MIRZAIE: Objection. Form. 14:01:41
6 THE WITNESS: I think that the final 14:01:42
7 calculations that we ended up using in our 14:01:43
8 production system, yes, were never published. 14:01:45
9 (Deposition Exhibit 10 14:01:48
10 was marked for identification.) 14:01:48
11 BY MS. WANG: 14:01:55
12 Q Let's go to Exhibit 10, please. Let me 14:01:56
13 know when you have it open. 14:02:11
14 A I got it. 14:02:12
15 Q Sorry. Bear with me. 14:02:23
16 Do you recognize this document as U.S. 14:02:39
17 Patent No. 8,738,327? 14:02:41
18 A Yes. 14:02:46
19 Q Sorry for going back, but a couple of 14:02:55
20 questions ago, or a couple of answers ago, you said 14:02:58
21 that "the final calculations that we ended up using 14:03:00
22 in our production system were never published"; is 14:03:04
23 that right? 14:03:09
24 A Yes. 14:03:10
25 Q Were any calculations ever published? 14:03:12
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Appx1164
Case: 23-1101 Document: 15 Page: 207 Filed: 05/09/20231 Q Okay. So let's go to the last page, 14:14:11
2 Claim 1. 14:14:19
3 Do you see it? 14:14:20
4 A Okay. I'm there. 14:14:25
5 Q So Claim 1 starts at Line 27 of Column 9 of 14:14:27
6 the '4- -- of the Texas '488 patent. 14:14:32
7 And do you see kind of -- the same 14:14:35
8 components that we discussed in relation to the 14:14:38
9 ITC '488 patent, which include the HVAC control 14:14:40
10 system, the HVAC system, one or more processors and 14:14:45
11 one or more databases? 14:14:48
12 A Yeah. 14:14:52
13 Q Now, can you please jump to Figure 2 of the 14:14:53
14 Texas '488 patent. 14:14:55
15 Do you recognize that it's identical to 14:15:02
16 Figure 2 of the ITC '488 patent that you marked up 14:15:04
17 earlier today? 14:15:07
18 A Yes. 14:15:11
19 Q And so your answers in relation to Figure 2 14:15:13
20 of the ITC '488 patent would also apply to the Texas 14:15:15
21 '488 patent; is that correct? 14:15:19
22 A Correct. 14:15:22
23 Q Okay. Going back to Claim 1 of the Texas 14:15:25
24 '488 patent, do you see, starting at Line 36, 14:15:30
25 "compares the inside temperature of said first 14:15:40
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Appx1165
Case: 23-1101 Document: 15 Page: 208 Filed: 05/09/20231 could work. 14:20:26
2 So, again, it was very much a, you know, 14:20:27
3 hypothesis that we had in very much kind of an 14:20:31
4 academic kind of exercise to be able to figure out 14:20:34
5 is there any substance to this -- to our hypotheses. 14:20:36
6 And then once we determined that there was 14:20:39
7 substance to it, we were able to get our -- we 14:20:43
8 submitted in our patents. 14:20:46
9 Once our patents were kind of accepted, and 14:20:48
10 then we reached out to Berkeley to be able to prove 14:20:51
11 this out on a more academic level, to be able to 14:20:55
12 prove what happened. 14:21:01
13 Once they were completed, we then -- and we 14:21:01
14 affirmed that everything was working, we then went 14:21:05
15 and we were able to raise funding. And from that, 14:21:08
16 we actually built out our own production level 14:21:13
17 algorithms which we kept proprietary. 14:21:16
18 Q So is it fair to say then that before 14:21:24
19 EcoFactor reached out to Berkeley, EcoFactor had no 14:21:26
20 working prototype that would perform a calculation 14:21:31
21 of an operational efficiency of an HVAC system? 14:21:38
22 MR. MIRZAIE: Objection. Form. 14:21:41
23 THE WITNESS: Other than inside of my head 14:21:43
24 as to how it actually would work, no. There was 14:21:45
25 no -- there was no system that was actually put into 14:21:49
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Appx1166
Case: 23-1101 Document: 15 Page: 209 Filed: 05/09/20231 place. There was no operational software, but in my 14:21:52
2 head, I was able to do that on a 14:21:55
3 one-house-by-one-house basis. 14:21:57
4 BY MS. WANG: 14:22:09
5 Q You mentioned you made modifications to the 14:22:10
6 off-the-shelf hardware to collect data; is that 14:22:14
7 correct? 14:22:20
8 A Yes. 14:22:21
9 Q Is that the only modification you made to 14:22:22
10 the hardware? 14:22:24
11 A Yeah. I mean, it wasn't a modification to 14:22:26
12 the hardware. It was a modification to the software 14:22:29
13 that was actually running on the hardware. 14:22:31
14 Q So there was no modification to the 14:22:33
15 hardware itself? 14:22:35
16 A No. No modification to the hardware 14:22:35
17 itself. 14:22:40
18 Q Okay. I understand from your testimony in 14:22:40
19 the 1185 investigation that your main hypothesis 14:22:53
20 behind a lot of these patents, behind the 14:22:59
21 ITC '488 patent, behind the '567 patent, behind the 14:23:02
22 '983 patent, behind the '550 patent, behind the 14:23:06
23 '327 patent and behind the Texas '488 patent, was 14:23:10
24 that the data that is used to perform the various 14:23:15
25 calculations in the claims, that it's limited to 14:23:21
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Appx1167
Case: 23-1101 Document: 15 Page: 210 Filed: 05/09/20231 Q Did you or John Steinberg invent the HVAC 14:30:07
2 unit? 14:30:11
3 A I cannot speak for what John did or did not 14:30:12
4 do. I can say I did not invent the HVAC unit. 14:30:15
5 Q Did you invent the thermostat? 14:30:18
6 A I did not invent the thermostat. 14:30:21
7 Q Did you invent the gateway? 14:30:24
8 A I did not invent the gateway. 14:30:26
9 Q Did you invent a computer? 14:30:28
10 A No. 14:30:30
11 Q Did you invent a laptop? 14:30:31
12 A No. 14:30:33
13 Q Did you invent a network? 14:30:34
14 A No. 14:30:36
15 Q Did you invent a utility server? 14:30:37
16 A No. 14:30:40
17 Q Did you invent a database on or attached to 14:30:41
18 the utility server? 14:30:44
19 A What, the software itself or the database 14:30:46
20 itself? 14:30:49
21 Q Database. 14:30:52
22 A So meaning that did I actually program and 14:30:54
23 build out a Oracle-based Oracle system? Did I 14:30:57
24 invent Oracle? No. 14:31:02
25 Q Did you invent -- 14:31:04
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Appx1168
Case: 23-1101 Document: 15 Page: 211 Filed: 05/09/20231 A No. 14:32:21
2 MS. WANG: Okay. We've been going for an 14:32:23
3 hour. Maybe we take a ten-minute break. 14:32:25
4 MR. MIRZAIE: Sounds good to me. 14:32:30
5 THE WITNESS: Okay. 14:32:32
6 THE VIDEOGRAPHER: Okay. Off the record. 14:32:33
7 The time is 2:32 p.m. 14:32:34
8 (Off the record from 2:32 - 2:43 p.m.) 14:32:36
9 THE VIDEOGRAPHER: Back on the record. The 14:43:31
10 time is 2:43 p.m. 14:43:33
11 MS. WANG: Mr. Hublou, I really appreciate 14:43:37
12 your time today. I am passing the witness to 14:43:39
13 Ms. Woodworth. 14:43:43
14 MS. WOODWORTH: Thanks. And can you guys 14:43:51
15 see and hear me? 14:43:53
16 14:43:54
17 EXAMINATION 14:43:47
18 BY MS. WOODWORTH:
19 Q Mr. Hublou, can you see me, hear me okay?
20 A Yes. 14:43:57
21 Q Great. Thanks. 14:43:57
22 My name, again, is Megan Woodworth. I'm 14:43:58
23 one of the counsel on for ecobee in the ITC 14:44:01
24 investigation. So again, I will try not to tread 14:44:04
25 over ground that we've already covered, but I do
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Appx1170
Case: 23-1101 Document: 15 Page: 212 Filed: 05/09/20231 Q Okay. So nothing in the provisional 15:10:31
2 applications was ever derived by 15:10:37
3 Professor Auslander, fair? 15:10:39
4 A Correct. 15:10:44
5 Q Or Professor Auslander's -- 15:10:44
6 MS. WOODWORTH: Objection. Objection. 15:10:45
7 Calls for a legal conclusion. 15:10:46
8 BY MR. MIRZAIE: 15:10:48
9 Q Nothing in the provisional applications in 15:10:49
10 2007 was given to you by Professor Auslander or 15:10:50
11 Professor Auslander's students at UC Berkeley, fair? 15:10:58
12 A That is correct. 15:11:02
13 Q And if Google or ecobee or any of those 15:11:03
14 people says otherwise, that -- your belief is that 15:11:06
15 they would be wrong, fair? 15:11:08
16 A That would be correct. 15:11:09
17 Q And that would be correct, you mean those 15:11:14
18 people would be wrong, right? 15:11:16
19 A Yes, those people would be wrong. We 15:11:18
20 addressed -- we did all of our homework, if you 15:11:22
21 will, all of our theories, our hypotheses, our 15:11:27
22 rudimentary math on Excel spreadsheets and graphing, 15:11:30
23 data collection, little trials, everything was done 15:11:34
24 prior to ever approaching UC Berkeley. Patents were 15:11:38
25 actually already filed. 15:11:43
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Appx1171
Case: 23-1101 Document: 15 Page: 213 Filed: 05/09/20231 that fair? 15:24:21
2 A No. 15:24:23
3 MS. WOODWORTH: Objection to form. 15:24:24
4 THE WITNESS: No. It was never -- it was 15:24:25
5 never about what was in the patents themselves. 15:24:27
6 BY MR. MIRZAIE: 15:24:31
7 Q Thank you. 15:24:31
8 And, in fact, I believe previously today 15:24:33
9 you used the phrase informal calculations versus 15:24:37
10 formal or final calculations. 15:24:41
11 Do you recall that testimony? 15:24:43
12 A Yes. Yes. 15:24:45
13 Q And if I -- just to make sure that I 15:24:46
14 understood that testimony, the informal calculations 15:24:49
15 were the ones that you were already able to do 15:24:52
16 before ever meeting UC Berkeley, and the final 15:24:57
17 calculations were the final calculations in which -- 15:24:59
18 that UC Berkeley employed very advanced math, fair? 15:25:03
19 A So, actually, I would throw that there's an 15:25:07
20 intermediary in there. So the -- what I was 15:25:09
21 referring to, the informal was just me with my Excel 15:25:11
22 spreadsheets and my -- you know, my crude types of 15:25:14
23 calculations and graphing capabilities. 15:25:16
24 The formal calculations would be the ones 15:25:19
25 that were done by the UC Berkeley team. And then 15:25:21
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Appx1172
Case: 23-1101 Document: 15 Page: 214 Filed: 05/09/20231 Do you recall that? 15:28:45
2 A Well, they appear to be kind of hand-drawn. 15:28:47
3 Q Right. 15:28:50
4 A I mean, that's just -- that's anecdotal, 15:28:50
5 you know, kind of reference to the fact that they 15:28:52
6 don't seem like they're -- these -- all of these 15:28:55
7 graphs were graphs in which I generated within an 15:28:58
8 Excel environment based upon real data that I was 15:29:01
9 actually seeing, you know, kind of in our various 15:29:05
10 different trials. 15:29:08
11 And all of our hypotheses were based upon 15:29:09
12 seeing these various different kinds of thermal 15:29:13
13 envelope kind of profiles. How does -- how did 15:29:16
14 homes heat or cool themselves based upon outside 15:29:19
15 temperature? You know, what happens when there is 15:29:22
16 temperature fluctuation? 15:29:24
17 I think that John then took all of those 15:29:25
18 and hand-drew many of these to -- you know, into its 15:29:27
19 current form. I'm not positive that's what he did, 15:29:33
20 but these don't appear to be any of my graphs from 15:29:36
21 any of my -- any of my Excel files. 15:29:38
22 Q Got it. 15:29:42
23 But in any event, it's your understanding 15:29:43
24 that all of those figures, just as one example or 15:29:46
25 several examples, were your work and not 15:29:51
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Appx1173
Case: 23-1101 Document: 15 Page: 215 Filed: 05/09/20231 UC Berkeley's work, correct? 15:29:55
2 A No. All of these are my work. 15:29:56
3 Q And you referred a moment ago to them being 15:30:00
4 derived from the Excel tools that you were using 15:30:05
5 before you ever approached UC Berkeley. 15:30:09
6 Do you recall that? 15:30:11
7 A Yes. 15:30:12
8 Q And if you could just describe a little bit 15:30:13
9 more how they were derived, including what type of 15:30:15
10 system you -- you and John and others at EcoFactor 15:30:19
11 built before ever meeting the UC Berkeley folks or 15:30:23
12 hiring the UC Berkeley folks. 15:30:29
13 A So we recruited friends and family to be 15:30:31
14 able to install these systems into people in various 15:30:33
15 different geographic locations and different types 15:30:38
16 of heat loads. 15:30:40
17 So, you know, all the way to my mom's house 15:30:42
18 was outfitted with a -- with a thermostat that was 15:30:44
19 actually generating data. And so from those -- from 15:30:49
20 those different test houses of friends and family, 15:30:53
21 we were able to derive various different types of 15:30:57
22 profiles in which house systems were actually 15:30:59
23 heating and cooling themselves, respectively. 15:31:01
24 We then were able to -- from those graphs, 15:31:06
25 we were able to kind of derive our hypotheses, which 15:31:09
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Appx1174
Case: 23-1101 Document: 15 Page: 216 Filed: 05/09/20231 would be if I changed something, this is what we 15:31:13
2 believed the change would actually implement. And 15:31:15
3 it was -- those were the theories that were kind of 15:31:18
4 behind these patents, and these were also the same 15:31:22
5 graphs that we actually brought to UC Berkeley to be 15:31:25
6 able to say here is what we believe to be proof that 15:31:29
7 our theories on data sets, why these need to be 15:31:34
8 true, is that if these happen, we predict that this 15:31:41
9 is going to happen over here. 15:31:43
10 And so that's the way it kind of came in 15:31:45
11 and said you're only using -- you know, I think we 15:31:48
12 were at five data sets at that point. They said no, 15:31:50
13 no, no, you need to have at least a hundred data 15:31:53
14 sets in order for you to be able to do the 15:31:55
15 prediction that you're asking us to be able to do. 15:31:57
16 And it wasn't until we actually spent quite 15:32:00
17 a bit of time with them and showed them the graphs, 15:32:02
18 you know, that, you know, we had before and afters 15:32:04
19 that we actually proved to them that it is actually 15:32:08
20 viable to actually -- with the limited data set 15:32:11
21 coming from a commercially available thermostat, we 15:32:15
22 could actually achieve these kinds of results. 15:32:18
23 Q Thank you. 15:32:23
24 And so if you look at Claim 1 as an example 15:32:24
25 of the '567 patent -- and I think Google's lawyers 15:32:27
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Appx1175
Case: 23-1101 Document: 15 Page: 217 Filed: 05/09/20231 STATE OF CALIFORNIA )
2 COUNTY OF LOS ANGELES ) ss.
3
4 I, Kimberly A. Edelen, C.S.R. No. 9042, in and
5 for the State of California, do hereby certify:
6 That prior to being examined, the witness named
7 in the foregoing deposition was by me duly sworn to
8 testify the truth, the whole truth and nothing but
9 the truth;
10 That said deposition was taken down by me in
11 shorthand at the time and place therein named, and
12 thereafter reduced to typewriting under my
13 direction, and the same is a true, correct and
14 complete transcript of said proceedings;
15 That if the foregoing pertains to the original
16 transcript of a deposition in a Federal Case, before
17 completion of the proceedings, review of the
18 transcript { } was {X} was not requested.
19 I further certify that I am not interested in
20 the event of the action.
21 Witness my hand this 16th day of August, 2021.
22
23
24 <%18551,Signature%>
 KIMBERLY A. EDELEN, C.S.R. NO. 9042
25
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Case 6:20-cv-00075-ADA Document 111-6 Filed 11/19/21 Page 1 of 7
Appx1177
Case: 23-1101 Document: 15 Page: 219 Filed: 05/09/20231 UNITED STATES DISTRICT COURT
2 FOR THE WESTERN DISTRICT OF TEXAS
3 WACO DIVISION
4 ECOFACTOR, INC., )
 )
5 Plaintiff, )
 )Case No.
6 vs. )6:20-cv-00075-ADA
 )
7 GOOGLE LLC, )
 )
8 Defendant. )
 _____________________________________)
9 ECOFACTOR, INC., )
 )
10 Plaintiff, )
 )Case No.
11 vs. )6:20-cv-00078-ADA
 )
12 ECOBEE, INC. )
 )
13 Defendant. )
 _____________________________________)
14 ECOFACTOR, INC., )
 )
15 Plaintiff, )
 )Case No.
16 vs. )6:20-cv-00080-ADA
 )
17 VIVINT, INC., )
 )
18 Defendant. )
 _____________________________________)
19 VIDEOTAPED ZOOM DEPOSITION OF JOHN A. PALMER, Ph.D.
20 North Salt Lake, Utah
21 Monday, November 8, 2021
22 VOLUME I
23 Remotely and Stenographically Reported by:
 RENEE D. ZEPEZAUER, CSR No. 6275, RPR, CRR
24 JOB No. 4884150
25 PAGES 1 - 214
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Appx1178
Case: 23-1101 Document: 15 Page: 220 Filed: 05/09/20231 deriving an estimation for rate of change. 1:02:21PM
2 MR. LINK: Objection. Asked and answered.
3 THE WITNESS: Not specifically in isolation,
4 no.
5 BY MS. HUCEK: 1:02:39PM
6 Q If we look at paragraph 99 of your report, on
7 page 41. In the middle of that paragraph, you say [as
8 read]:
9 "A PHOSITA could readily derive a rate
10 of change from a plotted curve, which 1:02:59PM
11 would be indicated by a slope. The
12 specification need not spell out every
13 detail of how to read and understand a
14 graph, for example, as a PHOSITA is
15 presumed to have relevant technical 1:03:10PM
16 knowledge and experience."
17 Do you see that?
18 A Yes.
19 Q Is it your opinion that the term "rate of
20 change" as used in the '488 patent claims is the slope 1:03:21PM
21 of the curves represented in Figure 6A and 6B of
22 the '488 patent?
23 A It's certainly very similar. Obviously under
24 the construction, the claim construction as well as a
25 PHOSITA would have to perform it on the -- in the 1:03:47PM
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Appx1179
Case: 23-1101 Document: 15 Page: 221 Filed: 05/09/20231 context of looking at a graph, yes, you would look at 1:03:51PM
2 what the temperature is at one -- what the time and
3 temperature are of one point on the graph and the time
4 and temperature of another point on the graph and then
5 you would take the difference between the temperatures 1:04:07PM
6 and take -- divided by the differences between the times
7 to get the rate of change which is mathematically a
8 slope of the graph.
9 Q So the rate of change as used in the '488
10 patent is mathematically equivalent to calculating the 1:04:37PM
11 slope of two points?
12 A For -- if -- yeah, if you have a graph, then,
13 yes, it would be -- that would be a typical way of
14 determining the slope of that graph is by looking at the
15 temperature difference between two points divided by the 1:04:58PM
16 time difference between the two points.
17 Q I'd like to turn next to paragraph 133 of your
18 report. That's on page 54. Let me know when you're
19 there.
20 A I'm on page 54. Which paragraph did you say? 1:05:30PM
21 Q 133.
22 A Sorry. I went to the pdf page number as
23 opposed to the document page number. I'm there now.
24 133. Okay. Go ahead.
25 Q And this paragraph is under the heading 9.1, 1:05:50PM
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Appx1180
Case: 23-1101 Document: 15 Page: 222 Filed: 05/09/20231 A Well, the human being is not a sensor so the 1:26:17PM
2 human being would not be able to measure the
3 temperature. The human being would be challenged to
4 collect that data over time, although theoretically they
5 could sit there with a pencil and paper and write down a 1:26:37PM
6 whole bunch of temperatures and times, although then
7 taking that data and analyzing it, comparing inside and
8 outside temperatures over time and developing from that
9 an estimated rate of change of temperature would be --
10 it would be a -- a process that would be difficult to do 1:27:01PM
11 without computational aid.
12 Q Well, didn't we -- didn't you just testify
13 earlier that the rate-of-change calculation is just the
14 slope between two different points on a graph?
15 A Well, if it happens that the slope of the graph 1:27:24PM
16 is a -- is singularly defined, then, certainly that rate
17 of change can be calculated that way. But what we're
18 talking about is a large amount of data because the
19 inside temperature and outside temperature are going to
20 be changing over time and so it's not just a calculation 1:27:46PM
21 of two individual points. It's a conglomeration of a
22 large amount of data that then needs to be analyzed and
23 evaluated. It would not be -- it's not something that
24 would be practical for a person with a pencil and paper
25 to do. 1:28:13PM
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Appx1181
Case: 23-1101 Document: 15 Page: 223 Filed: 05/09/20231 Q I guess I asked a separate question of whether 1:28:15PM
2 it was practical versus whether it's possible. Couldn't
3 someone, you know, sit -- sit down with a thermometer,
4 take a temperature reading every minute, and then use
5 that to calculate a rate of change over time? 1:28:30PM
6 A From a practical standpoint what you're
7 suggesting is really kind of silly. Would a -- would it
8 be theoretically possible for a person to collect a
9 large amount of data? Yes. Would it be theoretically
10 possible without any computational aid for that person 1:28:58PM
11 to evaluate that large quantity of data in such a way as
12 to provide a reasonable estimate of the rate of change
13 over time in the context of a particular set of
14 conditions? That -- I mean, theoretically, without
15 computational aid, there are a few people that could. I 1:29:26PM
16 don't deny that there are people who would be able to
17 process huge amounts of -- a lot of numbers. Certainly
18 we can look for examples to the times there were before
19 computers, but from a practical standpoint, from a
20 realistic standpoint, the embodiment as described would 1:29:45PM
21 require an analysis that's beyond a typical human.
22 Q I'd like to direct your attention to paragraph
23 136 of your report. It's on page 56. Let me know when
24 you're there.
25 A I'm at paragraph 136. 1:30:31PM
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Appx1182
Case: 23-1101 Document: 15 Page: 224 Filed: 05/09/20231 I, the undersigned, a Certified Shorthand
2 Reporter of the State of California, do hereby certify:
3 That the foregoing proceedings were taken
4 before me at the time and place herein set forth; that any
5 witnesses in the foregoing proceedings, prior to
6 testifying, were administered an oath; that a record of
7 the proceedings was made by me using machine shorthand
8 which was thereafter transcribed under my direction; that
9 the foregoing transcript is a true record of the testimony
10 given; that if the foregoing proceedings were reported
11 stenographically remote from the witness and parties, the
12 transcript of the proceedings reflects the record that I
13 could hear and understand to the best of my ability.
14 Further, that if the foregoing pertains to
15 the original transcript of a deposition in a Federal
16 Case, before completion of the proceedings, review of
17 the transcript [ ] was [ ] was not requested.
18 I further certify I am neither financially
19 interested in the action nor a relative or employee of any
20 attorney or any party to this action.
21 IN WITNESS WHEREOF, I have this date
22 subscribed my name.
23 Dated: 11/11/21
24 <%7325,Signature%>
 RENEE DiMENNO ZEPEZAUER
25 CSR #214, RPR, CRR
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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
EXPERT REPORT OF ERIK DE LA IGLESIA
REGARDING INFRINGEMENT BY GOOGLE
Case 6:20-cv-00075-ADA Document 111-8 Filed 11/19/21 Page 2 of 5
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14
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: 
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15
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.
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Appx1901
Case: 23-1101 Document: 15 Page: 243 Filed: 05/09/2023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 Appx1902
Case: 23-1101 Document: 15 Page: 244 Filed: 05/09/2023420 
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 Appx1916
Case: 23-1101 Document: 15 Page: 245 Filed: 05/09/2023421 
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 Appx1917
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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 Appx1918
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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. 
b. Alice Step Two
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 
PUBLIC VERSION Appx1919
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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 Appx1920
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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 Appx1921
Case: 23-1101 Document: 15 Page: 250 Filed: 05/09/2023426 
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.
PUBLIC VERSION Appx1922
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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 Appx1923
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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. 
b. Alice Step Two 
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 
PUBLIC VERSION Appx1924
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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 Appx1925
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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. 
PUBLIC VERSION Appx1926
Case: 23-1101 Document: 15 Page: 255 Filed: 05/09/20231
1791811
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
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
Case 6:20-cv-00075-ADA Document 169 Filed 01/07/22 Page 1 of 40
Appx2168
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1791811
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 
Case 6:20-cv-00075-ADA Document 169 Filed 01/07/22 Page 33 of 40
Appx2200
Case: 23-1101 Document: 15 Page: 257 Filed: 05/09/202334
1791811
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:
Case 6:20-cv-00075-ADA Document 169 Filed 01/07/22 Page 34 of 40
Appx2201
Case: 23-1101 Document: 15 Page: 258 Filed: 05/09/2023Exhibit A-4 
Filed Under Seal
Appx2208
Case: 23-1101 Document: 15 Page: 259 Filed: 05/09/2023EcoFactor, Inc. v. Google LLC
6:20‐cv‐00075‐ADA
Plaintiff's Physical Exhibit List
Ex. No. Description Bates BEG Bates END
Date 
Withdrawn Objections
Date 
Identified 
Date 
Admitted 
PX-001 Nest Thermostat
PX-002 Nest Learning Thermostat Third Generation
PX-003 Nest Thermostat E
PX-004 Nest Temperature Sensor Relevance, 403
PX-005 Google Source Code GOOG-SC-TX20-75_00001 GOOG-SC-TX20-75_00537 Protective Order
Appx2209
Case: 23-1101 Document: 15 Page: 260 Filed: 05/09/20231 
1791811
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
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 
Case 6:20-cv-00075-ADA Document 177 Filed 01/14/22 Page 1 of 40
Appx2210
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1791811
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 
Case 6:20-cv-00075-ADA Document 177 Filed 01/14/22 Page 33 of 40
Appx2242
Case: 23-1101 Document: 15 Page: 262 Filed: 05/09/202334
1791811
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:
Case 6:20-cv-00075-ADA Document 177 Filed 01/14/22 Page 34 of 40
Appx2243
Case: 23-1101 Document: 15 Page: 263 Filed: 05/09/2023UNITED STATES DISTRICT COURT
FOR THE WESTERN DISTRICT OF TEXAS
WACO DIVISION
ECOFACTOR, INC.,
Plaintiff,
v.
GOOGLE LLC,
Defendant.
Civil Action No. 6:20-cv-00075 (ADA)
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 Agreed Construction
“compares” (’327 patent, claim 1) “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:
Case 6:20-cv-00075-ADA Document 186 Filed 01/26/22 Page 1 of 4
Appx2250
Case: 23-1101 Document: 15 Page: 264 Filed: 05/09/2023Claim Term Court’s Construction
“rate of change in inside temperature” (’327 patent, 
claim 1); “rate of change in temperature inside the 
structure” (’327 patent, claim 5)
“the difference between inside 
temperature measurements divided 
by the span of time between the 
measurements”
“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)
Plain and ordinary meaning
“outside temperature” (’327 patent, claim 1) Plain and ordinary meaning
Case 6:20-cv-00075-ADA Document 186 Filed 01/26/22 Page 2 of 4
Appx2251
Case: 23-1101 Document: 15 Page: 265 Filed: 05/09/2023Respectfully submitted, 
Dated: January 26, 2022 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.
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
Case 6:20-cv-00075-ADA Document 186 Filed 01/26/22 Page 3 of 4
Appx2252
Case: 23-1101 Document: 15 Page: 266 Filed: 05/09/2023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 186 Filed 01/26/22 Page 4 of 4
Appx2253
Case: 23-1101 Document: 15 Page: 267 Filed: 05/09/20231
UNITED STATES DISTRICT COURT 
FOR THE WESTERN DISTRICT OF TEXAS 
WACO DIVISION 
ECOFACTOR, INC.,
Plaintiff, 
v. 
GOOGLE LLC, 
Defendant. 
Civil Action No. 6:20-cv-00075 (ADA) 
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 
Ineligibility under 35 U.S.C. §101 (Dkt. 111) 
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 
Dr. Palmer (Dkt. 113) 
Denied 
Google’s Motion to Exclude Expert Testimony of David Kennedy 
(Dkt. 114) 
Denied
Google’s Motion for Summary Judgment that the Asserted Claims (1, 
2, 5, and 8) of U.S. Patent No. 8,412,488 Are Invalid Under 35 U.S.C. 
§112 (Dkt. 115)
Granted 
EcoFactor’s Motion for Summary Judgment of Google’s Affirmative 
Defenses (Dkt. 116) 
Granted as to defenses 
of prosecution history 
estoppel, prosecution 
history disclaimer, and 
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UNITED STATES DISTRICT COURT
FOR THE WESTERN DISTRICT OF TEXAS
WACO DIVISION
ECOFACTOR, INC.,
Plaintiff, 
v. 
GOOGLE LLC, 
Defendant. 
Civil Action No. 6:20-cv-00075 (ADA)
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.
Case 6:20-cv-00075-ADA Document 281 Filed 10/21/22 Page 1 of 2
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Respectfully submitted, 
KEKER, VAN NEST & PETERS LLP
Dated: October 21, 2022
By:
/s/ Robert A. Van Nest, with permission by 
Michael E. Jones
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
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
Case 6:20-cv-00075-ADA Document 281 Filed 10/21/22 Page 2 of 2
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Case: 23-1101 Document: 15 Page: 280 Filed: 05/09/2023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
JURY TRIAL DEMANDED
ECOFACTOR, INC.,
 Plaintiff,
 v. 
ECOBEE, INC., 
 Defendant.
 Case No. 6:20-cv-00078-ADA
 JURY TRIAL DEMANDED 
ECOFACTOR, INC.,
 Plaintiff,
 v. 
VIVINT, INC., 
 Defendant.
 Case No. 6:20-cv-00080-ADA
 JURY TRIAL DEMANDED 
 
DEFENDANTS’ RESPONSIVE CLAIM CONSTRUCTION BRIEF 
Case 6:20-cv-00075-ADA Document 36 Filed 10/27/20 Page 1 of 29
Appx6721
Case: 23-1101 Document: 15 Page: 281 Filed: 05/09/20237 
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 
Case 6:20-cv-00075-ADA Document 36 Filed 10/27/20 Page 12 of 29
Appx6732
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(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”).
Case 6:20-cv-00075-ADA Document 36 Filed 10/27/20 Page 14 of 29
Appx6734
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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 
necessary.
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 
Case 6:20-cv-00075-ADA Document 36 Filed 10/27/20 Page 15 of 29
Appx6735
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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
JURY TRIAL DEMANDED
ECOFACTOR, INC.,
Plaintiff,
v. 
ECOBEE, INC., 
Defendant.
Case No. 6:20-cv-00078-ADA
JURY TRIAL DEMANDED
ECOFACTOR, INC.,
Plaintiff,
v. 
VIVINT, INC., 
Defendant.
Case No. 6:20-cv-00080-ADA
JURY TRIAL DEMANDED
JOINT CLAIM CONSTRUCTION STATEMENT
Case 6:20-cv-00075-ADA Document 40 Filed 11/17/20 Page 1 of 7
Appx6750
Case: 23-1101 Document: 15 Page: 285 Filed: 05/09/20232 
Disputed Constructions
Term Plaintiff’s Proposal Defendants’ Proposal
“rate of change in inside 
temperature” (’488 patent 
claims 1, 9; ’327 patent 
claims 1, 11); “rate of change 
in temperature inside the 
[said] structure” (’488 patent 
claims 8, 16; ’327 patent 
claims 5, 15)
“the difference between two 
inside temperature 
measurements over a
particular span of time 
between the measurements”
“the difference between 
inside temperature 
measurements divided by the 
span of time between the 
measurements (i.e., ∆T/∆t)”
“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)
Plain and ordinary meaning; 
no construction necessary. 
“determination [of the 
claimed property] by an 
instrument by using 
standardized units” 
’488 Patent Claims 1 and 9 –
Indefiniteness
Plain and ordinary meaning; 
no construction necessary. 
Indefinite due to lack of 
essential structural 
connections, under In re 
Collier, 397 F.2d 1003 
(C.C.P.A. 1968), and its 
progeny.
“user interface actions 
intended to alter a state of one 
or more of said [networked] 
electronic devices” (’492 
patent claims 1, 10) 
Plain and ordinary meaning; 
no construction necessary. 
“a user intentionally 
interacting with the device’s 
graphic user interface to alter 
the device’s state and indicate 
whether the structure is 
occupied”
“receiving [receives] input 
from said one or more users” 
(’492 patent claims 1, 10); 
“said input from said one or 
more users” (’492 patent 
claims 1, 9, 10, 18)
Plain and ordinary meaning; 
no construction necessary. 
“a user inputting a response 
to a prompt on the graphic 
user interface [display] of the 
one or more networked 
electronic devices”
“outside temperature” (’488 
patent claims 1, 2, 9, 10; ’327 
patent claims 1, 2, 11, 12)
“the temperature at a location 
outside (or external to) [the 
structure]”
“the actual temperature at a 
location outside (or external 
to) [the structure]”
Case 6:20-cv-00075-ADA Document 40 Filed 11/17/20 Page 3 of 7
Appx6752
Case: 23-1101 Document: 15 Page: 286 Filed: 05/09/2023(19) United States 
(12) Patent Application Publication (10) Pub. No.: US 2004/0117330 A1 
Ehlers et al. 
US 2004O117330A1 
(43) Pub. Date: Jun. 17, 2004 
(54) 
(76) 
(21) 
(22) 
(63) 
SYSTEMAND METHOD FOR 
CONTROLLING USAGE OF A COMMODITY 
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) 
Appl. No.: 10/628,644 
Filed: Jul. 28, 2003 
Related U.S. Application Data 
Continuation of application No. 10/402,370, filed on 
Mar. 28, 2003, now abandoned. 
1,06 
1.16 N 1.12 
(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 
(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. 
CONTROLLED 
DEVICE 
CONTROLLED 
AND METERED 
DEVICE 
 
 
 
 
 
DC_PRIOR_ART_0000403
DTX0219, Page 1 of 50 Defendant's Exhibit
0219
Case No. 20-cv-00075
Appx10106
Case: 23-1101 Document: 15 Page: 287 Filed: 05/09/2023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 METERED 
NODE DEVICE 
1,10B 108B 
Figure 1A CONTROL CONTROLLED 
NODE DEVICE 
11s u? LOAD CONTROLLED 
CONTROL AND METERED 
NODE DEVICE 
1.10C 108C 
USER 
1.14 s 1.04 
1.32 ense 
1.32A 
Figure 1C 
 
DC_PRIOR_ART_0000404
DTX0219, Page 2 of 50
Appx10107
Case: 23-1101 Document: 15 Page: 288 Filed: 05/09/2023US 2004/0117330 A1 
XHIWO ISQIn5) 
Patent Application Publication 
 
DC_PRIOR_ART_0000405
DTX0219, Page 3 of 50
Appx10108
Case: 23-1101 Document: 15 Page: 289 Filed: 05/09/2023Patent Application Publication Jun. 17, 2004 Sheet 3 of 18 US 2004/0117330 A1 
1.10D 
NODE 
PROCESSOR 
. TWO WAY 
COMMUNICATIONS 
CONTROL POINT 
CONFIGURATION 
INTERFACE 
2.08 
Figure 2A 
1.08A 
1.10 
1.10A 
TWO WAY NODE - METERING 
COMMUNICATIONS CHANNEL PROCESSOR MODULE 
CONTROL POINT 
CONFIGURATION 
INTERFACE 
OTHERNODES OR 
PROGRAMMING DEVICE 2. 08 Figure 2B 
 
 
 
 
 
 
 
 
 
DC_PRIOR_ART_0000406
DTX0219, Page 4 of 50
Appx10109
Case: 23-1101 Document: 15 Page: 290 Filed: 05/09/2023Patent Application Publication Jun. 17, 2004 Sheet 4 of 18 US 2004/0117330 A1 
2.14 1,08B 
CONTROLLED 
DEVICE 
1.10B 
TWO WAY NODE COMMUNICATIONS CHANNEL prior 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 
 
 
 
 
 
 
 
 
DC_PRIOR_ART_0000407
DTX0219, Page 5 of 50
Appx10110
Case: 23-1101 Document: 15 Page: 291 Filed: 05/09/2023Patent Application Publication Jun. 17, 2004 Sheet 5 of 18 US 2004/0117330 A1 
GATEWAYNODE N-2.24 2" 2.18 220A 2- 2.22A 
2.20B 2.22B 
220C 2.22C 
2.20 D 2.22D 
2.2OE -2.22E 
ELECTRICWATER HEATER 
2,20F 2.22F 
WELL PUMP -2.22G 
2,206 Roof MountED 
PHOTOVOLTAC 
2.20H SYSTEM 
DISHWASHER-N-2.22H 
Figure 2E 
3.02 3.04 
DC_PRIOR_ART_0000408
DTX0219, Page 6 of 50
Appx10111
Case: 23-1101 Document: 15 Page: 292 Filed: 05/09/2023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 
GATEWAY 
NODE 
OTHER NODES 
AND DEVICES 
3.10A 
3.10B 
3,10C 
110D 
Figure 3B 
1.08, 1.10 
ECONOMIC AND COMFORTMANAGEMENT & CONTROLEXAMPLE 
- - - MAXIMUMSAVINGS 
BALANCEDSAVINGS/COMFORT - - - MAXIMUM COMFORT 
6 
0 4 8 12 16 20 24 28 32 
COST OF ENERGY IN CENTS PERKWH 
Figure 3C 
 
 
 
 
 
 
 
 
 
 
 
 
 
DC_PRIOR_ART_0000409
DTX0219, Page 7 of 50
Appx10112
Case: 23-1101 Document: 15 Page: 293 Filed: 05/09/2023Patent Application Publication Jun. 17, 2004 Sheet 7 of 18 US 2004/0117330 A1 
ECONOMICAND COMFORTMANAGEMENT & CONTROLEXAMPLE 
79 l1 21 1-- 
2 78 a -21 3.14B 
9 77 21-----4-------- U-3,14C --1 22-------- 
l 22-24 
: 76 / 3.12B 
S 75 / s 3.12C 
74 
73 
72 
0 16 32 48 64 80 96 112 128 
INTERVALS OF TIME - 4 MINUTESPERINTERWAL 
Figure 3D 
ECONOMICAND COMFORTMANAGEMENT & CONTROLEXAMPLE 
80 4 - - THERMAL GANRATE 
70 - HVACRLIN% 
60 3 
S S 50 s 
40 
S 30 
s 
20 1 
10 
00 0 
0 3 6 9 12 15 18 21 24 
INTERWALS OFTIME-HOUR INTERWALS 
Figure 3E 
 
DC_PRIOR_ART_0000410
DTX0219, Page 8 of 50
Appx10113
Case: 23-1101 Document: 15 Page: 294 Filed: 05/09/2023Patent Application Publication Jun. 17, 2004 Sheet 8 of 18 US 2004/0117330 A1 
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 
 
 
DC_PRIOR_ART_0000411
DTX0219, Page 9 of 50
Appx10114
Case: 23-1101 Document: 15 Page: 295 Filed: 05/09/2023Patent Application Publication Jun. 17, 2004 Sheet 9 of 18 US 2004/0117330 A1 
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 
energy devices 
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414BS 44C () Yourser Profile information and Click here to find information about yotir system 
Heating/AC Whole House Meter. 
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4.22A 
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Stage 1 OFF 
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Figure 4C 
4.22 
 
 
 
 
 
 
 
 
 
 
 
 
 
DC_PRIOR_ART_0000412
DTX0219, Page 10 of 50
Appx10115
Case: 23-1101 Document: 15 Page: 296 Filed: 05/09/2023Patent Application Publication Jun. 17, 2004 Sheet 10 of 18 US 2004/0117330 A1 
4.10 4.24 YNY 
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 
2.26 
4.30 Figure 4D 
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 
2.26 
4.30 Figure 4E 
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 
Maximum Comfort Heating setpoint:45F Ebcurrecturing vacant node 
2.26 
Figure 4F 
 
 
 
 
 
 
 
 
 
 
DC_PRIOR_ART_0000413
DTX0219, Page 11 of 50
Appx10116
Case: 23-1101 Document: 15 Page: 297 Filed: 05/09/2023Patent Application Publication Jun. 17, 2004 Sheet 11 of 18 US 2004/0117330 A1 
Thermostat Scheduling 4.10 
4.36 
eekday 
434 11 
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18 19 
eekday eekday 
26 
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Figure 4G 
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Start’ Start at midnightin: Sleep Wmode clicktoshownstructions V 4.40 
436--Then at 04:30am IV witch to Uservinode T P Then at 05:00am Yswitch to User2 Wmode 
Then at 05:30am Wilswitch to Home Wmode 
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 
 
DC_PRIOR_ART_0000414
DTX0219, Page 12 of 50
Appx10117
Case: 23-1101 Document: 15 Page: 298 Filed: 05/09/2023Patent Application Publication Jun. 17, 2004 Sheet 12 of 18 US 2004/0117330 A1 
Configure Alert 4.52 4.54 4.56 4.58 
Alerts - - - - - - UserName: E. Minern AccountD: 
Primary email: emineneaol.com Phone Channel s 
Alert Description Destination Ely web Page Configurable Priority Single/Aggregate 
Temperature out of Range O Y Single M 
Temperature out of Range 2 O 
Gateway Not Responding O O Single M 
Temperature out of Range Energy Provider M. Y. D Single R/ 
Gateway Not Responding O 
Budget Limit Alarm O 
Device is Malfunctioning D Single N 
Communication Failure O 3. 
Ramping Recovery Failure O 
4.48 Duplicate IP address O Single M 
Temperature out of Range Z Single 
Note:You may add the secondary email as another channel by updating personal data, Click here to update account personal data 
Daily emperature 
4,68A Ef 
4,68B 
4.68 Figure 4K 
 
 
DC_PRIOR_ART_0000415
DTX0219, Page 13 of 50
Appx10118
Case: 23-1101 Document: 15 Page: 299 Filed: 05/09/2023Patent Application Publication Jun. 17, 2004 Sheet 13 of 18 US 2004/0117330A1 
Daily Temperature Report 
Temperature Data for Tuesday, March 18, 2003 
Temperature Data 
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 
4.72 Time an-Nietzac - Ilias it 
Crevious by CNet Over rody with Month 
4.74 Figure 4L 
Daily Electrical Report 
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 S 
80 
160 
AO 
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 Tire 
Service device: O Constant scale 
viewrody Wew The Year 
close 
Figure 4M 
 
 
 
 
 
DC_PRIOR_ART_0000416
DTX0219, Page 14 of 50
Appx10119
Case: 23-1101 Document: 15 Page: 300 Filed: 05/09/2023Patent Application Publication Jun. 17, 2004 Sheet 14 of 18 US 2004/0117330 A1 
4.86 4.88B 4.88C 
Configuration Data 
Your personal account settings 
Thermost at Data 
Your the nostat data 
Home Data 
Information about your home 4.88A 
EMSwitches 
Energy Management Services 
ThermostatData 
Additional controls: Humidifier Dehumidifier 
Safety Limits: High50 Lower Alert Limits 90 High 45 lawf 
"Heat Limits 75 High5 LoweF *Cool Limits 90 High5 low-F 
= required 
Figure 4O 
4.92 
4.94 
Electric; w/ Electric Emergenc Electric; w/ Electric Emergen Electric: w/ Gas Emergency Electric Heat Pump 
Electric: w/ Oil Emergen ElectricStandard Central Air 
Electric Baseboard 
Oil 
Figure 40 
Figure 4P 
 
 
 
 
 
 
 
 
 
 
DC_PRIOR_ART_0000417
DTX0219, Page 15 of 50
Appx10120
Case: 23-1101 Document: 15 Page: 301 Filed: 05/09/2023Patent Application Publication Jun. 17, 2004 Sheet 15 of 18 US 2004/0117330 A1 
Program Participation 4.96 
Effective dates Effective Daily 
From To From To 
Emergency AC Curtailment Oaoernand OMO- 12/31 12:00am - 11:59pm. 
A Group Or demand OMO - 12/31 12:00am - 11:59pm 
B Group On Demand o1/01 - 12/31 12:00ara - 11:59pm 
Emergency HVAC Curtailment On Demand OMO - 12/31 12:00am - 11:59pm 
YFot Tubispa On demand OMO - 12/3 12:00am - 11:59pm 
Participate Product Name Supply Type 
E.Fool Pump On Demand o/O1 - 12/31 12:00am - 11:59pm 
Energency Shut Off On Demand OMO - 12/31 12:00am - 11:59pm 
in Water Heater On Demand 01/01 - 12/31 12:00am - 11:59pm 
AfteroonPeaker Scheduled 04/01 - 10/01 12:00am - 6:00pm 
MorningPeaker Scheduled O1/O1 - 12/31 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. Link to a tree of the Link to a tree of the Shows a pro tale E.E.E. EEE Selectable stabstrations Egg Selectable substratios gig immediately available - and tial electrical bigny capacity. according to "Day Type". 
Supply Histo lays a table of 
Substrations Esi are electable and E. Ele Fam links are provided to display Eas active supply at the noda level. inin/max demandare listed. 
5.08D 5,08E 5.08F 
 
 
 
 
 
 
 
 
DC_PRIOR_ART_0000418
DTX0219, Page 16 of 50
Appx10121
Case: 23-1101 Document: 15 Page: 302 Filed: 05/09/2023Patent Application Publication Jun. 17, 2004 Sheet 16 of 18 US 2004/0117330 A1 
5,16 
electrical Distribution Networkfortas 
s1 tow 1069 w Review/Request supply Substrations 
a cow Review / Request Suppl. 
5.20 
5,22 
5.18 
Figure 5B 
5.24 
N 5.28 Available Program Capacity 5 3 0 
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 
5.34 5.36 5.38 
Figure 5C 
 
 
 
 
 
 
DC_PRIOR_ART_0000419
DTX0219, Page 17 of 50
Appx10122
Case: 23-1101 Document: 15 Page: 303 Filed: 05/09/2023Patent Application Publication Jun. 17, 2004 Sheet 17 of 18 US 2004/0117330 A1 
5.40 5.44 
sectical distribtron Networkfordss 
day type 333 Available actions 
son dasaw Gwegweswastew schedules creatsschedule 
Works won Wiswansweview schedules releschedules hidelphia Warsawws Wiswever 
TTT 
schedule createSchedule Philly NonCurtailed 
weddow 2swow 27 weeview schedules realescenes 
5.46 Figure 5D 
5.48 
N Find Eligible Programs 
Find Eligible Programs for: Phoenix 
Date: Month:3R Day: 18 M Year: 
Housto R2 Minutes:0R2 
Curtainent of Acrystems-Notorarideable or option 
Water Heater certainent rrogram 
scheduled Supply 
hutoff waterheaters and Pool pump between 6AM and 12 
 
 
 
 
 
 
 
 
 
 
DC_PRIOR_ART_0000420
DTX0219, Page 18 of 50
Appx10123
Case: 23-1101 Document: 15 Page: 304 Filed: 05/09/2023Patent Application Publication Jun. 17, 2004 Sheet 18 of 18 US 2004/0117330 A1 
Program Definitions 
gr 5,58 
5.60 
Supply Type O on Demand Oscheduled 1 N-5.62 
Available Time: From: HH MMOR. To: HHO IV) MMOR) 5.56 
Available Dates: From: MM. 1 R DD To: MM1) DD 1 a 
Oriel O omitat. --N- 5.64 
Device OHVACTSTATOwater Heater Opool rump DHot Tubspa 1N-5.68 
-5.76 
Circuit: Neighborhood Power Company M 
Daily Report for Electric Meter Total Usage: 647.32 kWh. 
Energy Consumption for Tuesday, March 18,2003 
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 Graph electric Metedw). Month Day Refresh Chart 
Figure 5H 578 
Fi 84 re 5 
 
 
 
 
 
 
 
 
 
 
 
 
 
DC_PRIOR_ART_0000421
DTX0219, Page 19 of 50
Appx10124
Case: 23-1101 Document: 15 Page: 305 Filed: 05/09/2023US 2004/0117330 A1 
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. 
Jun. 17, 2004 
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 
DC_PRIOR_ART_0000422
DTX0219, Page 20 of 50
Appx10125
Case: 23-1101 Document: 15 Page: 306 Filed: 05/09/2023US 2004/0117330 A1 
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, 
Jun. 17, 2004 
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; 
DC_PRIOR_ART_0000423
DTX0219, Page 21 of 50
Appx10126
Case: 23-1101 Document: 15 Page: 307 Filed: 05/09/2023US 2004/0117330 A1 
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). 
Jun. 17, 2004 
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). 
DC_PRIOR_ART_0000424
DTX0219, Page 22 of 50
Appx10127
Case: 23-1101 Document: 15 Page: 308 Filed: 05/09/2023US 2004/0117330 A1 
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 
Jun. 17, 2004 
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 
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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 
Jun. 17, 2004 
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 
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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 
Jun. 17, 2004 
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. 
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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. 
Jun. 17, 2004 
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. 
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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 
Jun. 17, 2004 
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 
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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 
Jun. 17, 2004 
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 
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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 
Jun. 17, 2004 
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 
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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 
Jun. 17, 2004 
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. 
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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. 
Jun. 17, 2004 
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 
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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. 
Jun. 17, 2004 
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 
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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 
Jun. 17, 2004 
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 
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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 
Jun. 17, 2004 
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. 
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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. 
Jun. 17, 2004 
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 
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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 
Jun. 17, 2004 
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 
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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 
Jun. 17, 2004 
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 
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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 
Jun. 17, 2004 
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. 
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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 
20 
Jun. 17, 2004 
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 
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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 
Jun. 17, 2004 
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 
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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. 
22 
Jun. 17, 2004 
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 
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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. 
Jun. 17, 2004 
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. 
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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. 
24 
Jun. 17, 2004 
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 
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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. 
Jun. 17, 2004 
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 
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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 
26 
Jun. 17, 2004 
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 
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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 
27 
Jun. 17, 2004 
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 
DC_PRIOR_ART_0000448
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Appx10151
Case: 23-1101 Document: 15 Page: 332 Filed: 05/09/2023US 2004/0117330 A1 
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 
28 
Jun. 17, 2004 
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. 
DC_PRIOR_ART_0000449
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Appx10152
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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 
of: 
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 
of: 
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. 
29 
Jun. 17, 2004 
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 
DC_PRIOR_ART_0000450
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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. 
30 
Jun. 17, 2004 
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 
DC_PRIOR_ART_0000451
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Case: 23-1101 Document: 15 Page: 335 Filed: 05/09/2023US 2004/0117330 A1 
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. 
Jun. 17, 2004 
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. 
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( )
Google is committed to advancing racial equity for Black communities. See how.
 (https://google.com/racialequity)
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
Thermostat
EF_0895825
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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:
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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)".
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name_long
In this example, name_long is "O￾ce (Upstairs)".
Label
Hallway (West)
PELY:
Remove thermostat
Remove
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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).
Peer 4:16 PM
< Hallway (Upstairs)
Where Hallway (Upstairs) >
Away options >
Nest Sense >
NE
<
Where Hallway >
Label (Upstairs) >
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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_
version
A string that represents the ￾rmware currently installed on the device
structure_
id
A string that uniquely represents this structure; this is the structure that the device is paired
with
last_
connection
The timestamp of the last successful connection to the Nest service
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.
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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 eco_temperature_low_f and eco_temperature_high_f
  or
eco_temperature_low_c and eco_temperature_high_c
off none
In some scenarios, there are special rules around changing hvac_mode:
Scenario Can hvac_mode
be changed?
Temperature Lock (#temperature_lock) is enabled Yes
Emergency Shutoff
 (https://nest.com/support/article/How-the-Nest-Thermostat-and-Nest-Protect-work￾together-in-a-carbon-monoxide-emergency)
is active
No
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Scenario Can hvac_mode
be changed?
Emergency Heat
 (https://nest.com/support/article/What-s-Emergency-Heat-and-does-Nest-support-it) is
enabled
No
can_cool or can_heat value is false 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. EF_0895832
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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... Then, previous_hvac_mode can be...
eco heat, cool, heat-cool or off
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.
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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.
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Target and Ambient Temperature ￾elds have _f and _c variants to accommodate consistent
rounding when displaying temperatures.
Temperature display
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
70
HEAT * COOL
68-75
Hallway
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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%.
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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.
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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.
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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.
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•
•
•
•
•
•
•
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
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Type of
Sensor
What it Measures Examples of Uses*
Humidity Humidity sensors measure the amount
of water (relative humidity) in the air.
Nest Learning Thermostat, Nest Thermostat E, Nest
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.
Smoke
(photoelectric
sensor)
Detects the presence of smoke in the
air by detecting when smoke particles
pass in front of an infrared light
source.
Nest Protect (1st generation)
Fire/smoke detection
Smoke (Split￾Spectrum
sensor)
Detects the presence of smoke in the
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.
Nest Protect (2nd generation)
Fire/smoke detection
Temperature Temperature sensors measure the
current temperature. This can be the
ambient temperature in a room, or the
temperature inside a device.
Nest Hub (2nd gen)
Measures ambient room temperature with Sleep Sensing
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.
Control Sensors
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Oct 30, 2020 · 2 min read
L Laura Breen
Nest Team
GOOGLE NEST
Behind the
scenes with the
new Nest
Thermostat
The Keyword
9/3/21, 9:34 AM
Page 1 of 5
= Google
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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.
9/3/21, 9:34 AM
Page 3 of 5
© Temperature decline while the heat was on
March 6
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